cciia.org.cn 2023-4-15 15:20:16 證(zheng)監會
1.問：請介(jie)紹(shao)一下《意見》出臺的背景(jing)和重要意義(yi)？
答(da)：上(shang)市(shi)公司(si)獨立(li)董事制度(du)是(shi)(shi)中國特色現代企(qi)業制度(du)的(de)(de)重(zhong)要組成部分，也是(shi)(shi)資(zi)(zi)(zi)本(ben)(ben)市(shi)場(chang)基礎制度(du)的(de)(de)重(zhong)要內容。黨(dang)的(de)(de)十八大以(yi)(yi)來，在以(yi)(yi)習近平(ping)同志為核(he)心(xin)的(de)(de)黨(dang)中央堅(jian)強領導下，各(ge)有關方(fang)面(mian)認真貫徹(che)落實黨(dang)中央決(jue)策部署(shu)，穩步推進(jin)(jin)資(zi)(zi)(zi)本(ben)(ben)市(shi)場(chang)改(gai)革開放，上(shang)市(shi)公司(si)質量得以(yi)(yi)持續提升，在國民經濟發(fa)(fa)展(zhan)中的(de)(de)作(zuo)用日益凸(tu)顯。獨立(li)董事制度(du)作(zuo)為上(shang)市(shi)公司(si)治理結(jie)構的(de)(de)重(zhong)要一(yi)環，在促進(jin)(jin)公司(si)規(gui)范(fan)運作(zuo)、保護(hu)中小(xiao)投(tou)資(zi)(zi)(zi)者合(he)法(fa)權益，推動資(zi)(zi)(zi)本(ben)(ben)市(shi)場(chang)健康穩定發(fa)(fa)展(zhan)等(deng)方(fang)面(mian)發(fa)(fa)揮了積(ji)極(ji)作(zuo)用。但隨著全面(mian)深化資(zi)(zi)(zi)本(ben)(ben)市(shi)場(chang)改(gai)革向縱(zong)深推進(jin)(jin)，獨立(li)董事定位不(bu)(bu)清晰、責權利不(bu)(bu)對等(deng)、監(jian)督手段(duan)不(bu)(bu)夠、履職(zhi)保障不(bu)(bu)足等(deng)制度(du)性問題亟待解決(jue)，已不(bu)(bu)能滿足資(zi)(zi)(zi)本(ben)(ben)市(shi)場(chang)高質量發(fa)(fa)展(zhan)的(de)(de)內在要求。
經黨中(zhong)央(yang)、國(guo)務院(yuan)(yuan)同意(yi)(yi)，國(guo)務院(yuan)(yuan)辦公廳(ting)印發(fa)《關(guan)于上市(shi)(shi)公司獨(du)(du)立(li)董(dong)事制(zhi)度(du)(du)改革(ge)的(de)(de)意(yi)(yi)見(jian)(jian)》（以下簡稱《意(yi)(yi)見(jian)(jian)》）。《意(yi)(yi)見(jian)(jian)》的(de)(de)出臺，充(chong)分(fen)體現了黨中(zhong)央(yang)、國(guo)務院(yuan)(yuan)對建(jian)立(li)健全中(zhong)國(guo)特色現代(dai)企業制(zhi)度(du)(du)和(he)(he)中(zhong)國(guo)特色現代(dai)資本市(shi)(shi)場的(de)(de)高(gao)度(du)(du)重(zhong)(zhong)(zhong)視，是深入貫徹落實習近(jin)平新時代(dai)中(zhong)國(guo)特色社(she)會主義思(si)想的(de)(de)重(zhong)(zhong)(zhong)要體現。《意(yi)(yi)見(jian)(jian)》在(zai)肯(ken)定獨(du)(du)立(li)董(dong)事制(zhi)度(du)(du)的(de)(de)背景、作(zuo)(zuo)用和(he)(he)重(zhong)(zhong)(zhong)要意(yi)(yi)義的(de)(de)基礎上，針對獨(du)(du)立(li)董(dong)事制(zhi)度(du)(du)存在(zai)的(de)(de)突出問題，從獨(du)(du)立(li)董(dong)事的(de)(de)地位(wei)、作(zuo)(zuo)用、選擇、管(guan)理、監督(du)等方面作(zuo)(zuo)出制(zhi)度(du)(du)性(xing)規范，使獨(du)(du)立(li)董(dong)事監督(du)事項更(geng)聚焦、職(zhi)能更(geng)優化、履職(zhi)保障更(geng)充(chong)分(fen)、責權(quan)利更(geng)匹配(pei)、監督(du)更(geng)有(you)力(li)，對充(chong)分(fen)發(fa)揮獨(du)(du)立(li)董(dong)事作(zuo)(zuo)用、大力(li)提高(gao)上市(shi)(shi)公司質量、加快建(jian)設規范、透明(ming)、開(kai)放(fang)、有(you)活力(li)、有(you)韌性(xing)的(de)(de)資本市(shi)(shi)場具有(you)極其重(zhong)(zhong)(zhong)要的(de)(de)作(zuo)(zuo)用。
2.問(wen)：請介(jie)紹一下(xia)《意見(jian)》的(de)總體思(si)路和內(nei)容框架？
