信托制度中的受托人民事责任研究

发布时间：2018-04-29 01:14

本文选题：受托人 + 责任　；参考：《华侨大学》2013年硕士论文

【摘要】：信托制度起源于英国，延续几百年，到今天已经发展为遍及全世界的、被各国所承认的法律制度。它是一种由委托人给予信任将财产托付与受托人，由受托人为了受益人的利益以及为了实现某一目的，，管理处分财产的一种财产管理机制。在信托关系的各方当事人中，受托人始终处于核心地位。从一项信托自成立到终止的各阶段来看，委托人或受益人都可以暂时缺失①，但是惟独不能缺少受托人。各国信托法为了保证信托制度的灵活性、充分利用受托人的理财能力、发挥物之经济效益，都赋予了受托人极大的空间。正是这样的灵活空间，暗藏着受托人以各种手段使得信托利益被侵蚀的风险。受托人责任制度一方面对受托人行为起到约束、指引的作用，另一方面也在信托财产受损后对其进行恢复、弥补。因此，受托人责任制度对信托关系的存续意义重大。我国于20世纪初曾引入信托制度，但中华人民共和国建立后不久即被废止，直到2001年4月28日《信托法》颁布，并于同年10月施行。《中华人民共和国信托法》在维护信托各方当事人的合法权益、保障信托行业的发展等方面起到了十分重要的作用，也为信托业带来了良好的发展时机。但是，我国信托法规有关信托受托人民事责任的规定也存在诸多不完善之处。有关受托人民事责任的规定过于零散，不成体系，也没有明确受托人民事责任的性质、归责原则、过错标准等问题，一定程度上制约了信托制度应有功效的发挥。除前言与结语外，本文分为六个章节：第一章分析了信托受托人民事责任的法律内涵。首先，该章从法律责任概念出发，对受托人民事责任进行定义。其次，再以法律责任构成要件的共性为立足点，代入受托人民事责任的特殊性，对受托人民事责任的特征进行了深入解析。第二章讨论了受托人民事责任产生的基础——受托人义务。该章结合各国立法与学界关于受托人义务的观点，分别讨论了忠实义务、注意义务、分别管理义务、亲自管理义务、共同管理义务、公平义务、信息提供义务七项。其中着重归纳总结了利益冲突的三种情形与注意义务的两种标准。第三章在分析英美信托法与大陆法系信托法中有关受托人民事责任性质的主要观点的基础上，分别对违约性与侵权性进行讨论，得出受托人民事责任兼具违约性和侵权性双重性质。第四章从民事责任归责原则的一般理论入手，讨论了各国对于归责原则的选择，得出受托人民事责任应以过错责任为主、过错推定与严格责任为辅的结论。同时在该章的最后分析了受托人民事责任重过错的认定标准。第五章论述了受托人民事责任的具体内容。包括受托人民事责任承担方式：复原财产、补偿损失、被解任、完备、披露相关记录；以及受托人民事责任的免责：法定免责事由与约定免责事由。其中比较分析了各国关于法定免责事由的规定，认为我国信托法对此规定存在较大漏洞，使得受托人权利与义务失衡。第六章首先对我国信托法立法现状进行了深入分析，总结出在注意义务、忠实义务、信托目的、归责原则、过错认定方面的缺失。最后在评价我国信托法关于受托人责任规定现状的基础上，提出了自己对信托法完善的建议：明确注意义务标准、完善忠实义务规定、增加免责事由规定、改革过错形式立法模式。
[Abstract]:The trust system, which originated in Britain, has been developed into a legal system that has been developed throughout the world for hundreds of years, and is recognized by various countries. It is a property management mechanism by the trustee to trust the property and the trustee, the beneficiary for the benefit of the beneficiary and the management of the property for the purpose of achieving a certain purpose. In all parties to the trust relationship, the trustee is always at the core. From the stages of a trust from the establishment to the termination of the trust, the principal or beneficiary can be temporarily missing, but only the trustee can not lack the trustee. The trust law of the state makes full use of the trustee's ability to manage the financial ability and make full use of the trustee's financial ability. The economic benefit of the object endows the trustee with great space. It is such a flexible space that concealed the risk that the trustee will be eroded by various means. The trustee's responsibility system, on the one hand, restrains the behavior of the trustee, and the role of the trustee, on the other hand, to restore the trustee after the trust property is damaged, and make up for it. The accountability system of the trustee is of great significance to the existence of the trust relationship.
The trust system was introduced in our country at the beginning of twentieth Century, but soon after the establishment of People's Republic of China, it was abolished until April 28, 2001 "the trust law" was promulgated and implemented in October of the same year. The "People's Republic of China trust law" has played a very important role in safeguarding the legitimate rights and interests of the parties to the trust and ensuring the development of the trust industry. It also brings a good opportunity for the development of the trust industry. However, there are many imperfections in the regulations of trust related to the trustee's responsibility for the trustee in our country. The regulations on the responsibility of the entrusted people are too scattered, not systematic, and there is no definite nature of the responsibility of the trustee, the principle of imputation, the standard of fault, and so on. To a certain extent, the effectiveness of the trust system should be restricted.
In addition to the preface and conclusion, this article is divided into six chapters.
In the first chapter, the legal connotation of the trustee's responsibility is analyzed. First, the chapter defines the responsibility of the entrusted people from the concept of legal responsibility. Secondly, it takes the commonness of the constitutive requirements of the legal responsibility as the foothold, substituting the particularity of the entrusted people's responsibility, and deeply analyzes the characteristics of the civil liability of the trustee.
The second chapter discusses the basis of the trustee's responsibility, which is the basis of the trustee's responsibility. This chapter discusses the duty of loyalty, duty of attention, duty of attention, duty of management, obligation of personal management, duty of management, duty of common management, duty of public management, and obligation of information to provide seven items. There are three situations of interest conflict and two standards of duty of care.
The third chapter, based on the analysis of the main views on the nature of the entrusted people's responsibility in the trust law of the United States and the continental law system, discusses the breach and the torts respectively, and concludes that the responsibility of the trustee has dual nature of breach of contract and tort.
The fourth chapter, starting with the general theory of the principle of civil liability imputation, discusses the choice of the principle of imputation in various countries, and draws the conclusion that the responsibility of the entrusted people should be mainly fault liability, the fault presumption and the strict liability are supplemented. At the same time, the final analysis of the criteria for the determination of the fault of the entrusted people's responsibility and responsibility is to be analyzed at the end of the chapter.
The fifth chapter expounds the specific contents of the responsibility of the entrusted people, including the way of the responsibility of the entrusted people: the restoration of property, the compensation for the loss, the completion, the disclosure of the related records, and the exemption from the responsibility of the entrusted people: the Legal Disclaimer and the agreed disclaimer. Ding believes that there is a big loophole in China's trust law, which makes the trustee's rights and obligations unbalanced.
The sixth chapter makes an in-depth analysis of the status of the legislation of the trust law in China, and summarizes the lack of the duty of attention, the duty of loyalty, the purpose of trust, the principle of imputation and the fault identification. Finally, on the basis of evaluating the status quo of the stipulations of the trustee's responsibility in our country's trust law, it puts forward his own suggestions for the perfection of the trust law: a clear duty of attention. Standards, improve the duty of loyalty, increase the exemption reasons, reform the form of fault legislation.

【学位授予单位】：华侨大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.282

【参考文献】