上市公司招股章程概要的体裁分析

论文摘要

在学术和专门英语用途领域已经进行了不少关于体裁分析的研究，但对于更专业的商务领域中的常见语篇如招股章程等的分析尚不多见。当一个公司要上市吋，需要向交易所提交招股章程，经审批后向公众公布以达到融资的目的。概要位于招股章程的开头，是招股章程不可或缺的重要组成部分。本文旨在揭示招股章程概要的语步结构和体裁结构潜势以及招股文件的语篇特点。本研究所选语料均随机从自香港创业板的招股章程中抽选，拟采用斯威尔斯学派(Swales)理论框架分析概要的交际目的，总结出其体裁结构模式，然后通过澳大利亚学派哈桑(Hasml)的体裁结构潜势理论分析概要中各语步的排序并揭示其中必要和可选语步，得出其体裁结构潜势、语言和语篇特点。经过数据统计，此研究发现摘要是由10个语步组成，其中形象树立，蓝图规划，财务回顾，所得款项用途，认购要求，配售数字，出售股份限制，风险评估属于必选语步；而优势凸显和作出公告则属于可选语步。之后对于所有语步选择的解释和策略的研究则从商务和法律方面来揭示了此类体裁有别于普通英语的复杂性和专业性，而且对于体裁法的商务英语教学有一定启示作用。

论文目录

• Acknowledgements
• Abstract
• 摘要
• List of Abbreviations
• Chapter 1 Introduction
• 1.1 Research Background
• 1.2 Rationale
• 1.3 Research Method
• 1.4 Objectives and Research Questions
• 1.5 Structure of the Thesis
• Chapter 2 Literature Review
• 2.1 Previous Studies of Genre Analysis from Various Perspectives
• 2.1.1 Australian Systemic School
• 2.1.2 The Swalesian ESP School
• 2.1.2.1 Definition of genre
• 2.1.2.2 Swales' Move-step Model
• 2.1.3 A Pragmatic Perspective by Brian Paltridge
• 2.2 Previous Studies of the Prospectuses of Listed Companies
• 2.3 Summary
• Chapter 3 Theoretical Framework
• 3.1 Working Definitions of Some Key Terms
• 3.1.1 Move
• 3.1.2 Strategy
• 3.2 The Macro Perspective
• 3.3 The Micro Perspective
• 3.4 A Tentative Theoretical Framework
• 3.5 Summary
• Chapter 4 A Move Structure Analysis of the Summary
• 4.1 Overview
• 4.2 Situating the Summary in the Whole Prospectus
• 4.3 Identification of the Summary in Prospectus as a Genre in view of its Communicative Purpose
• 4.4 A Move Analysis of the Summary
• 4.5 A Sample Analysis of Move Structure
• 4.6 Description of All the Moves Identified in the Corpus
• 4.7 A GSP Model of the Summary of the Prospectus
• 4.8 Discussion: Interpretation on the Obligatory and Optional Moves in the Summary of the Prospectus
• 4.8.1 Discussion 1: Image Building
• 4.8.2 Discussion 2-Blueprint Presentation
• 4.8.3 Discussion 3-Financial Review
• 4.8.4 Discussion 4-Allocating Proceeds
• 4.8.5 Discussion 5-Placing Statistics and Restriction on Disposal of Shares
• 4.8.6 Discussion 6-Risk Reporting
• 4.8.7 Discussion 7-Reinforcing Credentials
• 4.8.8 Discussion 8-Making Announcements and Restrictions on Subscription of Shares
• Chapter 5 Strategies Associated with Different Moves
• 5.1 Use of Headlines and Subheadlines
• 5.2 Use of Positively Evaluative Words
• 5.2.1 Adverbs
• 5.2.2 Adjectives
• 5.2.3 Verbs
• 5.3 Preference of Formal Lexicon
• 5.4 Stylistic Features of Legal English
• 5.4.1 Lexical Features-Nominalization
• 5.4.2 Use of Doublets and Triplets
• 5.4.3 Use of Long Sentences as a Syntactic Feature
• 5.5 Use of Hedges
• 5.6 Summary
• Chapter 6 Conclusion
• 6.1 Summary of the Findings
• 6.2 Implications
• 6.3 Limitations of the Research and Suggestions for Future Study
• References
• Appendix