【作者】 吴柯；

【导师】 杨忠孝；

【作者基本信息】 华东政法学院 ， 法律， 2006， 硕士

【摘要】 现代公司治理结构中,所有权与控制权日益分离,以内部董事及高层管理人员甚至大股东为代表的内部人实际控制着公司,公司和中小股东利益面临受到极大损害的风险,这种现象在我国上市公司尤其严重。因此,近年来我国从国外引入独立董事制度以减少这种现象,改善公司治理。然而迄今为止,关于独立董事的相关法律制度还很不完善,尤其对于独立董事的民事责任还没有形成系统的制度规定,对于独立董事民事责任限制方面的规定仍属空白。本文试从实体法的角度对我国独立董事民事责任制度作系统的理论与实践探讨,以求对未来我国独立董事民事责任制度的相关立法提供些须参考。本文全文共分三部分,约31,000字。文章第一部分从独立董事与公司的关系角度探讨了独立董事承担民事责任的理论基础,并从我国上市公司实际存在的“内部人”情况阐述了独立董事制度的价值及独立董事作为民事责任主体的重要性。第二部分探讨了我国独立董事民事责任如何实现的问题。首先从独立董事的义务角度对我国独立董事应承担的各项零散的民事责任作了一个清晰的回顾,分析了独立董事注意义务及相关民事责任的特殊性,提出立法上需要补充规定独立董事贻于履行注意义务的民事法律责任。接着阐述独立董事承担民事责任的先决条件,主要从独立董事的任职资格和选任方式上进行说明并指出在独立董事的选任上可以采取“大股东回避制”以保持独立董事的独立性。最后就独立董事民事责任的追究作了一些探讨,这一节从二个方面进行阐述,首先明确了独立董事承担民事责任的对象,并对独立董事对公司债权人的民事责任作了一些分析。之后根据我国独立董事民事责任的相关立法,阐述我国法律对于独立董事违反注意义务、忠实义务及守法义务所产生的民事责任采用的是过错推定责任原则。第三部分介绍了独立董事民事责任的限制与保险。该部分第一节首先阐述了独立董事民事责任限制的相关理论,接着介绍各国对独立董事民事责任进行限制的方式并分析了我国应对独立董事民事责任进行限制的客观原因,最后提出了对我国独立董事民事责任限制的立法建议,指出对独立董事民事责任的限制及免除应遵循适当的程序,应满足一定的条件。当独立董事违反监督经营的注意义务或参与的董事会决议违反法律法规,公司可以运用“经营判断原则”根据其是否无故意或重大过失的不当行为,以及是否无不当个人得利情况限制或免除独立董事对公司的民事责任。另外,独立董事对投资者应承担的民事责任可以通过法官依自由裁量权,参考“经营判断原则”进行限制。第三部分第二节则阐述了设立独立董事责任保险对独立董事民事责任进行限制以保护独立董事履职的积极性。更多还原

【Abstract】 Nowadays in the structure of modern corporate governance, proprietorship and power of operating are widely disjunctive. Inside directors and senior managers even rich shareholders are controlling corporate in practice. The corporate, middle and little shareholders’benefits are in danger of being greatly damaged. This phenomenon is much serious in the listed companies of our country. Therefore independent director institution has been introduced these years to improve corporate governance. But till now, concerning law on independent director is incomplete. We do not have systematic regulations on independent director’s civil liability and limitation regulations on independent director’s civil liability stay in vacancy. This paper tries to probe from the angle of substantial law and legal practice so as to propose some advice on concerning legislation to independent director’s civil liability in future. The paper is divided into three chapters, totally about 31,000 words.Chapter 1 probes the basic theory on independent director’s civil liability and expounds value and importance of independent director institution.Chapter 2 discusses on how to realize independent director’s civil liability. At first, the author gives a review on independent director’s civil liability. The author also analyzes particularity of independent director’s notice liability and suggests that relative civil liability should be added when independent director idles about his notice liability. Then the author expounds from the angel of post qualification and appointment to present precondition of independent director’s undertaking civil liability. The author points out that“rich shareholder’s evasive institution”can be used to keep independent director’s independence. The author finally probes how to investigate and affix independent director’s civil liability from 2 aspects. The first aspect ascertains to whom independent directors should undertake his civil liability. The second aspect analyzes that current Chinese law uses fault deduction liability principle to confirm independent director’s civil liability.Chapter 3 introduces limitation and insurance institutions for independent director’s civil liability. The first part of this chapter dissertates concerning theory on limitation of independent director’s civil liability. Then expounds the method to limit independent director’s civil liability throughout the world and analyzes the reason why independent director’s civil liability should be limited in our country. Finally this part proposes some advice on legislation of liability limitation for independent director. The author suggests that there should be proper procedure and precondition when limiting and relieving independent director’s civil liability. The corporate can limit or relieve independent director’s civil liability by exercising“Business Judgment Rule”when he breaks the notice liability or law-abiding liability but has no serious defect or not intent and has no improper benefit. The judge can apply“Business Judgment Rule”to limit or relieve independent director’s civil liability when he breaks the notice liability or law-abiding liability to investors but has no serious defect or not intent and has no improper benefit. The second part of chapter 3 dissertates to set up insurance institution to limit independent director’s civil liability.更多还原