答：《意(yi)見》以習(xi)近平新時代中(zhong)(zhong)國(guo)(guo)特色(se)社會主義思想為(wei)指導(dao)，深入貫徹黨的(de)(de)二十(shi)大精神(shen)，完整(zheng)、準確、全(quan)面貫徹新發展理(li)(li)念(nian)，推動形成更加科學的(de)(de)獨(du)(du)(du)(du)立(li)董(dong)事(shi)(shi)制(zhi)(zhi)度(du)(du)(du)體(ti)系，促進獨(du)(du)(du)(du)立(li)董(dong)事(shi)(shi)發揮(hui)應有作(zuo)用(yong)。改(gai)革(ge)堅(jian)(jian)持(chi)(chi)基(ji)本(ben)定位，將(jiang)獨(du)(du)(du)(du)立(li)董(dong)事(shi)(shi)制(zhi)(zhi)度(du)(du)(du)作(zuo)為(wei)上市公(gong)司(si)(si)治理(li)(li)重要制(zhi)(zhi)度(du)(du)(du)安(an)排，更加有效發揮(hui)獨(du)(du)(du)(du)立(li)董(dong)事(shi)(shi)的(de)(de)決(jue)策、監督、咨(zi)詢作(zuo)用(yong)；堅(jian)(jian)持(chi)(chi)立(li)足國(guo)(guo)情(qing)，體(ti)現中(zhong)(zhong)國(guo)(guo)特色(se)和(he)資本(ben)市場發展階段特征，構建符合(he)我國(guo)(guo)國(guo)(guo)情(qing)的(de)(de)上市公(gong)司(si)(si)獨(du)(du)(du)(du)立(li)董(dong)事(shi)(shi)制(zhi)(zhi)度(du)(du)(du)體(ti)系；堅(jian)(jian)持(chi)(chi)系統觀念(nian)，平衡好(hao)企業各(ge)治理(li)(li)主體(ti)的(de)(de)關系，把握(wo)好(hao)制(zhi)(zhi)度(du)(du)(du)供給和(he)市場培育的(de)(de)協同，做好(hao)立(li)法、執法、司(si)(si)法各(ge)環節(jie)銜接(jie)，增強(qiang)改(gai)革(ge)的(de)(de)系統性、整(zheng)體(ti)性、協同性；堅(jian)(jian)持(chi)(chi)問題(ti)導(dao)向，切實解決(jue)制(zhi)(zhi)約(yue)獨(du)(du)(du)(du)立(li)董(dong)事(shi)(shi)發揮(hui)作(zuo)用(yong)的(de)(de)突出問題(ti)，確保獨(du)(du)(du)(du)立(li)董(dong)事(shi)(shi)發揮(hui)應有作(zuo)用(yong)。
按照(zhao)上述思(si)路，《意見》分為三(san)個部(bu)分。第一(yi)部(bu)分是(shi)總(zong)體要(yao)(yao)求，明(ming)(ming)確獨(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)制(zhi)(zhi)度(du)改革(ge)的(de)指導思(si)想(xiang)、基本原則和主要(yao)(yao)目標，提出(chu)要(yao)(yao)通過改革(ge)，加(jia)(jia)快形成更(geng)(geng)(geng)加(jia)(jia)科學的(de)上市(shi)公司獨(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)制(zhi)(zhi)度(du)體系，推(tui)動(dong)(dong)獨(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)權責更(geng)(geng)(geng)加(jia)(jia)匹配、職(zhi)(zhi)(zhi)能更(geng)(geng)(geng)加(jia)(jia)優(you)化、監(jian)督更(geng)(geng)(geng)加(jia)(jia)有(you)力(li)、選任(ren)(ren)管(guan)理(li)更(geng)(geng)(geng)加(jia)(jia)科學，更(geng)(geng)(geng)好發(fa)揮上市(shi)公司獨(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)在完善(shan)(shan)(shan)中國(guo)特色現代企業(ye)制(zhi)(zhi)度(du)、健全(quan)企業(ye)監(jian)督體系、推(tui)動(dong)(dong)資本市(shi)場健康穩定發(fa)展方面的(de)重要(yao)(yao)作用(yong)。第二部(bu)分為主要(yao)(yao)任(ren)(ren)務，從明(ming)(ming)確獨(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)職(zhi)(zhi)(zhi)責定位(wei)(wei)、優(you)化獨(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)履(lv)職(zhi)(zhi)(zhi)方式(shi)、強化獨(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)任(ren)(ren)職(zhi)(zhi)(zhi)管(guan)理(li)、改善(shan)(shan)(shan)獨(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)選任(ren)(ren)制(zhi)(zhi)度(du)、加(jia)(jia)強獨(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)履(lv)職(zhi)(zhi)(zhi)保障、嚴格(ge)獨(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)履(lv)職(zhi)(zhi)(zhi)情況監(jian)督管(guan)理(li)、健全(quan)獨(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)責任(ren)(ren)約(yue)束機(ji)制(zhi)(zhi)、完善(shan)(shan)(shan)協(xie)同高(gao)效的(de)內外部(bu)監(jian)督體系等(deng)八個方面提出(chu)獨(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)制(zhi)(zhi)度(du)改革(ge)的(de)措(cuo)施，切實解決制(zhi)(zhi)約(yue)獨(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)發(fa)揮作用(yong)的(de)突出(chu)問題，強化獨(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)監(jian)督效能，促進獨(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)發(fa)揮應有(you)作用(yong)。