合肥工业大学学报：社会科学版
閤肥工業大學學報：社會科學版
합비공업대학학보：사회과학판
Journal of Hefei University of Technology(Social Sciences)
2012年
1期
14-20
,共7页
股权集中度%股权流动性%股权性质%法人治理结构
股權集中度%股權流動性%股權性質%法人治理結構
고권집중도%고권류동성%고권성질%법인치리결구
equity concentration%equity liquidity%equity property%corporate governance structure
从股权结构和法人治理结构两个方面对中小证券公司治理机制进行研究，首先从股权集中度和股权流动性的角度分析了中小证券公司的股权结构分布现状，以及股权结构对公司治理和绩效的影响；然后从证券公司董事会、监事会、高层管理人员激励角度，运用对比分析法与大型证券公司进行对比分析，并给出研究结论和建议。
從股權結構和法人治理結構兩箇方麵對中小證券公司治理機製進行研究，首先從股權集中度和股權流動性的角度分析瞭中小證券公司的股權結構分佈現狀，以及股權結構對公司治理和績效的影響；然後從證券公司董事會、鑑事會、高層管理人員激勵角度，運用對比分析法與大型證券公司進行對比分析，併給齣研究結論和建議。
종고권결구화법인치리결구량개방면대중소증권공사치리궤제진행연구，수선종고권집중도화고권류동성적각도분석료중소증권공사적고권결구분포현상，이급고권결구대공사치리화적효적영향；연후종증권공사동사회、감사회、고층관리인원격려각도，운용대비분석법여대형증권공사진행대비분석，병급출연구결론화건의。
The governance mechanism of small and medium-sized Securities company is studied from two aspects, namely the ownership structure and corporate governance structure. Firstly, the distribution status of equity structure of small and medium-sized securities company is analyzed from the angles of equity concentration and equity liquidity, and the influence of equity structure on the corporate governance and performance is discussed. Then from the angles of board of directors of the company, securities supervisors, senior managers, a comparison is made with the big securities firms by using the method of comparative analysis. Finally, some conclusions and suggestions are given.
