针对我国证券业公司治理中的不足,本文挖掘证券公司治理与风险管理的密切关系,梳理我国证券公司现存的治理安排,从中小股东权益、董事会责任、独立董事法人约束、管理层激励等方面出发,提出了可操作性强的具体实施方案和措施,在此基础上,进一步围绕风险管理优化并建立具有独创性的证券公司有效治理模型。 Aiming at the shortcomings in the corporate governance of the securities industry in our country, this paper explores the close relationship between the corporate governance and risk management in securities companies, combing the existing governance arrangements of securities companies in our country, proceeding from the rights and interests of the minority shareholders, the responsibilities of the board of directors, the legal person’s restraints of independent directors and the management incentives , Put forward practical and practical implementation plan and measures. On this basis, we further optimized and established an original model of effective governance of securities companies around risk management.