新形势下W证券公司新型营业部设立研究

发布时间：2018-03-05 05:17

本文选题：新型营业部　切入点：市场化　出处：《西南科技大学》2015年硕士论文　论文类型：学位论文

【摘要】：证券市场是我国资本市场的核心,是市场经济发展的必然产物,我国的资本市场发展距今已经有二十多年的历史。证券营业部是大众进行证券交易的最基本的场所,也是资本市场的主要参与者,不仅仅是资金融通和金融资源配置的重要中介机构,更是进行金融风险防范、缓解银行体系危机的重要平台。换句话说,证券营业部是我国资本市场的重要组成部分,它的发展是我国资本市场发展的一个缩影。随着我国资本市场自身不断的发展壮大,对外开放的步伐亦在加快,我国的证券市场在国际资本市场中的影响力正在显著加强。但是,随着我国的证券行业进入市场化,特别是2001年我国加入WTO以后,我国证券行业所面临的管理、经营环境和遭遇的机遇、挑战也发生了翻天覆地的变化。在这样的变化下,传统的证券营业部或许已经无法满足市场发展的需求,其生存和发展都将会受到市场化的巨大挑战。鉴于此,业界大佬们根据我国资本市场的特点,在借鉴国外先进理念和制度的基础上,探讨并实践出一种新型营业部的模式——一种能打破传统桎梏的创新型营业部。新型营业部因其经营成本低廉、市场覆盖面广、操作灵活性强、能增强公司的宣传力度、积累优质客户资源等优势,必将成为各家证券公司竞相追逐的新起点。尽管新型营业部的设立和经营还面临着这样那样的问题,但机遇和挑战总是并存的。如何对传统的经营、管理模式进行创新,把握发展机遇,大型券商如何继续保持已有的优势,中小券商又如何借此新机会实现突破,本文从新型营业部的创新,设立、管理、经营面临的机遇与挑战等多个方面进行深入的研究探讨,为新型营业部的设立、管理、经营提供新的思考方式;为我国证券行业的创新、发展提供新的思维;为我国资本市场的健康、稳定、科学、持续的发展提供新的思路。
[Abstract]:The securities market is the core of the capital market in our country and the inevitable outcome of the development of the market economy. The development of the capital market in our country has a history of more than 20 years. It is also a major participant in the capital market. It is not only an important intermediary for the financing and allocation of financial resources, but also an important platform for preventing financial risks and alleviating the crisis in the banking system. In other words, The securities sales department is an important part of China's capital market, and its development is a microcosm of the development of our country's capital market. With the development of our country's capital market itself, the pace of opening to the outside world is also speeding up. The influence of China's securities market in the international capital market is being strengthened significantly. However, with China's securities industry entering the market, especially after China's entry into WTO in 2001, China's securities industry is faced with the management. The business environment and opportunities and challenges have also changed dramatically. Under such changes, the traditional securities sales departments may no longer be able to meet the needs of market development. Its survival and development will be greatly challenged by marketization. In view of this, according to the characteristics of our country's capital market and on the basis of drawing lessons from foreign advanced ideas and systems, This paper discusses and puts into practice a new type of business department-an innovative business department which can break the shackles of tradition. Because of its low operating cost, wide market coverage and strong operational flexibility, the new business department can enhance the propaganda of the company. Accumulation of high-quality customer resources and other advantages will become a new starting point for various securities companies to chase. Although the establishment and operation of new business departments are still faced with problems of one kind or another, opportunities and challenges always coexist. The management mode carries on the innovation, grasps the development opportunity, how the large-scale securities firm continues to maintain the existing superiority, how to take this new opportunity to realize the breakthrough, this article from the new business department innovation, the establishment, the management, The opportunities and challenges faced by business are studied in depth to provide a new way of thinking for the establishment, management and management of new business departments, new thinking for the innovation and development of the securities industry in China, and a new thinking for the establishment, management and management of new types of business departments, as well as for the innovation and development of the securities industry in China. To provide new ideas for the healthy, stable, scientific and sustainable development of China's capital market.
【学位授予单位】：西南科技大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：F832.39

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