【作者】 朱贵云；

【导师】 杨大光；

【作者基本信息】 东北师范大学 ， 世界经济， 2006， 硕士

【摘要】 公司的股权结构作为公司治理结构的基础,其有效性在很大程度上决定公司的治理效率,从而进一步影响公司的经营绩效。上市商业银行作为现代经济中的特殊企业,其股权结构的有效性对公司治理效率和经营绩效具有同样的作用,而且由于银行业在一国经济中的基础性地位,其经营绩效关系到整个银行业乃至一国宏观经济平稳健康发展。这使得研究上市商业银行股权结构有效性成为一个十分重要且意义深远的课题。本文在整体上采用比较制度分析与局部上采用案例剖析相结合的研究方法,试图通过深入分析典型国家的上市银行股权结构的有效性以及在此基础上进行国家间的对比分析,找出我国上市银行股权结构存在的不足之处,为我国上市商业银行股权结构的调整指明方向。本文主要内容安排如下。引言部分介绍了国内外学者在该领域的研究成果并进行了总结评析。正文部分按照理论基础,国别分析与比较,提出建议的层次逐一展开。首先在分析上市商业银行股权结构的一般形态的基础上,对其有效性的内涵做出了理论界定,并论述了上市商业银行股权结构有效性对微观经济和宏观经济的意义。接着分别分析美国和日本两国的上市商业银行股权结构和波兰BSK银行股权结构变迁过程,然后进行国家间的比较,得出股权结构有效性与其所处的股份经济背景具有十分密切的关联系,在此基础上找出我国上市银行股权治理结构的不足并为其调整指明方向。本文得出的结论是:上市商业银行有效的股权结构没有固定模式。判断一个国家上市银行股权结构是否有效,不仅要看它是否与本国经济发展水平、资本市场状况相适应,而且要看这种股权结构模式是否能够随着经济水平、资本市场的发展灵活调整。各国应根据自己的社会经济背景构建有效的股权结构。更多还原

【Abstract】 Equity structure is the basis of the corporate governance. Equity structure determinesthe effectiveness of the corporate governance and the performance of the company to alarge extent. Listed commercial banks play an important role in modern economy, so itsperformance has become a very important and far-reaching issue. This article will explorethe representative countries of the world -the United States, Japan, Poland and China’slisted commercial banks, analyze the effectiveness of equity structure and compare theremaining deficiencies, check out the shortage of our listed banks, and point out the waywe should take to reform our state-owned commercial banks.This article is aimed to solve the following problems. First, explain the effectivenessof the equity structure of the listed commercial banks. Second, analyze the equity structureof the US, Japanese listed commercial banks and BSK bank of Poland. Third, compare theeffectiveness of the equity structure of the listed commercial banks in United States, Japanand Poland. At last, analyze the effectiveness of the equity structure of the listedcommercial banks in China, point out the inefficiency of state-owned shares, the internalpeople’s do not holding shares etc., and reform directions for listed commercial banks inChina: reducing the proportion of state-owned legal person shares, and promoting equitycirculating;implementing internal equity.The conclusion is the equity structure is closely linked to economic background. Tojudge the effectiveness of equity structure of a country’s listed banks, we should not onlydepend on the nation’s economic development level, capital market conditions, but also onthe flexible adjustments of this equity structure as the economic level and the capitalmarket changes. So a country should establish effective equity structure according to itseconomic background.efficiency更多还原