证与券经纪人制度的毕业论文.doc

广西工学院毕业论文 海通证券柳州营业部证券经纪人制度实施存在的问题与对策研究 经典文档 下载后可编辑复制 PAGE 经典文档 下载后可编辑复制 摘 要 证券经纪人制度是成熟证券市场中一项非常重要的制度，也是证券市场发展到一定阶段的产物，是证券市场成熟的标志之一。我国的证券投资正日益大众化，然而，普通投资者由于时间精力和专业水平的限制,面对复杂的市场和名目繁多的金融产品，往往难以做出理性决策，获得良好的投资收益。在这种情形下，兼具证券投资咨询、市场营销和客户服务等功能的证券经纪人得以发展壮大。但是,由于我国证券市场起步较晚,证券经纪人行业发展还很不成熟，证券经纪人制度也还很不完善。 本文通过分析海通证券柳州营业部证券经纪人制度实施的现状，发现其主要存在对证券经纪人的定位模糊，管理松散；对证券经纪人的培养不足；频繁的业绩考核压力可能会引发经纪人对客户利益的损害；现有单纯的佣金提成招揽客户模式不利于营业部长远的发展；证券营销与服务、研发脱节等五个方面问题，并研究了其成因。在此基础上建议海通证券柳州营业部在实施证券经纪人制度过程中应从明确证券经纪人定位；解决证券经纪人的归属问题；将证券经纪人纳入员工管理，严把证券经纪人的从业资格认定；完善经纪人的激励机制适当调整考核周期；加强证券经纪人后续培养，提高经纪人自我学习能力等五个方面来解决证券经纪人制度实施过程中存在的问题。 关键词：证劵经纪人；经纪人制度；委托代理 ABSTRACTS ecurities broker system is a very important system in the mature markets, it is a product of the stock market develops to a certain stage, and is a sign of a mature securities. Securities investment is becoming more and more popular in China, However, for ordinary investors, because of their time and energy and professional level limitation, when faced with complex market and a variety of financial products, they are often difficult to make rational decisions and get a good return on investment. In this case, both the securities investment consulting, marketing and customer service and other functions of the securities brokers to grow. However, due to the stock market started relatively late in our country, the securities broker industry development is still immature, securities broker system is still not perfect In this paper, through the analysis of Haitong Securities Business Department of Liuzhou of their securities broker systems implementation present situation. found the main problem is: for securities brokers positioning fuzzy, loose management of securities brokers; The existing pure Commission sharing to attract customers model is not conducive to the long-term development of the securities business department; marketing and service, research cooperation is not very go