我国家族企业治理法律问题研究

密 级：秘密 分 类 号 ：10075 学校代码：10075 学 号：20090214 法学硕士学位论文 法学硕士学位论文 我国家族企业治理法律问题研究 学位申请人： 郭海燕 指 导 教 师 ： 赵金龙 教授 学 位 类 别 ： 法学硕士 学 科 专 业 ： 民 商 法 学 授 予 单 位 ： 河北大学 答 辩 日 期 ： 二一二年六月 Classified Index： CODE：10075 U.D.C： NO：2009021420090214 A Dissertation for the degree of M. Law The Pattern of Chamber of Commerce Provisions Candidate : Guo Haiyan Supervisor: Zhao Jinglong Academic Degree Applied for: Master of Law Specialty : Civil and commerce Law University: Hebei University Date of Preface Oral Examination:June,2012 摘 要 I 摘 要 发达国家大量的存在着家族企业，同时发展中国家也是这种情况。从手工时代到机 器大工业时代，家族企业对人类社会的经济发展、社会进步发挥着不可估量的作用，历 来是主要的企业形式。家族企业在改革开放以来取得的成就是巨大的，但是也存在着不 容忽视的问题。家族企业治理面临着更为复杂的法律问题，对此进行深入研究对我国家 族企业的发展至关重要，近年来法学界、社会学界、经济学界的关注度逐渐提高。家族 企业建立起科学有效的治理结构，加强内部治理与外部治理，保障投资者、经营者及各 个利益相关人的利益是法律亟待解决的问题。 家族企业治理的优劣，不仅关系到企业本身的竞争力、创新能力以及经营绩效，而 且是发展一国经济乃至全球经济的重要因素。我国家族企业公司数量众多，但是多而不 强、治理机制不完善的问题很突出。只有打牢保障我国经济长期平稳较快发展的微观基 础，不断提高我国的综合国力、国际竞争力和风险抵御能力，建立完善的家族企业治理 制度，才能使家族企业真正成为严格规范、充满活力、富有效率的市场主体。公司治理 问题是公司法研究领域一个重要的方面，在西方发达国家已取得了不小的研究成果。在 上市公司及国有大中型企业的理论研究方面，公司治理问题非常受青睐，关于家族企业 治理的研究则非常薄弱。纵观我国的研究现状，经济学领域以及管理学对家族企业的关 注和研究要远远多于法学领域。加大对家族企业治理的关注和研究力度，可以促使人们 对我国家族企业组织制度的有更好更全面的认识， 有助于建立富有成效的家族企业治理 模式。 本文以法学为基础，探讨家族企业治理的基本理论和运作问题，一些管理学、经济 学等领域的研究成果是本文的重要参考资料。通过对家族企业治理问题法律视角的分 析，期待对家族企业的发展有一定的贡献。 关键词 关键词 家族企业 公司治理 治理结构 法律制度 Abstract II Abstract Asset securitization market in the Internet age in a paperless virtual environment, in the listed securities issuers and transaction settlement process, there will always be a securities information asymmetry and information disclosure is not enough to happen. In the process of information transmission, there may be a bad insider trading, operation of the market situation has seriously affected the stable and healthy development of the paperless securities market, paperless securities market regulation facing great challenges. Securities trading practice dues to the particularity of the paperless securities rights and interests of the carrier is not only in accordance with the Companies Act, the “Securities Act“ and “Negotiable Instruments“ and other traditional securities specification, but also to comply with the relevant laws and regulations of e-commerce. Through analysis and research on the economic reality and the theory of the securities industry, I hope to play a certain role in promoting the improvement of China's securities regulatory regime. This study will adopt comparative analysis of law and economics, empirical analysis, and comparative analysis of the study do own some modest to promote the healthy development of the paperless securities market in China. This study on the basis of describing the basic theory of the paperless securities regulators made detailed analysis of the U.S.、EU and international securities regulatory organizations already have specific regulatory system, and combined with the U. S. and the EU some new financial regulatory reform in the last couple of years after the financial crisis to grasp its value orientation and reform movements. Then I hoped that suggests changed regulatory philosophy, constantly improve the relevant legislation of paperless securities regulators, hope that by updating the paperless securities regulatory measures, timely and effective response to the security risks of the securities trading system , while continue to strengthen investor protection efforts, correct securities regulatory regime to be biased towards the regulation of administrative responsibility, improve oversight mechanisms of justice in civil liability and administrative responsibility and criminal liability, to build China's Abstract III financial regulatory agencies and international securities and financial regulatory agencies between information sharing and cooperation mechanisms, in hopes of deepening the study of our paperless securities regulatory regime and securities laws perfection beneficial to promote China's securities and financial markets has a standardization, legalization, international moving. Keywords Paperless securities Regulatory regime Financial reform Regulation Conception Investor Protection 目 录 IV 目 录 序 言··································································································································· 1 第 1 章 家族企业治理概述································································································· 3 1.1 公司治理的理论基础································································································· 3 1.1.1 公司治理的定义及法律特征·············································································· 3 1.1.2 公司治理的理论基础 ························································································· 5 1.2 家族企业概述············································································································· 6 1.2.1 家族企业的定义········································································