第三(san)部(bu)分為組織實施，提出(chu)要(yao)(yao)加(jia)(jia)強黨(dang)的(de)領導、完善(shan)(shan)(shan)制(zhi)(zhi)度(du)供給、強化宣傳引導，要(yao)(yao)求各相(xiang)關地區、部(bu)門和單位(wei)(wei)切實把思(si)想(xiang)和行動(dong)(dong)統一(yi)到黨(dang)中央、國(guo)務院決策部(bu)署上來，高(gao)度(du)重視和支持上市(shi)公司獨(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)制(zhi)(zhi)度(du)改革(ge)工作，確保各項(xiang)任(ren)(ren)務落(luo)到實處。
3.問：《意見》對獨立董事職責(ze)方面(mian)做了哪些(xie)重要調整？
答：清(qing)晰的(de)(de)(de)職責(ze)定(ding)位(wei)是(shi)獨(du)立董(dong)事充分(fen)發揮作用(yong)的(de)(de)(de)前提(ti)。長期以(yi)來，各(ge)方對(dui)獨(du)立董(dong)事的(de)(de)(de)角色定(ding)位(wei)以(yi)及應當監(jian)督的(de)(de)(de)重點(dian)存(cun)在模糊認識，獨(du)立董(dong)事職責(ze)范圍不聚焦、不系統。這導致獨(du)立董(dong)事對(dui)自己承擔(dan)的(de)(de)(de)核心(xin)職責(ze)不甚清(qing)楚，在其應當監(jian)督的(de)(de)(de)關鍵(jian)領域發揮的(de)(de)(de)作用(yong)不夠，同時獨(du)立董(dong)事的(de)(de)(de)身份特點(dian)也決定(ding)了其不足(zu)以(yi)承擔(dan)過多職責(ze)，“蜻蜓點(dian)水(shui)”式的(de)(de)(de)履職效果不佳。
《意見》按照實事(shi)(shi)求是(shi)的原則，對(dui)獨(du)立(li)(li)董(dong)(dong)事(shi)(shi)的職(zhi)(zhi)責定位既全面概括(kuo)、又重(zhong)點聚焦(jiao)，明確獨(du)立(li)(li)董(dong)(dong)事(shi)(shi)要履(lv)行(xing)好(hao)董(dong)(dong)事(shi)(shi)職(zhi)(zhi)責，在(zai)(zai)董(dong)(dong)事(shi)(shi)會中(zhong)發揮(hui)參與(yu)決(jue)策、監(jian)(jian)督制衡、專業咨詢作用，其(qi)中(zhong)監(jian)(jian)督作用是(shi)上(shang)市(shi)公(gong)司(si)(si)獨(du)立(li)(li)董(dong)(dong)事(shi)(shi)制度的核心目標(biao)。考慮到財務造假、大股(gu)東利(li)用關(guan)聯交易(yi)損害上(shang)市(shi)公(gong)司(si)(si)利(li)益仍是(shi)我國(guo)資本市(shi)場(chang)的突(tu)出問(wen)題，而獨(du)立(li)(li)董(dong)(dong)事(shi)(shi)可(ke)以憑借獨(du)立(li)(li)性、專業性優(you)勢(shi)在(zai)(zai)利(li)益沖突(tu)事(shi)(shi)項(xiang)上(shang)保(bao)持(chi)客觀中(zhong)立(li)(li)，為了(le)更(geng)好(hao)發揮(hui)其(qi)在(zai)(zai)關(guan)鍵(jian)領域(yu)的監(jian)(jian)督作用，在(zai)(zai)借鑒國(guo)際最佳實踐、結(jie)合中(zhong)國(guo)特(te)色和資本市(shi)場(chang)發展階段特(te)征的基礎上(shang)，將獨(du)立(li)(li)董(dong)(dong)事(shi)(shi)的監(jian)(jian)督重(zhong)點聚焦(jiao)在(zai)(zai)公(gong)司(si)(si)與(yu)其(qi)控(kong)股(gu)股(gu)東、實際控(kong)制人、董(dong)(dong)事(shi)(shi)、高級管理人員之(zhi)間(jian)的潛(qian)在(zai)(zai)重(zhong)大利(li)益沖突(tu)事(shi)(shi)項(xiang)上(shang)，強(qiang)化(hua)獨(du)立(li)(li)董(dong)(dong)事(shi)(shi)對(dui)關(guan)聯交易(yi)、財務會計(ji)報告、董(dong)(dong)事(shi)(shi)及(ji)高級管理人員任免、薪酬等(deng)關(guan)鍵(jian)領域(yu)的監(jian)(jian)督作用，促使董(dong)(dong)事(shi)(shi)會決(jue)策符合公(gong)司(si)(si)整體利(li)益，尤其(qi)保(bao)護中(zhong)小股(gu)東合法權益。
4.問：《意見》在獨立董(dong)事的(de)選聘管理方面有哪些創新舉(ju)措？
