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论文编号：	15880
作者编号：	2320234022
上传时间：	2025/12/11 22:11:32
中文题目：	基于ESG评价的A公募基金公司股权投资优化研究
英文题目：	Research on Equity Investment Optimization Based on ESG Evaluation: A Case Study of Public Fund Company A
指导老师：	李姝
中文关键字：	ESG评价；公募基金；股权投资
英文关键字：	ESG evaluation；Public funds；Equity investment
中文摘要：	随着中国“双碳”战略的深入推进和资本市场高质量发展需求的日益增强，ESG（环境、社会和治理）投资理念已从国际共识转化为国内资产管理行业的实践重点。ESG评价是一套将企业在环境保护、社会责任履行和公司治理效能三个维度的表现，通过系统性的指标设计和数据收集，转化为可量化的评级或评分的方法体系，其核心在于评估企业经营的可持续性及其对社会价值观念的影响，为投资者提供除财务信息外的重要决策参考。公募基金股权投资则是指公募基金管理公司通过公开发售基金份额募集资金，以投资组合的方式集中投资于上市公司股票等权益类资产，并通过行使股东权利参与公司治理，以期获得资本增值和股息收入的一种集合投资方式。近年来ESG评价与公募基金股权投资的融合不断深化。 本研究以A公募基金公司为典型案例，旨在实现基于ESG评价的股权投资优化目标，解决当前实践中存在的供应链数据断层、评级更新滞后、行业适配性不足及对冲策略缺失等关键问题。论文基于可持续发展、委托代理及风险管理理论，运用专家访谈与实地调研等方法，系统剖析了ESG评价对股权投资的影响机制与现存瓶颈。研究发现，A公司ESG体系在数据时效性、行业特异性与风险对冲整合方面存在显著不足，制约了其风险管理效能。针对这些问题，研究提出了一个整合性优化框架，包括构建供应链ESG穿透管理系统以提升数据质量，建立动态ESG智能评级中枢以增强响应速度，设计行业差异化权重矩阵以精准评估风险，并将ESG因素深度融入对冲策略及组织激励机制。该方案不仅为A公司提升投资组合韧性提供了具体路径，也为公募基金行业深化ESG整合提供了兼具理论支撑与实操价值的系统性解决方案。
英文摘要：	With the deepening of China's "Dual Carbon" strategy and the increasing demand for high-quality development in the capital market, the ESG (Environmental, Social, and Governance) investment concept has transformed from an international consensus into a practical focus within the domestic asset management industry. ESG evaluation is a methodological system that converts a company's performance in environmental protection, social responsibility fulfillment, and corporate governance efficacy into quantifiable ratings or scores through systematic indicator design and data collection. Its core lies in assessing the sustainability of business operations and their impact on social values, providing investors with crucial decision-making references beyond financial information. Public fund equity investment refers to public fund management companies raising capital through the public offering of fund shares, concentrating investments in equity assets such as listed company stocks through portfolio methods, and participating in corporate governance by exercising shareholder rights, aiming to achieve capital appreciation and dividend income—a form of collective investment. The integration of ESG evaluation and public fund equity investment has continuously deepened in recent years. This study takes Public Fund Company A as a typical case, aiming to optimize the ESG This study takes Public Fund Company A as a typical case, aiming to achieve the optimization of equity investment based on ESG assessment and to address critical issues in current practice, such as supply chain data gaps, lagging rating updates, insufficient industry applicability, and the absence of hedging strategies. Grounded in theories of sustainable development, principal-agent relationships, and risk management, this paper systematically analyzes the impact mechanisms and existing bottlenecks of ESG assessment in equity investment through methods including expert interviews and field research. The study finds that Company A's ESG system exhibits significant deficiencies in data timeliness, industry specificity, and the integration of risk hedging, which constrain its risk management effectiveness. In response to these problems, the research proposes an integrated optimization framework. This framework includes building a supply chain ESG transparency management system to enhance data quality, establishing a dynamic ESG intelligent rating hub to improve responsiveness, designing an industry-specific weight matrix for precise risk assessment, and deeply integrating ESG factors into hedging strategies and organizational incentive mechanisms. This solution not only provides a concrete path for Company A to enhance the resilience of its investment portfolio but also offers a systematic solution with both theoretical foundation and practical value for the public fund industry to deepen ESG integration.
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