ht公司治理优化方案分析-analysis of ht corporate governance optimization scheme.docx

HT 公司治理优化方案研究摘要2009 年 10 月 30 日，酝酿已久的创业板在中国开市，我国中小企业在资本市场迎来新 的机遇。HT 公司是一家在我国创业板上市的民营企业，和大多数民营创业板上市公司一样， HT 公司选择了大股东即实际控制人直接治理公司的剥夺型公司治理模式。这种治理模式在 体现实际控制人公司治理效率的同时，缺乏对小股东及公众股东利益的有效保护。本文中，笔者通过个案研究和文献研究的方法，全面掌握了 HT 公司的具体情况以及 整个创业板市场的整体特征，为本文的写作提供了有效的论据。在本文中，笔者从 HT 公 司所属的公司治理的类型出发，结合该公司股东大会、董事会、监事会、高级管理人员的 设置及运行情况，总结 HT 公司治理的实际状况，探究该公司在公司治理中存在的问题， 分析造成该公司治理存在问题的原因，并尝试寻找出了 HT 公司治理优化的具体的可行性 解决方案，也为创业板民营上市公司的公司治理提供了一个新的思路。关键词：公司治理，优化方案，创业板上市公司RESEARCH ON CORPORATE GOVERNANCE OPTIMIZATION SCHEME FOR HTABSTRACTWith the opening of the long-awaited GEM (Growth Enterprise Market) on 30th, August, 2009, Chinas SMEs (Small and Medium Enterprises) are in face of new opportunities in the capital market. As with the majority of the private enterprises listed in the GEM, HT chose to implement Deprived Governance in which the company is directly managed by the major shareholder, namely the actual controller of the enterprise. This mode has an advantage in reflecting the efficiency of corporate governance of the actual controller; however, it lacks effective protection for the small and public shareholders.Through case study and literature research, the paper presents effective argument based on comprehensive grasp of the specific circumstances of HT and the overall feature of the GEM. From the corporate governance type of HT, this paper considers the personnel organization and operation of the companys general meeting of shareholders, board of directors, board of supervisors and senior management; summarizes the actual environment of HTs corporate governance; explores the problems of their management; analyzes reasons leading to those problems; and tries to find out a feasible solution for the optimization of HTs corporate governance. The paper also provides a new view on corporate management for private companies listed in the GEM.KEY WORDS: Corporate Governance, Optimization Scheme, Listed Companies on GEM目录第一章 绪论 .....................................................................