衡平居次原则研究

发布时间：2018-06-07 00:17

本文选题：衡平居次 + 关联公司　；参考：《复旦大学》2010年硕士论文

【摘要】： 法人格独立作为现代公司制度的基石,在大多数国家法律都有所体现,其表现为股东有限责任的财产责任形式。在现代经济社会中,有限责任的滥用常常导致利益上的失衡,尤其是具有控制和从属关系的关联企业的出现,加剧了这种利益失衡的状态,对有限责任制度带来了很大的挑战,各国法律都试图对这一现象做出回应,衡平居次原则就是在这种背景下确立的。衡平居次原则产生于英美法系,立足于权利保护和利益衡平的价值理念,当处于控制地位的企业或者股东使用了有违公平交易的手段,则会导致其债权劣后于从属企业其他债权人的法律后果。我国学者已明确提出将衡平居次原则引入我国法律体系,但是对于该原则的理论研究还不够系统和全面，多是在债权人保护、法人格否认等方面的论述中有所涉及,为了更全面的认识衡平居次原则,以便为我国法律所借鉴,本文尝试对该原则进行专题探讨,全文分为五章：第一章阐述了衡平居次原则的界定和法理基础。该章分析我国学者对于衡平居次原则含义的几种观点,试图对该原则的概念进行全面的阐述；阐述了衡平居次原则的法理基础,包括公平正义理念、诚实信用原则和禁止权利滥用原则,这些原则都作为基本原则规定于我国《民法通则》中,为我国引入该原则奠定了理论基础。第二章介绍了衡平居次原则源流。衡平居次原则的产生的原因在于控制权滥用导致的利益失衡,该原则产生于美国判例法,在不断地法律适用中得到发展,并被其他国家和地区所引用,加拿大通过判例的方式加以适用,而我国台湾地区则通过成文法的形式在《公司法》中引入了该原则。该章对衡平居次原则的产生发展进行简要的评析,指出衡平居次原则未来发展的趋势。第三章比较了衡平居次原则与债权人保护的其他原则,包括揭开公司面纱原则、实质合并原则和控制股东诚信义务原则。该章依次介绍了这三项制度,并与衡平居次原则进行比较分析,以便更加清晰地展现出衡平居次原则制度上的特点和优势。第四章是本文的重点。本章对衡平居次原则的适用进行深入的研究,从适用的主体、适用的条件、适用的限制和适用的例外几个方面对该原则进行全面的探讨,其中融合了美国司法实践的最新成果。第五章提出了我国引入衡平居次原则的一些思考。首先,我国《公司法》还停留在单一企业立法的传统模式,无法适应现实需要,亟需立法的跟进；其次,“揭开公司面纱”的引入在保护债权人方面存在缺陷,引入衡平居次原则可以对其进行很好的修正。最后,笔者提出了我国引入衡平居次原则的几点思考。
[Abstract]:As the cornerstone of modern company system, the independence of legal personality is embodied in most national laws, which is manifested in the form of property liability of shareholders' limited liability. In modern economic society, the abuse of limited liability often leads to the imbalance of interests, especially the emergence of affiliated enterprises with control and subordination, which exacerbates the imbalance of interests and brings great challenges to the limited liability system. National laws are trying to respond to this phenomenon, the principle of equality is established in this context. The principle of equalization arises from the Anglo-American legal system and is based on the value concept of protection of rights and balance of interests, when the enterprises or shareholders in the controlling position use the means that are contrary to the fair trade. It will lead to the inferior creditor's rights in the subordinate enterprise other creditors legal consequences. Chinese scholars have clearly proposed to introduce the principle of equalization into the legal system of our country, but the theoretical research on this principle is not systematic and comprehensive enough, mostly in the protection of creditors, the denial of legal personality, and so on. In order to understand the principle of equalization in order to draw lessons from the law of our country, this paper tries to discuss the principle, which is divided into five chapters: The first chapter expounds the definition and legal basis of the principle of equalization. This chapter analyzes several viewpoints of Chinese scholars on the meaning of the principle of equalization, and tries to expound the concept of the principle comprehensively, and expounds the legal basis of the principle of equalization, including the concept of fairness and justice. The principle of good faith and the principle of prohibiting abuse of rights are all stipulated as basic principles in the General principles of Civil Law of our country, which lays a theoretical foundation for the introduction of this principle in our country. The second chapter introduces the origin of the principle of equalization. The cause of the principle of equalization is the imbalance of interests caused by the abuse of control rights. The principle is derived from the case law of the United States and has been developed in the application of the law and used by other countries and regions. Canada applies by way of case law, and Taiwan region of our country introduces this principle in the form of statutory law. This chapter makes a brief analysis on the emergence and development of the principle of equalization, and points out the trend of the development of the principle in the future. Chapter three compares the principle of equalization with other principles of creditor protection, including the principle of lifting the veil of company, the principle of substantial merger and the principle of controlling shareholders' bona fide obligation. This chapter introduces the three systems in turn and makes a comparative analysis with the principle of equalization in order to show more clearly the characteristics and advantages of the system. The fourth chapter is the focus of this paper. This chapter makes a thorough study on the application of the principle of equalization, and probes into the principle from the aspects of the subject, the conditions, the restrictions and the exceptions of the application, which integrates the latest achievements of the judicial practice in the United States. The fifth chapter puts forward some thoughts on introducing the principle of equalization in our country. First of all, the Company Law of our country is still stuck in the traditional mode of single enterprise legislation, which can not meet the needs of reality, and needs to be followed up by legislation. Secondly, the introduction of "unveiling the company veil" has defects in the protection of creditors. By introducing the principle of equalization, we can make a good amendment to it. Finally, the author puts forward some thoughts on introducing the principle of equalization in our country.
【学位授予单位】：复旦大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91

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