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论文编号：	14719
作者编号：	2120213347
上传时间：	2024/6/6 22:38:45
中文题目：	董事职能背景多样性对金融机构数字化转型的影响
英文题目：	The impact of diversity of directors’ functional backgrounds on the digital transformation of financial institutions
指导老师：	武立东
中文关键字：	董事职能背景多样性；金融机构；数字化转型；CEO权力
英文关键字：	Diversity of Directors’ Functional Backgrounds; Digital Transforma- -tion; Financial Institution; CEO Power
中文摘要：	董事会成员的不同专业背景、经验和视角对金融机构战略选择的影响一直是金融机构治理研究领域的重要议题。近年来随着数字化技术的应用以及互联网金融的发展，传统金融机构面临着数字化转型的压力，什么样的董事会安排能够支持金融机构数字化转型已经成为理论界、实务界共同面临的重要课题。尤其是董事职能背景多样性对金融机构数字化转型的影响，而已有研究尚未对此给予回应。 本研究整合高阶理论、委托代理理论与资源依赖理论，构建包括董事职能背景多样性对金融机构数字化转型主效应以及CEO权力、组织惯性调节效应的研究框架。以2009年-2022年中国上市金融机构为样本，采用自然语言处理方法提取数据生成金融机构数字化转型指标，并匹配数据库数据开展实证检验。运用时间个体固定效应模型进行回归分析，研究发现董事职能背景多样性对数字化转型有显著促进作用，CEO权力显著增强多元职能背景对数字化转型的正面影响，而组织惯性的调节作用则不显著。在异质性研究中，进一步区分国有金融机构与非国有金融机构，研究表明相较于国有企业，非国有企业的董事会成员职能背景异质性程度越高，企业的数字化转型程度越高。最后提出优化董事会构成、强化CEO权力、合理配置多方资源、进一步推动国有金融机构的数字化转型等对策建议。 本研究贡献主要包括三方面：一是为金融机构数字化转型驱动因素研究补充了董事会多样性的影响；二是通过揭示影响金融机构数字化转型的机理，进一步拓展了董事会多样性治理效应的研究；三是通过探讨金融机构数字化转型中董事会治理的功能，进一步丰富了公司治理研究领域的文献。同时，本研究将为金融机构数字化转型实践提供经验借鉴。 本文的局限在于采用现有数据库得出结论，未来的研究可以通过结构化访谈方式深入调研领导数字化转型工作的公司治理主体，以验证结论的稳健性，并增加案例研究，进一步揭示影响机理。
英文摘要：	The impact of different professional backgrounds, experiences and perspectives of board members on the strategic choices of financial institutions has always been an important topic in the field of financial institution governance research. In recent years, with the application of digital technology and the development of Internet finance, traditional financial institutions are facing the pressure of digital transformation. What kind of board of directors arrangements can support the digital transformation of financial institutions has become an important issue faced by both theoretical and practical circles. In particular, existing research has not responded to the impact of the diversity of directors’ functional backgrounds on the digital transformation of financial institutions. This study is based on Upper Echelons Theory, Agency Theory and Resource Dependence Theory to construct a research framework that includes the main effect of director functional background diversity on the digital transformation of financial institutions and the moderating effects of CEO power and organizational inertia. Taking China's listed financial institutions from 2009 to 2022 as samples, natural language analysis methods are used to extract digital transformation data of financial institutions, and matched with database data for empirical testing. Using the time individual fixed effects model for regression analysis, the study found that the diversity of directors' functional backgrounds has a significant promoting effect on digital transformation, and CEO power significantly enhances the positive impact of diverse functional backgrounds on digital transformation, while the moderating effect of organizational inertia is not significant. In the study of heterogeneity, state-owned financial institutions and non-state-owned financial institutions are further distinguished. The research shows that compared with state-owned enterprises, the higher the degree of heterogeneity in the functional background of board members of non-state-owned enterprises, the higher the degree of digital transformation of the enterprise. Finally, suggestions are put forward such as optimizing the composition of the board of directors, strengthening the power of the CEO, optimizing the allocation of multi-party resources, and further promoting the digital transformation of state-owned financial institutions. The contributions of this study mainly include three aspects. First, it adds the impact of board diversity to the study of driving factors for the digital transformation of financial institutions. Second, it further expands the research on the governance effects of board diversity by revealing the mechanism that affects the digital transformation of financial institutions. Third, it further enriches the literature in the field of corporate governance research by exploring the function of board governance in the digital transformation of financial institutions. At the same time, this research will provide empirical references for the digital transformation practice of financial institutions. The limitation of this article is that it uses the existing database to draw conclusions. Future research can use structured interviews to conduct in-depth investigations into corporate governance entities who lead digital transformation efforts to verify the robustness of the conclusions and add case studies to further reveal the impact mechanism.
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