本文選題：營業(yè)信托　切入點：受托人　出處：《寧波大學(xué)》2014年碩士論文　論文類型：學(xué)位論文

【摘要】：對營業(yè)受托人忠實義務(wù)進行研究，是有利于信托實質(zhì)功能的發(fā)揮，如其理財、融資功能、深化投資者的信托理財意識。本文將以區(qū)別于當前大多學(xué)者針對現(xiàn)信托法律制度從民商法角度進行分析，從法經(jīng)濟學(xué)以及經(jīng)濟法角度對營業(yè)受托人忠實義務(wù)進行研究。主要內(nèi)容分為如下四個部分： 文章第一部分為營業(yè)受托人忠實義務(wù)的法理分析：（1）對營業(yè)受托人忠實義務(wù)的法經(jīng)濟學(xué)分析，，分別從經(jīng)濟人假設(shè)、交易成本、經(jīng)濟效率三個方面進行闡述，認為賦予受托人忠實義務(wù)是一種有效率的安排，能夠在一定程度上解決了外部效應(yīng)以及信息不對稱的問題；（2）對營業(yè)受托人忠實義務(wù)進行經(jīng)濟法分析，分別從金融消費者理論、經(jīng)濟效益原則、經(jīng)濟公平原則等三個經(jīng)濟法角度進行分析，對營業(yè)受托人作出合理的限制或賦予特殊義務(wù)，這能使金融消費者能與金融機構(gòu)適度抗衡，實現(xiàn)實質(zhì)上的平等。 第二部分闡述營業(yè)受托人忠實義務(wù)的制度現(xiàn)狀：（1）營業(yè)受托人忠實義務(wù)的直接性規(guī)定，分為為受益人利益的一般性規(guī)定、消極性行為的規(guī)定及其例外規(guī)定、責任規(guī)定四個部分，我國現(xiàn)行信托法律體系中并不缺少對營業(yè)受托人忠實義務(wù)為受益人最大利益處理信托事務(wù)的規(guī)定，在不同法律效力層面上對受托人忠實義務(wù)進行了多次的重申；（2）營業(yè)受托人忠實義務(wù)的間接性體現(xiàn)，主要表現(xiàn)為信息披露，對關(guān)乎營業(yè)受托人忠實義務(wù)如關(guān)聯(lián)交易方面的信息披露做出了較為詳細的規(guī)定；（3）我國營業(yè)受托人忠實義務(wù)的制度缺陷，主要為營業(yè)受托人忠實義務(wù)規(guī)范體系籠統(tǒng)分散、責任體系不完善、信息披露制度不健全、激勵機制缺乏。 第三部分內(nèi)容為營業(yè)受托人忠實義務(wù)基本制度之完善。營業(yè)受托人作為專業(yè)性金融機構(gòu)，視其忠實義務(wù)的規(guī)定為國家干預(yù)經(jīng)濟、保護弱勢地位的金融投資者較為妥善。（1）對營業(yè)受托人忠實義務(wù)做出原則性規(guī)定，可以在《信托法》中將忠實義務(wù)做如下規(guī)定：受托人應(yīng)當遵守信托文件的規(guī)定，為受益人的最大利益處理信托事務(wù)；忠于信托，避免厲害沖突，禁止利用信托謀私利，禁止將信托財產(chǎn)轉(zhuǎn)化為固有財產(chǎn)，禁止同業(yè)競爭；（2）營業(yè)受托人忠實義務(wù)消極性行為之細化，主要為禁止營業(yè)受托人利用信托謀利的細化、禁止自我交易規(guī)則的細化、禁止關(guān)聯(lián)交易行為的具體化規(guī)定、禁止競業(yè)行為的補充規(guī)定；（3）法律責任的明確，分別從民事、行政、刑事責任以及訴訟中的證明責任加以明確。 第四部分內(nèi)容為營業(yè)受托人忠實義務(wù)配套制度之完善：（1）信息披露制度之完善，鑒于信息披露制度在營業(yè)受托人忠實義務(wù)規(guī)制方面的價值體現(xiàn)，結(jié)合其他國家或地區(qū)的相關(guān)立法有必要在信息披露范圍、披露程度、披露方式等方面完善信息披露制度；（2）源于信用評級在營業(yè)受托人忠實義務(wù)規(guī)制方面的不可替代作用，尤其是激勵作用、便于監(jiān)管，而現(xiàn)實中極度不規(guī)范，甚或缺失，有必要在評級指標、評級模式等方面完善信用評級制度。
[Abstract]:Study on the business trustee duty of loyalty, is conducive to the essence of trust function, such as financial management, financing function, deepen investor trust financial awareness. This will be different from the most scholars for the trust legal system from civil law perspective, to study the business trustee duty of loyalty from law and economics and economy law point of view. The main content is divided into four parts as follows:
The first part of the legal business of trustee fiduciary duty: (1) economic analysis of law on business trustee's duty of loyalty from the economic man assumption, transaction cost, economic efficiency three aspects are expounded, that give the trustee fiduciary duty is a kind of efficient arrangement, to a certain extent to solve the external effect and the problem of asymmetric information; (2) economic analysis of business trustee fiduciary duty, separately from the financial consumer theory, the principle of economic benefit, analysis of economic fairness principles three the perspective of economic law, make reasonable restrictions on the business trustees or give special obligations, which can make the financial consumers moderately compete with financial institutions to achieve substantive equality.
