美国特别诉讼委员会对股东代表诉讼的作用和影响

发布时间：2018-11-27 16:43

【摘要】：进入二十世纪以来,公司出现了所有权与经营权相分离的趋势,董事会逐步成为公司组织机构的核心和公司的主宰者。为了切实维护股东权利,防止公司经营管理人滥用职权,法律设计了各种对少数股东进行救济的方法,股东代表诉讼制度即为其中之一。但毋庸置疑的是,由于存在着对公司政策的误解、不合理的异议甚至敲诈的企图,股东提起代表诉讼的权利也存在着被滥用的风险。公司如果无谓的频频被诉,在造成牵扯大量的人力、物力、财力不利后果的同时；另一方面也会对其声誉造成消极的影响,最终损害到全体股东的利益。因此,在对股东代表诉讼制度进行激励的同时,如何也对其进行一定的制约便成为了现今各国制度设置的关键之处。在此问题上,作为股东代表诉讼制度典范的美国,可谓已经构建了一套较为完善的程序规则；而作为限制性规则之一的特别诉讼委员会,其之所以能够生成,并成为一种特别的制度化应对之道,被法院认可并延续至今,必定是有其存在的意义的。因此,本文试图通过对特别诉讼委员会这一制度进行分析,探究其在代表诉讼制度中的价值定位；并希望透过对特别诉讼委员会运行模式的详细论述,更好地完善我国代表诉讼中相关的程序保障制度。本文共分为四章：第一章是对股东代表诉讼制度的概述,从股东代表诉讼的发展过程中概括出它的价值；在此基础上,引出作为限制性规则之一的特别诉讼委员会制度。第二章主要是对特别诉讼委员会制度进行理论上的探讨,分别从特别诉讼委员会的设立要求、调查工作的时间长度和范围广度以及所作出的诉讼决定类型三个方面来展开。第三章通过对大量司法案例的分析,归纳出美国法院在对特别诉讼委员会的诉讼决定进行司法审查时,所关注的重点和采纳的标准。第四章则结合之前分析,总结出特别诉讼委员会在股东代表诉讼中的制度价值；并根据我国发展实践,对监事制度中监事会的独立性和人员素质的完善以及法院司法审查标准的确立两方面提出了一些改进意见。
[Abstract]:Since the 20th century, the company has appeared the trend of separation of ownership and management, and the board of directors has gradually become the core of the organization and the master of the company. In order to protect shareholders' rights and prevent managers from abusing their power, the law has designed various methods to remedy minority shareholders, among which shareholder representative litigation system is one of them. However, there is no doubt that due to the misunderstanding of company policy, unreasonable dissent and even extortion, shareholders' right to bring representative action is also at risk of abuse. If the company is frequently sued, it will cause a lot of human, material and financial consequences; on the other hand, it will also have a negative impact on its reputation, and ultimately damage the interests of all shareholders. Therefore, while encouraging the shareholder representative litigation system, how to restrict it has become the key point of the system setting. On this issue, the United States, as a model of shareholder representative litigation system, has already constructed a set of relatively perfect procedural rules. As one of the restrictive rules, the Special Litigation Committee, which can be generated and becomes a special way of institutionalized response, must have its existence significance when it is recognized by the court and continues to this day. Therefore, this paper attempts to analyze the system of Special Litigation Committee, and explore its value orientation in the system of Representative Litigation. Through the detailed discussion of the operation mode of the Special Litigation Committee, we hope to perfect the relevant procedural protection system in our country's Representative Litigation. This paper is divided into four chapters: the first chapter is an overview of the shareholder representative litigation system, from the development of shareholder representative litigation summed up its value; on this basis, the introduction of one of the restrictive rules of the special litigation committee system. The second chapter mainly discusses the system of special litigation committee in theory, starting from three aspects: the requirements of the establishment of the special litigation committee, the length and scope of the investigation work and the types of litigation decisions made. By analyzing a large number of judicial cases, the third chapter summarizes the focus and standards that American courts pay attention to and adopt in the judicial review of the decisions of special litigation committees. The fourth chapter combines the previous analysis, summarizes the special litigation committee in the shareholder representative litigation system value; According to the development practice of our country, this paper puts forward some suggestions on the improvement of the independence and personnel quality of the board of supervisors in the supervisory system and the establishment of the standard of judicial review of the court.
【学位授予单位】：复旦大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D971.2;DD912.29

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