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论文编号：	14227
作者编号：	2320213529
上传时间：	2023/12/8 21:30:23
中文题目：	DD民营企业董事会治理优化研究
英文题目：	Research on the Optimization of the Board Governance of DD Private Enterprise
指导老师：	牛建波
中文关键字：	公司治理；民营企业；董事会；优化
英文关键字：	Corporation Governance, Private Corporation, Board, Optimization
中文摘要：	民营企业在中国经济发展过程中发挥着重要的作用，是中国企业一个重要的表现形式。在中国改革开放四十年的风雨历程中，涌现出了很多优秀的、成功的民营企业。不同于国有企业和上市公司，民营企业多数是由创始人股东经历多年的艰苦奋斗、殚精竭虑的创业过程发展而来。由此，多数非上市的民营企业具有股权集中的特点，企业所有权和控制权没有分离，其股东会、董事会和经理层高度重叠，作为公司治理核心的董事会治理作用被弱化。但当所有权和控制权开始分离时，如何处理好委托代理问题，如何发挥好董事会治理作用是民营企业解决治理问题的关键。 本文选择了非上市民营企业DD公司为研究对象，以文献法和调研问卷法为主要研究方法，结合其在历史发展过程中的治理情况和存在的问题，以所有权与控制权、委托代理理论、代理成本理论、利益相关者理论和资源依赖理论为理论基础，在DD公司当下所有权和控制权开始分离时，通过切实可行的董事会治理优化和保障措施的实施，发挥好董事会治理作用，对DD公司董事会治理提出优化建议和保障措施。以期实现企业百年老店、可持续发展的长期目标。 本文主要包括绪论、理论与文献概述、DD公司董事会治理现状、问题及原因、DD公司董事会治理优化建议、针对DD公司董事会治理优化方案的保障措施、结论与展望六个部分。 本文第一部分为绪论，介绍了本文研究的背景、提出了本文研究目的和意义，明确了通过文献和调研问卷的研究方法，开展问题研究。 本文第二部分为理论与文献概述， 提出公司治理、董事会治理和董事会治理效率的相关概念和所有权与控制权、委托代理理论、代理成本理论、利益相关者理论和资源依赖理论观点，为本文研究提供了理论支持。 本文第三部分为DD公司董事会治理现状、问题及原因，总结了DD公司在国营初创期、民营成长期和集团发展期不同时期董事会治理的状况，时间跨度近三十年，分析了董事会治理存在的问题，主要为董事会成员多元化不足、董事会职能作用发挥不足、董事会缺乏激励约束机制和董事会监督机制不健全几个方面。 本文第四部分提出了DD公司董事会治理优化建议，主要从强化董事会作用的发挥、优化董事会构成、增强董事会激励效果、强化董事会自我监督机会几个方面进行优化建议。 本文第五部分提出了针对DD公司董事会治理优化方案的保障措施，从组织 保障、机制保障和文化保障三个方面提出具体措施。 本文最后是结论与展望，总结了本文的研究结论并提出了研究展望。图6幅，表13个，参考文献57篇。
英文摘要：	As an important form of Chinese Enterprise, Private Corporation plays a significant role in the growth of China’s economy. A number of excellent and successful Private Corporations have sprung up in the forty years' process of China Reform and Opening-up. Unlike State Enterprise and Listed Company, most Private Corporation was developed by founder shareholders, whose devote their entire energy and thought to the entrepreneurial process. Thereby, most Non-listed Private Corporation has the characteristic of ownership concentration, and the ownership and control power of the enterprise has not separated, and the shareholders, the board and the managers were in highly overlapped. The governance function of the board as the core of corporate governance have been weakened. However, with the separation of the ownership and control, how to handle the problem of principal-agent and how to give full play to the governing role of the board, have become the key to solving governance problems of Private Corporations. As the key method of literature and survey questionnaire, this thesis choose DD company, an Non-listed private enterprise as the research object, combining with its governance situation and issues in the historical development of this company, and proposes optimization suggestions and guarantee measures for the board governments based on the theories of Ownership and Control, Principal-Agent Theory, Agency Cost Theory, Stewardship Theory, Stakeholder Theory and Resource Dependency Theory. In order to helps the company achieve its long-term goals of century-old enterprise and sustainable development, the governance role of board is expected to give full play to by establishing practical and feasible governance optimization and guarantee measures, with the ownership and control of DD Company begins to separate currently. The thesis includes the following six parts: introduction, theory and literature overview, the current situation, problems and reasons for the governance of the DD company's board, suggestions for optimizing the governance of DD company's board, safeguard measures for the governance optimization plan of DD company's board, conclusion and prospect. The first part of this thesis is an Introduction, which introduces the research background, purpose and meaning, and settles the research methods for problem including documentary study and Survey questionnaire. The second part of this thesis is overview of theory and literature, proposes the related concepts of corporate governance, board governance and board governance efficiency, and the theoretical viewpoints of Ownership and Control, Principal-Agent Theory, Agency Cost Theory, Stewardship Theory, Stakeholder Theory and Resource Dependency Theory, in which provides a theoretical support for this thesis. The third section shows The current situation, problems, and reasons for the governance of the DD company's board ,summarizes the corporate governance statues of the company experienced different period of nearly thirty years, including the start-up stage as a state-owned enterprise, the growth stage as a private enterprise and the maturation stage as a group, analyzes the existing problems of board governance, mainly including insufficient diversity of board members, insufficient functioning of the board, lack of incentive and constraint mechanisms of the board and incomplete supervisory system of the board. The fourth part proposes the optimization suggestions for the governance of the board, which mainly include the following aspects: strengthen the role of the board, optimize the composition of the board, enhance the motivational effect of the board, strengthen self-supervision of the board. The fifth part proposes the safeguard measures for the governance optimization plan of DD company's board, which include three aspects, organizational guarantee, mechanism guarantee and cultural guarantee. The last part of this thesis is the conclusion and the prospect, summarizes the conclusions of the thesis and proposes the research prospect. 6 Charts, 13 Tables, 57 References.
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