公司僵局的法律研究

发布时间：2018-04-01 06:38

本文选题：公司僵局　切入点：公司章程　出处：《中央民族大学》2011年硕士论文

【摘要】：我国公司以有限责任公司和股份有限公司为组织形式。有限责任公司的股东人数少、具有人合性,当股东之间利益发生冲突且所持股份相同或相近时,所形成的对峙局面就会使公司股东会无法做出决策或使董事会无法进行正常的管理从而产生公司僵局。从公司合同理论出发,公司僵局的性质可以理解为根据包括公司章程在内的一系列合同在履行过程中出现的超出合意当事人特别是股东合理预期的一种运营障碍,这种障碍的出现严重影响了公司的目标,使公司合同当事人特别是股东的合理期待落空。公司基本制度与公司僵局的产生有一定的关联,这些基本制度包括公司的资本制度和表决制度。公司资本制度赋予持股相等或相近的股东以对峙的能力和途径,这种对峙使股东会不能形成任何决策致使公司产生僵局；“一股一表决权”的股权平等原则要求在公司治理决策中实行资本多数决原则。该原则经由协议、专门的章程或细则所确定后,公司将服从多数决原则即持有多数表决股份者控制公司的策。为保护处于弱势地位的股东的利益,公司法先后发展了累计投票权、表决权代理、表决权排除、限制多数股东表决权等制度,这些制度在弱化资本多数决刚性的同时,也会带来新的问题,导致公司僵局产生。另外封闭公司自身的特征也是形成公司僵局的一个重要原因。公司章程制定粗糙也为公司僵局的形成埋下了隐患。大陆法系国家和英美法系国家对于破解公司僵局都有相应的法律规定,也探索很多解决公司僵局的好的方式,我国《公司法》第183条也被大多数学者认为是关于解决公司僵局的法律规定,但是这条规定实际操作性并不强,还需要进一步的进行完善。本文主体内容分为四个部分。第一部分对公司僵局的基本概念进行了探讨。通过比较分析国外以及我国学者对公司僵局的理解,本文对公司僵局给出了界定。同时该部分还介绍了公司僵局的特征以及分类。第二部分是介绍公司僵局产生的原因和危害。该部分首先从四个方面分析了公司僵局产生的原因,指出有限责任公司的人合性和封闭性、公司的表决制度、小股东权益保护机制的负面影响以及公司章程制定粗糙都为公司僵局的产生买下了隐患。接下来该部分又从公司利益、股东利益、社会利益三方面出发,阐述了公司僵局的危害。第三部分讨论了公司僵局的非司法救济,指出应当强化公司章程的事前预防功能,通过事先在公司章程中对表决制度、股权转让机制以及僵局处理条款进行明确规定来实现对公司僵局的自我救济。同时,该部分还提出运用调解和仲裁破解公司僵局,实现对公司僵局的社会救济。第四部分论述了公司僵局的司法救济途径,指出了司法介入公司僵局的理论基础以及前提条件。该部分认为司法解散作为破解公司僵局的一种司法救济措施已经获得了很多国家的认可,我国《公司法》第183条也明确规定了将司法解散作为破解我国公司僵局的一种方法,但是该条规定过于笼统,对于公司僵局司法解散制度的具体适用还需结合相关司法解释以及学者观点加以充实和完善。除了司法解散本文还介绍了公司僵局的替代性司法救济措施。纵观各国的立法和司法实践,公司僵局的替代性救济措施主要包括强制股权收购、第三方介入以及直接司法管理措施。目前我国的立法以及司法实践对于公司僵局司法救济的替代性救济措施还几乎是空白,结合国外经验以及我国的实际国情,我们应该将强制股权收购和强制公司分立作为主要的替代性救济措施加以完善。
[Abstract]:In the case of a limited liability company and a joint stock limited company as the organizational form , the shareholders of the limited liability company have fewer shareholders . When the interests of the shareholders are in conflict with each other and the shares held are the same or close , the company ' s shareholders will not be able to make decisions or make the board of directors unable to carry out normal management so as to create a company deadlock . From the company contract theory , the nature of the company deadlock can be understood as a kind of operational obstacle which exceeds the reasonable expectations of the parties , especially shareholders , in the performance of the performance of a series of contracts , including the articles of association of the company .

There is a certain relationship between the basic system of the Company and the deadlock of the Company . These basic systems include the capital system and voting system of the Company . The Company ' s capital system gives shareholders equal or similar shareholders the ability and means to face the stand - off , which makes the shareholders ' meeting unable to form any decision which causes the company to deadlock ;
In order to protect the interests of the shareholders in the vulnerable position , the Company has developed the system of accumulative voting rights , voting agent , voting exclusion and limitation of the voting rights of most shareholders .

Article 183 of the Law of the Continental Law and the Anglo - American law system has the corresponding legal provisions for the deadlock of the Company , and also explores a lot of good ways to solve the deadlock of the Company . Article 183 of the Company Law of China is also considered by most scholars as the legal provisions on resolving the deadlock of the Company , but the actual operability of this provision is not strong , and further improvement is required .

The main contents of this paper are divided into four parts .

The first part discusses the basic concept of the company deadlock . By comparing and analyzing the foreign and Chinese scholar ' s understanding of the company deadlock , this article defines the deadlock of the company . At the same time , it also introduces the characteristics and classification of the company ' s deadlock .

The second part is to introduce the cause and the harm of the company deadlock . This part firstly analyzes the reasons of the company deadlock from four aspects , points out the people ' s conformity and closure of the limited liability company , the negative influence of the company ' s voting system , the protection mechanism of the minority shareholder ' s equity and the rough handling of the company ' s articles of association . This part also sets out the harm of the company ' s deadlock from three aspects of the company ' s interests , shareholder ' s interests and social benefit .

The third part discusses the non - judicial relief of the company ' s deadlock , points out that it should strengthen the pre - ante prevention function of the company ' s constitution , and realize the self - relief to the deadlock of the company by specifying the voting system , the equity transfer mechanism and the deadlock treatment clause in the articles of association of the company in advance . At the same time , the part also proposes the application of mediation and arbitration to crack down on the deadlock of the company and realize the social relief to the deadlock of the company .

The fourth part discusses the way of judicial remedy for the deadlock of the company , points out the theoretical foundation and precondition of the deadlock of the judicial intervention company . This part regards the judicial dissolution as a way to crack down the deadlock of our company . In addition to the judicial disbandment , the article also introduces the alternative judicial remedy measures to break down the deadlock of the company . In addition to the judicial dissolution , the alternative relief measures of the company deadlock include compulsory stock acquisition , third - party intervention and direct judicial management . In addition to the national experience and the actual situation of our country , we should perfect the compulsory equity acquisition and the division of the compulsory company as the main alternative relief measures .

【学位授予单位】：中央民族大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91

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