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论文编号：	4873
作者编号：	2120102640
上传时间：	2012/12/14 13:52:33
中文题目：	海通公司证券服务质量管理研究
英文题目：	Service Quality Management Reasearch of Haitong Securities Co. Ltd
指导老师：	张金成
中文关键字：	证券业;服务质量;质量设计;质量运营控制
英文关键字：	Securities Industry;Service Quality;Quality Design;Quality operational control
中文摘要：	2011年的证券市场震荡与机遇并存，一方面国内外的经济运行情况复杂多变，欧洲主权债务危机愈演愈烈，国内经济在宏观调控的背景下缓步转型，股票市场持续低迷，券商传统业务的竞争日益白热化；另一方面证券市场的改革创新不断深化，创新业务显示出强劲势头，成为推动证券行业转型的重要引擎。资本市场竞争加剧给证券公司的经营带来极大的挑战，证券经纪业务作为我国证券公司主要的收入来源，主要是为经纪、投行和资产管理等业务提供通道服务来收取佣金，这种无风险收入在证券公司整体收入的占比正在逐年下滑，但经纪业务仍然是证券公司提供流动性、积累客户资源和客户网络的根本与基石。国内各大证券公司对证券经纪业务服务模式的转变也是极为重视，但发展至今证券经纪业务仍然处于一种无序的、同质的、低水平的竞争中。在如今国际金融市场环境不确定、外资金融机构企图“入侵”、国内市场化转型程度加深、证券行业佣金监管不断严格的背景下如何摆脱价格战来赢得更多的市场份额是各个证券公司都应该重视的现实问题，那么提高服务质量，改变传统单一化、同质化的服务模式才是证券公司提高收益的正确选择。本文以海通证券股份有限公司（简称海通证券）为研究载体，在研究的过程中以证券经纪业务为主线，将证券服务的质量管理作为主要研究内容。由于服务质量管理过程中出现的各种问题都应该对应着服务组织的各个部门在具体运营过程中的服务缺失，是由于各部分的服务缺失导致了最终的服务感知差距，本文分析海通证券在服务质量管理中存在的问题有：对客户需求认知不足，管理层所指定的服务标准脱离实际，服务传递过程控制失效，服务人员能力有差距不能有效执行所制定标准。针对发现的问题，文章利用PZB服务质量感知差距模型中的五个差距，将海通证券服务质量存在的问题归纳为服务质量的设计与服务质量的运营控制两方面，分析存在问题的原因，文章提出了解决问题的相应对策：重视顾客期望调研在此基础上设计服务标准，加强对服务传递过程管理，提高人员素质并加强监管，提升顾客参与顾客忠诚度。
英文摘要：	The year 2011 has witnessed both fluctuations and opportunities in the securities market. On one hand, domestic and overseas economic situations have been complicated and volatile, the sovereign debt crisis in Europe has been intensified, stock market has witnessed continuous downturn, and the competitions in traditional business among securities dealers have been increasingly intense. On the other hand, reform and innovation in the securities market have been deepened, and innovation business has shown a strong momentum of growth and has become an important driver behind the transformation of securities sector. As the main source of income of China's securities companies, securities brokerage channel, service investment banking and asset management business to commission such a risk-free income of securities companies. However, the proportion of income is declining every year, though the brokerage business is still the main business of securities companies, which provide liquidity, accumulation of the fundamental cornerstone of client resources and customer network. Most of the domestic securities companies pay more attention on service model transformation. However, so far the development of securities brokerage business is still in a disordered, homogenized, and low-level competition. Under the background of uncertain international financial markets, an attempt of invasion from financial institutions, the deepening domestic market-oriented transformation, and the constantly restricted securities industry, the practical problem that securities companies should pay attention is how to win more market share without cutting prices。Hence, in order to raise profits, it is securities companies best option to Improve service quality and to change the traditional unitary and the homogenized service model. The current study utilizes Haitong Securities Co., Ltd. (hereinafter referred to Haitong) as the research setting, with the securities brokerage business in the course of the study as the main line, together with quality management as the main research focus. The author argues that the problems with the quality of service management processes relate to errors in the operational process of various departments. Perception gap between the various parts of the service failure and led to the ultimate customer service perception gap. This research utilizes the PZB Service Quality Perceived Quality Gap model to analyze Haitong’s problems in service quality management. Such problems include: lack of knowledge on customer needs; management of specified service standards distance from reality; service delivery process control failure; the limited capacity of the service personnel. In regards to these problems, the present study analyzes the causes and proposed countermeasures from both the design and operational control. The conclusions are: emphasis on customer expectations research design based on service standards; strengthen the management of the service delivery process; improve the quality of personnel, and strengthen supervision; enhance customer participation in loyalty.
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