答：獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)性(xing)是(shi)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)的(de)顯著特征和(he)(he)(he)最基本任(ren)(ren)職(zhi)(zhi)(zhi)要(yao)(yao)求。但(dan)目前對(dui)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)任(ren)(ren)職(zhi)(zhi)(zhi)條件(jian)和(he)(he)(he)資(zi)格(ge)認(ren)定(ding)(ding)的(de)監(jian)(jian)(jian)督管(guan)(guan)(guan)理(li)存在(zai)(zai)短板，在(zai)(zai)我國(guo)上市(shi)公(gong)司(si)(si)大(da)股(gu)東(dong)股(gu)權集中(zhong)、中(zhong)小(xiao)股(gu)東(dong)參與公(gong)司(si)(si)治(zhi)理(li)發揮作(zuo)用不充分的(de)背景(jing)下，存在(zai)(zai)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)素質良莠不齊、“人(ren)(ren)情(qing)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)”的(de)情(qing)況。從公(gong)司(si)(si)治(zhi)理(li)的(de)實踐來(lai)看，保(bao)持獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)性(xing)的(de)關鍵(jian)在(zai)(zai)于(yu)(yu)能(neng)(neng)夠獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)履(lv)(lv)職(zhi)(zhi)(zhi)，讓獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)與大(da)股(gu)東(dong)和(he)(he)(he)管(guan)(guan)(guan)理(li)層“完(wan)(wan)全絕緣”“超然(ran)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)”是(shi)不現實的(de)。《意見》著眼于(yu)(yu)提(ti)(ti)升(sheng)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)履(lv)(lv)職(zhi)(zhi)(zhi)的(de)能(neng)(neng)力(li)，提(ti)(ti)出(chu)要(yao)(yao)完(wan)(wan)善(shan)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)的(de)任(ren)(ren)職(zhi)(zhi)(zhi)條件(jian)、提(ti)(ti)名選(xuan)舉、持續(xu)(xu)管(guan)(guan)(guan)理(li)等(deng)各環節制(zhi)度(du)。在(zai)(zai)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)性(xing)條件(jian)方(fang)面，完(wan)(wan)善(shan)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)任(ren)(ren)職(zhi)(zhi)(zhi)條件(jian)，建(jian)立(li)(li)(li)(li)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)資(zi)格(ge)認(ren)定(ding)(ding)制(zhi)度(du)，強調獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)不得與上市(shi)公(gong)司(si)(si)及其主要(yao)(yao)股(gu)東(dong)、實際控制(zhi)人(ren)(ren)存在(zai)(zai)利(li)害(hai)關系。在(zai)(zai)提(ti)(ti)名選(xuan)聘方(fang)面，要(yao)(yao)求提(ti)(ti)名委員(yuan)會對(dui)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)的(de)任(ren)(ren)職(zhi)(zhi)(zhi)資(zi)格(ge)進行審查(cha)，推行累積投票制(zhi)選(xuan)舉獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)，推動中(zhong)小(xiao)股(gu)東(dong)積極行權。在(zai)(zai)持續(xu)(xu)管(guan)(guan)(guan)理(li)方(fang)面，建(jian)立(li)(li)(li)(li)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)性(xing)的(de)定(ding)(ding)期測(ce)試和(he)(he)(he)披(pi)露(lu)機(ji)制(zhi)，保(bao)證其能(neng)(neng)夠持續(xu)(xu)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)履(lv)(lv)職(zhi)(zhi)(zhi)。