本文選題：中原證券　切入點：證券投資咨詢業(yè)務　出處：《鄭州大學》2012年碩士論文

【摘要】：近年來,隨著我國經濟實力的進一步增強,居民收入呈迅速上升趨勢,理財需求越發(fā)旺盛。同時,以證券投資基金為主體的機構投資者快速發(fā)展,業(yè)已成長為我國證券市場的中堅力量。這為證券投資咨詢業(yè)務的發(fā)展,尤其是證券公司證券投資咨詢業(yè)務的發(fā)展,迎來一次重要歷史機遇。 但較之境外成熟市場的證券投資咨詢行業(yè)務,國內證券投資咨詢業(yè)仍顯得年輕,還存在諸多問題亟待解決。他山之石,可以攻玉。本文在收集整理大量文獻的基礎上,通過實例系統(tǒng)研究中原證券股份有限公司(為書寫方面,下文簡稱“中原證券公司”)投資咨詢業(yè)務,并結合對境外成熟市場證券投資咨詢業(yè)的運作和監(jiān)管較為系統(tǒng)的梳理和經驗總結,以及根據國內證券投資咨詢業(yè)的現狀和從業(yè)多年來的工作體會,對中原證券公司證券投資咨詢業(yè)務發(fā)展提出建議。 通過分析國內證券現狀,借鑒境外證券投資咨詢業(yè)務發(fā)展先進經驗,研究中原證券公司證券投資咨詢業(yè)務實際情況,本文提出加快該公司證券投資咨詢業(yè)務的發(fā)展,可以采取如下措施：(1)提高中原證券公司證券研究部門的運行效率；(2)培育研究特色,突出差異化研究；(3)加強研究成果的轉化,重視信息隔離制度的完善和執(zhí)行；(4)加強政府監(jiān)管與公司內部管理相結合的效率；(5)構建公司多層次性技術職務管理體系；(6)加強信息隔離制度執(zhí)行和投資者教育的規(guī)劃。
[Abstract]:In recent years, with the further strengthening of China's economic strength, the income of residents is rising rapidly, and the demand for financial management is more and more strong. At the same time, institutional investors with securities investment funds as the main body are developing rapidly. It is an important historical opportunity for the development of securities investment consulting business, especially the development of securities companies' securities investment consulting business. However, compared with the securities investment consulting firms in overseas mature markets, the domestic securities investment consulting industry is still young, and there are still many problems to be solved. A systematic study of the investment consulting business of Zhongyuan Securities Co., Ltd (for writing, hereinafter referred to as "Zhongyuan Securities Company") through an example, And combined with the operation and supervision of overseas mature market securities investment consulting industry more systematic combing and experience summary, and according to the current situation of domestic securities investment consulting industry and working experience for many years, To the Central Plains Securities Company securities investment consulting business development recommendations. By analyzing the present situation of domestic securities, using the advanced experience of overseas securities investment consulting business for reference, and studying the actual situation of securities investment consulting business of Zhongyuan Securities Company, this paper proposes to speed up the development of securities investment consulting business of Zhongyuan Securities Company. We can take the following measures: (1) improve the operational efficiency of the securities research department of the Central Plains Securities Company; (2) cultivate the research characteristics and highlight the differentiation research; and (3) strengthen the transformation of the research results. Pay attention to the perfection and implementation of Information isolation system 4) strengthen the efficiency of combining the government supervision with the internal management of the company. 5) construct the multi-level technical position management system of the company. 6) strengthen the implementation of the information isolation system and the plan of investor education.
【學位授予單位】：鄭州大學
【學位級別】：碩士
【學位授予年份】：2012
【分類號】：F832.51

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本文編號：1674765