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中国证券公司的法人治理结构存在着较大的缺陷 :外部治理机制缺位 ,法人治理结构缺乏规范 ;股东大会流于形式 ;董事会治理机制虚置 ,监事会制度欠缺 ;缺乏有效的激励约束机制 ,经理人员的工作热情未被有效激发等。诸多缺陷使得中国证券公司管理无法深化 ,业绩无从提升。为了切实提升中国证券公司绩效 ,提升中国证券市场的市场深度 ,必须创新证券公司的法人治理结构 :规范外部治理机制和外部竞争环境 ;规范股东大会、董事会、监事会和经理层之间的关系 ;建立独立董事制度、完善并增强监事会功能 ;建立和完善风险监控机制和信息披露机制 ;实施有效的适合各公司特点的人才激励约束机制。
The corporate governance structure of China’s securities companies has big flaws: the lack of external governance mechanism, the lack of standardization of corporate governance structure, the mere formality of shareholders’ general meeting, the weak governance of the board of directors and the lack of a system of board of supervisors, and the lack of an effective incentive and restraint mechanism. Staff enthusiasm has not been effectively motivated. Many defects make the management of China’s securities companies can not deepen, the performance can not be improved. In order to effectively enhance the performance of Chinese securities companies and enhance the market depth of China’s securities market, we must innovate the corporate governance structure of securities companies: to standardize the external governance mechanism and external competition environment; to regulate the relations between the shareholders’ general meeting, the board of directors, the supervisory board and the managers; Independent director system, improve and enhance the functions of the board of supervisors, establish and improve the risk monitoring mechanism and information disclosure mechanism, and implement effective incentive and restraint mechanisms for qualified personnel of each company.