论我国证券公司治理结构的完善与法律规制

On the Improvement of Governance Structure of Securities Company in China and the Laws and Statutes

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。但是由于特殊的组建背景和受经济体制的影响,我国证券公司在治理结构方面存在许多缺陷,经营过程中呈现出很多弊端,严重损害了广大投资者的利益。本文在深入探讨了东西方证券公司的主要模式及其特性的基础上,提出了对我国证券公司治理结构进行重构的思路与途径。

The improvement of the corporate governance structure of the securities company, which acts as the intermediary institution, is the core issue for the healthful development of the securities industry, and it is also the basis for the effective implementation of the principles of open, equal and fair in the securities market. But owing to the special underground and the influence of the then economic system, there exist a lot detectives in China's securities market, which seriously damages the vast investors' interest. On the basis of analyzing the main mode and characteristics of securities companies at home and abroad, the author points out the notion and method on how to restructuring the governance structure of the securities companies in China.