本文關鍵詞： 信托 信義義務 謹慎投資義務　出處：《福州大學》2014年碩士論文　論文類型：學位論文

【摘要】：信托是委托人基于信任將財產交付給受托人,為受益人謀取利益。在信托法律關系中,受托人位于中心地位,規(guī)制受托人行為成為信托法的關鍵環(huán)節(jié),于是法律賦予受托人忠實義務、注意義務,分別從動靜兩方面規(guī)制受托人的行為。忠實義務就是要求受托人忠于受益人的利益,避免自己與受益人發(fā)生利益沖突,是對受托人道德方面的要求；注意義務要求受托人盡到與其專業(yè)相應的技能。隨著信托的發(fā)展,投資功能越來越突出,受托人必須具有信托管理方面的專業(yè)技能,因此注意義務的重要性日益突出。注意義務是受托人行為的約束者,對注意義務提出具體內容是必要的。謹慎投資者規(guī)則區(qū)分了專業(yè)受托人與非專業(yè)受托人不同的注意標準,并對受托人的技能提出要求。謹慎投資規(guī)則歷經了三個階段,每個階段都是以判例為基礎,筆者分析了每個階段的判例,同時還對美國《統(tǒng)一謹慎投資者規(guī)則》的具體條文作了評析。與英美法系國家相比,我國不管在立法上還是實踐中都存在不足。故筆者在分析英美法系國家謹慎投資制度的基礎上,提出完善我國謹慎投資義務的建議。本文除序言和結語,分為四部分：第一部分謹慎投資義務的概況。首先對信義義務作簡要說明,忠實義務與謹慎義務是信義義務的主要內容,這兩種義務既有區(qū)別又有聯(lián)系。然后,謹慎投資義務來源于謹慎義務,兩者之間是種屬關系。第二部分謹慎投資義務的立法價值。謹慎投資義務側重于規(guī)制受托人的投資行為,受托人的投資行為離不開社會經濟的發(fā)展,現(xiàn)代投資組合理念與有效資本市場為謹慎投資義務的實施提供了經濟理論基礎。謹慎投資義務是信托制度的重要組成部分,其離不開信托制度運行的衡平法基礎即信賴關系,這為受托人謹慎投資義務奠定了法律基礎。第三部分考察兩大法系國家謹慎投資義務。重點闡述美國謹慎投資規(guī)則,其規(guī)則既有原則性標準又有具體標準,而大陸法系國家大多是原則性規(guī)定,特別是我國,其規(guī)定籠統(tǒng),抽象,不適應市場經濟發(fā)展規(guī)律。第四部分完善我國謹慎投資義務法律規(guī)定。雖然我國信托制度與英美法系國家的發(fā)育土壤不同,但我我國仍然具備吸收受托人謹慎投資義務的條件。從理論和現(xiàn)實價值兩個方面論證英美法系國家謹慎投資義務的可行性,進而提出完善建議。
[Abstract]:Trust is that the trustor delivers the property to the trustee on the basis of trust for the benefit of the beneficiary. In the legal relationship of trust, the trustee is in the central position, and the regulation of the behavior of the trustee becomes the key link of the trust law. So the law entrusts the trustee with the duty of loyalty and duty of care, and regulates the behavior of the trustee from two aspects, namely, the duty of loyalty requires the trustee to be loyal to the interests of the beneficiary and to avoid conflicts of interest between himself and the beneficiary. With the development of trust, the investment function becomes more and more prominent, and the trustee must have professional skills in trust management. Therefore, the importance of the duty of care is becoming more and more prominent. The duty of care is the binding factor of the behavior of the trustee, so it is necessary to put forward the specific content of the duty of care. The rules of cautious investors distinguish the different standards of care between the professional trustee and the non-professional trustee. The rules of prudent investment have gone through three stages, each stage is based on the case law, the author has analyzed the case law of each stage. At the same time, it also makes a comment on the specific provisions of the United States "uniform prudent Investor rules". Compared with the common law countries, Therefore, on the basis of analyzing the prudent investment system in Anglo-American legal system, the author puts forward some suggestions to perfect our country's prudent investment obligation. It is divided into four parts: the first part is the general situation of the duty of prudent investment. Firstly, the obligation of faithfulness and duty of care is the main content of the obligation of fiduciary faith. The second part is the legislative value of the prudent investment obligation, which focuses on regulating the investment behavior of the trustee. The investment behavior of trustees can not be separated from the development of social economy. The concept of modern investment portfolio and the effective capital market provide the economic theoretical basis for the implementation of prudent investment obligation, which is an important part of the trust system. It is inseparable from the equity basis of the operation of the trust system, that is, the trust relationship, which lays a legal foundation for the trustee's prudent investment obligations. The third part examines the prudent investment obligations of the countries in the two major legal systems. Its rules have both principled and concrete standards, while most of the countries in the civil law system are principled provisions, especially in China, whose provisions are general and abstract. Not adapted to the law of the development of market economy. 4th partially consummates the legal provisions of China's prudent investment obligations. Although the trust system of our country is different from the development soil of Anglo-American law countries, However, our country still has the conditions to absorb the trustee's prudent investment obligation, and proves the feasibility of the prudent investment obligation of Anglo-American law countries from two aspects of theoretical and practical value, and then puts forward some suggestions to improve it.
【學位授予單位】：福州大學
【學位級別】：碩士
【學位授予年份】：2014
【分類號】：D922.282

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