制(zhi)定(ding)(ding)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)職(zhi)(zhi)(zhi)業道德規范，倡導獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)塑造良好職(zhi)(zhi)(zhi)業形象，探(tan)索建(jian)立(li)(li)(li)(li)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)信息(xi)庫，鼓勵具有豐(feng)富的(de)行業經(jing)驗(yan)(yan)、企(qi)業經(jing)營管(guan)(guan)(guan)理(li)經(jing)驗(yan)(yan)和(he)(he)(he)財(cai)務會計、金融、法律等(deng)業務專長，在(zai)(zai)所從事(shi)(shi)(shi)(shi)(shi)的(de)領(ling)域內有較高聲譽(yu)的(de)人(ren)(ren)士擔(dan)任(ren)(ren)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)，拓寬優(you)秀獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)來(lai)源(yuan)。同(tong)時，證券監(jian)(jian)(jian)督管(guan)(guan)(guan)理(li)機(ji)構和(he)(he)(he)證券交易所加(jia)強對(dui)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)任(ren)(ren)職(zhi)(zhi)(zhi)和(he)(he)(he)選(xuan)任(ren)(ren)的(de)監(jian)(jian)(jian)督管(guan)(guan)(guan)理(li)，國(guo)有資(zi)產監(jian)(jian)(jian)督管(guan)(guan)(guan)理(li)機(ji)構加(jia)強對(dui)國(guo)有控股(gu)上市(shi)公(gong)司(si)(si)獨(du)(du)(du)(du)(du)(du)(du)立(li)(li)(li)(li)董(dong)(dong)(dong)(dong)事(shi)(shi)(shi)(shi)(shi)選(xuan)聘管(guan)(guan)(guan)理(li)的(de)監(jian)(jian)(jian)督。
5.問：《意見》在優化獨立(li)董事履職方(fang)式方(fang)面有什么(me)重要安(an)排？
答(da)：履(lv)(lv)職方式是有效(xiao)落實獨立(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)職責的(de)(de)(de)關(guan)(guan)(guan)鍵(jian)。獨立(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)發揮作用的(de)(de)(de)關(guan)(guan)(guan)鍵(jian)是其(qi)(qi)外部(bu)的(de)(de)(de)獨立(li)(li)(li)(li)(li)(li)身(shen)份，但這種身(shen)份特點導致獨立(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)在(zai)公司內部(bu)缺(que)乏抓手，履(lv)(lv)職沒(mei)有組織(zhi)機(ji)(ji)構支撐，往(wang)往(wang)陷入“單(dan)打獨斗”的(de)(de)(de)困境(jing)。由(you)于(yu)目前(qian)獨立(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)缺(que)乏有效(xiao)的(de)(de)(de)前(qian)置把關(guan)(guan)(guan)手段，在(zai)獨立(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)不(bu)占多數(shu)的(de)(de)(de)董(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)會(hui)結構中，獨立(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)即使有異議也不(bu)能左右最(zui)終的(de)(de)(de)決策結果，不(bu)利于(yu)提前(qian)防(fang)范資本市場關(guan)(guan)(guan)鍵(jian)領域的(de)(de)(de)風險。為此，《意見》增(zeng)加(jia)獨立(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)區(qu)別于(yu)其(qi)(qi)他董(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)的(de)(de)(de)履(lv)(lv)職手段，促進獨立(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)個人(ren)履(lv)(lv)職向依托組織(zhi)履(lv)(lv)職的(de)(de)(de)轉(zhuan)變，進一(yi)步(bu)強(qiang)化監(jian)(jian)督力(li)度。一(yi)方面，搭建(jian)獨立(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)有效(xiao)履(lv)(lv)職平(ping)臺，完善獨立(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)占多數(shu)的(de)(de)(de)董(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)會(hui)審(shen)計(ji)、提名、薪(xin)酬等(deng)專門(men)委(wei)員會(hui)機(ji)(ji)制，建(jian)立(li)(li)(li)(li)(li)(li)全部(bu)由(you)獨立(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)參加(jia)的(de)(de)(de)專門(men)會(hui)議機(ji)(ji)制。