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2009年4月13日,随着《证券经纪人管理暂行规定》(以下简称《规定》)的出台,证券经纪人这一职业在我国资本市场得以合法化、正规化;这是在我国入世后,借鉴国外成熟资本市场的经验,深化改革、提升核心竞争力的必经之路。《规定》实施一年多来,诸如经纪人职业的定位问题已经基本解决,但在资本市场的发展中也反映出一些新的问题。本文首先通过对比分析法,运用数据分析当前券商服务中存在的误区与困难,在借鉴国外同行的先进经验的基础上提出相关解决措施并进行论证。
On April 13, 2009, with the promulgation of the Interim Provisions on the Management of Securities Brokers (the “Provisions”), the profession of securities brokers has become legalized and regularized in China’s capital market. , Learn from the experience of mature foreign capital markets, deepen the reform, and enhance the core competitiveness of the only way. More than a year after the “Regulations” were implemented, issues such as the positioning of brokers’ occupations have been basically solved, but some new problems have also been reflected in the development of capital markets. This article first analyzes and analyzes the existing mistakes and difficulties in the securities brokerage service by using the comparative analysis method, and puts forward the relevant solutions and justifications on the basis of drawing on the advanced experience of foreign counterparts.