Financial Adviser Program Design Of Ocean Companies’ Shareholders Of Restricted Shares

Currently, the environment of the international economy is faced with a severe challenge, and the securities’ industry is also going through a very critical transition. The downturn of financial instrument trading in secondary market led to$2.73billion of the industry’s commission income for the first half of2012. To bail out, the brokerage firms have turned to target on the high-end customers, and high net worth individuals have become an important driving force to promote the development of the brokerage business. As the representative of the customers who have an extremely high degree of concentration of wealth in the market, the shareholders of restricted shares of listed companies are high-value potential customers that securities companies in transition stage cannot ignore.Starting from the view of the securities companies, understanding and analyzing the demand of finance and investment of the shareholders of restricted shares of Guangdong Ocean Pharmaceutical Co., Ltd.(listed company), this thesis divide the finance and investment demand of shareholders of restricted shares into three stage, before reduction, in reduction and after reduction, and design different financial advisers, respectively to meet the needs of making an inventory of securities assets before reduction, maximizing the benefits in the trading in reduction, and increasing the value of assets after reduction, in order to develop and maintain the high net worth clients, and to seek opportunities for brokerage to transform into the high-end financial services.This thesis will use the innovative products and business in the industry, design financial solutions that meet the needs of the shareholders of restricted shares, so as to explore new ideas in the securities industry in transition combined with innovation, and to develop high-end customers. Innovative work of the securities industry started in2012, and there are still many inadequacies, such as:the investors’ levels of acceptance of the innovative business in the securities industry are different, convergence between the various businesses need to be resolved as soon as possible, serious lack of professional financial planners within the industry and so on. But I think that with a consensus of many insight people’s efforts in the industry, innovation and development of the securities company that aim at financial services for the shareholders of restricted shares will usher in the spring.