证券经纪人制度的风险及其控制

Risk of securities broker system and its control

随着我国证券经纪市场竞争的加剧,经纪人制度因其巨大的营销潜力得到诸多券商的青睐。然而经纪人制度自身隐含的风险亦应得到经营者的重视。经纪人制度推行不当很可能会引起法律纠纷、人才流失和恶性竞争,进而增大经纪业务的运营风险,并且从传统经营模式向经纪人模式的转变过程也有可能使券商及员工利益受损。因此,应以缓进为原则,积极建立经纪人的自我管理体系以控制潜在风险。

As China's security brokage market becoming high-level competitive market,securities broker system have gain more and more preference of securities companies with its great marketing potential.However,the risk hind in it should also be emphasized by dealers.The improper practice of security broker system will probably induce relative legal trouble,loss of human resource and malign competition which increase the practical risk of brokerage activities.Therefore,the transition process from traditional selling pattern to broker pattern also do harm to some security company and its staff.Set up positively the self-management system of brokers little by little in order to control potential risks.