河北大学
硕士学位论文
董事勤勉义务判断标准研究
姓名：刘俊
申请学位级别：硕士
专业：法律硕士（法学）
指导教师：赵金龙
2011-06
摘 要
摘 要
董事勤勉义务，一般来说是指董事处理公司事务必须出于善意，并且尽到普通谨慎之人在相似的地位和相似的情况下所应有的合理的谨慎、勤勉和注意的义务。董事勤勉义务制度的建立，有助于增强董事的责任心，使董事更好地为公司及其股东的利益服务．我国2005 年修订的公司法首次确立了公司董事的勤勉义务，但未对相关标准作具体的规定，导致勤勉义务在适用上的困难。因此，如何确定董事勤勉义务的相关标准，成为一个亟待解决的问题。现行《公司法》对董事勤勉义务仅作了概括性的规定，而对于其判断标准却未提及，这必将给董事执行职务行为、公司追究董事责任以及法官处理相关纠纷带来困难，在现实生活中导致董事承担勤勉责任的因数一般包括决策勤勉和监督勤勉两个方面。所谓决策勤勉，是指董事进行决策时应知悉相关信息并小心决策； 所谓监督勤勉，是指董事应当主动地对其他董事经理层以及员工等的行为实施监督。《公司法》关于董事勤勉义务的严格要求不符合公司及股东的长期利益。在现代社会，公司董事适当的冒险精神是公司发展和股东投资回报的源泉。一般而言，公司的投资风险与投资回报是成正比的，但股东与董事承担风险的能力却存在明显不同。基于有限责任制度与分散投资理论，股东对于公司经营风险的承受能力通常要高于董事，董事却很难将专门化于公司的人力资本分散投资到其他公司。对于董事勤勉义务的规定，英美国家的规定都比较具体，可操作性较强，英国对董事勤勉义
务的规定逐渐趋向客观化，而美国和德国皆为客观标准。我国2005年《公司法》第150
条规定：“董事、监事、高级管理人员执行公司职务时违反法律、行政法规或者公司
章程的规定，给公司造成损失的，应当承担赔偿责任。”但从该条的规定看，我国目
前采用的是客观标准，但其规定过于粗略，不利于公司的很好发展，有待改进。
关键词 勤勉义务 董事 判断标准
I
Abstract Abstract
Directors diligent obligation, generally refers to the director processing company affairs must be out of goodwill, and fulfill the ordinary people in similar caution of position and similar circumstances due reasonable care, diligent and duty of care. Director’s diligent obligation system establishment can strengthen director responsibility; make directors better for the interests of the company and its shareholders service. Our company in 2005 revision of the first established company directors diligence obligation, but not for relevant standards for specific provision, causing diligent obligations in the application of difficulties. Therefore, how to determine the relative standard directors diligent obligation, become a problem to be solved. Present "law of directors diligent only made a summary of the obligation prescribed, and for its judgment standard did not mention, this will give directors shall perform their duties behavior, company directors responsibility and judge handle relevant disputes brings hardships, in real life leads to assume liability factor of director general including industrious and supervisory decision industrious two aspects. So-called decision-making diligent, refers to the director decision-making should be aware relevant information and careful policymaking. So-called supervision and diligent, refers to the directors shall actively to the other directors of managers and employees of behavior, implement supervision and etc. The company law about directors diligent obligation strict request do not meet company and shareholder's long-term interests. In the modern society, the company director’s appropriate spirit of adventure is the development of the company and the source of the shareholder's return on investment. Generally speaking, the company's investment risk and return on investment is proportional to the shareholders and directors, but the ability to bear risks has obvious difference. Based on the limited liability system and disperse investment theory, the shareholders for companies operating risk to bear ability are typically higher than director; director is very difficult to specialization in human capital investment to other scattered. For directors diligence in the duties of British and American national stipulation are specific, the maneuverability is strong, England to director diligent in the duties of gradually incline to objectivized, while the United States and Germany are objective standard. China in 2005, the company law article 150 regulation: "the directors, supervisors and senior management personnel during the course of performing his duties violates laws, administrative regulations or the articles of association, the loss is caused to the company, ought to assume liability to II
Abstract
Pay compensation." But from the undertakings prescribed show that China is currently uses the objective standard, but its provisions too rough, go against the development of the company is very good to be improved.
