联系我们

论文查询结果	返回搜索

论文编号：	14311
作者编号：	2320213703
上传时间：	2023/12/11 18:16:07
中文题目：	BJ产权交易所企业国有产权交易合规管理研究
英文题目：	Research on compliance management of state-owned equity transactions in BJ Equity Exchange
指导老师：	周建
中文关键字：	BJ产权交易所；合规管理；国有产权交易；国企改革
英文关键字：	BJ Equity Exchange; Compliance Management; State-owned Equity Transactions; State-owned Enterprise Reform
中文摘要：	2021年发布的“十四五”规划中明确指出要引导企业加强合规管理。次年，国务院国资委出台并实施了《中央企业合规管理办法》，并将当年列为“合规管理强化年”，进一步加强国有企业合规管理工作的推进。对国有企业来说，国有产权交易行为是其最主要且最具风险的经营活动之一，因此在国有产权交易环节加强合规管理，是防止国有资产流失、促进国有资产保值增值的关键一环。 本文结合国有产权交易相关法律法规，从企业合规管理的发展背景和理论基础出发，以BJ产权交易所作为研究对象，以客观的数据和案例分析作为依据，以产权理论、交易成本理论、委托代理理论及战略管理理论等为支撑，结合对国内外研究现状的梳理，介绍了产权交易市场发展概述及BJ产权交易所基本情况，分析了其开展合规管理的必要性和特殊性。本文从其内部和外部保障支持、企业自身合规组织体系的搭建及合规相关案例实践等方面对其合规管理现状进行了深入分析。基于对上述背景情况和现状的分析，总结出BJ产权交易所国有产权交易合规管理存在标准规范不统一、交易制度不健全、合规管理体系建设不完善等方面问题。结合上述问题，通过对其所处的内外部环境进行分析，总结出上述问题主要是受行业发展不均衡且一体化程度低、政策法规不完善且市场存在多头管理、合规管理滞后且面临多重挑战等方面影响。基于此，本文结合BJ产权交易所自身及所处行业发展情况，明确了改善目标及基本原则，提出加强行业标准体系建设、建立监督统筹协调机制及完善合规管理体系建设等改善建议。同时，为促进BJ产权交易所国有产权交易合规管理体系的有效运行，提出推动建立行业发展联盟、健全合规管理运行机制及营造企业合规文化的保障措施。 最终本文给出的结论是，BJ产权交易所作为监管部门指定的国有产权交易服务平台，其自身合规管理体系建设受监管要求及行业发展情况的影响较大，需依托其自身情况“因企施策”，循序渐进，不断完善。完备的合规管理体系是BJ产权交易所立身之本和发展之基，有助于防范风险，提升其自身软实力，保障企业实现可持续健康发展。
英文摘要：	The "14th Five-Year Plan" released in 2021 clearly emphasizes the need to guide enterprises in strengthening compliance management. The following year, the State-owned Assets Supervision and Administration Commission of the State Council (SASAC) issued and implemented the "Central Enterprises Compliance Management Measures," designating it as the "Compliance Management Strengthening Year." This further reinforced the promotion of compliance management efforts in state-owned enterprises. For state-owned enterprises, equity transactions involving state-owned assets are one of their most significant and riskiest business activities. Therefore, strengthening compliance management in state-owned equity transactions is a crucial step in preventing the loss of state-owned assets and promoting their value preservation and appreciation. This thesis, taking into account relevant laws and regulations related to state-owned equity transactions, starts from the development background and theoretical foundation of corporate compliance management. It focuses on the BJ Equity Exchange as the research subject, supported by objective data and case analyses, and underpinned by equity theory, transaction cost theory, agency theory, and strategic management theory. Additionally, it combines a review of the current state of research both domestically and internationally.The thesis provides an overview of the development of the equity transaction market and presents basic information about the BJ Equity Exchange. It analyzes the necessity and uniqueness of its compliance management. Through an in-depth analysis of internal and external support mechanisms, the establishment of the enterprise's own compliance organizational structure, and practical compliance-related case studies, the thesis evaluates the current state of compliance management within the BJ Equity Exchange.Based on the analysis of the background and current situation mentioned above, the thesis concludes that there are several issues related to compliance management in state-owned equity transactions within the BJ Equity Exchange. These issues include non-uniform standardization, an incomplete transaction system, and an underdeveloped compliance management system. These problems are primarily influenced by the uneven development and low level of integration in the industry, incomplete policies and regulations, multiple regulatory authorities in the market, lagging compliance management, and facing various challenges.Consequently, the thesis, in conjunction with the BJ Equity Exchange's own development and its industry's status, specifies improvement goals and basic principles. It suggests enhancing the industry standardization system, establishing a supervisory coordination mechanism, and improving the compliance management system. Moreover, in order to facilitate the effective operation of the BJ Equity Exchange's compliance management system in state-owned equity transactions, the thesis recommends measures to promote market integration, enhance the compliance management operational mechanism, and foster a corporate culture of compliance. In conclusion, the thesis emphasizes that BJ Equity Exchange, as a state-designated platform for state-owned equity transactions, is significantly influenced by regulatory requirements and industry developments in its compliance management system construction. It needs to tailor its strategies according to its unique circumstances, proceed step by step, and continuously improve. A comprehensive compliance management system is the foundation and basis for BJ Equity Exchange's existence and development, aiding in risk prevention, enhancing its soft power, and ensuring sustainable and healthy enterprise development.
查看全文：	预览  下载(下载需要进行登录)