广发证券股份有限公司经纪业务转型案例分析
发布时间：2018-09-10 17:30
【摘要】：一直以来，中国证券公司都是以经纪业务作为支柱业务，经纪业务也为证券公司创造了丰厚的利润。然而，近几年情况却不容乐观，国内券商纷纷展开了“佣金大战”，佣金率陷入了一降再降的恶性循环之中，而目前国内的证券公司业务种类单一且同质化现象严重，经纪业务的利润空间被大幅度压缩，传统经纪业务的发展遭遇瓶颈，证券公司的发展面临严峻的考验。由此可见，必须要对证券公司经纪业务模式进行转型、创新才能使经纪业务得到长足发展，证券公司才能在今后的发展中立于不败之地。而我们可以看到，证券公司的经营模式由“坐商”向“行商”,再向服务提供者发展，这种转变是该行业所无法回避的。目前，国内许多证券公司都在积极尝试转型，努力寻找适合自己的新的经纪业务发展路径，，但效果并非尽如人意。因此，本文希望借助广发证券这一典型案例，结合国内经济环境及行业环境，总结其在转型过程中的经验及问题，同时综合公司的自身情况，提出行之有效的完善策略，从而也作为行业其它券商转型的借鉴范本。 本文首先分析了我国证券经纪业务佣金率下降、同行业竞争加剧以及利润下滑等问题，同时综合中国当前的经济与证券行业发展趋势以及广发证券自身优势，总结出推动广发证券经纪业务转型的因素。而后，本文从客户关系管理、客户分级、客户服务流程、员工培训等方面介绍了广发证券经纪业务的转型实践内容，在此基础上从品牌建立、市场份额、人才队伍、业务及收入结构方面对其转型成效进行了评价。通过以上分析，本文提出了广发证券经纪业务转型在客户服务、资产管理业务开展、营业网点建设、同业合作、风险控制等方面存在的问题。针对这些问题，本文提出包括加强客户管理、加大投研力度、建设专业人才团队、推进创新业务、加强同业合作、建设新型营业部管理模式、加强与转型相关的风险管理等一系列改进策略，为广泛证券经纪业务的进一步转型提供意见和建议。
[Abstract]:All along, Chinese securities companies have been based on brokerage business, and brokerage business has created huge profits for securities companies. However, in recent years, the situation is not optimistic. Domestic securities firms have launched a "commission war" one after another, and the commission rate has fallen into a vicious circle of decline and decline. At present, the domestic securities companies have a single business category and a serious phenomenon of homogenization. The profit space of brokerage business is greatly compressed, the development of traditional brokerage business encounters bottleneck, and the development of securities companies faces a severe test. From this we can see that we must transform the brokerage business mode of the securities company, innovate to make the brokerage business develop rapidly, and the securities company can be in an invincible position in the future development. We can see that the business model of securities companies from "sitting business" to "merchants", and then to the development of service providers, this change is the industry can not avoid. At present, many domestic securities companies are actively trying to transform, trying to find their own new brokerage business development path, but the effect is not satisfactory. Therefore, this article hopes to use Guangfa Securities this typical case, unifies the domestic economic environment and the profession environment, summarizes its experience and the question in the transformation process, at the same time synthesizes the company's own situation, proposes the effective consummation strategy. Thus also serves as the industry other securities firms transformation reference model. This paper first analyzes the decline of commission rate in China's securities brokerage business, the intensification of competition in the same industry and the decline of profits, and at the same time synthesizes the current development trend of China's economy and securities industry as well as Guangfa Securities's own advantages. Summed up to promote Guangfa Securities brokerage business transformation factors. Then, from the aspects of customer relationship management, customer classification, customer service process, employee training, this paper introduces the transformation practice content of Guangfa Securities's brokerage business, and on this basis, from the brand establishment, market share, talent team, etc. In terms of business and revenue structure, the effectiveness of its transformation was evaluated. Through the above analysis, this paper puts forward the problems existing in the transformation of Guangfa Securities's brokerage business in the aspects of customer service, asset management business development, business network construction, interbank cooperation, risk control, and so on. In view of these problems, this paper proposes to strengthen customer management, increase investment and research, build a team of professionals, promote innovative business, strengthen industry cooperation, and build a new management model of business department. Strengthen the risk management related to the transformation and a series of improvement strategies to provide advice and suggestions for the further transformation of a wide range of securities brokerage business.
【学位授予单位】：辽宁大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：F832.39
本文编号：2235129
[Abstract]:All along, Chinese securities companies have been based on brokerage business, and brokerage business has created huge profits for securities companies. However, in recent years, the situation is not optimistic. Domestic securities firms have launched a "commission war" one after another, and the commission rate has fallen into a vicious circle of decline and decline. At present, the domestic securities companies have a single business category and a serious phenomenon of homogenization. The profit space of brokerage business is greatly compressed, the development of traditional brokerage business encounters bottleneck, and the development of securities companies faces a severe test. From this we can see that we must transform the brokerage business mode of the securities company, innovate to make the brokerage business develop rapidly, and the securities company can be in an invincible position in the future development. We can see that the business model of securities companies from "sitting business" to "merchants", and then to the development of service providers, this change is the industry can not avoid. At present, many domestic securities companies are actively trying to transform, trying to find their own new brokerage business development path, but the effect is not satisfactory. Therefore, this article hopes to use Guangfa Securities this typical case, unifies the domestic economic environment and the profession environment, summarizes its experience and the question in the transformation process, at the same time synthesizes the company's own situation, proposes the effective consummation strategy. Thus also serves as the industry other securities firms transformation reference model. This paper first analyzes the decline of commission rate in China's securities brokerage business, the intensification of competition in the same industry and the decline of profits, and at the same time synthesizes the current development trend of China's economy and securities industry as well as Guangfa Securities's own advantages. Summed up to promote Guangfa Securities brokerage business transformation factors. Then, from the aspects of customer relationship management, customer classification, customer service process, employee training, this paper introduces the transformation practice content of Guangfa Securities's brokerage business, and on this basis, from the brand establishment, market share, talent team, etc. In terms of business and revenue structure, the effectiveness of its transformation was evaluated. Through the above analysis, this paper puts forward the problems existing in the transformation of Guangfa Securities's brokerage business in the aspects of customer service, asset management business development, business network construction, interbank cooperation, risk control, and so on. In view of these problems, this paper proposes to strengthen customer management, increase investment and research, build a team of professionals, promote innovative business, strengthen industry cooperation, and build a new management model of business department. Strengthen the risk management related to the transformation and a series of improvement strategies to provide advice and suggestions for the further transformation of a wide range of securities brokerage business.
【学位授予单位】：辽宁大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：F832.39
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