Key words diligent obligations directors’ judgment standard
III
河北大学
硕士学位论文
董事勤勉义务判断标准研究
姓名：刘俊
申请学位级别：硕士
专业：法律硕士（法学）
指导教师：赵金龙
2011-06
摘 要
摘 要
董事勤勉义务，一般来说是指董事处理公司事务必须出于善意，并且尽到普通谨慎之人在相似的地位和相似的情况下所应有的合理的谨慎、勤勉和注意的义务。董事勤勉义务制度的建立，有助于增强董事的责任心，使董事更好地为公司及其股东的利益服务．我国2005 年修订的公司法首次确立了公司董事的勤勉义务，但未对相关标准作具体的规定，导致勤勉义务在适用上的困难。因此，如何确定董事勤勉义务的相关标准，成为一个亟待解决的问题。现行《公司法》对董事勤勉义务仅作了概括性的规定，而对于其判断标准却未提及，这必将给董事执行职务行为、公司追究董事责任以及法官处理相关纠纷带来困难，在现实生活中导致董事承担勤勉责任的因数一般包括决策勤勉和监督勤勉两个方面。所谓决策勤勉，是指董事进行决策时应知悉相关信息并小心决策； 所谓监督勤勉，是指董事应当主动地对其他董事经理层以及员工等的行为实施监督。《公司法》关于董事勤勉义务的严格要求不符合公司及股东的长期利益。在现代社会，公司董事适当的冒险精神是公司发展和股东投资回报的源泉。一般而言，公司的投资风险与投资回报是成正比的，但股东与董事承担风险的能力却存在明显不同。基于有限责任制度与分散投资理论，股东对于公司经营风险的承受能力通常要高于董事，董事却很难将专门化于公司的人力资本分散投资到其他公司。对于董事勤勉义务的规定，英美国家的规定都比较具体，可操作性较强，英国对董事勤勉义
务的规定逐渐趋向客观化，而美国和德国皆为客观标准。我国2005年《公司法》第150
条规定：“董事、监事、高级管理人员执行公司职务时违反法律、行政法规或者公司
章程的规定，给公司造成损失的，应当承担赔偿责任。”但从该条的规定看，我国目
前采用的是客观标准，但其规定过于粗略，不利于公司的很好发展，有待改进。
关键词 勤勉义务 董事 判断标准
I
Abstract Abstract
Directors diligent obligation, generally refers to the director processing company affairs must be out of goodwill, and fulfill the ordinary people in similar caution of position and similar circumstances due reasonable care, diligent and duty of care. Director’s diligent obligation system establishment can strengthen director responsibility; make directors better for the interests of the company and its shareholders service. Our company in 2005 revision of the first established company directors diligence obligation, but not for relevant standards for specific provision, causing diligent obligations in the application of difficulties. Therefore, how to determine the relative standard directors diligent obligation, become a problem to be solved. Present "law of directors diligent only made a summary of the obligation prescribed, and for its judgment standard did not mention, this will give directors shall perform their duties behavior, company directors responsibility and judge handle relevant disputes brings hardships, in real life leads to assume liability factor of director general including industrious and supervisory decision industrious two aspects. So-called decision-making diligent, refers to the director decision-making should be aware relevant information and careful policymaking. So-called supervision and diligent, refers to the directors shall actively to the other directors of managers and employees of behavior, implement supervision and etc. The company law about directors diligent obligation strict request do not meet company and shareholder's long-term interests. In the modern society, the company director’s appropriate spirit of adventure is the development of the company and the source of the shareholder's return on investment. Generally speaking, the company's investment risk and return on investment is proportional to the shareholders and directors, but the ability to bear risks has obvious difference. Based on the limited liability system and disperse investment theory, the shareholders for companies operating risk to bear ability are typically higher than director; director is very difficult to specialization in human capital investment to other scattered. For directors diligence in the duties of British and American national stipulation are specific, the maneuverability is strong, England to director diligent in the duties of gradually incline to objectivized, while the United States and Germany are objective standard. China in 2005, the company law article 150 regulation: "the directors, supervisors and senior management personnel during the course of performing his duties violates laws, administrative regulations or the articles of association, the loss is caused to the company, ought to assume liability to II
Abstract
Pay compensation." But from the undertakings prescribed show that China is currently uses the objective standard, but its provisions too rough, go against the development of the company is very good to be improved.
Key words diligent obligations directors’ judgment standard
III