我国上市公司独立董事制度研究

【作者】 顾闻；

【导师】 张国平；

【作者基本信息】 南京师范大学 ， 民商法学， 2008， 硕士

【摘要】 独立董事制度是有效的公司法人治理结构的一个重要组成部分,该制度是英美国家“二元制”公司治理结构下的产物。我国为“二元制”公司治理结构,引入独立董事制度的关键是如何处理好独立董事制度与“二元制”公司治理结构的冲突与协调问题。另外,目前我国上市公司存在着一股独大、监事会功能虚置、董事会独立性不强等问题,而独立董事制度恰恰能弥补现有公司治理的缺陷,解决以上弊端。因此我国上市公司引入独立董事制度既具有理论价值又具有现实意义。本文第一章从历史背景和立法沿革两个角度分别考察了独立董事制度在英美国家的缘起和发展以及该制度在我国的产生和发展历程。本文第二章分析了我国引入独立董事制度的必要性。首先通过比较该制度在英美国家和在我国的不同角色定位和法律功能,使我们了解到独立董事制度在我国有其特殊使命。接着分别从权力制约和解决公司治理弊端两个方面分析了我国引入独立董事制度的必要性。本文第三章论证了我国引入独立董事制度的可行性。首先总结了独立董事制度在英美国家60多年来的成功经验,为我国引入独立董事制度提供了良好的示范作用。接着列举了其他国家引入独立董事制度的例子,用实践证明了该制度具有可移植性。最后重点论述了如何处理独立董事制度与我国监事会制度的冲突与协调问题。本文第四章通过与国外独立董事制度的对比,分析了我国独立董事制度在实践运行中存在的问题并且提出了笔者完善该制度的具体建议。即我国应当增强独立董事的独立性、完善激励薪酬制度、权力机制及责任机制。更多还原

【Abstract】 Independent Director System is an important part of Corporate Governance. This system was introduced in the countries of one orientation corporate governance mode .Being two orientation corporate governance structure, China has also applied this system, and have to deal with contradiction of independent director system and the two orientation corporate governance structure. Additionally, there are many problems in governance of China’s Listed Companies, while these defects can just be covered by independent director system. Therefore, both the theoretical value and practical significance exit in applying the independent director system.In Chapter one, I discuss the historical background and legislative history of Anglo—American countries and China.In Chapter two, I analyze the necessity of applying the independent director system. Firstly, I compare the different roles positioning and legal function of Anglo—American countries and China, so as to reflect the special mission of this system in China; Secondly, I explain that the independent director system can constraint the power and solve the defects in corporate governance of China’s listed companies.In Chapter three, I demonstrate the feasibility of the independent director system. Firstly, I conclude the successful experience more than 60 years since this system was created in Anglo—American countries, which can be a good example for China; Secondly, I list several countries, which has also applied this system, to prove the transplantation of the independent director system. Lastly, I focus on how to deal with the relationship of the independent director system and the Board of Supervisors.In Chapter four, through the comparison of the independent director system of China and abroad, I propose some suggestions to perfect this system, including, we should enhance the independence, pefect the Incentive Pay System, Power Mechanism, Accountability Mechanism.更多还原