本文選題：上市銀行 + 公司治理　； 參考：《蘭州理工大學(xué)》2013年碩士論文

【摘要】：所有權(quán)與經(jīng)營(yíng)權(quán)相分離是現(xiàn)代企業(yè)的一個(gè)重要特征,而這種“兩權(quán)分離”使股東與經(jīng)營(yíng)者之間形成了委托—代理關(guān)系。由于信息不對(duì)稱(chēng)和人的有限理性以及機(jī)會(huì)主義行為傾向,導(dǎo)致現(xiàn)代企業(yè)內(nèi)部人控制問(wèn)題和代理問(wèn)題的產(chǎn)生。為了有效地約束和控制經(jīng)營(yíng)者行為,使其決策能最大限度地符合所有者的利益,國(guó)內(nèi)外眾多學(xué)者對(duì)各種公司治理機(jī)制進(jìn)行了深入的研究。公司治理的內(nèi)容主要包括所有權(quán)結(jié)構(gòu)、董事會(huì)結(jié)構(gòu)、監(jiān)事會(huì)結(jié)構(gòu)、經(jīng)理層激勵(lì)及債權(quán)人權(quán)益等,合理的公司治理結(jié)構(gòu)會(huì)提高公司治理的有效性,從而促進(jìn)企業(yè)的績(jī)效提升。 本文在借鑒國(guó)內(nèi)外相關(guān)文獻(xiàn)的基礎(chǔ)上,首先對(duì)商業(yè)銀行公司治理的基本理論進(jìn)行闡述。然后運(yùn)用實(shí)證分析與規(guī)范分析相結(jié)合的方法,從所有權(quán)結(jié)構(gòu)、董事會(huì)、監(jiān)事會(huì)、經(jīng)理層、債權(quán)與股東利益、信息披露及治理與管理的匹配性七個(gè)角度構(gòu)建了上市銀行治理效率的指標(biāo)評(píng)價(jià)體系。在此基礎(chǔ)上采用模糊AHP分析法來(lái)確定各指標(biāo)的權(quán)重,并對(duì)上市銀行治理效率得分進(jìn)行排名,發(fā)現(xiàn)國(guó)有銀行的治理效率要明顯低于大部分商業(yè)銀行。接著根據(jù)我國(guó)上市銀行公司治理的現(xiàn)實(shí)狀況分析治理結(jié)構(gòu)中存在的問(wèn)題,得出股權(quán)結(jié)構(gòu)是影響銀行績(jī)效的關(guān)鍵因素,其次是董事會(huì)、經(jīng)理層的職能。論文的最后根據(jù)分析結(jié)果分別從政府和上市銀行自身的角度出發(fā)提出了有益建議。
[Abstract]:The separation of ownership and management rights is an important feature of modern enterprises, and the separation of two rights makes the relationship between shareholders and managers form a principal-agent relationship. Due to the asymmetry of information, the limited rationality of human beings and the tendency of opportunistic behavior, the problems of internal control and agency in modern enterprises arise. In order to restrain and control the operator's behavior effectively and make its decision accord with the owner's interests to the maximum extent, many scholars at home and abroad have carried on the thorough research to the various corporate governance mechanism. The content of corporate governance mainly includes ownership structure, board structure, supervisory board structure, manager level incentive and creditor rights and interests, etc. Reasonable corporate governance structure will improve the effectiveness of corporate governance, thereby promoting the performance of enterprises. On the basis of reference from domestic and foreign literatures, this paper first expounds the basic theory of corporate governance of commercial banks. Then using the method of combining empirical analysis and normative analysis, from ownership structure, board of directors, board of supervisors, managers, claims and shareholders' interests, The index evaluation system of governance efficiency of listed banks is constructed from seven angles of information disclosure and matching of governance and management. On this basis, fuzzy AHP analysis method is used to determine the weight of each index, and the listed banks' governance efficiency scores are ranked. It is found that the governance efficiency of state-owned banks is obviously lower than that of most commercial banks. Then, according to the reality of corporate governance of listed banks in China, the problems in governance structure are analyzed, and it is concluded that equity structure is the key factor affecting bank performance, followed by the functions of board of directors and managers. Finally, according to the analysis results, the paper puts forward some useful suggestions from the perspective of the government and listed banks.
【學(xué)位授予單位】：蘭州理工大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類(lèi)號(hào)】：F832.3

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本文編號(hào)：2010704