SYWG证券公司业务创新策略研究

发布时间：2018-08-22 17:32

【摘要】：随着我国经济的持续发展和多层次资本市场的逐步建立，作为我国资本市场主体的证券行业正面临着前所未有的机遇和挑战。历经二十多年的发展，我国证券公司的数量和规模都取得了显著增长，但证券公司自身业务结构发展却极端不平衡。到目前为止，我国大部分证券公司的盈利模式仍然以为客户提供传统通道业务收取佣金为主，盈利手段单一，创新能力不足。由于我国证券公司间盈利模式趋同、数量增长快，客户的议价能力逐渐增强，致使证券公司内部“佣金战”愈演愈烈，严重影响了证券公司健康有序的发展。 2012年5月，证监会主席郭树清在证券公司创新大会上，明确提出了证券公司业务创新改革的方向，鼓励证券公司发展多元化的盈利模式。在此背景下，，本文通过分析SYWG证券公司业务发展现状，总结出该证券公司在业务发展中存在的主要问题。在经纪业务方面、资产管理业务方面、投行业务方面，提出了具体的创新措施。本文结合公司实际，在公司治理方面为业务创新提供了基本保障，其中包括以上市为重点增强资本保障；建立事业部制管理模式；改革绩效考核机制；加强各级班子建设和干部管理。在当前金融行业混业化、多元化的发展趋势下，本文为证券公司如何通过业务创新优化业务结构，转变盈利模式，以提升市场核心竞争力提供了具体路径。
[Abstract]:With the sustainable development of China's economy and the gradual establishment of multi-level capital market, the securities industry, as the main body of China's capital market, is facing unprecedented opportunities and challenges. Up to now, most of the profit models of securities companies in our country still think that the traditional channel business is mainly provided by customers to collect commissions, the means of profit is single, and the innovation ability is insufficient. "Intensified" has seriously affected the healthy and orderly development of securities companies.
In May 2012, Guo Shuqing, chairman of the SYWG Securities Regulatory Commission, put forward the direction of business innovation reform and encouraged securities companies to develop diversified profit models. In this context, this paper analyzes the current situation of SYWG Securities Company's business development, and summarizes the main problems of SYWG Securities Company's business development. In the brokerage business, asset management business, investment banking business, put forward specific innovative measures. Combining with the company's reality, this paper provides a basic guarantee for business innovation in corporate governance, including strengthening the capital guarantee with listed companies as the focus; establishing the institutional management model; reforming the performance appraisal mechanism; Under the current trend of mixed and diversified financial industry, this paper provides a specific path for securities companies to optimize their business structure and change their profit model through business innovation in order to enhance the core competitiveness of the market.
【学位授予单位】：南昌大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：F832.39;F273.1

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