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1、烟台大学 硕士学位论文 论破产管理人监督机制 姓名：房继涛 申请学位级别：硕士 专业：法律硕士 指导教师：姜一春 2011-03-12 I 摘 要 破产程序是一项复杂的系统工程， 这其间存在着多方利益主体的角逐。 作为破产程序的 主导者， 破产管理人行使着对破产财产进行管理和分配的职权， 掌握着破产企业 “生杀予夺” 的大权，对破产案件的公平、公正、高效处理有着至关重要的影响，因此建立健全对破产管 理人的监督机制具有重要的理论意义和现实价值。 我国现行 企业破产法 针对破产管理人的法律规制问题已经初步形成了一套以法院为 主体、 以债权人会议和债权人委员会为两翼的破产管理人监督机制， 这是对我国
2、破产法理论 的创新。但由于我国破产法理论研究上的滞后性，现行“一体两翼”的破产管理人监督机制 尚有不完善之处，需要在总结我国破产法实践中对破产管理人法律规制现实状况的基础上， 借鉴主要国家成熟的破产法理论和破产管理人法律规制的先进做法， 对我国的破产管理人监 督机制进一步充实完善。 本文以破产管理人监督机制为研究对象， 运用分析比较的方法对我国现行破产管理人监 督机制存在的问题和主要国家对破产管理人法律规制的成熟做法进行了研究， 并对完善我国 破产管理人监督机制进行了深入的思考。除引言和结语之外，本文共分为四个部分： 第一部分， 破产管理人监督机制的基本问题。 首先， 从分析破产管理人的法律地
3、位入手， 通过考察国内外法学界关于破产管理人法律地位的学说， 对我国破产管理人的法律地位进行 了定位；其次，对破产管理人监督机制的法律内涵进行了阐述。 第二部分， 我国现行破产管理人监督机制。 在这一部分中， 介绍了我国现行 “一体两翼” 的破产管理人监督机制， 肯定了现行机制的进步之处， 并对现行监督机制的不足之处进行了 阐述和分析。 第三部分， 对主要国家破产管理人监督机制的考察。 运用文献归纳的方法， 从内部监督、 外部监督和法律责任的监督三个方面对各主要国家的破产管理人监督机制进行了考察， 并阐 述了其成熟做法对我国的借鉴意义。 第四部分，完善我国破产管理人监督机制的法律思考。针对我国
4、现行“一体两翼”的破 产管理人监督机制存在的问题， 借鉴主要国家破产管理人法律规制的先进经验， 对完善我国 的破产管理人监督机制提出了自己的看法，包括：内部监督上，明确破产管理人注意义务的 标准，加强管理人的自我监督意识；外部监督上，继续完善“一体两翼”的监督模式，增设 II 新的监督主体，完善破产管理人的市场准入和资格退出制度，建立行业自律制度；法律责任 的监督上，明确民事责任的归责原则，健全破产管理人执业责任保险制度，细化行政责任的 规定，增加破产犯罪的规定。 关键词关键词：破产法；破产管理人；监督机制 III Abstract Bankruptcy proceedings is a co
5、mplicated system engineering, in which there are multi-stakeholders struggle. As the leader of bankruptcy proceedings, bankruptcy administrators wield the power of managing and distributing the bankruptcy property, and the power of deciding the bankrupt enterprise existence, which there is important
6、 influence with processing the bankruptcy case fairly, impartially and efficiently. Therefore, establishing and perfecting the supervision mechanism of bankruptcy administrator has important theoretical significance and practical value The current Law of the Peoples Republic of China on Enterprise B
7、ankruptcy has initially formed a set of supervision mechanism of bankruptcy administrator aimed at the problem of bankruptcy administrators legal regulation, in which the court as the main body and the creditors meetings and the creditors committee as the two wings. This is the theory innovation of
8、our bankruptcy law. But because of lagging study in bankruptcy law theory in China, the current one body and two wings bankruptcy administrator supervision mechanism is imperfect, and need to enrich and perfect it base on drawing lessons from the reality of bankruptcy administrators legal regulation
9、 of China and mirroring advanced practice of the major countries mature bankruptcy theory and legal regulation on bankruptcy administrator. The study object of this paper is the supervision mechanism of bankruptcy administrator. In this paper, Ill study the existing problem in our supervision mechan
10、ism of bankruptcy administrator and the mature approach of major countries on the supervision mechanism of bankruptcy administrator with the method of analysis and comparison. In addition to preface and epilogue, this article is divided into four parts: The first part, the fundamental questions of t
11、he supervision mechanism of bankruptcy administrator. First of all, starting from the analysis of the legal status of bankruptcy administrator, I set the bankruptcy administrator a proper legal status, through studying the theories of bankruptcy administrators legal status; Secondly, I expound the L
12、egal connotation of the supervision mechanism of bankruptcy administrator. The second part, the present bankruptcy administrator supervision mechanism of our country. In IV this part, I introduce the current supervision mechanism of bankruptcy administrator of one body and two wings, and affirm the
13、advancements of the current mechanism, and expound and analysis the disadvantage of the current mechanism. The third part, the study of the major countries. In this part, I Survey the major countries supervision mechanism of bankruptcy administrator from three sides, consist of internal supervision,
14、 external supervision and legal responsibility supervision; and expound the important reference of its mature approach. The fourth part, the legal consideration of perfect the supervision mechanism of bankruptcy administrator of our country. Aimed at the existing problem of current supervision mecha
15、nism, Ive made some suggestions about perfecting the supervision mechanism of bankruptcy administrator of our country base on mirroring the advanced experience about the legal regulation on bankruptcy administrator. These suggestions include: for the internal supervision, we need to clear and defini
16、te the standards of duties of care of bankruptcy administrator, and strengthen their consciousness of self-supervision; for the external supervision, well continue to perfect the supervision mode of one body and two wings, and set up new supervision subjects, and perfect the market access system, to the professionalism of development, perfect the selection mechanism of bankruptcy administ
