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Jingdong book

我的第一本证券业入门书

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Jingdong book

我的第一本证券业入门书

Name: 我的第一本证券业入门书
Brand: Jingdong book
SKU: 3111006291
Price: 41.43 USD
Availability: OutOfStock

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什么是证券公司？证券公司是如何运作的？证券公司的业务范围是什么？投资者参与证券交易的流程是怎样的？证券公司防范风险的手段有哪些？证券公司的岗位和薪酬体系如何设计？
《我的第一本证券业入门书》针对上述问题，从机构篇、业务篇、个人篇三个角度对证券公司进行了详细的介绍，围绕证券公司的成立、证券公司的运营环境、证券公司的主要业务范围以及各项业务的具体操作流程、证券公司的内部控制和风险管理、证券公司的岗位设置和岗位职责、证券业从业人员的任职资格和行为规范及薪酬等内容，向读者展示了真实的证券公司的运营环境。
对证券业感兴趣的读者，阅读《我的第一本证券业入门书》后可以掌握证券市场基础知识和证券业的真实状况；想进入证券公司工作的毕业生或刚进入证券公司工作的职场新人，阅读本书后可以掌握从业必备的专业知识和执业准则；有证券投资意向的读者，阅读本书后可以深入了解证券公司的各项业务，为证券投资打好基础。

Author Description

远志投资是一家专业投资运营与咨询机构，其中包括核心投资决策团队、投资与研究团体、全面风险管理团队、运用交易团队、产品及服务团队。拥有曾在知名金融机构从事投资而具有丰富经验的专业人才，始终如一秉承“专业、专心、专注”的理念，用科学、创新的运营思维，将创造出非凡的投资业绩和品牌实力。

Catalogue

机构篇
第一章证券公司发展之路……………………………………………………………… 3
证券公司的真实面目…………………………………………………………… 3
世界证券公司发展历史………………………………………………………… 4
中国证券市场的发展…………………………………………………………… 8
证券公司的分类评级………………………………………………………… 10
第二章证券公司的运营……………………………………………………………… 11
证券公司的成立……………………………………………………………… 11
证券公司分支机构的设立…………………………………………………… 14
证券公司的变更……………………………………………………………… 17
证券公司的解散……………………………………………………………… 40
证券公司营业部的设立……………………………………………………… 42
第三章证券公司的监管……………………………………………………………… 46
证券公司监管的法律体系…………………………………………………… 46
证券公司监管框架…………………………………………………………… 47
证券公司监管体系…………………………………………………………… 49
业务篇
第四章证券经纪业务………………………………………………………………… 57
证券公司经纪业务概述……………………………………………………… 57
证券经纪业务的营运管理…………………………………………………… 65
证券经纪业务的营销管理…………………………………………………… 82
证券经纪业务的交易………………………………………………………… 89
证券经纪业务的内部控制与风险防范……………………………………… 91
第五章证券经纪业务相关实务……………………………………………………… 97
股票网上发行………………………………………………………………… 97
分红派息、配股及股东大会网络投票……………………………………… 103
·1·
我的第一本证券业入门书
开放式基金、权证和可转换债券的相关操作……………………………… 109
代办股份转让业务…………………………………………………………… 111
期货交易的中间介绍业务…………………………………………………… 114
第六章证券自营业务………………………………………………………………… 118
证券自营业务的含义和特点………………………………………………… 118
证券公司证券自营业务管理………………………………………………… 120
证券自营业务的禁止行为…………………………………………………… 125
证券自营业务的监管和法律责任…………………………………………… 127
第七章资产管理业务………………………………………………………………… 129
资产管理业务的含义、种类及业务资格…………………………………… 129
资产管理业务的基本要求…………………………………………………… 132
定向资产管理业务…………………………………………………………… 135
集合资产管理业务…………………………………………………………… 139
禁止行为与风险控制………………………………………………………… 143
第八章证券公司投资银行业务……………………………………………………… 147
投资银行概述………………………………………………………………… 147
证券公司投资银行业务……………………………………………………… 157
第九章证券公司的内部控制………………………………………………………… 165
证券公司主要业务的内部控制……………………………………………… 165
第十章证券公司的风险管理………………………………………………………… 169
证券公司的风险管理介绍…………………………………………………… 169
证券公司风险管理框架……………………………………………………… 172
个人篇
第十一章证券公司的岗位设置及任职……………………………………………… 181
证券公司的主要岗位设置………………………………………………… 181
证券公司董事、监事和高级管理人员的任职…………………………… 190
第十二章证券公司从业人员行为规范……………………………………………… 199
证券从业资格的取得……………………………………………………… 199
证券业从业人员执业行为准则…………………………………………… 208
证券公司董事、监事和高级经理人员行为规范………………………… 215

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