论股东盈余分配请求权的司法介入及其限度

发布时间：2018-05-31 06:36

本文选题：股东盈余分配请求权 + 司法介入　；参考：《华东政法大学》2014年硕士论文

【摘要】：股东对公司进行投资的最主要目的是获取投资回报，各国公司法均明确规定了股东享有从公司获得资产收益的权利。然而，由于公司各参与方的利益索求并不一致，导致司法实践中的股东盈余分配请求权纠纷频生。我国《公司法》对该权利的规定尚处于比较原则性的阶段，各地、各级法院的理解和运用有着不同的态度，导致司法认定的不统一，“同案不同判”的现象广泛存在。本文通过考察股东盈余分配请求权的基础理论及主要法域的法律规则，并结合司法实践中出现的裁判困境，深入分析了股东盈余分配请求权的权利性质、权利层次，对该权利行使障碍的表现形式及深层原因进行类型化分析。针对司法介入股东盈余分配请求权的问题，，本文以公司合同理论视角论证了司法介入的正当性基础，亦对不赞成司法介入的观点进行了梳理。同时，比较分析了域外制度构建的典型做法。本文还重点对司法介入股东盈余分配请求权的限度进行分析，提出以抑制代理成本为司法介入的目标，以商业判断准则和合理预期标准作为公司自治与司法介入的边界，并且结合司法现状提出法官审理此类案件的审判思路。在导言部分对“司法介入股东盈余分配请求权”这一问题进行文献梳理后，本文共分为六章进行具体的探讨：第一章主要展现司法实践中的四个案例，体现出股东盈余分配请求权纠纷的司法审判存在差异，进而引出本文所要研究的法律问题。第二章论述股东盈余分配请求权的概念、权利性质，将该权利划分为抽象与具体两个权利层级，并阐述股东盈余分配请求权的行使基础。第三章论证股东盈余分配请求权行使障碍的产生原因，并对不同表现形式的行使障碍进行类型化分析。第四章以公司合同视角探讨司法介入股东盈余分配请求权的正当性，并分析了学界的不同观点，同时从比较法的视野对英美国家相关立法、司法现状进行梳理，探索其中对我国的借鉴与启示。第五章从公司自治与司法介入的关系入手，指出司法介入股东盈余分配请求权的目标在于抑制公司代理成本，而其边界要以商业判断准则以及合理期待标准来判定。第六章基于前述论证，对司法介入股东盈余分配请求权的裁判困境进行了对策性的解读，提出法官处理此类案件应具备的审判思路。
[Abstract]:The main purpose of shareholders' investment in the company is to obtain the return on investment. The company law of all countries clearly stipulates that the shareholders have the right to obtain the return on assets from the company. However, because the interests of the company's participants are not consistent, it leads to frequent disputes about the shareholders' claim for surplus distribution in judicial practice. The stipulation of this right in the Company Law of our country is still in a relatively principled stage. The understanding and application of the courts at all levels have different attitudes, which leads to the disunity of judicial recognition and the phenomenon of "different judgments in the same case" widely exists. Based on the investigation of the basic theory of shareholders' claim for surplus distribution and the legal rules of main jurisdictions, and combined with the adjudication dilemma in judicial practice, this paper deeply analyzes the nature and level of rights of shareholders' claim for surplus distribution. This paper analyzes the manifestation and deep causes of the obstacles to the exercise of the right. In view of the problem of judicial intervention on the claim right of shareholders' earnings distribution, this paper demonstrates the legitimate basis of judicial intervention from the perspective of corporate contract theory, and combs the viewpoint of disapproval of judicial intervention. At the same time, the author compares and analyzes the typical practice of setting up the extraterritorial system. This paper also focuses on the analysis of the limitation of judicial intervention on shareholders' claim for surplus distribution, and puts forward that the goal of judicial intervention is to restrain agency costs, and the criteria of commercial judgment and reasonable expectation are taken as the boundary between corporate autonomy and judicial intervention. Combined with the current situation of the judiciary, the author puts forward the thinking of the judges to try this kind of cases. In the introduction part, after combing the literature on the issue of "judicial intervention in the claim of shareholders' earnings distribution", this article is divided into six chapters for specific discussion. The first chapter mainly shows the four cases in judicial practice, reflecting the differences in the judicial adjudication of the dispute of shareholders' claim for surplus distribution, and then leads to the legal problems to be studied in this paper. The second chapter discusses the concept and nature of shareholders' right to claim for the distribution of earnings, and divides the right into abstract and abstract. Specific two levels of rights, and explain the shareholders of the exercise of earnings distribution claim basis. Chapter III demonstrates the causes of the obstacles to the exercise of shareholders' claim for the distribution of earnings, and discusses the causes of the obstacles in different forms of expression Type analysis of exercise disorder. The fourth chapter discusses the legitimacy of judicial intervention in the claim of shareholders' earnings distribution from the perspective of company contract, and analyzes the different viewpoints of academic circles. At the same time, from the perspective of comparative law, it combs the relevant legislation and judicial status of Anglo-American countries. Reason, explore among them to our country draw lessons from and enlighten. The fifth chapter starts with the relationship between corporate autonomy and judicial intervention, and points out that the goal of judicial intervention is to restrain the agency cost of the company, and its boundary should be based on the criterion of commercial judgment and the standard of reasonable expectation. To determine. The sixth chapter, based on the above argument, interprets the judgment dilemma of the judicial intervention in the shareholders' earnings distribution claim, and puts forward the judicial thinking that the judge should have to deal with this kind of cases.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.291.91

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