广东外语外贸大学学报
廣東外語外貿大學學報
엄동외어외무대학학보
JOURNAL OF FOREIGN STUDIES
2013年
5期
34-38,41
,共6页
券商%证券投资顾问业务%问题%原因%对策
券商%證券投資顧問業務%問題%原因%對策
권상%증권투자고문업무%문제%원인%대책
securities trader%securities investment advisory business%problem%reason%measure
证券投资顾问业务是券商提升核心竞争能力，实现经纪业务盈利模式转型的里程碑，是券商经纪业务未来的发展方向。自证监会颁布证券投资顾问业务以来，各路券商投入了极大的热情，纷纷组建证券投资顾问队伍，建章立制，取得了一定的成效，但也暴露了许多问题。文章总结了券商开展证券投资顾问业务的现状和存在的问题，分析了产生问题的原因，并由此提出了完善证券投资顾问业务的对策。
證券投資顧問業務是券商提升覈心競爭能力，實現經紀業務盈利模式轉型的裏程碑，是券商經紀業務未來的髮展方嚮。自證鑑會頒佈證券投資顧問業務以來，各路券商投入瞭極大的熱情，紛紛組建證券投資顧問隊伍，建章立製，取得瞭一定的成效，但也暴露瞭許多問題。文章總結瞭券商開展證券投資顧問業務的現狀和存在的問題，分析瞭產生問題的原因，併由此提齣瞭完善證券投資顧問業務的對策。
증권투자고문업무시권상제승핵심경쟁능력，실현경기업무영리모식전형적리정비，시권상경기업무미래적발전방향。자증감회반포증권투자고문업무이래，각로권상투입료겁대적열정，분분조건증권투자고문대오，건장립제，취득료일정적성효，단야폭로료허다문제。문장총결료권상개전증권투자고문업무적현상화존재적문제，분석료산생문제적원인，병유차제출료완선증권투자고문업무적대책。
Securities investment consultancy business is of paramount importance for improving the core competitive ability and realizing the transformation of brokerage profit model. Certainly it is a proper direction in the future development of securities brokerage business. Since the SFC started the securities investment advisory business, various securities compa-nies or traders have been so enthusiastic that they’ve organized securities investment adviser teams and worked out rules and regulations, thus achieving some good results. But yet, there exist a number of problems. This article summarizes first the cur-rent situation and problems in the securities investment advisory business and analyzes the cause; and finally put forward some measures for perfecting such a kind of business.
