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论文编号：	3979
作者编号：	2220091775
上传时间：	2012/3/9 15:03:18
中文题目：	城市商业银行股权结构研究
英文题目：	Research on Ownership Structure of City Commercial Banks
指导老师：	李维安
中文关键字：	城商行 股权结构 公司治理
英文关键字：	City Commercial Banks; Ownership Structure; Corporate Governance
中文摘要：	城商行的资本结构是城商行一系列治理问题中最为核心与重要环节，其包含了城商行的负债结构与股本结构两部分。本文拟对城商行的股权结构进行详细的讨论与分析。随着我国城商行引进外国战略投资者、首次公开发行股票并上市等资本市场的运作，其股权结构已较21世纪头几年的情况有了较大变化，在诸多城商行进行股权清理，等待监管部门审核并上市的时代，对我国城商行资本结构进行分析，尤其是从一个成熟的资本市场的角度对其股本结构进行反思与检视就显得很有必要。本文立足于对城商行治理问题与股本结构之间的关系展开详细阐述，围绕着我国城商行股本结构的最新情况，在实证的基础上进行比较、梳理与分析，试图就我国现阶段情况下治理完善的城商行股权结构展开论述，最后提出结论和若干建议。本文共分以下几部分进行展开：第一章为绪论，主要包括城商行股权结构的研究背景、研究意义、研究方法、研究内容、可能的创新及研究难点等内容。第二章，本文回顾了我国城商行的历史，在梳理城商行发展历程以及相关政策法规的基础上，勾勒出城商行的发展轨迹。并对一般公司治理理论进行了论述，对上述理论应用于城商行治理进行了讨论。通过本章的论述，为后文有针对性的开展资本结构的讨论打下基础。第三章，为我国城商行目前股权结构现状，通过分析成都银行、贵阳银行、大连银行与北京银行的实例，分析我国城商行在改制上市过程中的股权结构现状。第四章，本文对于公司治理，特别是城商行的治理问题进行了一个简要的叙述，并详细对城商行资本参与各方主体进行分析。文章通过对于地方政府国有股东、境外战略投资者、其他个人、法人股东以及存在的集体股份进行梳理与分析，勾勒出我国城商行股权结构的全貌。本章还从四个方面对完善我国城商行的股权结构提出建议。第五章得出结论，我国城商行治理中的股权结构，应当在重视监管机关作用的情况下，区分不同业务种类对大股东进行约束，同时充分发挥外国战略投资者和职工代表大会在城商行治理中的作用。
英文摘要：	City commercial bank's capital structure is the core and the most important part of a range of governance issues. It contains the city commercial bank debt structure and capital structure. This paper intends to discuss and analyze in detail the capital structure of city commercial banks, . With the introduction of foreign strategic investors to China city commercial banks, initial public offerings and listing and other capital market operation, its ownership structure has been changed than it was in the first few years of the 21st century. In the times of equity clean-up, pending regulatory review and IPO, it is necessary to analyze the capital structure of city commercial bank, especially to reflect and review its capital structure from a perspective of mature capital market.. This article mainlyelaborates the relationship between the governance of city commercial banks and capital structure. With the empirical analysis, focusing on the most updated capital structure of the city commercial bank, the article intends to discuss the current capital structure of city commercial bank in China which has been improved recently. . Finally, conclusions and a number of recommendations proposed in this paper. This paper is divided into the following parts: Chapter I is the introduction, It talked about the background, meaning, methodology of the research on the capital structure of city commercial banks, as well as the possible innovation and difficulties of the research. Chapter II reviews the history of city commercial banks, and then points out the development path of city commercial banks based on the city commercial banks in combing the development process and related policies and regulations. Discussion in this chapter laid the foundation for focused discussion. Chapter III, is about the capital structure of the city commercial banks in China. Through the case studies of Bank of Chengdu, Bank of Guiyang, Bank of Dalian, Bank of Beijing, this chapter analyze the current status of capital structure of city commercial banks during its reconstruction and the process of going public. Chapter IV, gives a brief description of corporate governance, especially in the governance of city commercial banks. It analyzes the main parties involved in the capital activities of city commercial banks. It gives a overall picture of the capital structure of city commercial banks in China by analyzing and sorting out the relevant parties: the local governments, the state-owned shareholders, foreign strategic investors, other individuals and corporate shareholders and the existence of a collective stake. Also, this chapter through discussion and analysis, puts forward four proposals for improving the ownership structure of city commercial banks in China. Chapter V concludes: The ownership structure of governance of city commercial banks in China should be adjusted as follows, the role of regulatory authorities should attach importance to the case, to distinguish between different business type to constraints on major shareholders, and as the same time, give full play to foreign strategic investors and workers' congress's role in bank governance.
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