I 摘要 当前证券公司基本都面临着传统经纪业务佣金比例持续降低，营收占比不断 下降，创收难度增大；投资者数量的增速逐年下滑，零售业务面临“存量竞争”； 欧亿·体育（中国）有限公司集中度上升，外资机构涌入等问题。中共十九大以后，国家指出要加快建设 实体经济、科技创新、现代金融、人力资源协同发展的产业体系，进一步深化金 融体制改革，增强金融服务实体经济能力，促进多层次资本市场健康发展，这给 我国的资本市场带来了新的机遇。C 证券邯郸分公司作为一个 2018 年 10 月刚成立 的区域性分支机构，如何对当前市场竞争状况进行准确把握，采用合理的经营战 略提高公司收入，成为一个急需解决的问题。 本文以 C 证券邯郸分公司为研究对象，理论联系实际，综合运用 PEST 分析、 五力模型、SWOT 分析等多种方法，对分公司所处的内部、外部环境分别进行分 析，找到分公司所面临的机会与挑战以及其拥有的优势和劣势，探索总结出公司 经营战略，即实行集中化战略，借助职能、管理、业务等优势，集中 10 个营业部 力量巩固欧亿·体育（中国）有限公司地位。为了将战略转化为行动，制定了加强区域品牌重建工作、集 中投顾力量促进客户资产配置、集中营销力量抢夺区域市场份额、提升服务品质 增强客户满意度、发挥投行优势增加业务规模、跨界合作实现共赢等 6 个方面的 实施措施，并从党建引领作用、选人用人机制、信息系统、风险管理体系等 4 个 方面予以保障。力争在公司内部考核中收入增长率位居前 3，区域内保持现有竞争 优势，捍卫本地券商的地位与尊严。 本文力求能为该公司的经营提供可供采纳的具体建议，同时为其他证券分公 司的发展提供一定的参考价值。 关键词：证券欧亿·体育（中国）有限公司；分公司；经营战略Abstract II Abstract At present, securities companies are basically facing a continuous decline in the commission ratio of traditional intermediary business, the proportion of revenue is continuously declining, and it is more difficult to generate income. The growth rate of investors is declining year by year and the retail business is facing "stock competition". The industry concentration is increasing and foreign institutions continue to influx. After the 19th National Congress of the Communist Party of China, the country pointed out that it is necessary to accelerate the construction of an industrial system for the coordinated development of the real economy, scientific and technological innovation, modern finance, and human resources, further deepen the reform of the financial system, strengthen the ability of the financial services to the real economy, promote the development of multi-level capital market. All that brings new opportunities to Chinese capital market. As a regional branch just established in October 2018, how does the Handan Branch in C Securities company accurately analyse the current market competition situation and adopt reasonable operating strategies to increase its operating income, has become an urgent problem that needs to be solved. In this thesis, the Handan Branch in C Securities company is the research object, and the theory is linked to reality. With the comprehensive use of PEST analysis, Five Forces model and SWOT analysis , the internal and external environment of the branch is analyzed respectively to find out the opportunities and challenges faced by the branch and the advantages and disadvantages it has, to formulate the company's operating strategies. Implement the centralization strategy, with the advantages of functions, management and business, consolidate the position of 10 business departments. In order to translate the strategy into action, six implementation measures have been formulated, including strengthening regional brand reconstruction, concentrating investment efforts to promote customer asset allocation, concentrating marketing efforts to grab regional market share, improving service quality to improve customer satisfaction, giving play to the advantages of investment banks to increase business scale and achieving win-win results through cross-border cooperation. Safeguards include role of party building, human resources mechanisms, information systems, and risk management. The Handan Branch in C Securities company fights for the top 3 revenue growth rate in the internal assessment, to maintain the existing competitive advantages in the region, and defendAbstract III the status and dignity of local brokerage. This thesis strives to give admissible suggestions to the company and provide reference value for the development of other securities branches. Keywords: securities industry; branch office; business strategy目录 IV 目 录 摘要....I Abstract.II 第 1 章 绪论........................