我国证券公司法人治理结构规范与发展探析

A Probe into the Regulation and Development of the Corporate Governance Structure of Our Country's Securities Companies

证券公司法人治理结构的规范与发展是证券公司健康发展的内在需要 ,也是我国证券市场乃至国民经济健康发展的需要。本文通过阐述公司法人治理结构的基本范畴、治理原则、组织形式 ,阐明其基本作用 ,通过比较国际上证券公司法人治理结构的特点及我国特征 ,指出了中国证券公司法人治理结构存在的问题和缺陷 ,提出完善中国证券公司法人治理结构的具体措施 ,强调了法人治理结构的规范和发展中应进一步鼓励股权结构多元化、分散化 ,积极引入独立董事制度 ,进行以经营者为主体的约束和激励制度创新 ,建立完善风险监控机制和信息披露规则。

This paper expounds the fundamental role of the corporate governance, and by making a contrast between the international characteristics and ours, it points out the drawbacks existing in our corporate governance structure. Meanwhile it puts forward some corresponding measures to perfect the structure, i.e. giving rise to the diversification and decentralization of the governance structure, introducing actively the independent director system, innovating institutionally the incentive and control mechanism, and setting and improving the risk monitoring mechanism and the rules for informational disclosure.