华安证券郑州区域经纪业务的竞争与创新研究

发布时间：2018-05-18 00:27

本文选题：证券公司 + 经纪业务　；参考：《河南工业大学》2017年硕士论文

【摘要】：资本市场是实施国家重要发展战略的重要组成部分,是推进改革开放和国家经济社会发展的重要力量。伴随着证券市场的日益成熟,浮动佣金制度的实施,加之业务多元化、互联网金融、外资证券公司“入侵”以及银行推出各种理财产品的出现等。券商间基于佣金战的竞争日益加剧,证券公司经纪业务面临着前所未有的竞争压力,升级转型迫在眉睫。开展经纪业务创新,可以为客户提供多元化的产品和高质量的服务,同时能够提升证券公司自身的竞争力,从而促进资本市场健康的发展。华安证券股份有限公司(下称“华安证券”)是一家伴随着我国资本市场的发展逐渐成长起来的券商,由中国证监会核准于2000年12月28日注册成立。经过十多年的稳健经营和创新发展,已经成为了国内具有一定业务规模和竞争优势的综合性证券公司。本文运用证券市场管理和企业竞争战略的相关理论,结合华安证券郑州经纪业务的实际情况,深入分析了华安证券郑州经纪业务的自身优势和收入变化情况,利用相关的数据和资料做出了客观具体的评价。在此基础上,从佣金率的竞争、交易环境竞争、信息服务竞争、潜入者的竞争四个方面分析了华安证券郑州经纪业务的市场竞争情况,并讨论了创新转型对未来公司经纪业务发展的可行性和必要性。最后,提出了华安证券郑州经纪业务转型创新的策略,即要通过完善客户服务机制以达成投资顾问队伍的建立和培养、推进营业部高净值客户的服务和开发工作并加强客户佣金管理、实现盈利模式多元化路径和“走出去”拓展客户资源,大力推进经济业务的转型发展。经过研究认为:伴随着中国经济发展进入新常态,资本市场的竞争日益激烈,证券市场经济业务的开展必须因势而谋、应势而动、顺势而为,积极推进团队建设、盈利模式、营销手段的创新,不断满足客户全方位的服务需求。华安证券郑州经济业务具有极强的代表性,对其业务竞争战略进行研究,对行业其他公司和金融机构经纪业务的创新和转型发展提供宝贵的经验和现实案例。
[Abstract]:The capital market is an important part of implementing the important national development strategy and an important force to promote the reform and opening up and the national economic and social development. With the maturity of the securities market, the implementation of the floating commission system, the diversification of business, Internet finance, the "invasion" of foreign securities companies and the emergence of various financial products launched by banks, etc. The competition between securities firms based on commission war is intensifying day by day. The brokerage business of securities companies is facing unprecedented competitive pressure, so it is urgent to upgrade and transform. The innovation of brokerage business can provide customers with diversified products and high quality services. At the same time, it can enhance the competitiveness of securities companies and promote the healthy development of capital market. Hua'an Securities Co., Ltd. (hereinafter referred to as "Hua'an Securities") is a securities company which is gradually growing up with the development of China's capital market. It was approved by China Securities Regulatory Commission (CSRC) and established on December 28, 2000. After more than ten years of steady operation and innovative development, it has become a comprehensive securities company with certain business scale and competitive advantage. Based on the relevant theories of securities market management and enterprise competitive strategy and the actual situation of Zhengzhou brokerage business of Hua'an Securities, this paper deeply analyzes the advantages and changes of income of Zhengzhou brokerage business in Hua'an Securities. Using relevant data and materials to make an objective and specific evaluation. On this basis, from four aspects of commission rate competition, trading environment competition, information service competition and sneaking competition, this paper analyzes the market competition situation of the brokerage business of Hua'an Securities Zhengzhou. It also discusses the feasibility and necessity of innovation transformation to the development of brokerage business in the future. Finally, the paper puts forward the strategy of transforming and innovating the brokerage business in Zhengzhou, that is, to establish and train the investment advisory team by perfecting the customer service mechanism. To promote the service and development of high net worth customers in business department, to strengthen the management of customer commission, to realize the diversification of profit mode and to expand customer resources, and to promote the transformation and development of economic business. With the development of Chinese economy entering the new normal, the competition of capital market is becoming more and more fierce. The development of securities market economy must be driven by the situation, should be moved by the situation, conform to the trend, and actively promote the team building and profit model. The innovation of marketing means, constantly meet the customer's all-round service demand. Zhengzhou economic business of Hua'an Securities has strong representativeness. This paper studies its business competition strategy and provides valuable experience and practical cases for the innovation and transformation of brokerage business of other companies and financial institutions in the industry.
【学位授予单位】：河南工业大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：F832.51

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