我国证券公司的公司治理研究

【作者】 周文定；

【导师】 乔海曙；

【作者基本信息】 湖南大学 ， 金融学， 2003， 硕士

【摘要】 现代公司治理的一般理论表明超出股东范围的利益相关者才是公司治理的主体，公司治理的核心任务是对经营者的激励和约束，影响公司治理效率的因素主要包括股权结构、资本结构、产权明晰度、利益相关者的参与度以及内外治理机制的完善程度等。我国证券公司治理现状是内部治理结构和外部治理机制均不健全，而内部人控制又是我国证券公司治理问题的突出表现，其深层次的原因是国有产权模糊下的股权结构失当。美英和德日的公司治理模式的比较表明两者各有千秋，必须借鉴其优胜，结合我国证券公司的实际特点，强调债权人、员工等利益相关者参与公司治理。优化我国证券公司公司治理的措施，必须优化股权结构，优化资本结构，强化债权人、员工、客户等证券公司利益相关者参与公司治理，完善董事会、监事会以及证券公司激励机制等内部治理结构。更多还原

【Abstract】 Corporation is an important form of enterprise system, which plays an active role on changing enterprise’s operation mechanism, improving enterprise’s efficiency. The problem of corporate governance has been an important and hot topic on which Chinese and foreign specialists, governmental policy-makers and entrepreneurs have been working to find the best solution. Security companies in China are great financial institutes with problem about corporate governance. As a result, the research on corporate governance of security companies in China is of great importance in both theory and practice.This thesis includes 5 chapters.Chapter 1 is an introduction of basic theories of corporate governance.Chapter 2, entitled "International Comparison of Corporate Governance", analyzes the competitive advantages and convergence phenomenon between America-British corporate governance model and German-Japan’s.Chapter 3, entitled "Empirical Analyzes of Corporate Governance of Security Companies in China", analyzes status quo of corporate governance of security companies in ChinaIn chapter 4, the thesis casts on the phenomenon of internal control of security companies in China and finds the uncorrected stockholders’ equity structure and capital structure is the basic reason resulting in the internal control.Last chapter is about the perfecting of corporate governance of security companies in China, including adjusting and perfecting of stockholders equity structure and capital structure, establishing and perfecting of the board of directors and establishing and perfecting of the incentive mechanism of the top management.更多还原