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The Positioning and Research of Chinat’s Securities Investment Advisory Busihess Model

Author: YuFei
Tutor: WangXinJun
School: Shandong University
Course: Industrial Engineering
Keywords: Investment consulting Business model Project planning
CLC: F832.5
Type: Master's thesis
Year: 2013
Downloads: 87
Quote: 0
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On October12,2010, the China securities regulatory commission issued the interim provisions on the securities investment consulting business, which established the basic system of the securities investment consulting business and defined systemic and normative securities investment advisory business, paying more attention to protect the interests of investors. The securities investment consulting business was born for a long time, until then positioning fuzzy, management confusion.1997, securities investment consulting was introduced for the first time regulation, securities companies and securities investment consulting company be engaged in securities investment consulting business of two types of legal entity. With the development of Chinese securities market, securities investment consulting business gradually divided into two kinds mutually distinguishes mutually contact, in the form of the securities investment advisory and securities research report. At the same time, with the traditional brokerage business being homogeneity serious, securities market becoming saturated, securities companies facing the fierce competition in the market choose transition, to vigorously develop business channels, developing the securities investment consulting business, the issue of interim provisions from basic specification for securities investment consulting business, good prosperous market, the market order of early many brokerages are also beginning to standardize the internal securities investment advisory business model.This article first to the theoretical foundation and existing noon has carried on the summary of literature research, the simple reviewed the development of the securities investment consulting business in China and the development status and existing problems at present stage. Secondly, on the basis of the securities investment consulting business theory in detail, this paper analyzed the connotation of the securities investment consulting, type, value, regulatory, business process and project planning. According to the content of the "interim provisions", this paper argues that the supervision and administration of securities investment advisory business should be divided into external supervision and internal self-discipline, these two aspects constitute the securities investment consulting for project planning constraints, and the establishment of business process and specification is in the project planning under the macro micro concrete implementation, the three there is a gradual progressive relationship, and project planning is serves, grasp the key part, so this article will focus on the research on the securities investment consulting business of project planning. Again, briefly describes the United States and Britain brokerage wealth management mode and system construction, comparing Chinese brokerages ready to carry out the investment adviser business management pattern at present stage, using comparative demonstration, hope to provide reference for Chinese companies. Finally combining with our country present situation and development trend, the cast of business of securities companies on the analysis of the securities investment consulting business project planning, on the basis of various modules in the model, for investment in the coordination of the securities company headquarters and the business department of business resources on how to take the interest of team building model to do the empirical analysis, finally comprehensive conclusion and provide some about the investment advisory business module operation mode selection advice, for project planning the future investment consulting business of securities companies to provide some useful reference.

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