【作者】 刘桂华；

【导师】 吴建中；

【作者基本信息】 山东大学 ， 法律， 2010， 硕士

【摘要】 近年来,先后有多家上市公司被中小投资者提起证券民事赔偿诉讼,其案件数量随着相关法律法规的不断完善而有所上升,这些证券民事赔偿诉讼相应的诉讼标的(索赔金额)也逐年上升。董事和高级管理人员承担的民事责任风险陡增。董事责任保险作为一种能转移董事责任风险的保险制度,在公司立法注意强化公司董事义务又同时存在完善董事民事责任追究制度的西方国家发展迅猛。无论在成文法和判例上,对董事和高级管理人员责任保险合同的适用、赔偿、纠纷解决等具体问题的法律分析都比较全面。在西方发达国家,尤其是美国,绝大多数的上市公司都为自己的董事及高级管理人员购买了董事责任保险。对于我们来说,董事责任保险作为一种“舶来品”,它必须与我国的法律制度相融合。目前我国董事和高级管理人员责任保险的市场和法制环境也还不完善,推行董事和高级管理人员责任保险法律依据非常有限,例如对保险的承保范围、实体构成要件、保险责任除外事项、保险理赔的程序条件都缺乏明确的制度设计和司法案例。任何制度的构建都需要理论研究作基础,对于董事责任保险制度的构建也不例外。深入细致地对董事责任保险制度进行研究,无论是对于我国保险法律体系的进一步完善,还是对于当前我国公司法人治理的理论研究和立法实践,都具有重要意义。本文将结合所学的法律理论对董事责任保险制度在我国走入困境的原因进行分析,并将论证在我国的国情下,尤其在我国对《公司法》和《证券法》进行修订、强化和完善董事的民事责任的背景下建立此制度是否具有必要性,同时提出了一些立法建议。更多还原

【Abstract】 In recent years, civil actions for damages to securities by medium and small investors against public corporations has been brought time after time. With the perfection of related rules and regulations, the number of cases,as well as the amount of claim are increasing. Directors and Officers are facing greater risks.As an insurance which can transfer the risks of directors and offices, Directors and Officers Liability Insurance(referred as D&0 Insurance infra), gained more and more popularity in western countries. The application of D&0 Insurance contracts,compensation and solution is analysed comprehensively both in statutory law and case-law. In the developed countries, especially in the USA, most of the public corporations purchased D&0 Insurance for their Directors and Officers.As an "exotica", D&0 Insurance has to be revised to be in conformity with our law systems. The market environment and legal system environment for D&0 Insurance is still in deficiency in China, such as the deficiency in the system design of extent of protection afforded by an insurance, constructive conditions,exceptions from liability.The construction of any system is based on theory research. So for the perfection of our insurance system and theoretical studies of corporation, it is very important to do a comprehensive research on D&0 Insurance.This paper will focus on the necessity of the establishment of D&0 Insurance,and make some recommendations for the perfection of D&0 Insurance in China.更多还原