The second part describes the status of business trustee fiduciary duty system: (1) direct sales regulations trustee's duty of loyalty is divided into general provisions for the beneficiary, the provisions of sexual behavior and negative exceptions, the liability of four parts, the existing trust legal system in China is not the lack of business trustee loyal obligations for the best interests of the beneficiaries of the handling of trust affairs provisions in different legal effect level of trustee fiduciary duty were repeatedly reiterated; (2) indirect business trustee's duty of loyalty reflected, mainly for the information disclosure, in relation to the business trustee fiduciary duty as related transactions in terms of information disclosure provisions more detailed; (3) the system defects of our business trustee's duty of loyalty to the main business of trustee fiduciary duty standard system of general decentralized responsibility system is not perfect, The information disclosure system is not sound and the incentive mechanism is lacking.
The third part is the perfection of business trustee fiduciary duty. The basic regulations of the business trustees as a professional financial institutions, according to the provisions of the obligation of fidelity for the state intervention in the economy, protect the weak position of the financial investors more appropriate. (1) make principled regulations on business fiduciary duty of loyalty, you can make the following provisions in < the duty of loyalty: Trust Law > the trustee shall abide by the provisions of the trust documents and handle the trust affairs for the best interests of the beneficiary; loyal to the trust, to avoid conflict of interests, prohibit the use of trust for private interests, prohibit the trust property into the inherent property, prohibition of competition; (2) refining business trustee fiduciary duty negative behavior. The main business, to prohibit the trustee trust profit by thinning, thinning from self trading rules, specific provisions prohibiting related transactions, the prohibition of competition behavior Supplementary provisions; (3) clear legal liability, respectively, from civil, administrative, criminal responsibility and the burden of proof in the litigation.
The fourth part is the perfection of business trustee fiduciary duty system: (1) the improvement of information disclosure system, in view of the information disclosure system in the regulation of business trustee obligations faithfully reflect the value, combined with the relevant legislation in other countries or regions is necessary in the scope of disclosure, information disclosure, information disclosure system to improve disclosure; (2) from the credit rating in the regulation of business trustee duty of loyalty are irreplaceable, especially the incentive effect, to facilitate supervision, but in reality is extremely irregular, or even missing, it is necessary to improve the credit rating index, rating system rating models.

【學(xué)位授予單位】：寧波大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2014
【分類號】：D922.282

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