本文選題：國(guó)有獨(dú)資公司 + 獨(dú)立董事制度��； 參考：《中國(guó)政法大學(xué)》2011年碩士論文

【摘要】：獨(dú)立董事制度作為一項(xiàng)對(duì)于公司治理結(jié)構(gòu)的創(chuàng)舉性改革,最早出現(xiàn)于20世紀(jì)初的美國(guó),其設(shè)立目的主要是通過(guò)對(duì)于公司經(jīng)營(yíng)者的有效監(jiān)督,防止公司“內(nèi)部人控制”情況的發(fā)生、維護(hù)中小股東的利益,同時(shí)提高公司經(jīng)營(yíng)決策的科學(xué)性。獨(dú)立董事制度于作為一項(xiàng)法律移植制度被引入中國(guó)最初起于1997年,到2001年中國(guó)證監(jiān)會(huì)發(fā)布《關(guān)于在上市公司建立獨(dú)立董事制度的指導(dǎo)意見(jiàn)》,標(biāo)志著它第一次成為了一項(xiàng)強(qiáng)制性規(guī)定,必須被我國(guó)的上市公司所采納。自獨(dú)立董事制度確立已經(jīng)過(guò)去了十年的時(shí)間,它在我國(guó)被廣泛的應(yīng)用于上市公司的監(jiān)管和治理結(jié)構(gòu)改革方面,逐步在我國(guó)的上市公司中得到發(fā)展和完善。2006年《公司法》修正案對(duì)其進(jìn)行了正式的規(guī)定,第一次從法律層面對(duì)該制度進(jìn)行了認(rèn)可。 與此同時(shí),進(jìn)入20世紀(jì),我國(guó)的國(guó)有獨(dú)資企業(yè)作為國(guó)民經(jīng)濟(jì)的中堅(jiān)力量,在開(kāi)放性市場(chǎng)的環(huán)境下,處于快速發(fā)展的上升階段。出于提高公司經(jīng)營(yíng)效率、改善國(guó)有公司治理結(jié)構(gòu)的目的,國(guó)資委借鑒了新加坡淡馬錫公司的成功案例,于2004年開(kāi)始引進(jìn)外部董事制度,并在逐步開(kāi)展董事會(huì)改革試點(diǎn)工作,先后在多家中央企業(yè)中建立了外部董事制度,在實(shí)踐中取得了一定的經(jīng)驗(yàn)和成效。部分地方政府也先后出臺(tái)政策,在所屬國(guó)有獨(dú)資公司中引入該項(xiàng)制度。但我國(guó)國(guó)有獨(dú)資公司目前所執(zhí)行的外部董事制度,雖然名稱上有所變化,但根據(jù)其設(shè)立的實(shí)質(zhì)目的和相關(guān)規(guī)定實(shí)際上仍是獨(dú)立董事制度的移植和中國(guó)化,但在具體實(shí)行過(guò)程中因相關(guān)概念規(guī)定較為模糊、對(duì)獨(dú)立性要求較弱、制度設(shè)置不完善,其效能和作用都被相當(dāng)程度的弱化,不能充分實(shí)現(xiàn)完善治理結(jié)構(gòu)的功能。筆者認(rèn)為,在我國(guó)為了達(dá)到改善“內(nèi)部人控制”、提高公司經(jīng)營(yíng)管理能力的目的,不如直接在國(guó)有獨(dú)資公司中建立完善明確的獨(dú)立董事制度。 本文第一部分對(duì)獨(dú)立董事制度的概念、起源、特征以及制度設(shè)立的目的和作用進(jìn)行了一般性的介紹和闡述,并對(duì)獨(dú)立董事制度自產(chǎn)生后在世界發(fā)達(dá)國(guó)家中的發(fā)展情況進(jìn)行了簡(jiǎn)單敘述。 第二部分主要針對(duì)我國(guó)獨(dú)立董事制度進(jìn)行分析和闡述。首先簡(jiǎn)述了我國(guó)引入獨(dú)立董事制度的社會(huì)經(jīng)濟(jì)背景以及獨(dú)立董事制度在我國(guó)的確立過(guò)程,隨后對(duì)于目前我國(guó)在上市公司中確立的獨(dú)立董事制度存在的缺陷進(jìn)行剖析。 第三部分則是重點(diǎn)分析了我國(guó)國(guó)有獨(dú)資公司建立獨(dú)立董事制度的必要性。通過(guò)對(duì)我國(guó)國(guó)有獨(dú)資公司外部董事制度的引進(jìn)背景和確立過(guò)程的研究,對(duì)目前國(guó)有獨(dú)資公司中的外部董事制度在具體的立法和實(shí)施過(guò)程中存在的缺陷進(jìn)行闡述,并對(duì)在中國(guó)國(guó)有獨(dú)資公司內(nèi)成立真正的獨(dú)立董事制度的必要性進(jìn)行了分析,只有在國(guó)有獨(dú)資公司內(nèi)部建立真正的獨(dú)立董事制度,才能達(dá)到董事會(huì)改革的目的。 第四部分則是筆者通過(guò)對(duì)于目前各國(guó)獨(dú)立董事制度的相關(guān)規(guī)定的了解,結(jié)合中國(guó)本土情況和國(guó)有獨(dú)資公司的特點(diǎn),從適用范圍、選任制度、薪酬制度、責(zé)任義務(wù)、監(jiān)管制度等方面對(duì)國(guó)有獨(dú)資企業(yè)的獨(dú)立董事制度建構(gòu)進(jìn)行了初步構(gòu)想。
[Abstract]:As a pioneering reform of the corporate governance structure, the independent director system first appeared in the United States in the early twentieth Century. Its aim was to prevent the company's "insider control", safeguard the interests of the small shareholders, and improve the scientific decision of the company. As a legal transplant system, the standing director system was introduced into China in 1997. In 2001, the China Securities Regulatory Commission issued a guiding opinion on the establishment of an independent director system in listed companies by the China Securities Regulatory Commission in 2001. It signifies that it has become a mandatory rule for the first time and must be adopted by our listed companies. Independent director system has been established. After ten years' time, it has been widely used in the supervision and governance structure reform of Listed Companies in our country. It has been gradually developed and perfected in the listed companies of our country for the development and improvement of the.2006 "Company Law > amendment", and the system has been approved by the legal level for the first time.