另一(yi)方面，前(qian)移監(jian)(jian)督關(guan)(guan)(guan)口，財務會(hui)計(ji)報告及其(qi)(qi)披(pi)露等(deng)重(zhong)大事(shi)(shi)(shi)項在(zai)董(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)會(hui)審(shen)議前(qian)應當由(you)審(shen)計(ji)委(wei)員會(hui)事(shi)(shi)(shi)前(qian)認(ren)可，關(guan)(guan)(guan)聯(lian)交易等(deng)潛在(zai)重(zhong)大利益沖突事(shi)(shi)(shi)項應當由(you)獨立(li)(li)(li)(li)(li)(li)董(dong)(dong)(dong)(dong)(dong)事(shi)(shi)(shi)專門(men)會(hui)議事(shi)(shi)(shi)前(qian)認(ren)可，強(qiang)化關(guan)(guan)(guan)鍵(jian)領域監(jian)(jian)督力(li)度。
6.問：《意見》在加強獨立董事履職保(bao)障方面有什么重要(yao)舉措？
答：履(lv)(lv)(lv)職(zhi)(zhi)保障對于促進(jin)獨立(li)(li)董事(shi)(shi)(shi)有效履(lv)(lv)(lv)職(zhi)(zhi)至關(guan)重(zhong)要(yao)。獨立(li)(li)董事(shi)(shi)(shi)的(de)外(wai)部身份特點決定了其不參與日(ri)常經營管理(li)、信息不對稱、履(lv)(lv)(lv)職(zhi)(zhi)依賴于公(gong)司配合(he)協助，要(yao)為獨立(li)(li)董事(shi)(shi)(shi)履(lv)(lv)(lv)職(zhi)(zhi)提供必(bi)要(yao)支持(chi)和條件(jian)，一定程度彌補(bu)獨立(li)(li)董事(shi)(shi)(shi)外(wai)部身份的(de)局限。《意(yi)見》要(yao)求上(shang)市(shi)公(gong)司從組(zu)織、人員、資源、信息、經費等方(fang)面(mian)(mian)為獨立(li)(li)董事(shi)(shi)(shi)履(lv)(lv)(lv)職(zhi)(zhi)提供必(bi)要(yao)條件(jian)，確保獨立(li)(li)董事(shi)(shi)(shi)依法充分(fen)履(lv)(lv)(lv)職(zhi)(zhi)，強化(hua)對相關(guan)主體不配合(he)、阻(zu)撓獨立(li)(li)董事(shi)(shi)(shi)履(lv)(lv)(lv)職(zhi)(zhi)的(de)監(jian)督管理(li)，支持(chi)保險公(gong)司開展符合(he)上(shang)市(shi)公(gong)司需要(yao)的(de)相關(guan)責任保險業務，降低獨立(li)(li)董事(shi)(shi)(shi)正(zheng)(zheng)常履(lv)(lv)(lv)職(zhi)(zhi)的(de)風(feng)險。同(tong)時，通(tong)過(guo)完善獨立(li)(li)董事(shi)(shi)(shi)履(lv)(lv)(lv)職(zhi)(zhi)評價制度、建(jian)立(li)(li)聲譽激勵約(yue)束機制，推動實現正(zheng)(zheng)向激勵與反面(mian)(mian)警(jing)示并(bing)重(zhong)，進(jin)一步激發獨立(li)(li)董事(shi)(shi)(shi)履(lv)(lv)(lv)職(zhi)(zhi)的(de)積極性。
7.問：《意見》對獨立董事(shi)責任承擔方面有什(shen)么重要變化？
答：嚴格的(de)監(jian)(jian)管(guan)(guan)(guan)(guan)與合理(li)的(de)責(ze)(ze)(ze)任(ren)(ren)配(pei)置，既是督促(cu)獨(du)(du)立(li)(li)(li)董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)勤(qin)勉盡責(ze)(ze)(ze)的(de)重(zhong)要手段，也是嚴肅市場(chang)紀律(lv)、守住風(feng)險底線的(de)保障。責(ze)(ze)(ze)任(ren)(ren)過(guo)(guo)輕(qing)或過(guo)(guo)重(zhong)都可能導致過(guo)(guo)罰(fa)不相(xiang)當、“劣幣驅逐良幣”等(deng)(deng)問題。一方(fang)面，《意見(jian)》按(an)照責(ze)(ze)(ze)權(quan)(quan)利相(xiang)匹配(pei)的(de)原則，兼(jian)顧(gu)獨(du)(du)立(li)(li)(li)董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)的(de)董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)地位和(he)(he)(he)外部身份導致的(de)信(xin)息不對(dui)稱、履(lv)(lv)職(zhi)依(yi)賴公司(si)(si)(si)配(pei)合等(deng)(deng)特點，明確獨(du)(du)立(li)(li)(li)董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)與非(fei)獨(du)(du)立(li)(li)(li)董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)承(cheng)擔共(gong)同而有(you)區別的(