作为一个新兴而且高速增长的证券市场，中国的证券市场在三十几年的发展当中 取得了引人注目的成就。但是相对国外200年的证券市场而言，中国证券市场还是一 个新生市场。在全球经济一体化的过程中，中国经济高速发展，证券行业也在不停地 更新迭代，正面临着更具竞争性的格局。对于券商来说新的机遇与挑战共存，因为如 今极低的交易成本和大数据的分析方法，使得客户更易于选择和切换。那么各个券商 只有了解了自身的优势与劣势，然后进行细分客户市场，主要瞄准核心客户，并不断 提升自身竞争力，证券公司才能在证券市场的不断革新中走得更远。 本文通过对国内外证券行业发展现状的分析，对比国内同等类型证券公司的主要 经营数据，运用竞争战略的相关理论进行了证券行业竞争力的比较研究，探寻如何提 高证券公司竞争力的途径。 通过对GJ证券公司的现状和内外部环境进行分析，同时通过阅读大量相关文献， 借鉴证券公司竞争力评价的各类指标，最终选择从证券公司的经营、盈利、业务创新 和风险抵御这四个方面的能力评价指标对GJ证券公司的竞争力现状进行分析，提出 相应问题，进一步总结出如何提升GJ证券公司竞争力的对策。GJ证券想要提升经营、 盈利、业务创新和风险抵御的能力，就需要在业务创新与风险控制的前提下，通过选 择提升客户体验渠道的多样性，充实优化公司业务及产品线，建立以利润为目标的激 励考核体制，并结合注重人才培养等这一系列的路径，才能立足长远发展。同时，因 为GJ证券公司在行业中也具有一定代表性，所以本文关于GJ证券公司提升竞争力的 建议，对于其他证券公司也有相应的借鉴价值。 关键词：证券公司；竞争力；提升 论文类型：应用研究 摘要 V ABSTRACT As an emerging and rapidly growing securities market, China's securities market has made remarkable achievements in the development of more than three decades. However, compared with the foreign securities market of 200 years, China's securities market is still a new market. In the process of global economic integration, China's economy is developing at a high speed, and the securities industry is constantly updating and iterating, which is facing a more competitive pattern. New opportunities and challenges coexist for brokerages, as today's extremely low transaction costs and big data analytics make it easier for customers to choose and switch. Then each securities firm only understand their own advantages and disadvantages, and then segment the customer market, mainly target at the core customers, and continue to improve their competitiveness, securities companies can go further in the continuous innovation of the securities market. This paper analyzes the development status of the securities industry at home and abroad, compares the main operating data of domestic securities companies of the same type, makes a comparative study on the competitiveness of the securities industry with the relevant theories of competitive strategy, and explores ways to improve the competitiveness of securities companies. By GJ securities company, the paper analyses the present situation and the internal and external environment, at the same time by reading a large number of relevant literature, draw lessons from the securities company competitiveness evaluation of various indicators, ultimately choose from securities business, profit, business innovation and risk against the four aspects of the ability evaluation index to analyze the competitiveness of the GJ securities firms, put forward the corresponding problems and solutions, thus summarizes how to improve the path of the GJ securities company competitiveness. GJ securities wants to boost business, profit, business innovation and the ability to resist risk, needs to be in the business innovation and under the premise of risk control, through selecting the diversity of channels of improving customer experience and enrich the optimization of company's business and product line, establish evaluation system for profit target, and combined with attention to personnel training, etc. This series of path, can be based on long-term development. At the same time, because GJ securities companies are also representative in the industry, this paper on GJ securities companies to enhance the competitiveness of the Suggestions, for other securities companies also have corresponding reference value. Keyword: Securities company; Competitiveness; Improve Paper Type: Application Research 西南科技大学硕士学位论文 VI 目 录 1 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研究思路和方法 ..................................................... 3 1.2.1研究思路 ....................................................... 3 1.2.2研究方法 ....................................................... 4 1.3文献综述 ........................................................... 4 1.3.1国内研究综述 ................................................... 4 1.3.2国外研究综述 ................................................... 5 1.3.3研究评述 ....................................................... 6 2 相关概念及基础理论 .................................................... 8 2.1相关概念 ........................................................... 8 2.1.1证券公司业务相关概念 ........................................... 8 2.1.2证券公司基本经营指标 ........................................... 8 2.1.3企业竞争力的概念 ............................................... 9 2.2相关基础理论 ....................................................... 9 2.2.1企业竞争力的主要理论 ........................................... 9 2.2.2利润池理论 .................................................... 10 2.3企业竞争力分析方法与工具 .......................................... 10 2.3.1波特五力分析模型法 ............................................ 10 2.3.2 SWOT分析法 ................................................... 10 3 GJ证券公司竞争环境分析 .............................................. 12 3.1宏观环境分析 ...................................................... 12 3.1.1政治环境分析 .................................................. 12 3.1.2经济环境分析 .................................................. 12 3.1.3社会文化环境分析 .............................................. 13 3.1.4技术环境分析 .................................................. 13 3.2基于波特五力模型的行业环境分析 .................................... 13 3.2.1高准入条件限制潜在进入者 ...................................... 13 3.2.2现有竞争者之前竞争激烈 ........................................ 14 3.2.3替代品的威胁取决于投资者的风险偏好 ............................ 14 3.2.4投资者的议价能力日益凸显 ...................................... 14 3.2.5供应商基本无议价能力 .......................................... 14 4 GJ证券公司现有竞争力分析 .............................................. 16 目录 VII 4.1 GJ证券公司简介 ................................................... 16 4.1.1 GJ证券公司概况 ............................................... 16 4.1.2 GJ证券公司组织架构 ........................................... 16 4.1.3证券公司核心业务简介 .......................................... 17 4.2 GJ证券公司竞争力的SWOT分析 ...................................... 19 4.2.1优势（Strengths） ............................................. 19 4.2.2劣势（Weaknesses） ............................................ 21 4.2.3机会（Opportunities） ......................................... 22 4.2.4威胁（Threats） ............................................... 23 4.3证券公司竞争力的评价指标选择 ...................................... 23 4.3.1竞争力评价指标选择原则 ........................................ 24 4.3.2 GJ证券公司竞争力评价指标的选择 ............................... 24 4.4 GJ证券公司竞争力问题及原因分析 ................................... 26 4.4.1经营能力落后于同等量级券商 .................................... 26 4.4.2盈利能力增长乏力 .............................................. 28 4.4.3业务创新能力有待改善 .......................................... 29 4.4.4抗风险能力需持续关注 .......................................... 31 5 GJ证券公司竞争力