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Securities brokerage business operating model in the context of the size of non- lifting of the ban

Author: WeiZuo
Tutor: HuiGuangPing
School: Nanjing University of Technology and Engineering
Course: Business Administration
Keywords: stock brokerage "Big" Non-tradable Share and "Small" Non-tradable Share operation pattern transition
CLC: F832.51
Type: Master's thesis
Year: 2010
Downloads: 213
Quote: 0
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Abstract


With the five-year bear market starting from 2001, as well as the formal implementation of the floating commission system in China’s stock market starting from 2002, the earning performance in the broking business of the securities companies continued to deteriorate. The previous dominant stage has gone, in which the seller’s market wait for customers to come over. Over many years, the industry has been discussing the idea changes in managing the stock brokerage business, and topics on the business model innovation, but in the whole industry the characteristics of homogeneity within the business still has no significant changes. Since in 2005 China officially launched the non-tradable share reform, A-share market has entered the upcoming era of a complete free-float stock market. In this market background, the securities market investors represented by the holders of "Big" Non-tradable Shares and "Small" Non-tradable Shares will also experience noticeable changes in the structure, and the industry capital investors have gradually become the mainstream of China’s stock market investors, which also brings a rare opportunity to the pattern transition of the broking business of China’s securities companies.In this paper, based on the securities brokerage business-related theory, the Western Service Operation Management theory and so on, also based on comparative reference from the mature model of stock brokerage operations in foreign countries, we analyzed the general situation and existing problems in China’s broking business development, and proposed the direction of operation pattern transition of China’s stock brokerage which is transforming to the finance service pattern, which is in the background of Non-tradable shares’Circulation and based on CRM system. Moreover, we used HT securities company as an example, to elaborate the specific business operation cases and useful attempts on operation pattern transition in broking business by this company in the background of Non-tradable shares’ Circulation. Finally we concluded that:For the brokers, the pattern of stock brokerage transforming from the traditional channel service model to the financial services model will be the trend. Although the Non-tradable shares’ Circulation is only a stage event in China’s securities development history, the background of this market will powerfully push forward the brokers’ broking business operation pattern transition, and will bring long-term impact to the development of the brokers.

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