本文關(guān)鍵詞： 信托 信義義務(wù) 謹(jǐn)慎投資義務(wù)　出處：《福州大學(xué)》2014年碩士論文　論文類型：學(xué)位論文

【摘要】：信托是委托人基于信任將財(cái)產(chǎn)交付給受托人,為受益人謀取利益。在信托法律關(guān)系中,受托人位于中心地位,規(guī)制受托人行為成為信托法的關(guān)鍵環(huán)節(jié),于是法律賦予受托人忠實(shí)義務(wù)、注意義務(wù),分別從動(dòng)靜兩方面規(guī)制受托人的行為。忠實(shí)義務(wù)就是要求受托人忠于受益人的利益,避免自己與受益人發(fā)生利益沖突,是對(duì)受托人道德方面的要求；注意義務(wù)要求受托人盡到與其專業(yè)相應(yīng)的技能。隨著信托的發(fā)展,投資功能越來越突出,受托人必須具有信托管理方面的專業(yè)技能,因此注意義務(wù)的重要性日益突出。注意義務(wù)是受托人行為的約束者,對(duì)注意義務(wù)提出具體內(nèi)容是必要的。謹(jǐn)慎投資者規(guī)則區(qū)分了專業(yè)受托人與非專業(yè)受托人不同的注意標(biāo)準(zhǔn),并對(duì)受托人的技能提出要求。謹(jǐn)慎投資規(guī)則歷經(jīng)了三個(gè)階段,每個(gè)階段都是以判例為基礎(chǔ),筆者分析了每個(gè)階段的判例,同時(shí)還對(duì)美國(guó)《統(tǒng)一謹(jǐn)慎投資者規(guī)則》的具體條文作了評(píng)析。與英美法系國(guó)家相比,我國(guó)不管在立法上還是實(shí)踐中都存在不足。故筆者在分析英美法系國(guó)家謹(jǐn)慎投資制度的基礎(chǔ)上,提出完善我國(guó)謹(jǐn)慎投資義務(wù)的建議。本文除序言和結(jié)語,分為四部分：第一部分謹(jǐn)慎投資義務(wù)的概況。首先對(duì)信義義務(wù)作簡(jiǎn)要說明,忠實(shí)義務(wù)與謹(jǐn)慎義務(wù)是信義義務(wù)的主要內(nèi)容,這兩種義務(wù)既有區(qū)別又有聯(lián)系。然后,謹(jǐn)慎投資義務(wù)來源于謹(jǐn)慎義務(wù),兩者之間是種屬關(guān)系。第二部分謹(jǐn)慎投資義務(wù)的立法價(jià)值。謹(jǐn)慎投資義務(wù)側(cè)重于規(guī)制受托人的投資行為,受托人的投資行為離不開社會(huì)經(jīng)濟(jì)的發(fā)展,現(xiàn)代投資組合理念與有效資本市場(chǎng)為謹(jǐn)慎投資義務(wù)的實(shí)施提供了經(jīng)濟(jì)理論基礎(chǔ)。謹(jǐn)慎投資義務(wù)是信托制度的重要組成部分,其離不開信托制度運(yùn)行的衡平法基礎(chǔ)即信賴關(guān)系,這為受托人謹(jǐn)慎投資義務(wù)奠定了法律基礎(chǔ)。第三部分考察兩大法系國(guó)家謹(jǐn)慎投資義務(wù)。重點(diǎn)闡述美國(guó)謹(jǐn)慎投資規(guī)則,其規(guī)則既有原則性標(biāo)準(zhǔn)又有具體標(biāo)準(zhǔn),而大陸法系國(guó)家大多是原則性規(guī)定,特別是我國(guó),其規(guī)定籠統(tǒng),抽象,不適應(yīng)市場(chǎng)經(jīng)濟(jì)發(fā)展規(guī)律。第四部分完善我國(guó)謹(jǐn)慎投資義務(wù)法律規(guī)定。雖然我國(guó)信托制度與英美法系國(guó)家的發(fā)育土壤不同,但我我國(guó)仍然具備吸收受托人謹(jǐn)慎投資義務(wù)的條件。從理論和現(xiàn)實(shí)價(jià)值兩個(gè)方面論證英美法系國(guó)家謹(jǐn)慎投資義務(wù)的可行性,進(jìn)而提出完善建議。
[Abstract]:Trust is that the trustor delivers the property to the trustee on the basis of trust for the benefit of the beneficiary. In the legal relationship of trust, the trustee is in the central position, and the regulation of the behavior of the trustee becomes the key link of the trust law. So the law entrusts the trustee with the duty of loyalty and duty of care, and regulates the behavior of the trustee from two aspects, namely, the duty of loyalty requires the trustee to be loyal to the interests of the beneficiary and to avoid conflicts of interest between himself and the beneficiary. With the development of trust, the investment function becomes more and more prominent, and the trustee must have professional skills in trust management. Therefore, the importance of the duty of care is becoming more and more prominent. The duty of care is the binding factor of the behavior of the trustee, so it is necessary to put forward the specific content of the duty of care. The rules of cautious investors distinguish the different standards of care between the professional trustee and the non-professional trustee. The rules of prudent investment have gone through three stages, each stage is based on the case law, the author has analyzed the case law of each stage. At the same time, it also makes a comment on the specific provisions of the United States "uniform prudent Investor rules". Compared with the common law countries, Therefore, on the basis of analyzing the prudent investment system in Anglo-American legal system, the author puts forward some suggestions to perfect our country's prudent investment obligation. It is divided into four parts: the first part is the general situation of the duty of prudent investment. Firstly, the obligation of faithfulness and duty of care is the main content of the obligation of fiduciary faith. The second part is the legislative value of the prudent investment obligation, which focuses on regulating the investment behavior of the trustee. The investment behavior of trustees can not be separated from the development of social economy. The concept of modern investment portfolio and the effective capital market provide the economic theoretical basis for the implementation of prudent investment obligation, which is an important part of the trust system. It is inseparable from the equity basis of the operation of the trust system, that is, the trust relationship, which lays a legal foundation for the trustee's prudent investment obligations. The third part examines the prudent investment obligations of the countries in the two major legal systems. Its rules have both principled and concrete standards, while most of the countries in the civil law system are principled provisions, especially in China, whose provisions are general and abstract. Not adapted to the law of the development of market economy. 4th partially consummates the legal provisions of China's prudent investment obligations. Although the trust system of our country is different from the development soil of Anglo-American law countries, However, our country still has the conditions to absorb the trustee's prudent investment obligation, and proves the feasibility of the prudent investment obligation of Anglo-American law countries from two aspects of theoretical and practical value, and then puts forward some suggestions to improve it.
【學(xué)位授予單位】：福州大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：D922.282

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