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论文编号：	10348
作者编号：	2220160833
上传时间：	2018/12/6 9:01:59
中文题目：	证券公司经纪业务转型研究——以JT证券为例
英文题目：	Research on Transformation of Broker-Dealer Business: Taking JT for Example
指导老师：	刘俊振
中文关键字：	证券公司；经纪业务；业务转型；客户细分
英文关键字：	Securities Company；Brokerage Business；Business Transformation；Customer Segmentation
中文摘要：	当前，证券公司经纪业务面临内外部前所未有的激烈挑战。一方面，在佣金战之下，券商经纪业务自身的盈利空间迅速收窄。一些传统通道业务甚至面临亏损的局面。另一方面，行业整合、科技创新、监管变化、成本压力，以及投资者结构与需求变化等挑战，也给证券公司经纪业务带来前所未有的挑战，“逆水行舟，不进则退”，证券公司经纪业务不得不积极尝试新的业务模式。在传统经纪通道业务萎缩、财富管理蓬勃发展、金融科技突飞猛进的大背景下，本研究尝试研究：1）依据市场细分理论和技术创新理论，分析证券公司转型的方向及可能的业务模式；2）对境外市场证券公司经纪业务转型案例进行深入剖析，总结其一般性规律，提炼出对我国当前证券公司经纪业务转型，尤其是对JT证券经纪业务转型的借鉴意义；3）设计JT证券经纪业务转型的模式、路径。本研究在理论和实践方面均有一定的意义。首先，在理论方面，本研究是市场细分理论、技术创新、商业模式创新理论在证券公司经纪业务转型中的运用，拓展了上述理论的内涵，是对现有研究成果在特定应用领域的补充，从而进一步推动上述理论的应用范围。另外，在实践方面，由于证券公司经纪业务转型迫在眉睫，本研究理论分析结合境外市场案例分析，探索了国内证券公司经纪业务转型的方向和可供选择的模式，并基于JT证券的实际情况，提出了JT证券经纪业务转型的可选路径。可以说，本研究既对JT证券的经纪业务转型具有现实指导意义，同时也对我国其他证券公司的经纪业务转型提供了有益的参考。
英文摘要：	At present， the brokerage business of securities companies is facing unprecedented fierce challenges both inside and outside. On the one hand， under the Commission war， the profit margins of brokerage firms themselves narrowed rapidly. Some traditional channel businesses even face losses. On the other hand， the challenges of industry integration， technological innovation， regulatory changes， cost pressures， and changes in investor structure and demand also bring unprecedented challenges to the brokerage business of securities companies. Under the background of the shrinkage of traditional brokerage channel business， the vigorous development of wealth management and the rapid development of financial technology， this study attempts to study: 1） Based on market segmentation theory and technology innovation theory， the direction and possible business model of securities companies'transformation; 2） The case study of securities companies' brokerage business transformation in overseas markets. Through in-depth analysis， summarizes its general law， extracts the current securities brokerage business transformation in China， especially for the JT securities brokerage business transformation of reference; 3） Design JT securities brokerage business transformation model， path. This research has certain significance in theory and practice. First of all， in theory， this study is the application of market segmentation theory， technological innovation， business model innovation theory in the securities brokerage business transformation， expanding the connotation of the above theory， is a supplement to the existing research results in specific application areas， thus further promoting the application of the above theory. In addition， in practice， as the transformation of securities brokerage business is imminent， this study explores the direction and alternative modes of the transformation of domestic securities brokerage business by combining theoretical analysis with the case study of overseas markets. Based on the actual situation of JT securities， this paper puts forward the alternative path of the transformation of JT securities brokerage business. . It can be said that this study not only has practical significance for the transformation of JT securities brokerage business， but also provides a useful reference for other securities companies in China.
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