当前互联网技术的发展,对整个社会的商业模式产生了巨大的影响,传统证

券公司的发展路径受到极大的挑战。在此背景下,监管部门积极出台政策,鼓励

证券公司通过互联网创新产品、业务和交易方式,实现差异化、专业化、特色化

发展,使我国证券行业步入了创新发展的加速期,迎来了互联网对证券行业的第

二次革新。在巨大的机遇与挑战并存的形势下,证券公司积极探索和尝试“互联网

+证券的创新模式。而作为证券公司最主要收入来源的经纪业务,是证券公司所

有业务的核心,成为证券公司转型升级中首当其冲面临革新的领域,很多公司将

互联网经纪业务作为公司转型升级的突破口,作了许多有益的实践和探索,取得

了很大的成效。

本文以研宄互联网金融背景下证券公司经纪业务的转型发展为主题,具有较

强的现实意义。论文首先介绍了当前我国互联网金融的发展状况,分析了我国证

券公司经纪业务的发展现状以及在互联网金融背景下经纪业务面临的机遇和挑

战,在借鉴国外证券公司开展互联网经纪业务先进经验的基础上,提出我国证券

公司经纪业务转型升级的对策,并以华泰证券这家传统证券公司的互联网转型实

践作为案例进行具体分析,最后得出结论:在互联网金融背景下,证券公司开展

互联网证券业务的四个核心要素是战略、客户、数据、产品,其中战略是方向,

客户是中心,数据是资产,产品是手段。

关键词:互联网金融,证券公司经纪业务,转型升级

I

THE RESEARCH ON THE TRANSFORMATE AND

UPGRADE OF BROKERAGE BUSINESS OF CHINESE

SECURITIES COMPANIES UNDER

THE INTERNET FINANCE CIRCUMSTANCE

ABSTRACT

The development of the Internet technology has a great impact on the business

model of the whole society,while the development path of traditional securities firms

also face great challenges.In tiiis context,the securities regulators actively introduce the

policy to encourage securities firms innovative products, services and transactions by

using the Internet, to achieve more different, professional and characteristic .The

securities industry enters to a period of accelerated development of innovation,

welcome to the second reform of the securities industry by the InternetIn the situation,

securities firms actively practice the pattern of Internet + Security. Securities

brokerage business,as the main income source of securities firms, are first to bear the

brunt. Many firms have done a lot of useful practices and made great achievements,as a

break of transformation and upgrading.

The paper refers to the research on the transformation and upgrade of brokerage

business of Chinese securities firms under the Internet Finance circumstance, reflecting

practical sigmficance.Firstly,the paper introduces the current development status of

Internet Finance and securities brokerage business, analyzes the opportunities and

challenges for the securities firms.On the basis of foreignal securities practices on

Internet Business, the paper puts forward the advise for the securities brokerage firms

under current Internet Finance circumstance . Finally,with the example of Hua Tai

Security Company, the paper puts forward the prospect of four factors for the Internet

Security: strategy, customers, data and products.

KEY WORDS: Internet Finance, Securities Brokerage Business, Transformate and

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