MBA学位论文
作者：叶立明
GD证券财富管理业务营销策略研究
GD证券财富管理业务营销策略研究
中文摘要
一直以来，经纪业务在证券公司的比重偏大，导致其业务形态不够丰富，以
新兴业态出现的财富管理业务基础薄弱，使得证券公司在财富管理业务的竞争力
低下，证券公司财富管理业务占整个市场的份额较少，相比其他金融机构还有不
少差距。近几年来，特别是2020年以来，我国证券公司财富管理业务得到快速
发展。2018年监管机构发布《关于规范金融机构资产管理业务的指导意见》（简
称资管新规），以中信、中金为代表的证券公司发力财富管理板块，其他证券公
司纷纷效仿，证券公司财富管理业务呈现蓬勃发展的态势。随着竞争加剧，行业
也随之发现变化，证券公司财富管理业务的营销工作将面临新的机遇和挑战。资
管新规的实施，券商从经纪业务为主导向财富管理业务全面转型，如何在未来的
竞争格局中脱颖而出，如何提升自身的核心竞争力，是每个证券公司都要思考的
重点。
论文以GD证券作为研究对象，通过采用数据分析法、文献研究法、问卷调
查法和访谈法等，剖析GD证券财富管理业务营销现状，经过梳理发现GD证券财
富管理业务营销存在五大问题，包括产品线布局不完善、服务意识不强、管理不
科学、竞争策略简单化、缺乏整体营销观念、员工流失率较严重、费用结构不合
理等。然后对GD证券财富管理业务的所处的宏观环境、行业进行分析，运用SWTO
分析法，找出GD证券的优势劣势，面临的机会威胁。通过运用STP营销理论，
勾勒市场细分，明确目标市场的定选择，找准目标市场的定位，并根据7Ps服务
营销理论制定出一套理论与实践相结合、可操作性可借鉴的市场营销策略。最后，
通过提出加强业务联动优化资源配置、建立长效的风控体系、健全组织架构、加
强金融科技赋能等措施，实现GD证券财富管理业务在资管新规的背景下弯道超
车，后来居上，抢占市场先机。
论文提出的GD证券财富管理业务市场营销策略研究方案对本公司营销和绩
效创收有着积极意义，在资管新规背景下，论文分析和解决问题的方法和思路可
供同行借鉴参考，也为后续从事财富管理研究的同行提供理论依据。
关键词：GD证券，财富管理业务，营销策略
I
MBA学位论文
作者：叶立明
GD证券财富管理业务营销策略研究
RESEARCH ON MARKETING STRATEGY OF GD
SECURITIES WEALTH MANAGMENT BUSINESS
Abstract
For a long time, the proportion of brokerage business in securities companies
has been relatively large, resulting in insufficient business forms, and the weak
foundation of wealth management business emerging in emerging formats has made
securities companies less competitive in wealth management business, and securities
companies’ wealth management business accounts for the entire The market share is
small, and there are still many gaps compared with other financial institutions. In
recent years, especially since 2020, the wealth management business of securities
companies in my country has developed rapidly. In 2018, the regulator issued the
"Guiding Opinions on Regulating the Asset Management Business of Financial
Institutions" (referred to as the New Regulations on Asset Management), securities
companies represented by CITIC and CICC made efforts in the wealth management
sector, and other securities companies followed suit. The management business is
booming. As competition intensifies, the industry also discovers changes, and the
marketing work of securities companies' wealth management business will face new
opportunities and challenges. With the implementation of the new regulations on
asset management, securities companies have transformed from brokerage business
to wealth management business. How to stand outin the future competition
landscape and how to improve their core competitiveness are the key points for
every securities company to think about.
The thesis takes GD Securities as the research object, and analyzes the current
situation of GD Securities' wealth management business marketing by using data
analysis methods, literature research methods, questionnaire survey methods and
interview methods. The line layout is imperfect, the service awareness is not strong,
the management is not scientific, the competitive strategy is simplified, the overall
marketing concept is lacking, the staff turnover rate is serious, and the cost structure
is unreasonable. Then, it analyzes the macro environment and industry of Everbright
Securities' wealth management business, and uses SWTO analysis method to find out
II
MBA学位论文
作者：叶立明
GD证券财富管理业务营销策略研究
the advantages and disadvantages of GD Securities, as well as the opportunities and
threats it faces. By using the STP marketing theory, outline the market segmentation,
clarify the choice of the target market, pinpoint the positioning of the target market,
and formulate a set of marketing strategies that combine theory with practice and can
be used for reference according to the 7Ps service marketing theory. . Finally, by
proposing measures such as strengthening business linkage and optimizing resource
allocation, establishing a long-term risk control system, improving organizational
structure, andstrengthening financial technologyempowerment, the company
realizes that GD Securities’ wealth management business will overtake and overtake
in the contextof the new assetmanagement regulations. ,to seize market
opportunities.
The marketing strategy research plan of GD Securities’ wealth management
business proposed in the paper has positive significance for the company’s marketing
andperformance revenuegeneration.Underthe backgroundofnew asset
management regulations, the methods and ideas for analyzing and solving problems
in the paper can be used for reference by peers, and also for the follow-up
engagement. Peers in wealth management research provide a theoretical basis.
Keywords: GD Securities, wealth management business, marketing strategy
III