东北农业大学学士学位论文学号：中国商业银行股权激励制度研究ResearchonCommercialBankofChinaEquityIncentiveSystem学生姓名：指导教师：于威所在院系：经济管理学院所学专业：金融学研究方向：金融学东北农业大学中国·哈尔滨2011年5月摘要股权激励赋予经营者以物质资本所有者身份参与剩余权分配，促进经营者行为趋向股东利益最大化目标，银行属于高知识、高剩余分享敏感的行业，其经营绩效与经营管理者的努力有着密切的关系，将股权激励机制运用到银行中是一种行之有效的激励方法。本文将委托-代理理论、实证分析法贯穿文中，第一章前言对研究我国商业银行实施股权激励制度的意义和动因作了简要的说明，第二章概述了股权激励制度的理论基础，第三章分析了我国商业银行实施股权激励制度的发展现状，第四章谈到了我国商业银行实施股权激励制度遇到的具体问题，文章最后提出了相应的解决方法，诸如发挥独立董事和监事会的作用、行权价格指数化、以业绩为导向行使股权奖励等，进一步完善了我国商业银行的公司治理结构。关键词：商业银行股权激励委托-代理ResearchonCommercialBankofChinaEquityIncentiveSystemAbstractEquityincentivesgiventomanagerstoparticipateasownersofphysicalcapitalallocationofresidualrights,andpromotetheinterestsofoperatorsbehaviortendtomaximizetheobjectivesoftheshareholders,thebankisahighknowledge,highsurplussharingsensitiveindustry,itsoperatingperformanceandtheeffortsofmanagerscloselytherelationshipbetweenequityincentiveswillbeappliedtothebanksisaneffectiveincentivemethod.Inthispapertheprincipal-agenttheory,empiricalanalysisthroughoutthetext,chapterintroductiontothestudyofcommercialbankofChinasignificanceoftheimplementationofequityincentivesystem,andabriefdescriptionofmotivation,thesecondchapteroutlinesthetheoreticalbasisofequityincentivesystem,thethirdchapterofcommercialbankofChina'sdevelopmentoftheimplementationofequityincentivesystemstatus,chapterfourofChina'scommercialbankstotheimplementationofequityincentivesystemspecificproblemsencountered,thearticleconcludeswithacorrespondingsolution,furtherimprovingourcorporategovernancestructureofcommercialbanks.Keywords:commercialbankequityincentiveprincipal-agent目录摘要............................................................................................................................................IAbstract............................................................................................................................................II1前言........................................................................................................................................11.1本研究的目的与意义..........................................................................................11.2国内外研究文献综述..........................................................................................11.3本研究的主要内容...............................................................................................32股权激励机制的理论基础...................................................................................................32.1股权激励的含义...................................................................................................32.2股权激励的模式...................................................................................................32.3股权激励的基本理论..........................................................................................43我国商业银行股权激励制度的发展现状......................................................................
