摘要
资本市场是实施国家重要发展战略的重要组成部分，是推进改革开放和国家经济社
会发展的重要力量。伴随着证券市场的日益成熟，浮动佣金制度的实施，加之业务多元
化、互联网金融、外资证券公司“入侵”以及银行推出各种理财产品的出现等。券商间
基于佣金战的竞争日益加剧，证券公司经纪业务面临着前所未有的竞争压力，升级转型
迫在眉睫。开展经纪业务创新，可以为客户提供多元化的产品和高质量的服务，同时能
够提升证券公司自身的竞争力，从而促进资本市场健康的发展

华安证券股份有限公司（下称“华安证券”）是一家伴随着我国资本市场的发展逐
渐成长起来的券商，由中国证监会核准于 2000 年 12 月 28 日注册成立。经过十多年的
稳健经营和创新发展，已经成为了国内具有一定业务规模和竞争优势的综合性证券公
司。本文运用证券市场管理和企业竞争战略的相关理论，结合华安证券郑州经纪业务的
实际情况，深入分析了华安证券郑州经纪业务的自身优势和收入变化情况，利用相关的
数据和资料做出了客观具体的评价。在此基础上，从佣金率的竞争、交易环境竞争、信
息服务竞争、潜入者的竞争四个方面分析了华安证券郑州经纪业务的市场竞争情况，并
讨论了创新转型对未来公司经纪业务发展的可行性和必要性。最后，提出了华安证券郑
州经纪业务转型创新的策略，即要通过完善客户服务机制以达成投资顾问队伍的建立和
培养、推进营业部高净值客户的服务和开发工作并加强客户佣金管理、实现盈利模式多
元化路径和“走出去”拓展客户资源，大力推进经济业务的转型发展

经过研究认为：伴随着中国经济发展进入新常态，资本市场的竞争日益激烈，证券
市场经济业务的开展必须因势而谋、应势而动、顺势而为，积极推进团队建设、盈利模
式、营销手段的创新，不断满足客户全方位的服务需求。华安证券郑州经济业务具有极
强的代表性，对其业务竞争战略进行研究，对行业其他公司和金融机构经纪业务的创新
和转型发展提供宝贵的经验和现实案例

关键词：证券公司；经纪业务；竞争；创新II
Abstract
Capital market is an important part of the implementation of the national important
development strategy, is to promote reform and opening up and the national economic and
social development important force. Along with the stock market is becoming more and more
mature, the implementation of the floating commission system, combined with diversified
businesses, the Internet finance, invasion of foreign securities companies and Banks to
launch the emergence of a variety of financial products, such as growing competition based
on commission battle between brokers, securities brokerage business is faced with
unprecedented pressure of competition, upgrade transformation is imminent. Brokerage
business innovation, can provide customers with diversified products and high quality service,
at the same time can improve the securities company&39;s own competitiveness, so as to promote
the development of capital market healthy.
Huaan securities co., LTD. (hereinafter referred to asHuaan securities) is a gradually
grow up with the development of Chinese capital market brokers, subject to approval by the
China securities regulatory commission on December 28 2000, was registered. After ten years
of steady operation and innovation and development, has become the domestic has certain
business scale and competitive advantage of comprehensive securities company. This paper
USES the securities market management and relevant theory of enterprise competition
strategy, combined with the actual situation of Zhengzhou huaan securities brokerage business,
in-depth analysis of the Zhengzhou huaan securities brokerage business of their own
advantages and income changes, using the related data and information has made the
objective evaluation. On this basis, from the commission rate of competition, competition
environment, information service, stalkers competition from four aspects analyzes the
competition situation of Zhengzhou huaan securities brokerage business, and discusses the
innovation transformation of the feasibility and necessity of development of brokerage
business in the future. Finally, put forward the safe securities brokerage business
transformation of Zhengzhou innovation strategy, namely to improve the customer service
mechanism to achieve investment consultant team to establish and to develop, promote theIII
sales of high net worth clients and development work and strengthen customer service mode
of commission management, profit diversification path and expand customer resources of
going out, vigorously promote the transformation of economic and business development.
After research that: along with the development of Chinese economy enters the new
normal, capital market increasingly competitive, securities business market economy must be
due to the potential for, should be dynamic and potential for those routes, actively promote
team building, profit model, marketing innovation, continuously meet customers a full range
of service needs. Huaan securities Zhengzhou economic business with a strong representative,
to research its business competitive strategy, the brokerage industry companies and other
financial institutions the innovation and transformation of development provides valuable
experience and practical cases.
Keywords: Securities; Brokerage Business; Competition; InnovationIV
目 录
第一章 引言.....1
1.1 研究背景及意义.1
1.1.1 研究背景......1
1.1.2 研究意义......1
1.2 国内外研究现状述评.....2
1.3 研究内容与研究方法.....5
1.3.1 研究内容.......5
1.3.2 研究方法.......7
1.4 主要创新点.........7
第二章 证券公司经纪业务的理论基础.........9
2.1 证券公司经纪业务的含义和特点.........9
2.1.1 证券公司经纪业务的含义..9
2.1.2 证券公司经纪业务的特点..9
2.2 国内证券公司经纪业务的现状10
2.2.1 我国证券市场发展的宏观背景....10
2.2.2 我国证券市场发展现状及趋势分析.........12
2.2.3 我国证券市场存在的问题.13
2.3 我国证券市场经纪业务创新发展的趋势.......15
第三章 华安证券郑州经纪业务发展现状...19
3.1 华安证券基本情况.......19
3.2 华安证券郑州市场经纪业务的自身优势.......20
3.3 华安证券郑州市场经纪业务收入变化分析...22
第四章 华安证券郑州经纪业务竞争现状...26
4.1 佣金率的竞争分
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