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论文编号：	4381
作者编号：	2120102301
上传时间：	2012/6/7 19:42:34
中文题目：	金融机构金融机构高管晋升及其路径的跨国比较——基于工行和汇丰的跨案例研究
英文题目：	Cross National Comparison of Promotion and Promotion Path of Financial Institutions’ Managers: a Cross Case Comparison of ICBC and HSBC
指导老师：	古志辉
中文关键字：	金融机构;晋升路径;晋升方式;人力资本
英文关键字：	Financial Institutions; Promotion Path; Promotion Ways; Human Capital
中文摘要：	高管可以成为构成企业竞争力的核心要素，具有企业家精神的高管对于企业的成长和发展极其重要，尤其是对在竞争激烈的市场化环境中的企业而言。但是，正所谓“成也萧何，败也萧何”，如果高管的能力与特质与岗位不匹配，或者对高管的约束机制不够完善，那么高管对企业的管理将会变得低效率甚至因为道德风险的存在危害股东、员工等利益相关者的利益。金融机构的特殊性要求他们在高管问题上要尤其慎重。金融机构一旦产生问题，很容易传导到其他金融机构，即金融机构的危机具有传染效应（黄隽，2008）。“天才交易员”Nick Leeson利用错误账户做假帐弥补失误，结果最后弄垮了具有230多年历史的巴林银行；Richard Fuld让雷曼兄弟辉煌一时，却也不得不因为他对房地产贷款业务的错误判断而以破产告终。这些历史留给我们的经验和教训值得我们深刻反思：金融机构的高管晋升机制如何设计？金融机构的高管应该受到怎么样的制约？研究金融机构高管晋升及其路径问题，既能帮助完善公司治理机制，又能使金融机构的竞争力得到提升，同时也有助于金融市场的规范化运行以及监管制度设计。金融机构的高管晋升路径设计，应该在追求资源配置最优化和实现激励作用的目标之外，完善公司治理机制，利用公司治理机制来解决所有权和控制权分离带来的委托代理问题。在Simon（1955）提出的有限理性假设基础上，我们对金融机构如何配置人力资源，如何安排晋升路径进行了研究。对高管晋升路径相关文献进行梳理之后，我们对晋升路径研究的理论基础、晋升的目的和晋升方式以及晋升路径的影响因素等进行了整理和评述，继而在文章的第三部分提出本文采用的研究方法，并对研究进行设计。文章的第四章是案例研究，先分别对工行和汇丰的案例进行描述性统计和晋升路径分析，再进行两个案例的比较研究。在文章的最后，我们总结了本文主要的研究结论，并对高管晋升路径的改善提出了相应的建议。
英文摘要：	Managers are core factors of a corporation’s competitiveness. It’s very important for corporations to have managers with entrepreneurship, especially in fierce competition. But, what makes a success sometimes becomes a failure. If a manager’s capability dosen’t match with the position, or the constrain mechanism is imperfect, he will be lack of efficiency, even harm the interests of shareholds, employees and so on because of moral hazard. Financial corporations are special corporations, resulting in special promotion systems and constrain mechanism. Troubles are easily conducted to other financial institutions, i.e. contagion effect (Jun Huang, 2008). Once was called "Genius traders", Nick Leeson used an error account to falsify accounts, resulting in the bankrupt of Barings Bank. As well as Richard Fuld, Lehman Brothers’s last heroical CEO, came to a failure because of wrong judgement. These stories told us that we need to rethink. How to build a scientific promotion system? How to contrain the managers? We need to think before answering these questions. The promotion system of financial institution’s managers should be designed carefully. It should be balanced between resource allocation optimization and incentiveness. Simon (1955) assumed that humans are bounded rational. Based on this assumption, we studied that how to match the managers and positions, how to desigh the promotion system and what influences the promotion. After reading the papers, we concluded the promotion theories, the purpose of promotion, the way of promotion and the factors influencing promotion. In the 3rd paragraph, we introduce the methods and design the research. In the 4th paragraph, we studied the cases of ICBC and HSBC, then compaired two cases. In the last paragraph, we summarized the conclusions, and made suggestions about how to complete the promotion system of financial institutions.
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