我国公司董事注意义务违反之法律救济

发布时间：2018-03-19 10:22

本文选题：公司董事　切入点：注意义务　出处：《西南财经大学》2010年硕士论文　论文类型：学位论文

【摘要】：注意义务是公司董事承担的重要义务之一。在现代公司由“股东(大)会中心主义”转变为“董事会中心主义”的世界趋势下,董事在公司中处于极为重要的地位。长期以来,基于对董事滥用权力的忧虑,我国学界和实务界在对公司治理问题的研究中,普遍倾向于强化董事的义务和责任。本文认为,强化董事义务和责任与减轻董事的风险和压力应当是完善董事责任制度的两个方面,目前的这种趋势,仅仅关注了完善董事责任制度的一个方面,而并未从减轻董事的风险和压力出发来关注董事注意义务违反之法律救济制度。本文重点从维护公司经营的健康发展、减轻董事的风险和压力出发,对我国公司董事注意义务违反之法律救济制度的完善进行了讨论。全文除导论和结论外,共分为三个部分：第一部分：董事注意义务违反之法律救济的基本问题：理论考察。首先从法律的公平价值、公司法的私法性质、董事受信托人的法律地位三个方面出发,阐述了董事注意义务违反之法律救济的法理基础；其次从平衡我国公司法对公司和股东利益的过度保护、弥补我国公司法对董事实施救济的明显不足、鼓励董事在商业活动中积极作为三个方面出发,阐述了我国公司董事注意义务违反之法律救济的现实必要性,进而为我国公司董事注意义务违反之法律救济制度的完善奠定理论和现实基础。第二部分：董事注意义务违反之法律救济途径：域外比较。从英美法系和大陆法系各选择一有代表性的国家,即美国和日本,对两国的董事注意义务违反之法律救济途径进行了较为系统的域外考察和比较分析。明确了董事注意义务违反之法律救济制度的完善必须从本国的现实需要出发,以本国法律传统和经济、文化、社会背景为基础来建构。第三部分：我国公司董事注意义务违反之法律救济：路径选择。从我国的实际情况出发,对美日两国的董事注意义务违反之法律救济途径进行了分析,并对我国公司董事注意义务违反之法律救济制度的完善提出了如下建议：①在构建我国公司董事注意义务违反之法律救济制度时,美国法院援用的商业判断规则免除董事责任制度和董事费用补偿制度目前移植于我国尚不具有必要性,同时否定了美日两国的董事会决议免除董事责任制度在我国的适用；②我国《公司法》应当明确提出可以对董事违反注意义务所产生的民事责任进行救济,同时应规定实施救济的行为要件,即主观上必须是善意且无重大过失,客观上必须是董事执行职务的行为；③我国法律应当完善异议董事的责任免除制度、完善我国的董事责任保险制度、引入国外基于公司自治的董事责任免除制度,同时提出了具体的完善和引入的建议措施；④我国法律应当借鉴日本的做法,对特殊类型董事的责任救济做出特别规定,包括对独立董事和对职工董事的责任救济分别做出特别规定。本文的主要创新是：①对我国公司董事注意义务违反之法律救济的路径进行了系统的梳理,打破了目前相关研究中仅介绍某一项制度的做法,构建了我国公司董事注意义务违反之法律救济制度的“三层次”架构,即明确对董事实施救济的一般法律条件、规定一般董事责任救济的具体路径、对特殊类型董事责任救济做特别规定。②打破了目前国内相关研究中对我国公司董事责任救济制度的建构完全照搬外国的做法。笔者结合我国的实际情况,对国外的成熟制度进行了有选择性的引入,并结合我国实际提出了具体的完善路径。比如说对于商业判断规则,国内研究普遍认为应当引入,而笔者认为从目前我国的实际情况来看,还没有立即引入的必要性。③对日本公司董事责任免除制度的分析是以最新的《日本公司法典》为基础展开的,分析的文献依据具有一定的新颖性。目前国内对日本董事责任救济的相关研究依据大多还是2002年修订后的日本新商法中的规定,而本文分析的依据是2005年发布的《日本公司法典》。本文的主要不足是：由于没有收集到我国对董事违反注意义务所产生的民事责任进行救济的实际案例,所以笔者最初想采取实证的方法研究本问题的目标一直没有转化为现实,不免是一大遗憾。
[Abstract]:The duty of care is one of the important duty of the board of directors of the company bear. In the modern company "by the shareholders (large) will change the center" to "the world trend of the center of board of directors under the board of directors in a very important position in the company. For a long time, to the board of directors abuse concerns based on my research and practice Ancient Chinese Literature Search in the research on corporate governance in general tend to strengthen the director's obligations. This paper argues that strengthening the duty and liability of directors and the board of directors to reduce the risk and pressure should be two aspects of perfecting the responsibility system of the director, the current trend, only pay attention to one aspect of perfecting the responsibility system of the director, and did not reduce the risk and pressure from the board of directors violating the duty of attention pay attention to legal relief system.
This article focuses on the healthy development of company operation and the risk and pressure of directors, and discusses the perfection of the legal remedy system of directors' duty of care violation in China.
In addition to the introduction and conclusion, the full text is divided into three parts.
The first part: the basic problems of law violating the duty of relief: theoretical study. Firstly, the fair value of the law, the private nature of the company law, the board of directors from three aspects of the legal status of the trustee, expounds directors violating the duty of legal relief law basis; secondly from the balance of China's company law in the interests of the company and shareholders over protection, obviously insufficient to make up for our company law relief to the board of directors, directors encouraged actively as the three aspects in the commercial activities of our company's directors described attention necessity of violating the duty of legal relief, lay a theoretical and practical basis to further improve our company's directors note violating the duty of legal relief system.
