基于证券公司投资咨询业务的公司治理结构分析

摘要

近年来，伴随着我国社会主义市场经济的健康有序发展，证券市场发展十分迅速，作为证券市场重要参与者的证券公司不断成长，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。但是，在证券市场迅速发展的过程中，许多证券公司的治理缺陷逐步显现，制约了其进一步发展，更有可能严重损害股东和广大投资者的利益，削弱证券市场的融资功能，进而对我国社会主义市场经济的健康发展，产生不利影响。因此，对完善证券公司治理结构的研究有着十分重要的理论价值及现实意义。本文旨在通过对国内发展较成熟的证券公司的治理结构进深入分析，发现我国证券公司治理结构中存在的问题，并借鉴成熟经验，提出完善治理模式的对策。

关键词：证券公司；治理结构；投资咨询

Abstract

In recent years, with the healthy and orderly development of our socialist market economy, securities market has developed in a rapid pace. As important participants of the securities market, securities companies have developed continuously, which is of great significance to the development of our capital market and even to the whole national economy. However, in the process of securities market’s rapid development, governance defects have appeared in many securities companies, which restrict their further development and more possibly encroach upon the interests of shareholders and the broad masses of investors, weaken the financing function of securities market and then exert an unfavorable influence on our socialist market economy. Therefore, research on perfecting securities companies’ governance structure is of great theoretical and practical meaning. This article aims at finding out the problems in our securities companies’ governance structure through comparing their governance structure with that of their foreign counterparts with long development history, and putting forward solutions of perfecting governance structure by drawing on mature experiences of foreign securities companies.

Key Words: Securities Companies; Governance Structure; Investment

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