I 摘要 经纪业务是证券行业较早出现的项目，也是目前具有盈利的项目之一。不仅有 益于公司和营业部收入，而且还可以为其他业务提供更好的发展机会。最近几年， 证券市场的改革不断加深，金融供给侧改革也进行得如火如荼，不仅如此，佣金率 也在不断下降，单一的经纪业务遭受了灭顶之灾。所以，券商们的经纪业务竞争在 现在是很激烈的，相信在不久的将来会更加愈演愈烈。与此同时，经纪业务为证券 公司营业部带来的效益正在不断下降，营业部只有在不断调整策略下才能求得生存， 在生存之下再谋发展。 本文选取的对象是 GF 证券XX营业部，这是一个坐落在五线小县城的老营业 部，本文就是先利用SWOT 分析方法，从这个老营业部中的得出他的优势、劣势、 机会和威胁。经过分析它的内部的客观环境与员工的行为规范，了解到它现行的营 销策略和它的不足之处。利用PEST分析法分析了该营业部所在地区的简单的宏观发 展情况。通过内外部相互分析中得到了该营业部内外部机会大于威胁，适合发展自 己优势的SO类型。 利用SWOT的分析出来的结果，本文就运用市场细分理论、客户关系管理理论 和7Ps 营销理论对其营销策略进行制定。在分析其问题的根源所在之后，本文运用 7Ps 策略逐一对应上述问题的缘由进行有的放矢地提出解决方案，为GF 证券XX营 业部经纪业务所出现的问题针对性地提出解决措施。也就是营业部必须利用价格差 异化策略去面对佣金率下降的问题；用产品策略去对付业务收入单一的问题；在投 放资源方面要关注有形展示、业务服务方面；对日常的人员纪律松散问题要进行人 员管理和培训；对宣传方面不得力的就参考多渠道策略以及促销策略。本文利用7Ps 策略既重视了问题发生的条件，也要在疏导问题，解决问题上下功夫。利用这套策 略，做到加强部署，最终我希望本文能够达到改进营业部的分工明细，改造了营业 部对待客户对待员工的方面，改善了营业部工作的风气和工作的环境，从而促进企 业进步的目标。本文的研究结果，同时也希望对于其他营业部来说有一定的借鉴意 义，使得其他营业部也能在金融供给侧的背景下得到发展壮大。 关键词：证券公司、营业部、经纪业务、营销策略 广东工业大学硕士学位论文 II ABSTRACT Brokerage business is the earlier and more profitable project in the securities indus- try. It not only benefits the company and the revenue of the sales department, but also provides better development opportunities for other businesses. In recent years, the re- form of the securities market has been deepened and the reform of the financial supply side has been carried out in full swing. Moreover, the commission rate has also been de- clining, and the single brokerage business has been destroyed. So, brokers brokerage business competition is very fierce in now, believe in the near future will be worse. At the same time, the brokerage business for the securities company business department to bring the benefit is declining, the business department only in the continuous adjustment of strategy to survive, under the survival of development. The object selected in this paper is GF securities XX business department, which is an old business department located in a small county in the fifth line. This paper firstly USES SWOT analysis method to obtain its strengths, weaknesses, opportunities and threats from this old business department. After analyzing the objective environment and its internal employee behavior, understand the current marketing strategy and its short- comings. By using PEST analysis method analyzes the sales area of the macro develop- ment of the simple. Through the analysis of the internal and external interaction in the sales department internal and external opportunities than threats, SO type suitable for developing its own advantage. Based on the results of SWOT analysis, this paper applies market segmentation theory, customer relationship management theory and 7Ps marketing theory to formulate its marketing strategy. After analyzing it’s the root of the problem, this paper using the 7Ps strategy corresponding to the above questions one by one the reason for targeted put forward solutions, XX sales department of GF securities brokerage business puts forward solutions for the problems. Also is the sales department must use price differentiation strategy to face the problem of commission rate decline; In product strategy to deal with business income of a single problem; In the aspect of resources to focus on tangible demonstration, business services; Personnel management and training