LD期货公司业务拓展的组织变革研究
摘要
2009年是中国期货市场取得辉煌成绩的一年,中国期货市场成为仅次于美国的全球第二大商品期货市场和全球第一大农产品期货市场。2010年4月16日,沪深300指数期货上市交易,中国期货市场迎来了金融期货时代。与此同时,期货行业的发展变化也非常快：期货公司规模大幅扩张,资本金实力快速提升,数家期货公司注册资本金接近10亿元,达到欧美成熟市场水平；期货公司业务由单纯的经纪业务向投资咨询、资产管理等综合业务拓展；越来越多专业化的人才进入期货行业,期货研究机构纷纷成立,研究分析方法由传统的基本面分析和技术分析向数量化分析发展；券商系股东的介入,带动期货投资者市场结构的变化,机构投资者的广泛参与,改变了传统的个人投资者占主体的局面。在期货行业快速的大背景下,作为期货市场主体的期货公司正在扩充实力,规划新的发展战略,调整组织结构,努力抢占行业制高点。
本文以LD期货公司为具体研究对象,结合期货市场快速发展、期货业务链迅速扩张、期货公司盈利模式不断扩张的大背景,深入探讨组织变革理论,并结合期货公司的具体情况,探索期货公司特别是中小期货公司的发展创新模式。文章以麦肯锡的7S模型为理论基础,并在此基础上进行创新,将7S模型的“环形结构”调整为“人型结构”,突出各部分在组织架构中的不同功能和角色定位从战略、组织结构、管理风格、企业文化、运营系统、研发能力、人力资源管理等7个方面论述了企业组织变革的内容,从而探索适合LD期货公司发展壮大的组织变革路径。
2009 is the year which China's futures market has made brilliant achievements, the Chinese futures market has become the world's second largest commodity futures markets after the U.S. and the world's largest agricultural futures market.On April 16,2010, the CSI 300 stock index futures listing traded, China's futures market ushered in the era of financial futures. At the same time the development of futures industry were very quickly. Substantial expansion of the futures company size, capital strength improved rapidly, several futures company registered capital of nearly 10 billion, reaching the level of mature markets in Europe and America; Futures brokerage business expanded from simple business to the investment consulting, asset management etc. integrated business; More and more professional people into the futures industry, futures research institutions have been established, the methods of research and analysis developed from the traditional fundamental and technical analysis to the quantitative analysis; The involvement of shareholder brokerage, led to the changes of the structure of futures market of investors, the broad participation of institutional investors, changed the situation of the traditional individual investors has dominant. In the background of futures industry developed rapidly, futures companies which are the main body of the futures market are expanding the power, planning new development strategy, adjusting the organizational structure, to seize the commanding heights of industry.
This paper made the LD futures company as the specific object of study, combined with the background of futures market developed rapidly, futures business chain expanded rapidly and futures companies profit model expanded rapidly, in-depth study to the organizational change theory, combined with the specific circumstances of futures companies, explored the develop innovative models of futures companies, especially small and medium companies. McKinsey's 7S model was used in the article as the theoretical basis, and made innovations on this basis, adjusted the 7S model's "ring structure" to " man-like structure", highlighting the various parts of the organizational structure of the different functions and roles, to explore the organizational change path for development and growth of the company for LD futures company.
本文以LD期货公司为具体研究对象,结合期货市场快速发展、期货业务链迅速扩张、期货公司盈利模式不断扩张的大背景,深入探讨组织变革理论,并结合期货公司的具体情况,探索期货公司特别是中小期货公司的发展创新模式。文章以麦肯锡的7S模型为理论基础,并在此基础上进行创新,将7S模型的“环形结构”调整为“人型结构”,突出各部分在组织架构中的不同功能和角色定位从战略、组织结构、管理风格、企业文化、运营系统、研发能力、人力资源管理等7个方面论述了企业组织变革的内容,从而探索适合LD期货公司发展壮大的组织变革路径。
2009 is the year which China's futures market has made brilliant achievements, the Chinese futures market has become the world's second largest commodity futures markets after the U.S. and the world's largest agricultural futures market.On April 16,2010, the CSI 300 stock index futures listing traded, China's futures market ushered in the era of financial futures. At the same time the development of futures industry were very quickly. Substantial expansion of the futures company size, capital strength improved rapidly, several futures company registered capital of nearly 10 billion, reaching the level of mature markets in Europe and America; Futures brokerage business expanded from simple business to the investment consulting, asset management etc. integrated business; More and more professional people into the futures industry, futures research institutions have been established, the methods of research and analysis developed from the traditional fundamental and technical analysis to the quantitative analysis; The involvement of shareholder brokerage, led to the changes of the structure of futures market of investors, the broad participation of institutional investors, changed the situation of the traditional individual investors has dominant. In the background of futures industry developed rapidly, futures companies which are the main body of the futures market are expanding the power, planning new development strategy, adjusting the organizational structure, to seize the commanding heights of industry.
This paper made the LD futures company as the specific object of study, combined with the background of futures market developed rapidly, futures business chain expanded rapidly and futures companies profit model expanded rapidly, in-depth study to the organizational change theory, combined with the specific circumstances of futures companies, explored the develop innovative models of futures companies, especially small and medium companies. McKinsey's 7S model was used in the article as the theoretical basis, and made innovations on this basis, adjusted the 7S model's "ring structure" to " man-like structure", highlighting the various parts of the organizational structure of the different functions and roles, to explore the organizational change path for development and growth of the company for LD futures company.
