【作者】 刘沣涛；

【导师】 朱慈蕴；

【作者基本信息】 清华大学 ， 民商法， 2003， 硕士

【摘要】 引入独立董事制度，完善上市公司治理结构，已成为目前我国公司法研讨的热点问题。独立董事制度本是英美国家公司法中的一项监督制度，而我国公司监督机制、法律实践以及相关背景与英美国家差异很大。随着独立董事制度在我国的引入和实施，在我国公司治理结构中实际出现了独立董事与监事会并存的局面，由此形成了独立董事制度和现有的监事会制度在监督职能上多个方面的重叠与冲突。本文认为，独立董事制度与监事会制度是产生于不同历史背景和经济环境之下的两种不同的公司监督制度，虽然其职能相近、异曲同工，但在监控功能的发挥上又有着不同特点，恰好存在着互补性。这种互补性为两种制度在我国的并存提供了可能，同时也是我们合理地协调二者关系、解决二者矛盾的前提和基础。为了做好协调，我们一方面应当对引进的独立董事制度进行改造，不可全盘照抄，另一方面也要重视对我国现有公司监督资源――尤其是监事会制度的充分发掘、有效利用和积极改进，从而建立一种独立董事制度与监事会制度和谐共处的具有中国特色的公司监督机制。本文从历史起源、制度背景及职能等方面对独立董事制度与监事会制度进行了比较权衡，既阐释了独立董事制度与我国固有的监事会制度存在的冲突，又分析了这两种制度各自具有的优劣之处及存在的互补性；提出从二者监控功能的不同特点出发对其各自的功能进行合理定位，做好职权划分，避免职能交叉和冲突，使其各司其职，各负其责，相互配合。同时提出立足我国的现实状况对引进的独立董事制度和我国原有的监事会制度进行相应的改造和完善，并对架构二者关系、实现二者协调的相关制度安排提出建议，以期使其共同为完善我国公司治理结构发挥应有的作用。更多还原

【Abstract】 Introducing the system of independent director into china to perfect corporate governance now has become a hot issue in study of company law in our country. Along with the system being introduced and put into practice, a situation that independent director and supervisory board coexist is formed in practice in our country’s corporate governance. This leads to the overlap and conflict between their functions in many aspects. This paper is of the opinion that, the independent director system and supervisory board system are two different supervisory systems of company, developed from different historical background and economic environment. Although they resemble each other in their obligations, they have got different characteristics in supervisory function’s exertion, so they have the specific property of mutual supplement. The property not only provided the possibility for these two kinds of systems to coexist in our country, but also is the premise and base in moderating their relation and solving their antinomy reasonably. On the one hand, we should refine the independent director system introduced into china; on the other, we also should pay attention to the valid exploitation and positive improvement on our current resources of corporate supervision. Then, a mechanism of corporate supervision that has Chinese specialty can be established, by which independent director and supervisory board can harmoniously get along with each other.In this paper, I make a comparison between the independent director system and supervisory board system in aspects of origins, background and functions, and analyze not only the conflict between them, but also the advantages and the disadvantages each of them has, and the specific property of mutual supplement. I think that the range of their power should be made clear based on their different characteristics on supervisory function, avoid intersecting and conflicting, make them each attend to its own duties, and cooperate with each other. Meanwhile, I believe that we should improve and perfect the independent director system and supervisory board system based on the background in today’s china, and my thoughts are presented on designing the system in dealing with their relation, realizing their coordinating, their full functions can be exerted together in perfecting our country’s corporate governance.更多还原