我国证券公司治理现状的原因及解决措施

Analysis of Security Company Governance Structure and Current Situation Measures

针对近两年我国证券业风险集中暴露和集中释放的现实,作者从证券公司治理现状的角度对影响证券公司发展的因素进行了分析,指出完善的治理结构是证券公司防范风险和创新发展的根本保障。文章揭示了目前证券公司三会在权利职责上存在的问题,并对存在的问题从证券公司的产生、股权结构、执法主体和市场约束的角度进行了根源上的分析。同时作者还从分散股权、改善公司外部治理、实行信息透明等几个方面提出了解决方案和措施,为解决证券公司治理结构提出了可行性意见。

The author makes an analysis on security companies from a perspective of the current governance of the security enterprises, concerning the risks of the security industry in China, and makes it clear that the governance structure is the fundamental security to the risk avoiding and innovation development of the security companies. This paper reveals the existing problems about rights and duties on the＂ Three Meeting＂of the security companies and analyzes them from a perspective of security companies＇ emerging, shares structure, executive body and market restrain. At the same time, the author also puts forward some solutions and measures with regard to scattering share,company exterior governance improvement,implementing information transparency and proposes feasible suggestions of sorting out the governance structure of the security companies.