华融证券经纪业务服务模式创新研究

发布时间：2018-09-15 05:36

【摘要】：伴随着我国国民经济的快速发展,尤其是改革开放三十年来取得的巨大成就,居民手中的财富也在不断的累积,居民的金融投资意识也越来越强。作为经济晴雨表的资本市场从1990年创立至今已经风风雨雨走过了三十一个年头,截止2011年底,市场规模已经发展到上市公司2348家,总流通市值268779亿元。自从有了证券市场开始,证券经纪业务一直都是券商收入的主要贡献者,行业素有得经纪业务得天下的说法。我国证券行业从2002年便进入了市场化的浮动佣金制时代。特别是经历了2006至2007年的大牛市后,券商为了扩大市场份额,纷纷加入了佣金价格战的行列,同时各大券商也因为受国家政策和法规的限制,经纪业务服务模式更加同质化。所以如何在目前的现实条件下突围,探索适合本公司发展的创新型经纪业务服务模式就显得格外重要。本文以华融证券为研究载体,通过对华融证券经纪业务服务模式的现状分析,并结合国内外行业其他券商的实际经营情况,得出华融证券服务创新模式必须走程序化,模式化的路线。本文指出,当前经纪业务服务模式的本质就是以证券交易为媒介,一方面券商从业人员要努力提高自身的专业知识和沟通技巧,另一方投资者也要在券商服务人员的帮助下,通过互动学习积极构建适合自己的较为科学的交易方法,最终实现券商和投资者之间相互信任,互利双赢的局面。本文结合实际案例,以营业部为创新单元提出了：“全程体验式”经纪业务服务新模式。接着又详细介绍了如何创建这种新模式,以及这种新模式在案例中的具体运作办法,最后对于这种新模式的推广在保障性上做了阐述和评价,得出该创新模式是可以被复制和推广的结论。
[Abstract]:With the rapid development of China's national economy, especially the great achievements made in the past 30 years of reform and opening up, the wealth in the hands of the residents is also continuously accumulated, and the financial investment consciousness of the residents is becoming stronger and stronger. As an economic barometer, the capital market has gone through 31 years since it was founded in 1990. By the end of 2011, the market size has grown to 2348 listed companies, with a total market value of 26.8779 trillion yuan. Since the beginning of the securities market, securities brokerage business has been a major contributor to the income of securities firms. China's securities industry has entered the market-based floating commission system since 2002. Especially after the great bull market from 2006 to 2007, the securities companies have joined the ranks of the commission price war in order to expand the market share. At the same time, because of the restrictions of national policies and regulations, the service mode of brokerage business is more homogeneous. Therefore, it is very important to explore the innovative brokerage service mode which is suitable for the development of our company. This paper takes Huarong Securities as the research carrier, through analyzing the current situation of Huarong securities brokerage service mode, and combining with the actual operation situation of other securities companies in domestic and foreign industries, it concludes that the innovation mode of Huarong securities service must be programmed. A stylized route. This paper points out that the essence of the current brokerage service model is to use securities trading as a medium. On the one hand, securities practitioners should strive to improve their own professional knowledge and communication skills, and investors on the other hand, with the help of brokerage service personnel, Through interactive learning, we can actively construct a more scientific trading method suitable for ourselves, and finally realize mutual trust and mutual benefit and win-win situation between securities dealers and investors. Combined with practical cases, this paper puts forward a new model of brokerage business service, which is "whole experience type" with the business department as the innovation unit. Then it introduces in detail how to create this new model, and the concrete operation method of the new model in the case. Finally, it expounds and evaluates the guarantee of this new model. It is concluded that this innovative model can be replicated and popularized.
【学位授予单位】：兰州大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.51

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