本文選題：GY證券公司 + 盈利模式��； 參考：《安徽大學》2017年碩士論文

【摘要】：證券公司是資本市場的重要參與主體,其生存狀況和發(fā)展水平直接影響整個資本市場。經(jīng)歷了二十多年的發(fā)展,中國證券公司已進入規(guī)范、健康的發(fā)展新階段,其良性發(fā)展的勢態(tài)標志著中國金融市場正逐步走向成熟。但隨著現(xiàn)階段金融多元化、全球化的發(fā)展趨勢,證券牌照有序放開、行業(yè)壁壘日漸破除、國際資本紛紛加入,中國證券市場所面臨的經(jīng)營環(huán)境發(fā)生了巨大的變化,其傳統(tǒng)盈利模式存在的問題開始凸顯。長期以來,中國證券公司一直延續(xù)傳統(tǒng)盈利模式,其收入主要依靠一級市場的承銷業(yè)務、二級市場的經(jīng)紀業(yè)務和自營業(yè)務。這種落后的盈利模式使證券公司難以滿足日漸增長的市場需求,弱化了其抵御市場風險的能力。因此,在新的環(huán)境下,研究中國證券公司的盈利模式,推進傳統(tǒng)盈利模式轉型,成為證券行業(yè)亟待研究的重點課題。本文從文獻回顧入手,采用文獻研究法、案例研究法、調查研究法和比較分析法,以GY證券公司為研究對象,對其盈利模式的現(xiàn)狀進行了描述性歸納總結,對其存在的問題進行了深入的審視與分析,并對新環(huán)境下GY證券公司盈利模式的成功轉型提出了對策。本文共五章:第一章為緒論,主要介紹本文的研究背景及研究意義,國內(nèi)外相關研究文獻綜述,研究方法和研究內(nèi)容及其研究創(chuàng)新。第二章為盈利模式的概念及理論,主要闡述了盈利模式的內(nèi)涵、組成部分及影響因素,為本文的研究奠定理論基礎。第三章為GY證券公司盈利模式現(xiàn)狀及問題,主要對GY證券公司概況和現(xiàn)行盈利模式進行介紹,并通過數(shù)據(jù)分析提出其傳統(tǒng)盈利模式存在的問題。第四章為GY證券公司盈利模式轉型的路徑分析,主要運用PEST分析、"五力模型"分析與SWOT分析等方法,確定了 GY證券公司盈利模式的轉型路徑。并根據(jù)擬定的轉型路徑,從業(yè)務轉型及完善管理體系兩個方面提出新型盈利模式構建的對策建議。第五章為研究的結論與展望。經(jīng)研究發(fā)現(xiàn),GY證券公司的盈利模式主要存在四大問題:(1)業(yè)務結構不均衡,盈利高度依賴股票二級市場;(2)盈利模式高度趨同,業(yè)務層次低,缺乏核心競爭力;(3)盈利途徑有限,缺乏創(chuàng)新能動性;(4)客戶資產(chǎn)規(guī)模不足,客戶結構有待優(yōu)化。針對這些問題,本文提出GY證券公司盈利模式轉型應走多元化、專業(yè)化、創(chuàng)新化、精細化的路徑,并從業(yè)務轉型和管理體系完善兩個方面提出了具體的轉型措施。本文的研究對于推動GY證券公司盈利模式順利轉型,降低經(jīng)營風險,提升綜合競爭力等具有重大意義。同時,也為其他類似的中小型證券公司的轉型發(fā)展提供一些參考。
[Abstract]:Securities companies are important participants in the capital market, and their survival and development level directly affect the whole capital market.After more than 20 years of development, Chinese securities companies have entered a new stage of healthy development, and their benign development indicates that China's financial market is gradually maturing.However, with the development trend of financial diversification, globalization, the orderly opening of securities license plates, the breaking down of industry barriers and the entry of international capital one after another, the operating environment facing China's securities market has undergone tremendous changes.Its traditional profit pattern exists the question to begin to highlight.For a long time, Chinese securities companies have been continuing the traditional profit model, its income mainly depends on the primary market underwriting business, secondary market brokerage business and self-operation business.This backward profit model makes it difficult for securities companies to meet the growing market demand and weakens their ability to resist market risks.Therefore, in the new environment, to study the profit model of Chinese securities companies and to promote the transformation of traditional profit models has become an urgent research focus of the securities industry.This paper begins with literature review, adopts literature research method, case study method, investigation research method and comparative analysis method, taking GY Securities Company as the research object, and summarizes the current situation of its profit model.This paper makes a thorough examination and analysis of the existing problems, and puts forward some countermeasures for the successful transformation of the profit model of GY Securities Company under the new environment.This paper consists of five chapters: the first chapter is the introduction, mainly introduces the research background and significance of this paper, domestic and foreign related research literature review, research methods, research content and research innovation.The second chapter is the concept and theory of profit model, which mainly expounds the connotation, components and influencing factors of profit model, which lays a theoretical foundation for the study of this paper.The third chapter is about the current situation and problems of GY securities company's profit model. It mainly introduces the general situation and current profit model of GY securities company, and points out the problems existing in its traditional profit model through data analysis.The fourth chapter is the path analysis of the profit model transformation of GY securities company, mainly using PEST analysis, "five forces model" analysis and SWOT analysis to determine the transformation path of profit model of GY securities company.According to the proposed transition path, the paper puts forward the countermeasures and suggestions on the construction of new profit model from two aspects of business transformation and improving management system.The fifth chapter is the conclusion and prospect of the research.It is found that the profit model of GY Securities Company has four major problems: 1) the business structure is not balanced, the profit is highly dependent on the secondary stock market, the profit model is highly convergent, the business level is low, and the lack of core competence is limited.The scale of customer assets is insufficient and customer structure needs to be optimized.Aiming at these problems, this paper puts forward that GY Securities Company should take the path of diversification, specialization, innovation and refinement in the transformation of profit mode, and puts forward concrete measures of transformation from two aspects of business transformation and management system perfection.The research in this paper is of great significance to promote the smooth transformation of GY securities profit model, reduce the operating risk and enhance the comprehensive competitiveness.At the same time, also for other similar small and medium-sized securities companies to provide some reference for the transformation and development.
【學位授予單位】：安徽大學
【學位級別】：碩士
【學位授予年份】：2017
【分類號】：F832.39;F830.42

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