公司治理簡介(文件)
【正文】 缺乏透明度 ? Few financing alternatives 融資渠道很少 ? Impact: 影響 ? No checks and balances 沒有制衡 ? Concentration of powers 權利集中 Characteristics by Type of Economy 經(jīng)濟模式的特點 12 Approaches to Corporate Governance 公司治理手段 ? Different models of corporate governance exist 公司治理存在不同的模式 – Unitary vs. twotier boards 單一與雙重董事會 – Diverse shareholder base vs. controlling shareholders 分散的股東基礎與股東控制 ? Our focus is on . model 我們主要研究美國模式 13 Critical Elements In Corporate Governance 公司治理的關鍵要素 ? Board of Directors 董事會 ? Senior Management 高級管理層 ? Control Functions 控制職能 – Internal Audit 內(nèi)部審計 – General Counsel 總法律顧問 – Risk Manager 風險管理經(jīng)理 14 Corporate Governance: . Model 公司治理：美國模式 ? Historical separation of corporate ownership and control 歷史上 ， 公司所有權和管理權分離 ? Diffuse nature of shareholder base makes rapid decision making difficult 股東基礎分散的特點導致快速決策困難 ? Board established to represent interests of shareholders (owners) 建立董事會代表股東 （ 所有者 ） 的利益 ? Management selected to direct corporation on a daytoday basis 選舉管理層指導企業(yè)的日常經(jīng)營活動 15 Board Responsibilities 董事會的職責 ? Decisions based on corporation’s interests 企業(yè)的利益是決策的基礎 ? Obtain relevant information for decision making 獲得制定決策的相關信息 ? Select petent executive officers and evaluate and pensate accordingly 選擇有才干的行政人員并給予相應的評定和報酬 ? Review and approve managementdeveloped strategy 審批管理層制定的戰(zhàn)略 16 Board Responsibilities, cont. 董事會的職責（續(xù)） ? Monitor bank financial performance 監(jiān)督銀行財務狀況 ? Monitor control environment 監(jiān)督控制環(huán)境 ? Ensure pliance with legal and regulatory requirements 確保合法合規(guī) ? Establish guidelines to govern board anization and procedures 制定董事會組織和議事程序規(guī)則 17 Board Committee Structure 董事會結(jié)構 ? Audit/Examining Committee 審計 /核查委員會 ? Nominating Committee 提名委員會 ? Compensation Committee 薪酬委員會 ? Loan Committee 貸款委員會 ? Risk Committee 風險委員會 ? Governance Committee 治理委員會 ? Executive Committee 執(zhí)行委員會 18 Sound Practices for Effective Boards 有效董事會的良好實踐 ? Competent, engaged directors 有才能、盡職的董事 – Careful director selection 慎重挑選董事 – Expertise linked to strategic focus 與戰(zhàn)略重點相關的專業(yè)知識 – Predominance of independent, outside directors 外部獨立董事的優(yōu)勢 – Initial and continuous director training 初始階段和持續(xù)的董事培訓 – Guidelines for other board service 董事會其他服務的規(guī)則 – Portion of pensation in equity 股權在報酬中的比例 19 Sound Practices for Effective Boards, cont. 有效董事會的良好實踐（續(xù)） ? Manageable Board size 便于管理的董事會規(guī)模 ? Involvement in key
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