should be carried out for the loose discipline of daily personnel. To the publicity is not effective on the ABSTRACT III reference of muti-channel strategy and promotion strategy. Based on 7Ps strategy em- phasizing both the terms of the problem, also want to be in channel problems, solve the problem. Finally, I hope this paper can improve the division of labor of the business de- partment, transform the business department's treatment of customers and employees, and improve the atmosphere and working environment of the business department, so as to promote the progress of the enterprise. The results of this article, at the same time, al- so hope to have certain reference significance for other business departments, make other sales also can get development under the background of financial supply side. Key words: securities company, business department, brokerage business, marketing strategy 广东工业大学硕士学位论文 IV 目录 摘要 ..... I ABSTRACT .......................... II 目录 ...... IV CONTENTS ....................... VII 第一章 绪论 ..........................1 1.1 研究背景 .................1 1.2 研究意义 .................1 1.3 研究内容 .................2 1.4 研究方法 .................2 第二章 理论基础与文献综述 .............................3 2.1 理论基础 .................3 2.1.1 SWOT ............3 2.1.2 PEST分析 .....4 2.1.3 STP理论 .......4 2.1.4 7Ps营销理论 5 2.1.5 客户关系管理理论（CRM） ....6 2.2 文献综述 .................7 2.2.1 国外文献研究 .............................7 2.2.2 国内文献研究 ...........................10 2.2.3 国内外文献述评 .......................13 第三章 GF证券XX营业部简介 .....................14 3.1 GF证券介绍 ..........14 3.2 GF证券XX营业部介绍 .....................14 3.3 GF证券XX营业部现有问题 .............15 3.3.1 业务收入过于单一受不起冲击 ..............................15 3.3.2 忽视客户服务导致收入减少 .16 3.3.3 团队建设不完善个体战斗力还差 ..........................16 3.4 本章小结 ...............17 目录 V 第四章 GF证券XX营业部PEST分析 ..........18 4.1 宏观环境分析 .......18 4.1.1 政治法律环境分析 ...................18 4.1.2 经济环境分析 ...........................18 4.1.3 社会文化环境分析 ...................20 4.1.4 科学技术环境分析 ...................21 4.2 行业环境分析 .......22 4.2.1 行业内部竞争激烈 ...................22 4.2.2 市场不断萎缩，经纪业务负增长 ..........................24 4.3 本章小结 ...............25 第五章 GF证券XX营业部SWOT分析 ........26 5.1 优势分析 ...............26 5.2 劣势分析 ...............27 5.3 机会分析 ...............30 5.4 威胁分析 ...............31 5.5 SWOT 分析总结 ...33 第六章 GF证券XX营业部经纪业务营销策略设计 ....................35 6.1 价格策略（Price） ..............................35 6.1.1 客户细分差异化定价 ...............35 6.1.2 投资顾问服务差异化定价 .......36 6.2 产品策略（Product）..........................37 6.2.1 制定差异化产品 .......................38 6.2.2 丰富产品线 38 6.2.3 借助网络调整产品功能 ...........39 6.3 有形展示策略（Physical evidence） .39 6.3.1 有形展示的原理 .......................39 6.3.2 XX营业部有形展示策略 .........40 6.4 服务过程策略（Process） ..................40 6.4.1 前期引导 ....40 6.4.2 中期跟进 ....41 广东工业大学硕士学位论文 VI 6.4.3 后期维护 ....41 6.5 人员策略（People） ...........................41 6.5.1 人员的招聘 41 6.5.2 员工的培训 42 6.5.3 员工的日常管理 .......................42 6.5.4 员工的激励与考核 ...................43 6.6 渠道策略（Place） .............................43 6.6.1 电话营销 ....44 6.6.2 社区 ............44 6.6.3 银行 ............45 6.6.4 网络 ............45 6.7 促销策略(Promotion) ..........................46 6.7.1 人员促销 ....47 6.7.2 活动促销 ....47 6.7.3 广告促销 ....48 6.8 本章小结 ...............48 结论与展望 ..........................49