我国基金管理公司独立董事相关问题研究.doc

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  • 更新时间:2014-04-23
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内容摘要:自在基金管理公司中推行独立董事制度以来,独立董事在加强董事会独立性、弥补监事会监督职能、保护基金份额持有人利益、稳定金融秩序、克服金融脆弱性方面发挥了巨大的作用。本论文正是结合公司法和基金法,着眼于基金管理公司中独立董事的上述制度价值,通过对独立董事的独立性、专业性、以及与其他监督机构之间的协调性等问题进行分析阐述,提出了明确独立董事的定义、职能范围及相应责任以消除该制度在实践中的不确定性,出台配套法规规定独立董事与监事会的职权以协调两者之间的关系,加强独立董事任职培训、建立独立董事市场、增设“独立获取信息权”以实现其专业优势,完善独立董事选任机制、薪酬机制以保障其独立性等一系列建议。

关键词:基金管理公司 独立董事 独立性 专业性 基金份额持有人 金融脆弱性

 

Abstract: Since independent director system was implemented in Fund Management Corporations, independent directors have played an important role in strengthening the independence of board of directors, complementing the function of supervision of board of supervisors, protecting the rights and interests of fund unit holders, stabilizing the financial order and overcoming the financial vulnerability. Considering the Contract Law and the Fund Law, this paper focuses on the discussing these values of implementing independent director system in Fund Management Corporations. By analyzing and giving an in-depth discussion on the issues that how to ensure the independence of independent directors; how to give full play to directors’ advantages in expertise; how to coordinate the relationship between independent directors and other supervisory organs in the corporation, this paper puts forward a series of suggestions, such as clarifying the definition, the function and the responsibility of independent directors to remove the regime of uncertainty in practice; making regulations to support the introduction of independent directors and the supervisory board of the authority to coordinate the relationship between them; strengthening the training of independent directors, establishing Independent Board of Directors market and giving an additional independent access to information to give full play to directors’ advantages in expertise;  improving the mechanism of the directors elected system, pay system to guarantee its independence and so on.

Key words: Fund Management Corporations, independent director,the independence,advantages in expertise,the rights and interests of fund unit holders,financial vulnerability