上市公司独立董事的作用机制问题探究.doc

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摘要:近年来,独立董事成为我国上市公司治理问题研究的一个热点,很多学者从理论和实证角度对其进行了研究。独立董事制度已经在我国上市公司普遍推行,其主要目标是完善我国的上市公司治理结构,监督制约控股股东和内部控制人。

    本文旨在研究上市公司独立董事的作用,首先是独立董事的概念理解,独立董事独立性的研究,了解到影响独立董事独立性的因素,从而阐述本文的重点内容——独立董事的作用机制,从基本的作用机制到独立董事对我国上市公司的独特作用,从而研究独立董事的作用机制。然后本文中指出了独立董事存在的问题,从独立董事本身的独立性问题,到外部环境对独立董事的影响、股权集中对独立董事造成的影响以及独立董事的来源,这些因素都造成了独立董事没有真正很好地发挥出自己的职责,没有维护好股东特别是中小股东的合法利益。最后,根据所提出的问题,找出解决问题的具体措施,使得独立董事在上市公司里更好地完成其职能,从而完善我国上市公司的治理。

关键词:独立董事  独立性  作用机制  问题  完善措施

 

ABSTRACT:In recent years, the independent directors of listed corporate governance issues become a hot research topic, many scholars from a theoretical and empirical perspective of its research. Independent director system has been widely implemented in China's listed companies, whose main goal is to improve our corporate governance structure, the controlling shareholder of supervision and internal control people.

   This paper aims to study the role of independent directors of listed companies, from conceptual understanding of independent directors, independent directors to the independence of research, understand the factors that affect the independence of independent directors, which leads to the role of independent directors, From the basic mechanisms of action to the independent directors of listed companies in China's unique role in order to investigate the mechanism of independent directors. This article pointed out the problems of independent directors, independent directors from their independence, to the external environment on the impact of independent directors, ownership concentration on the impact of independent directors and independent directors sources, These factors have caused the independent directors did not really play well to their duties, there is no safeguard shareholders, especially minority shareholders' legal interests. Finally, on the basis of the issues raised, and to identify concrete measures to solve the problem, making the independent directors of listed company to better fulfill its functions, thereby improving the governance of listed companies in China.

Key words:  independent directors; independence; mechanism of action; issues; adequate measures