我國(guó)證券經(jīng)紀(jì)人制度發(fā)展中存在的風(fēng)險(xiǎn)與防范對(duì)策(已修改)
2025-04-29 13:50 本頁面
【正文】 我國(guó)證券經(jīng)紀(jì)人制度發(fā)展中存在的風(fēng)險(xiǎn)及防范措施摘要 90年代中期，由于競(jìng)爭(zhēng)和利益的雙重驅(qū)動(dòng)，證券經(jīng)紀(jì)人制度在國(guó)內(nèi)一些券商悄然興起，這種自發(fā)形成的證券經(jīng)紀(jì)人制度既促進(jìn)了證券市場(chǎng)的發(fā)展，又給投資者和券商本身造成了一些不良后果。近年來，股市火爆，證券經(jīng)紀(jì)人在空前發(fā)展的同時(shí)卻積累了巨大的風(fēng)險(xiǎn)?？梢灶A(yù)見，隨著市場(chǎng)波幅增大和牛市的結(jié)束，這樣的風(fēng)險(xiǎn)將不斷顯現(xiàn)。如果不引起足夠的重視，證券經(jīng)紀(jì)人制度發(fā)展中存在的風(fēng)險(xiǎn)將成為券商完成第三方托管后的主要風(fēng)險(xiǎn)。本文從實(shí)際工作出發(fā)，充分揭示了證券經(jīng)紀(jì)人制度發(fā)展中存在的風(fēng)險(xiǎn)及其成因，并從不同的角度提出了防范和管理風(fēng)險(xiǎn)的措施。關(guān)鍵詞：證券經(jīng)紀(jì)人； 風(fēng)險(xiǎn)； 立法； 監(jiān)管； 培訓(xùn)作者簡(jiǎn)介：張幼芳，女，經(jīng)濟(jì)學(xué)碩士，珠海城市職業(yè)技術(shù)學(xué)院經(jīng)濟(jì)管理系經(jīng)濟(jì)師，主要從事金融和管理等方面的教學(xué)工作。作者單位：珠海城市職業(yè)技術(shù)學(xué)院經(jīng)濟(jì)管理系The risks and the possible guard measures related to the development of broker system in the securities industry Abstract: In the midst of 1990s, due to the petition and profitseeking motives, some securities firms have implemented the broker system. The effects are dual. For one thing, of this selfdeveloping process of the broker system has given the securities market a powerful drive. For another, it has done harm to some investors and securities firms themselves. In the recent years, because of the bullish market, the broker system has been developed fast。 while the related risks are accumulating.. It is predictable that with the ending of the booming market the risks concerned will manifest. If nothing is done, the risks will be the main ones after the implementation of third part custody of investor accounts. The article tries to reveal the risks and analyze the related reasons, and suggest the measures that could be taken to prevent the risks form different perspectives.Key words:Securities broker, risks, legislation, supervision, trainingAuthor:Zhangyoufang, female, economists of Zhuhai Polytechnic。Teaching Finance andManagement.Work with: The Department of Economics and Management of Zhuhai Polytechnic1995年夏天，貴州證券上海證券營(yíng)業(yè)部對(duì)外招收“客戶經(jīng)理”，工作職責(zé)是“拉客戶”，收入是不高的底薪加傭金提成，第一批“客戶經(jīng)理”誕生。自此，證券經(jīng)紀(jì)人制度在國(guó)內(nèi)一些券商悄然興起。從國(guó)泰君安的“投資襄理”制度，平安證券引入保險(xiǎn)營(yíng)銷方式的“客戶經(jīng)理”制度到富友證券的“分田到戶”制度、大鵬證券的FC，證券經(jīng)紀(jì)人已成為我國(guó)證券市場(chǎng)一支不可缺少的生力軍。特別是近兩年，我國(guó)股市持續(xù)火爆，證券經(jīng)紀(jì)人隊(duì)伍更是得到了空前的發(fā)展。證券經(jīng)紀(jì)人制度不僅增加了券商的交易量、提高了券商的經(jīng)紀(jì)業(yè)務(wù)收入，而且豐富了經(jīng)紀(jì)業(yè)務(wù)的服務(wù)內(nèi)容，對(duì)券商由“坐商”向“行商”轉(zhuǎn)變具有十分重要的意義。同時(shí)，證券經(jīng)紀(jì)人制度發(fā)展中暴露出的
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