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139****6474 · 2023年12月24日

为什么不可以从现有的独立董事里选择信任董事长？

  1. ESG
  2. Governance factors

NO.PZ2022120702000018

问题如下：

CBT’s Annual General Meeting (AGM) is two months away. Patrick Weeze is a portfolio manager who owns a significant number of CBT shares in his portfolio. His fund is a concentrated portfolio with high idiosyncratic risk and, as a result, Patrick believes that a detailed analysis of the governance of each of his portfolio holdings is paramount to its long-term performance. He reviews the relevant documentation regarding CBT’s AGM and notes the following:

− CBT currently has 10 individuals sitting on its board, 3 of whom are independent. The Chairman is the former CEO who stepped down last year.

Patrick believes that the Chair cannot be considered as an independent member of the board. He schedules an engagement meeting with the Chair to discuss the matter.

What could be the most favourable outcome from a governance perspective?

选项：

A.The Chair steps down and the CEO assumes the chairmanship, and one of the independent directors becomes the lead independent director. B.The Chair steps down and remains on the board, and one of the existing independent directors is elected Chair. C.An additional independent director is added to the board to increase the level of independence. D.The Chair steps down from the Chair role, and a newly elected independent director is appointed Chair.

解释：

CBT目前有10位董事，其中3位是独立董事。董事会主席是去年离职的前任首席执行官。Patrick认为，主席不能被视为董事会的独立成员。他安排与主席开会讨论此事。从治理的角度来看，最有利的结果就是D选项，董事会主席辞去其职务，新选出的独立董事被任命为董事长，保证董事会主席的独立性。

为什么不可以从现有的独立董事里选择信任董事长？

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2 个答案

净净_品职助教 · 2023年12月25日

嗨，从没放弃的小努力你好：


董事会中独立董事的数量或比例要求因国家和地区的法律、规章以及公司所在的股票交易所的规则而异。不过，一般有一些普遍的准则和最佳实践（以下部分与考试无关，可做拓展学习，知识点还是以讲义和课程内容为准）：

  1. 美国：在美国，纳斯达克和纽约证券交易所要求上市公司的董事会必须至少有一半的独立董事。对于某些委员会，如审计、薪酬和提名委员会，几乎必须完全由独立董事组成。
  2. 欧洲：欧洲的规定各有不同。例如，在英国，上市公司治理的金融报告委员会（FRC）的《英国公司治理准则》建议至少一半（不包括董事长）的董事应该是独立非执行董事。
  3. 亚洲：亚洲各国的规定也不尽相同。例如，香港的上市规则要求董事会至少有三名独立非执行董事，占董事总数的不少于三分之一。
  4. 独立执行董事与独立非执行董事：一般而言，独立执行董事较少见，因为执行董事通常涉及公司的日常管理，而独立性可能难以保证。独立非执行董事则更加常见，他们不参与公司的日常管理，更能保持独立性，提供监督和建议。

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加油吧，让我们一起遇见更好的自己！

净净_品职助教 · 2023年12月24日

嗨，爱思考的PZer你好：


同学应该是对B选项有疑问，选现有的独立董事当出席并没有什么问题，但并不一定是最优解。

B选项主席卸任，但仍留在董事会，现有的一名独立董事当选为主席。

D选项主席辞去主席职务，新选举的独立董事被任命为主席。

区别在于B的主席仍然在董事会里，董事会结构仍然只有3位独立董事。D选项主席走了，换了个独立董事，现在董事会里有4个独立董事了，独立性提高

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努力的时光都是限量版，加油！

139****6474 · 2023年12月25日

请问董事会针对独立和非独立董事的席位有个数量级的规定和建议吗？

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