【作者】 安雪梅；

【导师】 陈乃新；

【作者基本信息】 湘潭大学 ， 法律， 2003， 硕士

【摘要】 公司治理结构问题一直是法学家和经济学家共同关注的国际性课题，作为资本市场中介机构的证券公司，其治理结构的完善是证券业健康发展需要着力解决的核心问题，也是资本市场的“三公”原则得以有效贯彻的基础。 近年来，我国的证券公司发展十分迅速，但是证券公司的治理结构却存在许多问题，在经营过程中往往出现内部公司治理结构被扭曲的现象，再加上外部监督约束机制不健全的缺陷，导致了信息不透明、内部人控制和操作不规范等种种弊端，这一切不仅极大的制约了证券公司的业绩提升，严重损害了股东和广大投资者利益，削弱了证券市场的融资功能，还深深挫伤了广大中小投资者的信心。与此同时，根据我国政府人世时的承诺，中国证券业的开放格局将逐步打开，证券公司所面临的是一个更加复杂而微妙的国际国内环境，证券业的竞争将更为激烈。要适应这种形势，在未来更为激烈的市场竞争中得以生存并发展壮大，证券公司必须加快完善自身的治理结构，才有可能保持蓬勃的创新精神和旺盛的经营动力。 因此，改善证券公司的治理结构并对其进行法律规制，是一个迫在眉睫的问题，对于这个问题的研究具有十分重要的现实意义和理论价值。 本文首先分析了我国证券公司的法律地位和经营范围，接着对证券公司的治理结构进行了法理分析，解释了董事会、股东会和监事会建立权力制衡机制的内在原因。然后笔者采用比较研究的方法，对西方国家证券公司的两种典型模式进行了详细的描述，归纳了二者治理结构的主要特征。在此基础上介绍了我国证券公司治理结构的法定框架和存在的主要缺陷，并针对目前国家法制建设的实际，提出了对证券公司治理结构进行完善和法律规制的思路是修改现行《公司法》和相关法规，合理配置新三会的责权利，建立有效的监督约束与激励机制。并在该思路的指引下，就法律规制的具体措施<WP=22>进行了初步研究和探讨。希望通过本文的研究，能为提升我国证券公司乃至国有企业的治理效率，为国家金融业的健康稳定和快速发展贡献一份微薄的力量。更多还原

【Abstract】 The problems on the corporate governance of Celerity Companyhave always been an international subj ect concemed by jurists andeconomists both at home and abroad．Since Security Company is theinterceding department of capital markets；the perfection of its corporategovernance has become the key problem for the healthy development ofsecurity industry．And the foundation for the effected operation of“Three Fair”Purples manipulated in capital markets，what’s more，it hasdirectly influenced on the healthy and stable development of otherfinancial industry and the whole national economy． In recent years，Security industry has rapidly developed in ourcountry．However,because of the special organizing background and theimpact of the economic system．Our Security Company remains largegap with the mature corporate governance of wastes Security Company,such as，during the managing process，the internal corporate governanceis often distorted，besides，the unsound system of external supervisingand binding system leads to the malpractice of the entrants Parented ofinformation，the un standard of the control and operation of the infernalpersonals，etc，Au these problems not only greatly limit the promotion ofachievement，seriously damage the interests of share holders and vastinvestors，but also weaken the financing function of security market，anddiscourage the confidence of investors as well．Meanwhile．in techs ofthe condiment of our garment’S entry to the WTO，the open patter of oursurety industry will be speeded gradually,by then，our severity companywill face a more complicated and delicate environment both at home andabroad．The competition of this circle will be more firce．To fit to thesituation and to survive and develop in the more fierce marketcompetition in future，Security Company must speed up to complete its<WP=24>own corporate governance so as to keep the vigorous energy forinnovation and operation. Therefore, to improve the corporate governance of SecurityCompany and to set up pertinent laws become a pressing problem, andthe research on the problem also becomes important with the practicalsignificance and theoretical value. The theses firstly analyses the legal status and the operation scopeof our security company, and then it examines the corporate governanceof sealing coronary in light of legal theories, explaining the externalrecons of establishing Power controlling and balancing system amongboard of directors, board of share holders and supervision commissions.Furthermore, the writer describes in details two typical patterns ofwestern security company and concocted the main features of the twocorporate governances by means of comparative study. Based on theseanalysis, the thesis introduces the legal framework and the existingdrawbacks of our security cowpony, concerning the practice of lawsconstruction in our country, ports out the strategies to complete thecorporate governance and set up pertinent laws are to anent the currentcorn any Act and relevant laws and regulations to dispose appropriatelythe rights and responsibilities of three commissions to ensure theresponsibity of each part, to establish effective supervision and bidingsystem and motivation system under the guide of the strategy, the thesismakes its initial discussion on of specific measures of the perfection andformulation of security company.更多还原