HA Securities Investment Advisory Business Optimization Research

Though the securities market in our country starts relatively late,but after years of development,market scale and speed of development has made great achievements.With China's financial reform and accelerating the pace of opening to the outside world,vigorously develop the securities investment consulting business,get rid of homogenized competition,become the consensus of the securities industry.In this case,the securities companies need according to the changes in the environment,draw lessons from foreign experience,to seek the development direction of investment advisory business and ideas.Investment advisory business innovation and development of the securities company's future development has the vital role.HA securities,for example,this paper study of securities investment consulting business.On the basis of the status quo analysis,to find out the possible problems in the process,put forward the optimization countermeasures.The first part firstly puts forward the research background and significance,this paper introduces the current situation of the development of the securities industry in our country.At the same time also introduces the development of the securities investment consulting business.Secondly,this paper introduces the contents of the article arrangement,the frame structure,research methods,innovation and inadequate.The second part is literature review and basic theory,this part mainly reviews the definition of investment advisory business,mainly introduced the basic theory of the investment adviser-"Principal-agent Theory","Asymmetric Information theory","Customer Segmentation Theory","Portfolio Theory","Risk management".The third part,to the United States and China's investment consulting business development is analyzed.Through the comparison of domestic and foreign securities investment advisory business,find out experience worthy of learning.The fourth part introduces the status of the HA securities investment advisory business,using the method of SWOT analysis,find out the existing problems.First of all,from the basic situation of the business,staff and customers,business process,source of income,business performance in five aspects were studied.Then through the SWOT analysis HA securities investment advisory business internal advantage,internal weaknesses,external opportunities and external threats,analysis of the external threat when using Michael Porter's Five Forces Model.And then find out the existing problems,including product homogeneity,personnel reserve is insufficient,the backward information system,source of income less,lack of the application of new technology.The fifth part in view of the HA securities investment advisory business optimization scheme and guarantee measures are put forward.Optimization scheme including the development of targeted products,set up professional investment advisers talent team,to strengthen the construction of information system,rich investment adviser source of income,to try new technology application in the investment advisory business.Safeguard measures including strengthening brand construction and promotion,optimization of risk control and compliance management,increase the cooperation with the Internet technology company.The sixth part is the article's conclusions.