de)責(ze)(ze)(ze)任(ren)(ren)，在董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)對(dui)公司(si)(si)(si)董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)會決議、信(xin)息披露負有(you)法(fa)(fa)定責(ze)(ze)(ze)任(ren)(ren)的(de)基礎上，推(tui)動(dong)針(zhen)對(dui)性(xing)設(she)置獨(du)(du)立(li)(li)(li)董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)的(de)行(xing)政責(ze)(ze)(ze)任(ren)(ren)、民事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)責(ze)(ze)(ze)任(ren)(ren)認定標準(zhun)。結合獨(du)(du)立(li)(li)(li)董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)的(de)主觀過(guo)(guo)錯、在決策過(guo)(guo)程中(zhong)所(suo)(suo)起的(de)作用、了解信(xin)息的(de)途徑(jing)、為(wei)核驗(yan)信(xin)息采取的(de)措施等(deng)(deng)情況綜合判(pan)斷(duan)，合理(li)認定獨(du)(du)立(li)(li)(li)董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)承(cheng)擔民事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)責(ze)(ze)(ze)任(ren)(ren)的(de)形(xing)式、比例和(he)(he)(he)金(jin)額，實現(xian)法(fa)(fa)律(lv)效果(guo)和(he)(he)(he)社會效果(guo)的(de)有(you)機統(tong)一。另一方(fang)面，《意見(jian)》要求(qiu)壓實獨(du)(du)立(li)(li)(li)董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)履(lv)(lv)職(zhi)責(ze)(ze)(ze)任(ren)(ren)，進一步規范獨(du)(du)立(li)(li)(li)董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)日常(chang)履(lv)(lv)職(zhi)行(xing)為(wei)，從工(gong)作時間、工(gong)作記錄(lu)、兼(jian)職(zhi)家(jia)數等(deng)(deng)方(fang)面規范獨(du)(du)立(li)(li)(li)董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)履(lv)(lv)職(zhi)。證券(quan)監(jian)(jian)督管(guan)(guan)(guan)(guan)理(li)機構、證券(quan)交易所(suo)(suo)通過(guo)(guo)現(xian)場(chang)檢查、非(fei)現(xian)場(chang)監(jian)(jian)管(guan)(guan)(guan)(guan)、自律(lv)管(guan)(guan)(guan)(guan)理(li)等(deng)(deng)方(fang)式，加大對(dui)獨(du)(du)立(li)(li)(li)董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)履(lv)(lv)職(zhi)的(de)監(jian)(jian)管(guan)(guan)(guan)(guan)力度，督促(cu)獨(du)(du)立(li)(li)(li)董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)勤(qin)勉盡責(ze)(ze)(ze)。堅持“零(ling)容忍”打擊證券(quan)違(wei)法(fa)(fa)違(wei)規行(xing)為(wei)，加大對(dui)獨(du)(du)立(li)(li)(li)董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)不履(lv)(lv)職(zhi)不盡責(ze)(ze)(ze)的(de)責(ze)(ze)(ze)任(ren)(ren)追究力度，對(dui)獨(du)(du)立(li)(li)(li)董(dong)(dong)事(shi)(shi)(shi)(shi)(shi)(shi)(shi)(shi)不勤(qin)勉履(lv)(lv)行(xing)法(fa)(fa)定職(zhi)責(ze)(ze)(ze)、損害公司(si)(si)(si)或者股東合法(fa)(fa)權(quan)(quan)益的(de)，依(yi)法(fa)(fa)嚴肅追責(ze)(ze)(ze)。
8.問：請談(tan)談(tan)如(ru)何抓(zhua)好(hao)《意見(jian)》的貫徹落實？
