本文主要通过对相关文献的研究分析,总结出独立董事的概念、特征及职能

作用,而后进一步研究了我国独立董事制度的产生、建立、发展及其特殊的历史

背景和本质,对我国独立董事制度的现状进行了基本的描述,进而总结出独立董

事制度的积极作用和价值。

本文在基本理论的研究总结基础之上,针对上市公司中小投资者关于独立董

事的相关问题进行了问卷调查,通过对调查数据的整理归纳分析可以看出,中小

投资者对独立董事的工作职责、履职要求、产生机制等问题的认知不清,对我国

独立董事制度的独立性和有效性不认可,对我国独立董事制度的取舍略倾向于继

续观望;我国中小投资者认为独立董事制度核心的问题是独立性和有效性的问题,

希望通过法制的形式来明确和推进独立董事制度的发展。问卷调研中还集中的反

映了一个重要的问题,即中小投资者对我国独立董事及独立董事制度的关注度很

低,需要我们更加重视对中小投资者和民众舆论关于独立董事制度方面的教育和

引导。

基于问卷调研分析的基本结论,本文提出了独立董事制度目前存在的问题,

其独立性和有效性仍是我国独立董事制度现阶段存在的最核心的问题。本文最后

针对独立董事制度的现存问题,进一步提出了对策建议,相应的法制建设、独立

性保障和专业化保障是对策措施的关键。

本文的总体结论认为我国的独立董事制度目前存在很多问题和弊端,但从大

国际观和大历史观的角度来分析和判断,其仍具有相当的价值和意义,应该继续

实践和调整改革。

关键词:中小投资者,独立董事制度,对策

THE COUNTERMEASURES RESEARCH OF

INDEPENDENT DIRECTOR SYSTEM BASED ON MEDIUM

AND SMALL INVESTORS' COGNITION

ABSTRACT

Through the study of relative literatures, this paper summarized the concepts, role

features and functions of independent directors. At the same time, it did some

researches on the generation, establishment and development of independent director

system in China. This paper pointed out that the development process of independent

director in China has its specific economic, social basis and special historical

background. And it found that the essence and core of the independent director are to

find a balance between the overall interests of the company and the maximization of the

value to shareholders.

Based on these research results, a forther questionnaire survey about the relevant

problems of independent directors in medium and small investors of listed companies

has been carried out. It reveals a lot of problems which are listed as follow: First of all,

the independent directors' duties,the requirements of their duties, and the generation

mechanism are not clearly recognized from the questionnaire survey. Moreover, the

investors do not agree with the effectiveness and independence of the independent

director systems. In addition,they slightly tend to continue keeping: the wait-and-see

attitude on whether to adopt the independent director system. However, the medium and

small investors think that the independence and effectiveness is the core problem of the

independent director system. They hope to clear and advance the development of

independent director system through the legal system. From the questionnaire survey, it

is significant that the medium and small investors pay little attention to the independent

directors and its system,which reminds us to pay more attention to the education and

guidance on medium and small investors and general public.

This paper puts forward the existing problems of independent director system

through the analysis of questionnaire survey. It reflects the fact that though the value is

worthy a positive affirmation, the independence and effectiveness is still the most

significant problem in the development of independent director system. Finally, this

paper further presents some countermeasures and suggestions in order to solve the

existing problems of independent director system. It pointed out that tiie critical solution