中信证券xx营业部证券经纪人制度面临的问题及对策

摘  要

证券经纪人制度是证券市场发展到一定阶段的产物，它不仅在发达国家证券市场的发展过程中起到了关键作用，同时也是国外成熟证券市场发展的重要标志之一。
中信证券经纪人在不健全的法规制度下，己经登上了证券业的舞台，尽管目前规模还比较小，在中国的证券市场还处于较混乱的状态下，其发展是有目共睹的。
中信证券经纪人队伍的迅速发展也说明了建立证券经纪人制度是我国经纪业务向深层次拓展的内在要求，也是与国际市场接轨的现实需要。本文运用了比较研究和案例研究的方法，同时对中信证券公司xx营业部推行经纪人经营模式存在的问题进行了深入研究，旨在从中发现出一套能够解决从经纪人招募到培养、管理的完整制度模式问题的思路，便于证券公司更好的指导经纪人规范地开展业务、防范经济和法律风险。
本论文还对中信证券当前形势下推行经纪人制度存在的问题和障碍，提出了自己的看法和建议，以供中信证券借鉴参考。

关键词： 中信证券xx营业部；证券经纪人制度；制度体系构建；
Abstract

Securities brokers securities is the product of  which developed to a certain stage　the market system，It has played a key role not only in developed countries in the development of the securities market，but also developed one of the important symbols in abroad mature securities market.
CITIC Securities broker has been boarded a stage of the securities industry in not sound regulatory system， despite the current scale is still relatively small，its development is obvious to all in China's securities market.
CITIC Securities broker team also shows that the rapid development of the system is the establishment of China's securities brokers brokerage business to expand the deep-seated internal demand，but also with the international market in linking the actual needs. In this paper，the use of case studies and comparative study of methods，while CITIC Securities Company in Xuzhou business department of the agent business model of the existing problems in-depth study which aims to find out a solution to the recruitment of agents from the training，Management Complete system model of the ideas，for securities companies to better regulate the guidance of agent to conduct business and prevent economic and legal risk.
This paper is also put forward their views and suggestions for reference in the current situation of CITIC Securities broker system implemented from CITIC Securities under the existing problems and obstacles .

Keywords：Xuzhou business department of CITIC Securities；Securities broker system； Construction systems

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