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论文编号：	4490
作者编号：	2120102419
上传时间：	2012/6/11 21:11:40
中文题目：	基于证券公司投资咨询业务的董事会结构分析
英文题目：	The Research of Governance Structure Based on Securities Companies’ Consulting Business
指导老师：	齐岳
中文关键字：	证券公司，董事会结构，投资咨询
英文关键字：	Securities Companies，Governance Structure，Consulting business
中文摘要：	随着我国进入新世纪后经济的迅猛发展以及改革开放进程的加速，我国的资本市场也经历了从无到有，从弱到强的发展，并且在新一轮改革开放中不断发展壮大，市场秩序也伴随着我国相关法律法规的建设也在进一步完善。证券公司作为我国证券市场的重要参与者，它的的发展对我国整个国民经济的发展具有十分重要的意义。我国的证券公司其建立至今也只有短短二十年的时间，由于我国的市场经济体制还不完善，我国的证券公司还存在不少的问题，比如证券公司的股东大会功能不够强大、证券公司没有规范化的董事会运作章程、公司现有的独立董事没能发挥职能、公司设立的监管机制效率低下、公司人员配置不够科学并且关系户较多、整个证券公司体制内没有有效的考察及激励办法、公司内信息传达具有模糊性、公司外部的国家监管体制不完善等问题。这些问题为我国证券公司的长远发展设置了障碍，继续放任这种状况持续下去，必将损害股东及投资者利益，还会在一定程度上对证券市场的职能产生负面影响。投资咨询业务作为近年来我国证券公司正在积极开展的新业务，不仅可以改善目前证券公司单一的盈利手段，增加我国百姓对证券市场的参与程度，同时有助于进一步推动我国证券市场的规范化与成熟化。鉴于上述原因，本文结合前人的经验总结，根据目前证券公司所新开展的投资咨询业务对于公司内部的管理层的变动以及主体框架的影响，通过分析投资咨询业务的特性以及其配套的董事会结构之间的联系，通过实例分析与理论结合的手段帮助与分析证券公司在董事会结构治理上的缺陷以及不足。本文将基于证券公司投资咨询业务，首先从理论层面分析国内外的相关研究现状，并从实证的角度分析我国证券公司董事会结构对于其投资咨询业务的影响，如借鉴国内几家较为知名的证券公司的报告：海通证券报告和兴业证券报告等，由此提出我国的证券公司应该加强企业文化建设，切实履行社会责任，完善我国券商法人治理结构的相关制度环境建设的建议。
英文摘要：	After entering the new century, the acceleration of the process of reform and opening up in China, in a new round of reform and opening up of China's capital market is also in constant development, with China's relevant laws and regulations of the construction market order was further improved. Securities companies as important participants of the securities market in China and development of China's capital market and securities company is of great significance to the development of the national economy. But because of China's capital market and the market economy system is not perfect, there are still many problems of China's securities companies, securities companies with outstanding performance in internal governance structure is reasonable, increase the participation of our people on the securities market，and restricted the further development of China's securities companies. Investment advisory business as a securities company in China in recent years are actively engaged in the new business, not only can improve the profitability means of a single securities company, while helping to further promote the standardization and maturity of China's securities market. For these reasons, this paper will be based on the securities investment consulting business, first from a theoretical level, analysis of domestic and foreign related research and analysis of the Board Structure of China's securities companies for its investment advisory business from an empirical perspective, and thus that China's securities should strengthen the building of enterprise culture, earnestly fulfill their social responsibilities, improve the corporate governance structure of China's brokerages institutional environment construction.
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