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....1 1.2.1 国外研究现状.............................1 1.2.2 国内研究现状.............................3 1.3 研究方法与创新点4 1.3.1 研究方法......4 1.3.2 主要的创新点.............................4 1.4 研究内容及技术路线...........................4 1.4.1 研究的主要内容.........................4 1.4.2 技术路线......5 第 2 章 相关理论基础与战略管理分析工具...6 2.1 战略管理概述........6 2.1.1 战略管理的内涵.........................6 2.1.2 战略管理的过程.........................6 2.2 常用的战略分析方法...........................7 2.2.1 PEST 分析法.7 2.2.2 波特五力模型分析法.................8 2.2.3 SWOT 分析法..............................8 2.3 基本经营战略........8 2.4 证券公司经营业务概述.......................9 2.4.1 经纪业务......9 2.4.2 投资咨询业务.............................9 2.4.3 投欧亿·体育（中国）有限公司务....10 2.4.4 资产管理业务...........................10目录 V 2.4.5 证券自营业务...........................10 2.4.6 融资融券业务...........................10 2.5 本章小结.............. 11 第 3 章 C 证券邯郸分公司现状与内部环境分析.........................12 3.1 分公司现状..........12 3.1.1 总公司简介12 3.1.2 分公司组织结构.......................14 3.1.3 分公司人员结构.......................17 3.2 分公司资源分析..19 3.2.1 平台资源....19 3.2.2 网点资源....19 3.2.3 客户资源....19 3.2.4 人力资源....20 3.2.5 技术资源....20 3.3 分公司能力分析..20 3.3.1 组织管理能力...........................20 3.3.2 研究能力....20 3.3.3 营销能力....21 3.3.4 财务管理能力...........................21 3.4 分公司核心竞争力分析.....................22 3.5 分公司存在的问题.............................22 3.5.1 区域品牌影响力逐渐衰弱.......22 3.5.2 员工服务能力欠缺...................23 3.5.3 创新业务竞争力差...................23 3.5.4 选人用人、考核分配机制不健全..........................23 3.5.5 各营业部之间发展不均衡.......23 3.6 本章小结..............24 第 4 章 C 证券邯郸分公司外部环境分析与 SWOT 分析...........25 4.1 PEST 分析宏观环境............................25 4.1.1 政治环境....25 4.1.2 经济环境....26 4.1.3 社会环境....27 4.1.4 技术环境....28 4.2 证券欧亿·体育（中国）有限公司现状......28目录 VI 4.3 五力模型分析欧亿·体育（中国）有限公司竞争环境.............30 4.3.1 供方的议价能力.......................30 4.3.2 买方的议价能力.......................31 4.3.3 潜在进入者的威胁...................31 4.3.4 替代品的威胁...........................33 4.3.5 现有企业之间的竞争...............34 4.4 SWOT 分析...........41 4.4.1 SO 战略.......41 4.4.2 WO 战略......42 4.4.3 ST 战略........42 4.4.4 WT 战略......42 4.5 本章小结..............43 第 5 章 C 证券邯郸分公司经营战略选择和实施.........................44 5.1 邯郸分公司经营战略的选择.............44 5.1.1 经营战略目标...........................44 5.1.2 经营战略选择...........................44 5.2 经营战略的实施..45 5.2.1 加强区域品牌重建工作...........45 5.2.2 集中投顾力量促进客户资产配置..........................45 5.2.3 集中营销力量抢夺区域市场份额..........................45 5.2.4 提升服务品质增强客户满意度..............................45 5.2.5 发挥投行优势增加业务规模...46 5.2.6 跨界合作实现共赢...................46 5.3 实施经营战略的保障措施.................46 5.3.1 发挥党建引领作用...................46 5.3.2 优化选人用人机制...................47 5.3.3 完善信息系统功能...................47 5.3.4 强化风险管理体系...................48 5.4 本章小结..............48 结论.....49