国有企业治理结构研究肌.docVIP

国有企业治理结构研究 作者姓名： 学科（专业）： 申 请 人： 指导教师： 职 称： 学位类别： 论文起止年月： 年 月 至 年 月 摘 要 本文分别从大股东的持股比例、中小股东对大股东的制衡、董事长和总经理是否二职合一、独立董事在董事会中所占的比例和高级管理人员的薪酬五个方面对国有企业的治理结构进行了分析。提出国有企业治理结构存在的一些问题，在大股东持股比例中存在着公司权利失衡，股权过于集中，大股东操纵股东会，及大股东侵占中小股东权益的问题；在董事长和总经理是否二职合一中存在着我国国有企业“两权分离”有难度和缺乏总经理人才的问题；在独立董事在董事会中所占的比例中存在着独立董事的任职条件存在疏漏，独立董事的选任程序不合理，独立董事的职业倾向和知识结构存在偏差的问题；在高级管理人员薪酬方面存在着只有奖励措施，却没有惩罚机制，高级管理人员与职工的观念、认识尚不到位，发放对象难以有效确定，标准的确立尚不规范、总体水平仍然较低，激励力度不够，激励效果不具有持续性，激励和约束措施不对称，风险收入部分的性质与定位不明确等问题。并提出推进股权多元化，确保所有者到位，健全独立董事制度，健全对经营者的激励机制等内部治理的建议以及加强市场对国有企业的激励与约束，加强政府对国有企业的激励与约束等外部治理的建议。 关键词 治理结构；大股东持股比例；中小股东；董事长与总经理；独立董事；Abstract This paper mainly analyses the management structure of state-owned enterprise from five aspects： the proportion of major shareholders’ stake, medium and small shareholders’ balancing to the major shareholders, whether the duties of chairman and general manager unite or not, the proportion of independent directors in the board of directors and the salaries of senior management personnel. Then it comes to the conclusion that there are some problems existing in the management structure of state-owned enterprises. From the aspect of the proportion of major shareholders’ stake, the problems are companies’ unbalanced rights, the shareholding is too assembling and major shareholders occupy the rights and interests of small ones； in the area of unifying the duties of chairman and general manager, it is difficult to achieve the goal of “separated rights” and it is greatly lack of the talents who are qualified to general managers； the conditions of an independent director holding the post have omission in the proportion of independent directors in the board of directors, selecting procedure is unreasonable, and the independent directors’ vocational orientation and knowledge are not exactly correct； from senior management staff payment’s part, there is only reward system instead of punishment mechanism, the senior management and employees’ concepts and recognitions are not yet