【摘要】：信托制度產(chǎn)生在英國(guó)，自誕生以來(lái)，作為一種有效的財(cái)富管理方式被世界上很多國(guó)家移植繼受，逐漸發(fā)展成為現(xiàn)代經(jīng)濟(jì)中一項(xiàng)新的財(cái)富管理工具。1999年2月，國(guó)務(wù)院辦公廳下發(fā)了《國(guó)務(wù)院辦公廳轉(zhuǎn)發(fā)中國(guó)人民銀行整頓信托投資公司方案的通知》（簡(jiǎn)稱國(guó)辦發(fā)12號(hào)文），此文明確規(guī)定通過(guò)整頓來(lái)實(shí)現(xiàn)信托業(yè)與銀行業(yè)，證券業(yè)嚴(yán)格的分業(yè)經(jīng)營(yíng)，信托宣告進(jìn)入了新的歷史發(fā)展時(shí)期，明確“受人之托，代人理財(cái)”的信托定位，確立了主營(yíng)信托業(yè)務(wù)的金融機(jī)構(gòu)為信托公司，使?fàn)I業(yè)信托在我國(guó)資產(chǎn)管理發(fā)展過(guò)程中不斷發(fā)展壯大。 但是在以受托人為中心的現(xiàn)代信托法律關(guān)系中，由于受托人的重要性不言而喻，因此為制約營(yíng)業(yè)信托受托人以其優(yōu)勢(shì)地位來(lái)犧牲受益人的合法權(quán)益作為換取資產(chǎn)管理規(guī)模的代價(jià)，所以現(xiàn)代各國(guó)信托法律中均為受托人設(shè)定了嚴(yán)格且具體的各項(xiàng)謹(jǐn)慎義務(wù)。廣義的謹(jǐn)慎義務(wù)可以分為兩類：第一類是積極謹(jǐn)慎義務(wù)，第二類是消極謹(jǐn)慎義務(wù)，積極謹(jǐn)慎義務(wù)已經(jīng)由《信托法》第25條做出規(guī)定，消極性義務(wù)是由信托法律規(guī)定禁止違反的義務(wù)，上述消極謹(jǐn)慎義務(wù)的內(nèi)容已經(jīng)蓋由我國(guó)《信托法》在第26條，第27條，第28條中明確規(guī)定，但是我國(guó)《信托法》第25條并未對(duì)積極謹(jǐn)慎義務(wù)加以詳細(xì)規(guī)定，基于此，本文對(duì)相關(guān)國(guó)家的營(yíng)業(yè)信托受托人謹(jǐn)慎義務(wù)進(jìn)行考察，以借鑒并完善我國(guó)信托法律規(guī)定。本文分為四部分： 第一章“營(yíng)業(yè)信托受托人的謹(jǐn)慎義務(wù)概述”，第一節(jié)描述謹(jǐn)慎義務(wù)的概念和內(nèi)容；第二節(jié)是從完善營(yíng)業(yè)信托受托人謹(jǐn)慎義務(wù)的必要性入手，分析現(xiàn)代經(jīng)濟(jì)發(fā)展中立法確立謹(jǐn)慎義務(wù)的重要意義。 第二章“國(guó)外信托受托人謹(jǐn)慎義務(wù)的立法及評(píng)價(jià)”，第一節(jié)是對(duì)英國(guó)，美國(guó)以及日本信托法律中對(duì)謹(jǐn)慎義務(wù)的內(nèi)容進(jìn)行比較法考察；第二節(jié)主要分析英美法系國(guó)家中謹(jǐn)慎義務(wù)的標(biāo)準(zhǔn)和對(duì)謹(jǐn)慎義務(wù)的積極實(shí)踐。 第三節(jié)“我國(guó)營(yíng)業(yè)信托受托人謹(jǐn)慎義務(wù)的立法現(xiàn)狀及存在問(wèn)題”，，第一節(jié)敘述我國(guó)營(yíng)業(yè)信托受托人謹(jǐn)慎義務(wù)的現(xiàn)狀；第二節(jié)通過(guò)對(duì)我國(guó)目前營(yíng)業(yè)信托中的信托業(yè)務(wù)的現(xiàn)狀分析，提出了我國(guó)在適用謹(jǐn)慎義務(wù)方面突出的問(wèn)題。 第四節(jié)“完善我國(guó)營(yíng)業(yè)信托受托人謹(jǐn)慎義務(wù)的法律對(duì)策”，主要從采用謹(jǐn)慎義務(wù)的標(biāo)準(zhǔn)，確立謹(jǐn)慎義務(wù)標(biāo)準(zhǔn)體系，確定委托人知情權(quán)的行使方式和救濟(jì)途徑，確立外部專家審查制度四個(gè)方面論述監(jiān)督營(yíng)業(yè)信托受托人謹(jǐn)慎義務(wù)的履行。
[Abstract]:Trust system came into being in England. Since its birth, it has been transplanted and accepted by many countries in the world as an effective way of wealth management, and has gradually developed into a new tool of wealth management in the modern economy. The General Office of the State Council issued a circular transmitting to the General Office of the State Council the plan of the people's Bank of China for the rectification of trust and investment companies (referred to as document 12 issued by the State Office), which clearly stipulates that the trust industry and the banking industry can be realized through rectification. With the strict separation of the securities industry, the declaration of trust has entered a new period of historical development. It is clear that the trust position of "being entrusted to others and managing money for people" has been clearly defined, and the financial institutions engaged in the main trust business have been established as trust companies. Business trust in China's asset management development process of continuous development. But in the modern fiduciary legal relationship centered on trustees, the importance of trustees is self-evident. Therefore, in order to restrict the trustee of business trust sacrificing the beneficiary's legal rights and interests as the price of asset management scale, the trust law of modern countries has set up strict and concrete duty of care for the trustee. The broad sense of the duty of care can be divided into two categories: the first is the positive duty of care and the second is the obligation of negative caution, which is already provided for in Article 25 of the Trust Law. The negative obligation is an obligation prohibited by trust law, and the content of the above negative duty of care has been clearly defined in articles 26, 27 and 28 of the Trust Law of our country. However, Article 25 of the Trust Law of our country does not specify the positive duty of care in detail. Based on this, this paper investigates the duty of care of the trustee of business trust in relevant countries in order to learn from and perfect the provisions of the trust law of our country. This paper is divided into four parts: the first chapter, "Overview of the duty of care of the trustee of business trust", the first section describes the concept and content of the duty of care; The second section begins with the necessity of perfecting the duty of care of the trustee of business trust, and analyzes the significance of establishing the duty of care in the legislation of modern economic development. The second chapter is "the legislation and evaluation of the duty of care of foreign trust trustees". The first section is a comparative study of the contents of the duty of care in the trust laws of the United Kingdom, the United States and Japan. The second section mainly analyzes the standards of the duty of care and the positive practice of the duty of care in common law countries. The third section "the legislation status and existing problems of the duty of caution of the trustee of business trust in our country", the first section narrates the present situation of the duty of care of the trustee of the business trust in our country; In the second section, through the analysis of the present situation of the trust business in our country, we put forward the outstanding problems in the application of the duty of care in our country. The fourth section, "perfecting the legal countermeasure of the trustee's duty of care in our business trust", mainly from adopting the standard of the duty of care, establishing the standard system of the duty of care, determining the way of exercising the trustor's right to know and the way of relief. This paper discusses the implementation of the duty of care of the trustee of supervising business trust from four aspects of establishing the system of external expert examination.
【學(xué)位授予單位】：遼寧大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：D922.282

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