中國大陸證券業競爭市場與經營策略之研究

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Title:	中國大陸證券業競爭市場與經營策略之研究
Other Titles:	A study on competitive environment and business strategies of Chinese security industry
Authors:	王絹惠;Wang, Chuan-hui
Contributors:	淡江大學國際商學碩士在職專班林宜男;Lin, Yi-nan
Keywords:	證券業;證券公司;證券經紀商;證券經營模式;證券經營策略;security;security companies;security brokers;security management style;security business strategy
Date:	2010
Issue Date:	2010-09-23 15:42:42 (UTC+8)
Abstract:	中國大陸的證券業挾其後發優勢，從2006年以來，行業整體淨利潤大幅成長，A股帳戶開戶數在2007年到2009年間更近乎倍數成長，而其經營型態、監理制度、風險控管制度，甚至經營理念，均有了創新的想法，並已有證券商落實執行，這給了台灣的證券經營者一些警訊，值得我們進一步探討與深思。本論文將從中國大陸證券市場各方面的發展趨勢進行探討，尤其股權分置改革使得非流通股釋出，大量投資人湧入證券市場，帶動證券市場的蓬勃發展；同時證券公司的經營模式也有了顯著變化，包括行銷意識和服務意識覺醒、證券營業部數量的快速增加、證券公司組織架構的重整及交易方式和服務方式的創新，這些探討將有助於了解中國大陸證券經紀業務的競爭環境。由於中國政府對證券監管的方向，係透過法規的制訂、修訂來完善證券市場體系和功能，本論文亦針對證券市場的行政監管、自律管理體系及重要的證券經紀相關法令規定，有進一步的探討。中國大陸證券經紀商的競爭方式已走向多元化的服務競爭，部份證券商在經紀業務中已開始採取差異化、特色化的經營策略，包括客戶分類管理、提供諮詢服務取代佣金競爭、發展電子商務及證券經紀人制度的發展，並在各方面善加利用網路資源，已成為證券公司經營趨勢。 Because of late development, the security industry has the superiority in China. Since 2006, overall net profit of securities industry has high growth. Number of A-share accounts opening almost has double growth between 2007 and 2009, and its management style, supervision, risk control system, and even philosophy have innovative ideas, and security firms have been implemented. These appearances give some warning to security industry in Taiwan, and deserve us further exploration and reflection. This Thesis will investigate the stock market trends in China, in particular, Full Circulation Reform for Listed Companies made non-tradable shares release, a lot of investors entered security market. By the way those flourished the securities markets. At the same time Security company''s operating model also has remarkable changes, including awakening of the marketing sense and services consciousness, the rapid increase in the number of security business departments, restructuring the organization and the innovation of trading and service, the studies will be useful in understanding the competition environment of stock brokerage business in China. The Government of China securities regulator''s direction was through the formulation and amendments of laws and regulations to improve the securities market system and functions. This Thesis will be aimed at administrative supervision, self-management system and important security brokerage decree to further explore. The competitive basis of securities brokers in China have become a wide range of service competition, some securities has begun to take different and characteristic business strategies in the brokerage business, include customer classification, advisory services substitute commission competition, developing of E-commerce and securities broker system, and make use of all network resources has become the trend of the securities company.
Appears in Collections:	[Graduate Institute & Department of International Business] Thesis

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