【作者】 张海燕；

【导师】 朱炎生；

【作者基本信息】 厦门大学 ， 民商法， 2009， 硕士

【摘要】 信托法律关系有三方当事人:委托人、受托人和受益人。受托人作为信托关系的主导者,决定着信托事务和信托目的的完成和实现,在信托关系中占据着极其要的地位。受托人的义务包括忠实义务、谨慎投资义务和管理义务。19世纪以来,商事信托获得极大发展。信托的主要功能也是由以往的保管功能演变为财产保值增值功能。这样,受托人的谨慎投资义务愈益受到重视,成为信托法对受托人进行规制的重点。我国先后颁布的《中华人民共和国信托法》等相关法律法规为我国信托业的发展提供了相应的法律依据。但纵观我国信托立法,均未对受托人的谨慎投资义务作出明确的界定,这导致我国信托实践中存在着大量受托人(如基金管理人)不履行谨慎投资义务、受害人遭受损失时因无法可依而得不到赔偿的现象。基于此,笔者对英美法上的受托人谨慎投资制度进行了考查,分析了我国相关制度的缺失,并对其提出了相应的完善意见和建议。除引言和结语外,正文分为以下四章:第一章“受托人谨慎投资义务概述”。主要对受托人谨慎投资义务的历史、法律属性做出了阐述,将其发展分为三大阶段:法庭制表阶段、谨慎人阶段、谨慎投资者阶段,并对受托人谨慎投资的法律属性做出了界定。第二章“受托人谨慎投资义务的内容”。主要对受托人谨慎投资义务的主要内容进行了界定,在借鉴统一谨慎投资人法的规定上,将其概括为四大部分:即注意的要求、技能的要求、谨慎的要求、委托代理的要求。此四部分基本涵盖了受托人谨慎投资义务的主要内容。第三章“受托人谨慎投资义务的判定标准”。首先对英美法在长期的案例积累中发展出两条标准即谨慎商人标准和专业标准进行了介绍并对违反谨慎投资义务的法律后果进行了阐述。第四章“对我国受托人谨慎投资义务的反思”。本章论述了我国信托在受托人制度上的缺失,尤其是对受托人谨慎投资义务规定的缺失后,认为有必要借鉴英美法上的成熟的受托人谨慎投资义务制度的规定,完善我国相关的规定。更多还原

【Abstract】 In the legal relationship of trust including 3 parties:the trustee,the client,and the beneficiary.Trustee is nuclear in the legal relationship of trust for trustee deciding the trust affair and trust purpose.Nowadays,the function of the trust system has changed from maintaining the value to pursuing the increase of the property.So the duty to prudent investment has become the focus regulation in the trust law.After 5 times rectification in trust industry in China,several laws that provide relevant legal gist for the development of trust industry have been issued.But they are all not definite confine the prudent investment duty.The short of the duty of prudent investment has been the reason why the trustee often destroys the client or the beneficiary’s interest.On the research of the prudent investment in the common law and analyzing the short of current prudent investment rule in China,the essay has provided some suggestions to prefect the duty of prudent investment.This paper aims at defining the 4 sections as follow:The first section summarizes the trustee’s duty of prudent investment.This section describes the history of the prudent investment.Also the section describes the law attribution of the duty of prudent investment.The second part focuses on the content of the duty of the prudent investment.On reference on the Uniform Prudent Investor of America,the author thinks the requirement of care,the requirement of skill,the requirement of diversification and the requirement of delegation are the mail parts of the duty of prudent investment.The third section is about the criterion of the prudent investment duty.According to the case law,there are two mail criterions.Then,the article points out the legal consequence of breaching the duty of prudent investment.The last part points out the short of the country and necessity to perfect our country’s regulation of the duty of prudent investment with learning the mature legislation of prudent investor duty of common law system.更多还原