资产管理人勤勉尽责义务的理论基础与司法适用  

The Theoretical Basis and Judicial Application of the Duty of Diligence of Asset Manager

作　　者：徐化耿 XU Huageng(Law School,Capital University of Economics and Business,Beijing 100070,China)

机构地区：[1]首都经济贸易大学法学院,北京100070

出　　处：《现代法学》2023年第3期138-149,共12页Modern Law Science

基　　金：教育部人文社科青年基金“类型与构造:资产管理人的信义义务研究”(19YJC820061)。

摘　　要：资产管理法律关系本质上属于信托关系,这是资产管理人承担勤勉尽责义务的正当性基础。作为一种金融行业的行为标准,勤勉尽责义务在我国法中呈现为一般条款,起着补充法律漏洞以及弥补当事人约定不明的兜底性作用。勤勉尽责义务的内涵与标准需要法官在个案中具体确定,而其制度目的在于,通过金融行业的风险防控保障投资者利益。司法适用中,判断资产管理人是否违反勤勉尽责义务,主要是评价其行为在风险引致损失的过程中扮演的角色,所以,勤勉尽责义务又具有事后损失分配功能。The essence of asset management relation is a kind of fiduciary relationships,and thus asset managers have the duty of diligence for beneficiaries.As a standard of conduct of financial industry,in China’s law,the duty of diligence appears as a general clause that can supplement legal loopholes and unclear terms of parties.The specific standard and point of duty of diligence that aims at controlling financial risks need interpreting by judges in single case.In judicial practice,assuring the breach of duty of diligence means to assess the role of asset managers in the process of risks resulting in losses.From this perspective,the duty of diligence is an ex post facto rule of loss distribution.

关 键 词：资产管理人 勤勉尽责义务 行为标准 一般条款 

分 类 号：DF438.2[政治法律—经济法学]