海通证券哈尔滨和平路证券营业部经纪业务发展对策研究.pdf

哈尔滨工业大学工商管理硕士学位论文
摘要
随着国际化进程的加快,中国证券市场已经从高度保护下的垄断竞争转
向市场竞争,证券经纪业务竞争日趋激烈。目前我国券商经纪业务普遍存在
定位不明晰、服务不完善、激励机制不健全等问题,这些问题将阻碍我国券
商经纪业务的转型和发展。
本文通过对海通证券股份有限公司哈尔滨和平路营业部证券经纪业务现
有问题的分析和解决,力图打造证券公司营业部经纪业务“前后台分离,前
台专业化、后台集中化”的经营模式,加快营业部经营管理职能的剥离,促
使其由集交易、清算、托管、营销于一体的功能定位向营销、客户服务的服
务中心转变,为投资者提供综合性、个性化和专业化服务,从而促进海通公
司证券经纪业务的长远发展。本文首先阐述了国内外对证券经纪业务相关理
论的研究情况;其次对证券经纪业务的相关内容做了简要的概述,同时对国
内外证券经纪业务的发展状况进行了介绍;然后在理论研究的基础上结合实
际工作,通过对目前中国的证券经纪业务外部环境的分析和国内证券公司经
纪业务的比较,详细分析了海通证券股份有限公司哈尔滨和平路营业部经纪
业务目前在经营和管理上存在的问题,并指出了问题产生的根源;最后,根
据中国证券市场的发展和其他证券公司的成功经验,利用经济学和管理学的
原理,本着从实践出发的原则,针对问题系统提出公司经纪业务发展应采取
的应对措施和经营思路,对策的设计具有较强的可操作性。

关键词证券市场;经纪业务;证券营业部;业务转型







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哈尔滨工业大学工商管理硕士学位论文
Abstract
The China’s securities market has transformed from a highly-protected
petition to a free petition, petition is getting
severer along with the speeding process of globalization. There are basically
some problems in the brokerage of our securities traders like: ambiguity in the
strategic positioning, pletion in the serving modes, imperfection in the
stimulation mechanism, etc. These problems will be the obstacles on the way of
the transforming and developing of the brokerage of our securities traders.
In this article, through analyzing and resolving the existing problems in the
sales department of Haitong Securities Co. Ltd on Heping Road in Harbin, trying
to set up a “separation of the front stage and back stage, front stage be
professional , back stage be centralized ” business mode for the brokerage of the
business department in Harbin, speed the ripping of the business-managing
functions of the business department, and push it to transform from a mixed
functions-positioning of trade, clearance, trusteeship and sales to a serving center
for sales and clients-services, to prehensive, individualized and
professional services, to promote the development of the securities’ brokerage far
in the future. This article first introduces the de