【作者】 李璐；

【导师】 李明；

【作者基本信息】 武汉理工大学 ， 经济法， 2007， 硕士

【摘要】 为妥善处理我国证券市场历史遗留的股权分置现象,消除其对证券市场健康发展造成的障碍,2005年4月29日,经国务院同意,中国证监会发布了《关于上市公司股权分置改革试点有关问题的通知》,股权分置改革正式启动。尽管这场被称为“中国证券市场第一次革命”的改革是出于政策安排,但它包含着许多值得研究的法律问题。本文从上市公司治理结构角度出发,以法律的视角对我国股权分置改革对上市公司治理结构产生的影响进行了研究。在对公司治理结构的基本理论和两大典型公司治理模式进行分析后,笔者在此基础上认为,中国上市公司股权结构的特征对公司治理结构有很重要的影响,从而成为我国股权分置改革的核心问题。这一问题在各上市公司间,既有共性,也存在个别性,需要在相关法律规定的指导下妥善、灵活地进行处理。其中公司治理结构组成部分可以分为股东大会、董事会、监事会和高级管理层。通过股权分置改革,可以从根源上解决我国上市公司治理结构中现存的种种问题。当然,股权分置改革只是完善我国上市公司治理结构的一个前提条件,要彻底改变我国上市公司治理结构中的问题,还需要辅之以配套的措施。本文分为五个部分,通过对我国公司治理结构的现状调查,了解我国上市公司股权结构的现状。进一步指出了进行股权分置改革对公司治理结构产生及其深刻的影响,最后大胆地提出了如何完善公司治理结构的设想。更多还原

【Abstract】 In order to resolve the equity separation situation of China’s securities market and eliminate the obstacles made by it, on April 29, 2005, with the approval from the State Council, China Securities Regulatory Commission (CSRC) launched Issues Relevant to Pilot Reform Projects Regarding the Separation of Equity Ownership and Trading Rights of Listed Companies Circular, regarding the release of non-tradable shares into the open market, indicated the beginning of the Equity Separation Reform of China’s securities market and therefore drew considerable attention from investors worldwide. With a legal vision, this article does a research to several issues of the Analysis on the innovation of Non-tradable Shares affect to corporate governance.Via defining corporate governance and introducing the two typical, the author point out that the effect on corporate governance of the character in shares structure. This issue exists among all the listed companies, and shall be resolved properly with a guidance of related laws and regulations. The departments of Corporate Governance are the shareholder meeting, the board of auditor and high management. Via the innovation of the non-tradable shares, we can solve existent problems in corporate governance from the fundamentality. However, the innovation of non-tradable shares is just a premise in consummating the corporate governance in China. Except for the innovation of non-tradable shares, we still need more corresponding measures to solve the problems in corporate governance engrained.This article has five parts, via the investment of Corporate Governance’s situation, we know the present condition of Corporate Governance. And it points out that the Innovation of Non-tradable Shares brings deep influence on Corporate Governance. Finally, it suggests how to consummate Corporate Governance.更多还原