At the same time, in twentieth Century, the state-owned enterprises in China, as the backbone of the national economy, were in the stage of rapid development in the open market environment. In order to improve the efficiency of the company and improve the governance structure of the state-owned companies, the SASAC began to learn from the successful case of Temasek in Singapore and began in 2004. With the introduction of the external director system and the pilot work of the reform of the board of directors, the external director system has been established in many central enterprises, and some experience and effectiveness have been achieved in practice. Some local governments have also introduced policies to introduce the system in the state-owned wholly owned companies. Although the external director system has changed in its name, it is in fact the transplantation and Chinese transformation of the independent director system according to its substantive purpose and relevant regulations. However, in the process of implementation, the requirements for independence are weak and the system is not perfect. When the degree of weakening can not fully realize the function of improving the governance structure, I think that in order to improve the "insider control" and improve the management ability of the company, it is better to establish a perfect and clear independent director system directly in the state-owned company.
The first part of this paper makes a general introduction and exposition of the concept, origin, characteristics and the purpose and function of the establishment of the system of independent director, and gives a brief account of the development of the independent director system in the developed countries of the world.
The second part mainly analyzes and expounds the independent director system in China. Firstly, the social and economic background of the introduction of independent director system and the establishment process of the independent director system in China are briefly described. Then, the defects of the independent director system in our listed companies are analyzed.
The third part focuses on the analysis of the necessity of establishing an independent director system in our state owned company. Through the study of the background and process of the introduction of the external director system of the sole proprietorship company in our country, the defects of the external director system in the present state owned company are expounded in the specific legislation and implementation process. The necessity of the establishment of a real independent director system in a wholly state-owned company in China is analyzed. The purpose of the reform of the board of directors can be achieved only by establishing a real independent director system within a wholly state-owned company.
The fourth part is the author's preliminary conception of the construction of the independent director system of the state owned enterprise through the understanding of the relevant provisions of the current independent director system in various countries and the characteristics of the local situation of China and the state-owned company, from the scope of application, the elective system, the salary system, the duty and duty, the supervision system and so on.
【學(xué)位授予單位】：中國(guó)政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2011
【分類號(hào)】：D922.291.91;F276.1

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