上市公司独立董事独立性研究

摘要

2001年8月21日，中国证监会正式发布“关于建立上市公司独立董事制度的指导意见”。独立董事的比例，资格或条件，提名和选举，职权范围，薪酬等问题首次出现了详细的规定尽管法律明确规定，但实际上独立董事的角色中国上市公司并没有充分发挥，甚至出现了所谓的“花瓶董事”，“人权董事”等等，导致独立董事的独立性，独立董事没有发挥应有的作用。上市公司如何在中国特有的国情下保护中小股东的权益？如何解决内部人控制问题？如何避免关联方交易？如何应对市场风险？本研究试图通过探讨我国上市公司独立董事制度的现状，探讨上市公司独立董事在多种制度层面上发挥不完全作用的问题如理论分析和实证研究。

关键词：中国;独立董事;上市公司;制度;完善

Abstract

On August 21, 2001, China Securities Regulatory Commission formally released the Guiding Opinions on Establishing an Independent Director System for Listed Companies. For the first time, the proportion of independent directors, qualifications or conditions, nomination and election, terms of reference, remuneration and other issues were done Out of the detailed rules Although the law clearly stipulates, but in fact, the role of independent directors in China's listed companies did not fully play, and even the emergence of the so-called "vase directors", "human rights directors" and so on, resulting in the independence of independent directors , Independent directors did not play their due role. How can the listed company protect the rights and interests of the minority shareholders under the conditions of China's unique national conditions? How to solve the problems of insider control? How to avoid related party transactions? How to deal with market risks? This research tries to find out the reasons of the system by exploring the status quo of the independent director system of listed companies in China and how to solve the problem that the independent directors of listed companies in China play an incomplete role from the institutional level by comprehensively using various methods such as theoretical analysis and empirical research.

Keywords: China; independent director; listed company; system; improvement

目录

摘要 2

Abstract 3

引言 6

一、 中国独立董事制度的现状 6

（一）独立董事的个人情况 6

1独立董事以高校教师和科研专家为主体 7

2独立董事来源地以北京、上海、深圳、广州的著名高等院校为主 7

3以具有高学历、高职称的精英人才为主 8

4所从事专业以经济管理类为主 9

（二）独立董事的薪酬状况 9

（三）独立董事在董事会中的比例 10

二、中国上市公司独立董事的构成缺陷 12

（一）商业经验不够 12

（二）参与性不够 12

（三）独立性不够 12

（四）多元化不够 13

三、完善中国独立董事制度的方法设想 13

（一）完善中国独立董事制度相关法律体系 13

1 法律的作用 13

2 现行法律制度缺陷 14

（二） 理清监事会与独立董事制度的关系 15

1独立董事制度与监事会制度冲突 15

2独立董事制度与监事会制度的整合 15

（三） 设立独立董事协会 16

1独立董事的聘用 16

2独立董事的管理 16

3为独立董事投保责任险 17

结论 17

参考文献 17