摘要

随着我国进入新世纪后的改革开放进程的加速，我国的资本市场也在新一轮改革开放中不断发展，市场秩序随着我国相关法律法规的建设也在进一步完善。证券公司作为我国证券市场的重要参与者，证券公司的发展对我国资本市场乃至国民经济的发展具有十分重要的意义。但受制于我国目前落后的证券市场，以及证券公司其本身的内在问题，我国目前其突出表现在证券公司内部的治理结构不合理，制约了我国证券公司的进一步发展。

而投资咨询业务作为近年来我国证券公司正在积极开展的新业务，不仅可以改善目前证券公司单一的盈利手段，增加我国百姓对证券市场的参与程度，同时有助于进一步推动我国证券市场的规范化与成熟化。

鉴于上述原因，本文将基于证券公司投资咨询业务，首先从理论层面分析国内外的相关研究现状，并从实证的角度分析我国证券公司董事会结构对于其投资咨询业务的影响，由此认为我国的证券公司应该加强企业文化建设，切实履行社会责任，完善我国券商法人治理结构的相关制度环境建设。

关键词：证券公司；董事会结构；投资咨询

Abstract

After entering the new century, the acceleration of the process of reform and opening up in China, in a new round of reform and opening up of China’s capital market is also in constant development, with China’s relevant laws and regulations of the construction market order was further improved. Securities companies as important participants of the securities market in China and development of China’s capital market and securities company is of great significance to the development of the national economy. But because of China’s capital market and the market economy system is not perfect, there are still many problems of China’s securities companies, securities companies with outstanding performance in internal governance structure is reasonable, increase the participation of our people on the securities market，and restricted the further development of China’s securities companies.

Investment advisory business as a securities company in China in recent years are actively engaged in the new business, not only can improve the profitability means of a single securities company, while helping to further promote the standardization and maturity of China’s securities market.

For these reasons, this paper will be based on the securities investment consulting business, first from a theoretical level, analysis of domestic and foreign related research and analysis of the Board Structure of China’s securities companies for its investment advisory business from an empirical perspective, and thus that China’s securities should strengthen the building of enterprise culture, earnestly fulfill their social responsibilities, improve the corporate governance structure of China’s brokerages institutional environment construction.

Key Words: Securities Companies; Governance Structure; sonsulting business

目录

第三节研究方法及内容… 错误！未定义书签。