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1、学校代码：80201 学号：S13500348分 类 号： F 密级： 无 中国社会科学院研究生院硕士专业学位论文平衡计分卡在券商创新业务考核中的预应用研究Study on the Preliminary Application of BSC in Assessments of Innovative Business of Securities Traders李 尚导师姓名及职称：李春瑜 副研究员系 别：工商管理硕士教育中心专业学位类别：工商管理专 业 方 向：公司理财评 阅 人： 答辩委员会： 答辩日期： 2015年4月中国社会科学院研究生院学位论文原创性声明和版权使用授权书原创性声明本人郑
2、重声明：所呈交的学位论文，是本人在导师的指导下，独立进行研究工作所取得的成果。除文中已注明引用的内容外，本论文不含任何其他个人或集体已经发表或撰写过的作品成果。对本论文的研究做出重要贡献的个人和集体，均已在文中以明确方式标明。本人完全意识到本声明的法律结果由本人承担。学位论文作者签名： 年 月 日版权使用授权书本人完全了解中国社会科学院研究生院关于收集、保存和使用学位论文的规定，即：按照学校要求提交学位论文的印刷本和电子版本；学校有权保存学位论文的印刷本和电子版本，并提供目录检索与校内阅览服务；学校可以采用影印、缩印或扫描等复制手段保存学位论文。学位论文作者签名： 指导教师签名：年 月 日 年
3、 月 日摘 要 证券市场是国民经济的“晴雨表”，在促进企业创新、资源配置、经济调整和民生改善等方面发挥着重要作用。券商包括经纪类券商和综合类券商，是有证券交易所会员资格、专门经营证券业务的机构。近年来通过转方式、调结构、稳增长，我国经济社会发展稳中求进、稳中求好。券商作为证券投资人进行投资的中介，对投资的拉动作用日益明显。然而，我国券商的市场环境正如“晴雨表”呈现的那样也有阴雨雷电，主要是传统业务严重同质化，导致券商之间恶性竞争的佣金价格战打个不停。对此，证监会已经开始加紧引导券商拓展创新业务以拨云见日。通过近两年的努力，融资融券、资产管理等创新业务稳步推进，对券商的利润贡献度已初见成效。但是
4、，以往的考核方法又暴露出不能真实反映券商经营业绩状况，不能满足券商战略发展的阴影。在趋散雾霾的众多新的考核工具中，平衡计分卡无疑是上佳之选。在金融转型期背景下，当务之急是：对平衡计分卡理论及现行实践经验进行挖掘提取，应用平衡计分卡对券商创新业务进行考核以及对全员进行营销激励，使之适用于国内券商；研究并建立券商平衡计分卡新业务考核模型，对上线的新业务进行梳理，筛选出有突出贡献价值的业务；研究对岗位人员进行更加精细和全面的绩效管理，有效链接战略地图与平衡计分卡本身，落地企业战略目标，帮助券商更好更快地实现业务发展；根据业务进程，在全面展现展业情况的同时研究适当进行指标调整，以使这套考核体系更接地气
5、，更好地服务于我国券商创新业务的可持续发展。总之，构建基于平衡计分卡的券商创新业务考核中的应用模型，并通过绘制券商有代表性的创新业务考核（以融资融券和新三版的业务考核为例）的战略地图，制定相应的平衡计分卡，是在理论方法和实证视角上进行创新的有益尝试。同时，在券商创新业务考核中成功运用平衡计分卡，实施创新业务绩效考核和战略落地的完美结合，是研究平衡计分卡在券商创新业务考核中的预应用，针对研究对象认真分析得出结论，具针对性地提出券商创新业务运用创新考核工具的战略化实施建议的根本宗旨。关键词：券商； 创新业务；平衡计分卡；绩效评价；预应用 ABSTRACTSecurities market is t
6、he national economy the weather forecast, to promote enterprise innovation, resource allocation, economic aspects of adjustment and the well-being of the plays an important role. Brokers, including brokerage companies and brokerages, there is a member-ship stock exchange, specializing in the securit
7、ies business institutions. In recent years through the transfer mode, adjust structure, steady growth, Chinas economic and social development seek improvement in stability, good stability. Brokerage is the medium that stock investors to invest, pull function on the investment is increasingly obvious
8、. However, brokerages in China market environment as the weather forecast present also have rain lightning, mainly is the traditional business serious homogeneity, lead to a vicious competition between brokers commission price war play. To this, the CSRC has begun to intensify guide brokerage busine
9、ss innovation with a dark day seem bright. Through nearly two years of effort, margin, asset management and other innovation business steady progress, the brokerage profit contribution has paid off. However, previous examination methods and exposed cannot really reflect the status of brokerage busin
10、ess performance, cant meet the shadow of the brokerage strategy development. In to scatter the fog haze, new evaluation tool, the balanced scorecard is definitely a good choice. Under the back-ground of financial transition, the urgent task is :to apply effectively the BSC to the assessment of broke
11、rage business innovation, marketing incentives to the entire personnel, making it suitable for domestic securities traders on the basis of further research on the BSC theory and its current practice experiences;Study and establish the BSC assessment of model for brokers new businesses to outline the
12、 new businesses online to screen out the business with outstanding contribution values; And research for more detailed and comprehensive performance management on employees, effectively linking the strategy map and BSC itself, carrying out the enterprise strategic target, and helping the brokers to
13、achieve business development in the new era under the new situation better and faster; And according to the business progress, while fully displaying the new businesses, study on how to appropriately adjust indicators to make the evaluation system more practical, and serve better the sustainable dev
14、elopment of the brokerage business innovation in our country.It is a beneficial attempt in innovation in theoretical method and empirical perspectives to build an appraisal model for brokerage business innovation based on the application of BSC, and make business assessment BSC for margin trading as
15、 well as new3 board BSC for business innovation assessment through the strategic map of assessment of brokerage business innovation.At the same time, for the successful use of BSC in the brokerage business innovation appraisal, the implement-ation of innovative business evaluation and the perfect combination of enterprise strategy to the ground, it is
