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针对我国在2001年证券市场监管中暴露出来的上市公司造假和大股东“掏空”上市公司等违规行为的发生,证监会决定借鉴国外经验引入独立董事制度,来消除目前国有股“一股独大”局面下的内部人控制现象,保护中小股东的合法权益。2001年8月证监会发布了《关于在上市公司建立独立董事制度的指导意见》(以下简称《指导意见》),对于独立董事的选任程序、任职资格、在董事会中的比例以及独立董事的职权、薪酬、责任等方面作了具体的规定。问题是,《指导意见》中的具体规定尚有不细致、不完善之处,特别是某些具体规定可能会流于形式,在实践中不能达到引入独立董事制度的目的。
In response to the illegal acts of listed companies such as listed companies faking and major shareholders exposed in the supervision of the securities market in China in 2001, the CSRC decided to introduce the independent director system for reference from foreign experiences to eliminate the current state-owned shares “Internal situation under the control of the phenomenon to protect the legitimate rights and interests of small and medium shareholders. In August 2001, the CSRC promulgated the Guiding Opinions on Establishing an Independent Director System in Listed Companies (hereinafter referred to as the Guiding Opinions), the procedures for selecting independent directors, qualifications for appointment, the proportion in the board of directors, and the power of independent directors , Salary, responsibility and other aspects made specific provisions. The problem is that the specific provisions in the ”Guiding Opinions" are still not meticulous and imperfect. In particular, certain specific provisions may be mere formalities and the practice of introducing an independent director system can not be achieved in practice.