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论文编号：	6195
作者编号：	2220110622
上传时间：	2014/6/5 16:02:06
中文题目：	SF家族民营上市企业公司治理及内部控制研究
英文题目：	The Study of Corporate Governance and Internal Control of SF Family Private Listed Companies
指导老师：	张玉利
中文关键字：	上市公司 民营企业 内部控制 公司治理
英文关键字：	public company, the family private company, internal control, corporate governance
中文摘要：	近十几年来，家族民营上市企业得到了迅猛的发展，备受学术界关注。众多研究表明，良好的公司治理结构与内部控制制度的有效性之间存在着千丝万缕的关系，它们既相互联系，又相互区别。本文以公司治理与内部控制理论为基础，对家族民营上市公司治理与内部控制的有效性进行了分析，并提出完善家族上市企业的治理结构，提高内部控制制度有效性的建议。首先，本文简要介绍了家族民营企业公司治理和内部控制的基本情况，概括了本论文的研究目的、研究框架和研究方法。其次，进行国内外相关理论回顾，阐述了家族民营上市企业公司治理及内部控制情况，并在此基础上研究讨论了公司治理与内部控制的相互关系及区别。第三部分，基于前述理论支持，选取某家族民营上市企业内部控制建设案例，基于公司治理的视角，研究讨论公司治理结构下内部控制现状及存在的问题。第四部分，基于第三章案例分析对现状及问题的分析，从公司治理、经理层素质、人力资源政策及全面风险管理等方面提出完善家族民营上市企业内部环境建设的相关政策建议。最终，得出本文的结论。包括本文研究的基本结论、创新之处以及局限性。
英文摘要：	In recent years, the family private listed companies have been developing so fast. Most of the researches indicate that there are countless ties, as well as differences, between a good management structure and the validity of the internal control. Based on the theories in related areas, this thesis analyzes the corporate governance and the validity of the internal control for the family private listed companies and proposes suggestions about how to perfect the corporate governance and develop validity of the internal control for family private listed companies. First of all, the thesis briefly introduces the basic information of the family private listed companies and internal control, including the research purpose, research structure and research methods. Secondly, looking back to the related international theories, the thesis studies the corporate governance and internal control of the family private listed companies and discusses the relationships and distinctions between corporate governance and internal control. The third part concentrates on the case study using the supportive theories studied and mentioned before. The author picks up one specific family private listed company as an example to show the present situation and problems existing under the structure of corporate governance. Based on the analysis, the fourth part proposes the suggestions to improve the establishment of internal environment for the family private listed companies in aspects of corporate governance, management quality, human resources, and enterprise risk management. Last but not least, the thesis draws a conclusion.
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