基于证券公司投资咨询业务的公司治理结构分析-PAGE43-摘要近年来，伴随着我国社会主义市场经济的健康有序发展，证券市场发展十分迅速，作为证券市场重要参与者的证券公司不断成长，证券公司的发展对我国资本市场乃至国民经济的发展具有十分重要的意义。但是，在证券市场迅速发展的过程中，许多证券公司的治理缺陷逐步显现，制约了其进一步发展，更有可能严重损害股东和广大投资者的利益，削弱证券市场的融资功能，进而对我国社会主义市场经济的健康发展，产生不利影响。因此，对完善证券公司治理结构的研究有着十分重要的理论价值及现实意义。本文旨在通过对国内发展较成熟的证券公司的治理结构进深入分析，发现我国证券公司治理结构中存在的问题，并借鉴成熟经验，提出完善治理模式的对策。关键词：证券公司；治理结构；投资咨询AbstractInrecentyears,withthehealthyandorderlydevelopmentofoursocialistmarketeconomy,securitiesmarkethasdevelopedinarapidpace.Asimportantparticipantsofthesecuritiesmarket,securitiescompanieshavedevelopedcontinuously,whichisofgreatsignificancetothedevelopmentofourcapitalmarketandeventothewholenationaleconomy.However,intheprocessofsecuritiesmarket’srapiddevelopment,governancedefectshaveappearedinmanysecuritiescompanies,whichrestricttheirfurtherdevelopmentandmorepossiblyencroachupontheinterestsofshareholdersandthebroadmassesofinvestors,weakenthefinancingfunctionofsecuritiesmarketandthenexertanunfavorableinfluenceonoursocialistmarketeconomy.Therefore,researchonperfectingsecuritiescompanies’governancestructureisofgreattheoreticalandpracticalmeaning.Thisarticleaimsatfindingouttheproblemsinoursecuritiescompanies’governancestructurethroughcomparingtheirgovernancestructurewiththatoftheirforeigncounterpartswithlongdevelopmenthistory,andputtingforwardsolutionsofperfectinggovernancestructurebydrawingonmatureexperiencesofforeignsecuritiescompanies.KeyWords:SecuritiesCompanies;GovernanceStructure;Investment目录TOC\o"1-2"\h\z\uHYPERLINK\l"_Toc321054513"摘要PAGEREF_Toc321054513\h1HYPERLINK\l"_Toc321054514"前言PAGEREF_Toc321054514\h4HYPERLINK\l"_Toc321054515"第一章导论PAGEREF_Toc321054515\h4HYPERLINK\l"_Toc321054516"第一节研究背景及研究问题的提出PAGEREF_Toc321054516\h4HYPERLINK\l"_Toc321054517"第二节研究目的与意义PAGEREF_Toc321054517\h5HYPERLINK\l"_Toc321054518"第三节研究方法及内容PAGEREF_Toc321054518\h8HYPERLINK\l"_Toc321054519"第二章基础理论及文献回顾PAGEREF_Toc321054519\h9HYPERLINK\l"_Toc321054520"