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Research of Margin Trading Business Development Countermeasure for Northeast Securities

Author: MengFanBo
Tutor: DingZhiGuo
School: Jilin University
Course: Business Administration
Keywords: Securities Company Margin Trading Development Countermeasure
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Type: Master's thesis
Year: 2013
Downloads: 98
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Abstract


Margin trading business is a major innovation in China’s securities market, abasic institutional arrangement to improve the trading mechanism of securities market,and import the "short" mechanism for securities market. It is a mature trading systemwhich is common in overseas securities markets, it conducive to fully exert thefunction of securities markets, and provide a new profit model for investors andsecurities companies.Introduction of margin trading will have a profound impact to the investors. It ishelpful to provide investors with diversified investment opportunities and riskaversion means, to improve utilization of investors’ funds, to increase security pricesreflect information. Margin trading business also has positive significance forsecurities companies. It is helpful to improve the effectiveness of securitiescompanies’ financing channels, to promote to establish new profit model of securitiescompanies, to promote product innovation of securities companies.Northeast Securities Co., Ltd. is obtained margin trading business qualificationfor the first turn after margin trading business being common business in June2012.For the first year, it is a good momentum of business development, scale to obtainrapid growth, but there is also encountered some problems in the business.In this article, Margin trading business in Northeast Securities is the main line,By the comparative analysis with the three most typical business model of overseassecurities markets, which are the decentralized market-oriented credit model as in theUnited States, the monorail system of centralized credit model as in Japan, the two-tier centralized credit model as in Taiwan, and the review of developmentprocess of China’s securities market margin trading business: ban, relax, start,development combined with the data of Northeast Securities margin trading business,horizontal comparison analysis with margin trading business of China’s securitiescompanies, making judgment of Northeast Securities’ market position, and proposedmajor problems since the business: first, the number of investors increased encounterbottlenecks; second, finance and margin developed uneven; third, financialbottlenecks; fourth, further improve the quality of business personnel etc.This article analyzes the factors which impact Northeast Securities’ margintrading business development from the internal and external factors. Internal factorsinclude: the number of accounts, the number of investors is the primary factors whichimpact the margin trading business development; credit limits, the higher theinvestors’ credit limits, the larger amount they may participate in the margin trading,also the greater they may impact the margin trading balance; passage of time, is also afactor which affect the margin trading business development, making certainjudgments for investors’ behavior from the investment psychology; securitiesbrokerage business strength is closely related to margin trading business development;securities company’s financial strength is also the basis and security of margin tradingbusiness development. External factors include: market conditions, the margin tradingis still essentially dealing in securities business, so they share the same transactions;market funds, market liquidity directly influence the business development; thenumber of underlying securities, the more the underlying securities are, it willaccelerate the margin trading business development. This article selected four factorsthat can be quantified, including the number of accounts, passage of time, marketconditions, market funds, conducted a regression analysis and conclusions.In the last part, this article proposes countermeasures and suggestions ofNortheast Securities’ margin trading business development, including: improving the service concept; enhance investors’ education; optimize business processes andreduce barriers to entry; margin trading business capital meticulous management; andactively increase margin securities source and tracking business trends of ChinaSecurities Finance Co., Ltd. etc.

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