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1、K012015031陶昕曄中國(guó)證券纖紀(jì)業(yè)務(wù)發(fā)展模式研究摘要當(dāng)前，中國(guó)證券經(jīng)紀(jì)業(yè)務(wù)經(jīng)營(yíng)模式粗放，業(yè)務(wù)結(jié)構(gòu)雷同，收入來源有限，面對(duì)我國(guó)加入WTO后市場(chǎng)逐步開放的壓力以及經(jīng)營(yíng)環(huán)境的變化，經(jīng)紀(jì)業(yè)務(wù)的盈利水平受到嚴(yán)重考驗(yàn)，經(jīng)紀(jì)業(yè)務(wù)面臨重大挑戰(zhàn)。在這樣的競(jìng)爭(zhēng)格局下，對(duì)證券經(jīng)紀(jì)業(yè)務(wù)模式進(jìn)行分析和研究是證券公司在新形勢(shì)下亟待破解的重大課題，具有重要的現(xiàn)實(shí)意義。文獻(xiàn)檢索和研究結(jié)果表明，現(xiàn)有對(duì)中國(guó)證券經(jīng)紀(jì)業(yè)務(wù)的研究大多以營(yíng)業(yè)部提高服務(wù)質(zhì)量、豐富金融品種等為重點(diǎn)，而對(duì)于在國(guó)外證券市場(chǎng)歷史發(fā)展過程中經(jīng)紀(jì)業(yè)務(wù)如何在競(jìng)爭(zhēng)中勝出以及證券經(jīng)營(yíng)機(jī)構(gòu)盈利模式的研
2、究并不多。綜觀國(guó)際上著名券商的成長(zhǎng)歷程，無一不是在跌宕起伏的市場(chǎng)環(huán)境下，經(jīng)過長(zhǎng)期摸爬滾打獲得生存、發(fā)展和壯大，它們?cè)诔掷m(xù)低迷的市場(chǎng)環(huán)境中獲得的經(jīng)驗(yàn)和采取的措施具有較大的借鑒價(jià)值。本文在對(duì)國(guó)內(nèi)外證券經(jīng)紀(jì)業(yè)務(wù)的發(fā)展歷程、主要模式和發(fā)展趨勢(shì)進(jìn)行闡述的基礎(chǔ)上，通過集中度研究和戰(zhàn)略地位和行動(dòng)評(píng)價(jià)模型對(duì)證券公司經(jīng)紀(jì)業(yè)務(wù)模式進(jìn)行實(shí)證分析，借鑒了國(guó)際成熟證券市場(chǎng)經(jīng)紀(jì)業(yè)務(wù)模式的主要特征，結(jié)合我國(guó)證券市場(chǎng)的實(shí)際情況，提出我國(guó)證券經(jīng)紀(jì)業(yè)務(wù)發(fā)展模式可分為全能型金融控股模式、全能型寡頭模式、精品型模式和競(jìng)爭(zhēng)型模式。本文認(rèn)為，證券公司應(yīng)通過戰(zhàn)略地位和行動(dòng)
3、評(píng)價(jià)模型，進(jìn)行發(fā)展戰(zhàn)略定位，然后根據(jù)其行業(yè)優(yōu)勢(shì)和特征，選擇相應(yīng)的經(jīng)紀(jì)業(yè)務(wù)發(fā)展模式，以實(shí)現(xiàn)經(jīng)紀(jì)業(yè)務(wù)的可持續(xù)發(fā)展。希望上述的發(fā)展模式能夠?qū)ξ覈?guó)證券公司經(jīng)紀(jì)業(yè)務(wù)發(fā)展模式選擇起到積極的推動(dòng)作用。關(guān)鍵詞：經(jīng)紀(jì)業(yè)務(wù)；業(yè)務(wù)模式：經(jīng)營(yíng)模式；戰(zhàn)略定位中圖分類號(hào)：F830．2K012015031陶昕曄中國(guó)證券經(jīng)紀(jì)業(yè)務(wù)發(fā)展模式研究AbstractThesecuritybrokerageinChinahasthecommonsituationofextensiveoperation，identicalbusinesssourcesand1imited
4、income．Thebrokerageisconfrontedwithgravenesschallenge，asitsrevenuehasbeendescendingsharply，withthepressureofWTOandbusinessenvironmentvariance．Itisameaningfulquestionfordiscussionforsecuritycompaniestoanalyzeandstudytheoperatingmodeofsecuritybrokerageatsuchstrictcomp
5、etitirestructure．Thepresentresearchismostlyfocusedontheserviceexaltingandproductenriching，andit’Shardtofindthematerialsabouttheoperatlngmode．A11thefamoussecuritycompaniesabroadhavebeenmarchingintheseverecond,tion，theexperienceandmeasuresofwhichcanbeusedforreference．
6、InvirtueofcentralizingmeansandStrategicPositionAndActionEvaluationMode，theessayputsforwardtheactualoperatingmodesofsecuritybrokerageforsecuritycompaniesinChina，byanalyzingthecourse，thepresentsituationanddevelopingtrend，consideringthepracticalinstanceinourcountryandc
7、onsultingthemaincharacteroftheadvancedmode．TheoperatingmodesincludeAlmightyFinanceHoldingMode，Almighty01igarchModeAdvantageModeandCompetitireMode．Theessayholdstheviewthatthesecuritycompanyshouldpositionitsstratagemfirst，andthenchoosestherelativeoperatingmode，accordi
8、ngtoitsindustryadvantageandcharacter，byStrategicPositionAndActionEvaluationMode．Iexpectthesespecificoperatingmodestopromotethedevelopmento
