董事注意义务研究

【作者】 徐朝阳；

【导师】 赵可星；

【作者基本信息】 郑州大学 ， 法律， 2004， 硕士

【摘要】 强化董事的义务和责任是完善公司治理结构的重要一环。我国公司法对董事注意义务的规定很不完善。本文主要是通过比较分析的方法，从分析董事义务产生的法理基础入手，通过对两大法系公司立法上对董事注意义务的规定的论述，结合我国的实际情况，提出完善我国公司立法中关于董事注意义务规定的思路。除引言和结语外，全文共分五部分。 第一部分是对董事义务的产生基础和基本分类的研究。主要从董事与公司的关系上以及法理学、民法、公司法理论分析董事义务的产生基础。同时认为董事义务的基本分类是董事的忠实义务和注意义务，在理论上有必要将两者区分开来。 第二部分是对董事注意义务的内容的研究。在对两大法系关于董事注意义务的立法例进行介绍和比较的基础上，认为注意义务的表现形式包括技能义务、谨慎义务、勤勉义务和监督义务。 第三部分是对董事违反注意义务的责任的研究。包括对公司的责任和对第三人的责任，对注意义务的不同判断标准进行了评价，归纳了董事违反注意义务的救济方式和与注意义务相关的责任免除情形并进行了评价。 第四部分是对我国公司立法关于董事注意义务的研究。评价了我国公司立法关于董事注意义务的规定，认为我国公司立法实际上已经规定了董事注意义务，但是比较粗疏，缺乏对注意义务的一般性和原则性规定，对注意义务的判断标准也没有规定。在立法上完善对董事注意义务的规定，不仅是理论上的逻辑要求，而且是客观现实的需要。完善我国公司立法中关于董事注意义务的规定，应当明确公司与董事之间的委任关系，对注意义务作出原则性的规定。在判断标准的选择上，提出“修正的综合标准说”。同时对董事对第三人的责任和董事责任的追究提出了思路。 第五部分是对我国公司立法上注意义务的配套机制的研究。论述了通过健全激励机制和诉讼机制，来保障注意义务能得以履行。与激励机制相对应，注意义务属于约束机制的范畴。在激励机制的构建上，应坚持“三个结合”，同时选择恰当的激励方式。健全的诉讼机制一方面可以保障董事在违反注意义务时责任的实现，另一方面可以从反向上促进董事注意义务的履行和实现。在分析现行公司法规定的诉讼机制存在的不足的基础上，提出完善诉讼机制的思路。更多还原

【Abstract】 Strengthening the duties and responsibility of director is an important part of perfecting corporate government. There is some imperfection in Chinese corporate law at present. This thesis aims at providing some suggestion about amending Chinese corporate legislation mainly through comparative analysis, and combines the corporate legislations of common law countries and that of civil law countries, paying adequate attention to Chinese reality. The thesis consists of five chapters, besides preface and conclusion.Chapter one focuses on the basement and basic classification of director’s duties. Its analysis covers jurisprudence, civil law, corporate law and other legal fields, and its conclusion is that the difference of the director’s royalty duties between the care duties is necessary in theory, as a basic classification.Chapter two makes research on the content of duty of care. After comparing the two different legislations between civil law and common law about duty of care, it insists on duty of care including duty of diligence, monitor, and skill.Chapter three mainly focuses on the responsibility of director when infringing duty of care, including the responsibility for the third party. It evaluates the different judge standards, concluding the remedy and exemption of responsibility.Chapter four analyses the duty of care in Chinese corporate legislation, commenting on the articles at present. It insists on duty of care has been prescribed in Chinese corporate law actually, in spite that it is not so concrete: there is no general principle and specific standard in Chinese corporate law. It is very necessary to perfect duty of care to satisfy the demand from both theory and reality. Specifically speaking, it consists of the trust relationship between coiporate and directors, general principle about duty of care, the combined standard and the duty to the third paity.Chapter five pays attention corresponded mechanism of duty of care, including incentive and litigation mechanism. Incentive mechanism is necessary part to duty of care, because the former is propellant of the latter, while the litigation serves as theenforcement of duty of care. "Three combine" is an important principle to incentive mechanism, and perfecting litigation is not neglected at the same time.更多还原