答：《意見》對(dui)組織(zhi)實(shi)(shi)施(shi)進(jin)行了專(zhuan)門(men)部(bu)(bu)署。一是要(yao)(yao)加強(qiang)黨(dang)的(de)領導。堅持(chi)黨(dang)對(dui)上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)獨(du)(du)(du)立董(dong)事(shi)制(zhi)度(du)(du)(du)(du)改革(ge)工(gong)(gong)作的(de)全面領導，確(que)(que)保正確(que)(que)政治方向。各相關(guan)(guan)(guan)地區(qu)、部(bu)(bu)門(men)和(he)(he)(he)單(dan)(dan)位要(yao)(yao)切(qie)實(shi)(shi)把思想(xiang)和(he)(he)(he)行動(dong)統(tong)一到黨(dang)中(zhong)央、國務(wu)院決策(ce)部(bu)(bu)署上(shang)(shang)來，高度(du)(du)(du)(du)重視(shi)和(he)(he)(he)支(zhi)持(chi)上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)獨(du)(du)(du)立董(dong)事(shi)制(zhi)度(du)(du)(du)(du)改革(ge)工(gong)(gong)作，明確(que)(que)職(zhi)(zhi)(zhi)責(ze)分工(gong)(gong)和(he)(he)(he)落(luo)實(shi)(shi)措施(shi)，確(que)(que)保各項任務(wu)落(luo)到實(shi)(shi)處(chu)。各相關(guan)(guan)(guan)地區(qu)、部(bu)(bu)門(men)和(he)(he)(he)單(dan)(dan)位要(yao)(yao)加強(qiang)統(tong)籌協調銜接，形成工(gong)(gong)作合力，提升改革(ge)整體效果(guo)。二是要(yao)(yao)完(wan)善(shan)制(zhi)度(du)(du)(du)(du)供給(gei)。推動(dong)修訂公(gong)(gong)(gong)(gong)司(si)法(fa)(fa)(fa)等法(fa)(fa)(fa)律，制(zhi)定(ding)上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)監(jian)(jian)督(du)(du)管(guan)(guan)理(li)(li)(li)條例，完(wan)善(shan)獨(du)(du)(du)立董(dong)事(shi)相關(guan)(guan)(guan)規(gui)定(ding)。證(zheng)券監(jian)(jian)督(du)(du)管(guan)(guan)理(li)(li)(li)機(ji)(ji)構將按照改革(ge)意見要(yao)(yao)求制(zhi)定(ding)《上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)獨(du)(du)(du)立董(dong)事(shi)管(guan)(guan)理(li)(li)(li)辦法(fa)(fa)(fa)》，落(luo)實(shi)(shi)獨(du)(du)(du)立董(dong)事(shi)的(de)職(zhi)(zhi)(zhi)責(ze)定(ding)位、選任管(guan)(guan)理(li)(li)(li)、履職(zhi)(zhi)(zhi)方式(shi)、履職(zhi)(zhi)(zhi)保障、行政監(jian)(jian)管(guan)(guan)等制(zhi)度(du)(du)(du)(du)措施(shi)；完(wan)善(shan)證(zheng)券監(jian)(jian)督(du)(du)管(guan)(guan)理(li)(li)(li)機(ji)(ji)構、證(zheng)券交(jiao)易所等配(pei)套規(gui)則，細化上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)獨(du)(du)(du)立董(dong)事(shi)制(zhi)度(du)(du)(du)(du)各環(huan)節具體要(yao)(yao)求。國有資產監(jian)(jian)督(du)(du)管(guan)(guan)理(li)(li)(li)機(ji)(ji)構加強(qiang)對(dui)國有控(kong)股(gu)上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)的(de)監(jian)(jian)督(du)(du)管(guan)(guan)理(li)(li)(li)，指導國有控(kong)股(gu)股(gu)東依法(fa)(fa)(fa)履行好職(zhi)(zhi)(zhi)責(ze)，推動(dong)上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)獨(du)(du)(du)立董(dong)事(shi)更好發(fa)揮(hui)作用。財(cai)政部(bu)(bu)門(men)和(he)(he)(he)金融監(jian)(jian)督(du)(du)管(guan)(guan)理(li)(li)(li)部(bu)(bu)門(men)統(tong)籌完(wan)善(shan)金融機(ji)(ji)構獨(du)(du)(du)立董(dong)事(shi)相關(guan)(guan)(guan)規(gui)則。三是要(yao)(yao)強(qiang)化宣傳引(yin)導。各相關(guan)(guan)(guan)地區(qu)、部(bu)(bu)門(men)和(he)(he)(he)單(dan)(dan)位要(yao)(yao)做好宣傳工(gong)(gong)作，多渠道、多平臺加強(qiang)對(dui)上(shang)(shang)市(shi)(shi)(shi)公(gong)(gong)(gong)(gong)司(si)獨(du)(du)(du)立董(dong)事(shi)制(zhi)度(du)(du)(du)(du)改革(ge)重要(yao)(yao)意義的(de)宣傳，增進(jin)認(ren)(ren)知認(ren)(ren)同、凝聚(ju)各方共識，營造良好的(de)改革(ge)環(huan)境(jing)和(he)(he)(he)崇(chong)法(fa)(fa)(fa)守信的(de)市(shi)(shi)(shi)場環(huan)境(jing)。
日期：2023-4-15 15:20:16 | 關閉 |
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