The second part: the legal obligation violation remedy: extraterritorial comparison. Common law and civil law from the selection of a representative countries, namely the United States and Japan, pay attention to legal remedies for violating the duty of extraterritorial systematic investigation and comparative analysis of the two directors. The directors pay attention to perfect relief the legal system of violating the duty must be from our country's reality, with its legal tradition and economic, cultural and social background as the basis to construct.
The third part: our company's directors violating the duty of legal remedy: path choice. Starting from the actual situation of our country, the board of directors of the United States and Japan, pay attention to legal remedies for violating the duty are analyzed, and suggestions put forward to perfect the legal relief system of violating the duty of directors of our company: in the construction of attention our company's directors pay attention to legal relief system in violation of obligation, the court invoked the business judgment rule exemption from liability of directors and the board of directors on the compensation system of the cost of the transplant in our country is still not has the necessity, also denied the United States and Japan, the resolution of the board of directors for exemption from liability of directors in our country; our company. It should be made clear in violation of law > can pay attention to the civil liabilities arising from the relief to the board of directors, and shall specify the requirements for the implementation of the relief act, which is subjective Must be in good faith and without gross negligence, the objective must be directors behavior; the law of our country should perfect the liability exemption system of objection directors, perfecting the directors liability insurance system, the introduction of foreign company autonomous directors liability exemption system based on, and put forward specific improvement suggestions and the introduction of the measures; the law of our country should learn from Japan's practice of special type of director liability relief to make special provisions for independent directors and responsibility for relief workers in the board of directors respectively make special provisions.
The main innovations of this paper are as follows: to pay attention to the path of our company's directors violating the duty of legal relief for the system in order to break the current relevant research, only introduce a system approach to construct China's board of directors duty of care of the legal relief system of "three levels" framework, that is clear to Director General of legal relief conditions, specific path general director liability relief, the special type of director liability relief. The special requirements to break the current domestic research in the construction of the responsibility of our company's directors relief system of copying the practices of foreign countries. According to the actual situation of our country, the mature system of foreign countries the introduction of selective, combined with the reality of our country puts forward specific improvement path. For example, the business judgment rule, domestic research is generally believed that should be introduced, I believe that from the current actual situation of our country, no need for immediate introduction. On the analysis of the system of the exemption of liability of directors of Japanese companies in the new company law > < Japan as the basis of the analysis of the literature basis has a certain novelty. On the basis of relevant researches on Japanese directors liability the relief are specified in the 2002 revised new Japanese commercial law, and this paper is based on the 2005 release of the "Japanese company code.
The main shortcoming of this paper is that, because no actual cases of civil liability for directors' breach of duty of care have been collected in China, so the author initially tried to take an empirical approach to study the goal of this issue, which has never been translated into reality, which is a great pity.

【学位授予单位】：西南财经大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91

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