我国证券公司业务转型路径之思考

发布时间：2018-03-28 20:20

本文选题：证券公司　切入点：业务转型　出处：《金融理论与实践》2012年11期

【摘要】：基于对证券公司经营本质与基本功能的认识,指出证券公司的转型要立足本源,把服务于实体经济作为转型发展的方向,把以客户为中心进行的创新作为转型发展的关键动力,把建立有效的内控机制作为转型发展的必需基础。在此基础上,借鉴美国证券公司转型发展的实践经验,结合当前我国证券公司面临的现实情况,提出了我国证券公司主要业务的转型方向及路径,其中:经纪业务要由通道型服务向财富管理服务转型,投行业务要由单一的融资通道服务向综合的金融服务转型,证券自营业务要由相对单一的投资模式向多样化的、策略性的投资模式转型,资产管理业务要从基金式的业务模式向信托式的业务模式转型。
[Abstract]:Based on the understanding of the essence and basic functions of the securities companies, it is pointed out that the transformation of the securities companies should be based on the source, take serving the real economy as the direction of transformation and development, and take the customer-centered innovation as the key driving force of the transformation and development. Taking the establishment of effective internal control mechanism as the necessary foundation for the transformation and development. On the basis of this, drawing lessons from the practical experience of the transformation and development of American securities companies, combining with the current reality of the securities companies in our country, The transformation direction and path of the main business of securities companies in China are put forward. Among them, the brokerage business should be transformed from the channel service to the wealth management service, and the investment banking business should be transformed from the single financing channel service to the comprehensive financial service. The securities proprietary business should be transformed from a relatively single investment model to a diversified and strategic investment model, and the asset management business should be transformed from a fund business model to a trust business model.
【作者单位】：中原证券股份有限公司;
【分类号】：F832.39

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