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论文编号：	748
作者编号：	2120062378
上传时间：	2008/12/10 8:42:04
中文题目：	我国独立董事市场建设模式研究
英文题目：	The Research on Construction m
指导老师：	李维安
中文关键字：	独立董事 市场 协会 事务所
英文关键字：	Independent Directors Market
中文摘要：	本文首先分析了研究我国独立董事市场建设模式的重要意义，简要介绍了国内外独立董事制度的相关理论，回顾了我国独立董事制度的发展历史和现状，提出我国独立董事制度存在选聘机制、信息沟通机制、职责履行机制、激励约束机制、立法规则、人力资源、与监事会并存运行、独立性、时间精力等方面的运行障碍，由此提出我国目前应当建立独立董事市场。 论文分析了市场的基本理论、独立董事市场构成要素和独立董事市场的保障措施，比较了美英的提名委员会为主体的选聘模式、德国的监事会为主体的选聘模式、日本的可选择性选聘模式、我国目前以大股东为主体的选聘模式和专家建议的证监会为主体的选聘模式等五种独立董事选聘模式，并采用模糊综合评价法对独立董事选聘模式进行了评价。最后借鉴国外公司治理类协会的经验，提出在目前制度环境还不成熟的情况下，我国应建立以独立董事协会为主体的独立董事市场。 参照中华全国律师协会、中国注册会计师协会等组织的经验，笔者提出了我国独立董事市场组织结构的三个层次建设构想，即第一层次为在证监会、国资委和商务部下设立独立董事管理委员会，协调不同政府部门的关系。第二层次为独立董事管理委员会下设独立董事协会，协会是具有独立法人资格的行业自律组织，进一步分为专家性的专业委员会和常设机构秘书处。第三层次为秘书处的事务所管理部所管理的众多独立董事事务所。文章还提出了我国独立董事协会的性质、运行机制和主要职能。 在此基础上，结合我国经济社会发展阶段的特点，作者提出了我国独立董事市场应当以市场配置资源作为建立独立董事市场的宗旨，类似于计划经济向市场经济转型，从由法律法规强制要求、协会引导的独立董事强制选聘阶段逐步过渡到完全按市场机制运作的独立董事自发选聘阶段，分两个阶段逐步完成。强制阶段强制要求设置独立董事，以在制度空白的基础上迅速构建较为完善的独立董事制度，这是目前完善我国独立董事制度最适宜的模式。在外部环境趋于成熟，独立董事市场基本形成之后，就可以转入到自发阶段。
英文摘要：	This dissertation analyzes the significance of constrcution mode of independent directors market at first，briefly introduces the theories on independent directors in China and other countries, reviews the history and situation of independent directors system in China，and puts forward some questions existing in our independent directors system such as engage mechanism，information communication，duty implementation，inspiring and restricting，legislation，human resource，coexistence with supervisor committee， independence， time and energy etc.，and concludes that the independent directors market should be established right away. After analyzes the fundamental theories of market, the inscape and guarantee measure of independent directors market, the author compares five nomination mode of independent directors including the Britain and US mode in which normally independent directors are nominated by nominating committee，the Germany mode in which independent directors are nominated by supervisor committee，the Japanese mode with optional nomination mode, the Chinese existing mode in which independent directors are nominated by shareholders，and the propositional mode by expert in which independent directors are nominated by the China Securities Regulatory Commission. We conclude that it has better effect that the independent directors are nominated by the Association of Independent Directors by the use of Fuzzy Evaluation model. According to the experience of overseas Associations of Corporation Governance, on the background of immaturity of environment，our country is supposed to establish the Association of Independent Directors to lead the electing mechanism. According to the experience of All China Lawyers Association， the Chinese Institute of Certified Public Accountants，the author put forward three level scheme on framework of the independent directors market， the first level is the Independent Director Commission that is subordinate of the China Securities Regulatory Commission， State-owned Assets Supervision and Administration Commission of State Council and Ministry of Commerce of the People’s Republic of China， the second level is the Association of Independent Directors that is subordinate of the Independent Director Commission， is self-discipline organization with the status of a legal entity， and is composed of expert subcommittee and Secretary Office as standing body， the third level is a number of Independent Director Agents that is subordinate of the Agents Administration Department of Secretary Office. The dissertation also gives the character, mechanism and major function of the Association of Independent Directors. On the basis of articles given，with a view to characteristic of economic and social development phase，it is put forward that the market is the base of the resource distribution is considered as the constructing principles of our independent directors market. Two phases are proposed and it is a transition from forced phase in which election is forced by laws and regulations as well as led by Association of Independent Directors to spontaneous phase in which election is operated by market. Forced phase need independent directors set and the independent directors system promptly established on a blank paper, and it is the most suitable mode to amend our independent directors system. It will shift to spontaneous phase until the maturing of outward circumstance and the shaping of the independent directors market.
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