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Conversion from Securities Broker to Financial Consultant

Author: JiangMin
Tutor: QuChuang
School: Shandong University
Course: Industrial Engineering
Keywords: Securities Broker Brokerage Transformation Financial Consultant
CLC: F832.51
Type: Master's thesis
Year: 2011
Downloads: 47
Quote: 0
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Abstract


The China’s securities market developed rapidly, though it started later. The achievements are remarkable after two decades of time. However, compared with the mature market of Europe and America there’s big gap between them. The domestic securities broker develops constantly with the development of China’s securities market, it’s the result of market competition, and it shows a variety of forms. On April 13 2009, the Securities Broker Interim Provisions issued, it clear the range of securities broker and purify the teams of securities broker greatly. As the effectiveness of Market regulation is weak, the existing forms of securities broker are diverse at present. Some brokers practice illegally, most of them have low quality and service level for client.In many areas, the securities brokers attract the client by the low commission or by the network. These will bring the potential harm to the securities industry.After 20 years of development, the China’s securities market forms the multi-level and diversified pattern. The securities brokerage face transformation, the traditional channel type will become the high value-added service. The effect of securities broker become more and more important, But the low quality of securities broker can’t meet the needs of development.The paper tries to rethink the location of securities broker by tracking the history of the brokers, analyzing the current situation, contrasting the domestic brokers and the foreign brokers, which tries to find the Chinese characteristics securities broker pattern—the securities brokers convert to the financial consultant.

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CLC: > Economic > Fiscal, monetary > Finance, banking > China's financial,banking > Financial market
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