引文
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[13]龚志勇.国外期货公司在金融市场中的定位及业务发展模式研究.期货日篇报.2007.09.05.003版
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[15]金瑛.基于实物期权的券商控股型期货公司价值分析.山东大学2010届硕十论文
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[19]迈克尔·波特.竞争战略.北京[M].华夏出版社.1997.
[20]田田.期货公司重组与证券公司收购的政策分析.商业经济与管理[J].2006, (12).
[21]王翔.浅析新形势下期货公司的不同定位.期货日报2008.03.05.003版.
[22]汪炜,于洁.国内外期货公旬经亩板式及经若能力比较.经济导刊[J].2005, (07).
[23]夏青.券商控股的期货公司IB业务营销策略分析.华东师范大学2009届硕士论文.
[24]杨志华.券商控(参)股期货公司亟待解决的若干问题刍议.中国证券期货[J].2009, (03)
[25]杨志华.期货公司合规风险管理体系建设.研究山东大学2010届硕士论文.
[26]中国期货业协会.中国期货发展报告[M].北京.中国财政经济出版社.2010.
[27]中国期货业协会.中国期货业发展创新与风险管理研究[M].北京：中国财政经济出版社.2010.
[28]汪炜.国内外期货公司经营模式及经营能力比较[J].《经济导刊》.2005年
[29]张敏敏.我国目前推出金融期货的可行性分析[J].《金融经济(理论版)》.2010年
[30]陈晓华.G期货公司发展战略研究,厦门大学.2008年.学位论文
[31]李炎子.期货公司人才流失问题研究.中国农业大学.2007年.学位论文
[2]Charles WL.Hill, Garet R. Jape. Strategic in the Global Environment[J]. Strategic Management,2001.224-225.
[3]Donaldson,Lex. Organization Portfolio Theory:Performance□Driven Organizational Change[J]. Contemporary Economic Policy,2000,18(4):217-228.
[4]Kast, FE and JE Rosenzweig, Organization and management:A systems approach. NY:McGraw-Hill Press.1970
[5]Kotter JP, Schlesing er LA. Choosing Strategies for Change[J]. Harvard Business Review, (Mar/Apr),1979.106-114.
[6]Lewin K. Field Theory in Social Science [M]. New York:Harper & Row,1951.201-225.
[7]Mills, Peter K, Cerardo R.Ungon. Reassessing the Limits of Structural Empow erment: Organizational Constitution and Trust as Controls[J]. Academy of Management Review, 2003,28(1):143-153.
[8]Peters, T and RH Watennan.In Search of Excellence:Lessons from America's Best-run Companies. Harper&Row.1983
[9]Powell, WW and PJ DiMaggio. The New Institutional ism in Organizational Analysis. Chicago:University of Chicago Press.1991
[10]Recardo RJ.The What and How of Change Management[J]. Manufacturing System,1991, (5):52-58.
[11]Robbins SP. Organization Theory, Structure Design and Applications[M].Fifth Edition New Jersey:Prentice Hall Engle wood Cliffs,1995.381-409.
[12]高伟,李海军.我国期货市场的发展历程与展望.金融改革[J].2009, (03)
[13]龚志勇.国外期货公司在金融市场中的定位及业务发展模式研究.期货日篇报.2007.09.05.003版
[14]明天存.论期货公司业务创新空间.南方金融[J].2009,(09)
[15]金瑛.基于实物期权的券商控股型期货公司价值分析.山东大学2010届硕十论文
[16]王平.新形势下的期货公司定位与发展策略研究.经济纵横[J].2008,(10)
[17]刘宏.中国期货公司竞争力现状与对策研究[J].财贸经济.2006, (6)
[18]马毅,师树兴.构建期货市场战略联盟的理论及应用研究.金融发展研究[J].2010,(07)
[19]迈克尔·波特.竞争战略.北京[M].华夏出版社.1997.
[20]田田.期货公司重组与证券公司收购的政策分析.商业经济与管理[J].2006, (12).
[21]王翔.浅析新形势下期货公司的不同定位.期货日报2008.03.05.003版.
[22]汪炜,于洁.国内外期货公旬经亩板式及经若能力比较.经济导刊[J].2005, (07).
[23]夏青.券商控股的期货公司IB业务营销策略分析.华东师范大学2009届硕士论文.
[24]杨志华.券商控(参)股期货公司亟待解决的若干问题刍议.中国证券期货[J].2009, (03)
[25]杨志华.期货公司合规风险管理体系建设.研究山东大学2010届硕士论文.
[26]中国期货业协会.中国期货发展报告[M].北京.中国财政经济出版社.2010.
[27]中国期货业协会.中国期货业发展创新与风险管理研究[M].北京：中国财政经济出版社.2010.
[28]汪炜.国内外期货公司经营模式及经营能力比较[J].《经济导刊》.2005年
[29]张敏敏.我国目前推出金融期货的可行性分析[J].《金融经济(理论版)》.2010年
[30]陈晓华.G期货公司发展战略研究,厦门大学.2008年.学位论文
[31]李炎子.期货公司人才流失问题研究.中国农业大学.2007年.学位论文