论控制股东对公司控制权的正当行使

发布时间：2018-07-04 20:26

本文选题：控制股东 + 诚信义务　；参考：《华东政法大学》2011年硕士论文

【摘要】：公司控制权衍生于股东所有权,本质上是一种利益的载体,集中反映了股东之间的利益冲突。在我国,具有独立法律主体地位的公司,是以资本为纽带,以盈利为目的的组织,具有很强的资合性。持有多数股份的控制股东,凭借其掌控股份数额,一方面在股东大会上行使表决权,凭借多数表决权控制公司的重大决策;另一方面通过选举和任用董事、监事来控制人事任免,直接控制公司的经营行为。现代公司法中的资本多数决原则为控制股东疏通了行使公司控制权的合法性路径。然而,资本多数决原则像一把双刃剑,这一原则将投资者的投资数额多少与其控制公司的程度联系起来,会产生激励投资者向公司更多地投资,促进公司的规模经营,提高效益的积极作用;但是如果控制股东无法形成正当行使公司控制权的理念,会使公司面临控制股东滥用控制权的巨大风险。本文的论述是在尊重控制股东行使公司控制权之合法性的基础上,针对其行使公司控制权的弊端,推导行使公司控制权的正当性标准——保障公司和其他投资者的合法权益,并在此基础上提出控制股东正当行使公司控制权的理念和路径。甘培忠教授认为,“控制权本身具有正当合法的利益,包括控制财产的自身权益和其他衍生利益。”控制股东通过正当行使公司控制权来获取控制权利益,保证控制股东与中小股东的利益平衡,实现公司的长远发展。本文以控制股东为主体,以正当行使公司控制权为主线,突出了行使公司控制权的正面价值,采用比较法学、历史法学等研究方法,在立足我国控制股东对控制权行使现状的基础上,结合国外立法和相关学说对我国控制股东对公司控制权的正当行使进行了详尽的阐述。从正当行使的可行性到实施路径,提出了自己的见解,试图为保护中小股东的合法权益、投资者之间的均衡,维系公司治理的稳定尽绵薄之力。本文分为以下三部分,论述如下: 第一章对控制股东行使控制权的理论依据进行阐述。首先以实质标准界定了控制股东的概念,强调了形成对公司控制的构成标准,区别控制股东与控股股东和实际控制人。其次,阐述了控制权的内涵,从本质上将控制权与控股权以及经营权进行区分。再次,论证控制股东行使公司控制权的原因,阐述了控制股东行使公司控制权的客观性。最后,对控制股东行使公司控制权的利弊分析进行了分析。控制股东滥用控制权会给公司带来极大风险,这主要表现在;通过操纵股东(大)会,使之形成有利于自己的股东(大)会决议,将自己的利益凌驾于公司利益之上;控制管理层的运作,直接干涉公司具体的经营活动。本章的论述,为分析控制股东正当行控制权的衡量标准奠定基础。第二章对控制股东正当行使控制权的衡量标准进行论证。首先论述了控制股东正当行使公司控制权的积极意义。其次,论证衡量正当性的标准——保障公司和投资者的合法权益,促进公司的长远发展。最后,从禁止权利滥用、股东平等、有限责任和利益平衡的角度提供充足的理论依据。第三章和第四章是本文论述的重点。这两章着力于分析论述控制股东正当行使控制权的路径问题,为控制股东正确好行使公司控制权的提供衡量的尺度。第三章论述控制股东正当行使控制权的内在要求是遵守诚信义务。首先,在理论上介绍控制股东遵守诚信义务的必要性。其次,控制股东的诚信义务在内容上具有特殊性,本文主要从忠实义务的角度进行论证。最后,阐述诚信义务对控制股东行使控制权的要求。一方面,控制股东应当尊重公司的独立人格,严格界定个人与公司的权利界限,维护公司的合法权益。另一方面,控制股东应当依据忠实义务,禁止欺诈行为,保障公司与中小股东财产的安全。第四章,控制股东正当行使控制权应严格遵守法律和制度。本章拟从控制股东行使控制权的两个主要行为作为角度,在关联交易与公司收购的过程中阐述其内涵,表明其要求,提炼其意义,限制行使控制权对中小股东带来的不利影响,平衡控制股东与中小股东的利益,维护公司的合法权益。最后,本文的初衷是在认可控制股东行使公司控制权的正当性的基础上,对实践中多发的控制股东滥权现象进行分析和反思。目的在于从控制股东自身着手,在现有的法律机制下,通过宣扬正当行使控制权的积极意义来确保将控制权以正当的途径得以行使,将权力行使给公司带来的成本和风险降到最低。
[Abstract]:Corporate control is derived from shareholder ownership and is essentially a carrier of interest , which reflects the conflict of interest among shareholders . In our country , the company with independent legal entity status is a company with independent legal entity status . It is a company with independent legal subject status . It has a strong fund - closing property .

On the basis of respecting the legality of controlling shareholder ' s exercise of corporate control right , this paper derives the legal standard of exercising corporate control right and the legal rights and interests of the company and other investors , and puts forward the idea and path of controlling shareholder ' s right to exercise control right .

Based on the control of the shareholder as the main body and the right to exercise the right of control of the company as the main line , the paper expounds the legitimate exercise of the control right of the company based on the comparative jurisprudence and the historical law .

This paper is divided into the following three parts :

The first chapter expounds the theoretical basis of controlling shareholder ' s exercise of control right . Firstly , it defines the concept of controlling shareholder , emphasizes the formation of control shareholder and distinguishes between controlling shareholder and actual controller .

In the second chapter , the paper discusses the positive meaning of controlling shareholder ' s right to exercise control right . First , it discusses the positive meaning of controlling shareholder ' s right to exercise control right . Secondly , it argues that the criterion of legitimacy is to guarantee the legal rights and interests of the company and investors , and to promote the long - term development of the company . Finally , it provides sufficient theoretical basis from the angle of prohibition of abuse of rights , equality of shareholders , limited liability and balance of interests .

The third chapter and chapter four are the key points discussed in this paper . The two chapters focus on the analysis of the path problem of controlling shareholder ' s proper exercise of control right , and provide a measure of controlling shareholder ' s right to exercise control right of the company .

Chapter Three discusses the necessity of controlling shareholder ' s right to exercise control right . First , it introduces the necessity of controlling shareholder to abide by the obligation of good faith . Secondly , it discusses the requirement of the duty of good faith to control shareholder ' s exercise of control right . At last , it expounds that the obligation of good faith should respect the independent personality of the company , strictly define the limit of individual and company ' s rights and safeguard the legitimate rights and interests of the company . On the other hand , the controlling shareholder should prohibit the act of fraud and guarantee the safety of the company and the minority shareholder ' s property .

In chapter 4 , controlling shareholder ' s right to exercise control should strictly abide by laws and regulations . In this chapter , two main behaviors of controlling shareholder ' s exercise of control right should be interpreted as an angle , and its meaning is expounded in the process of related transaction and company acquisition , which indicates its requirement , refining its meaning , limiting the adverse effect of exercise control on small and medium - sized shareholders , balancing the interests of shareholders and minority shareholders , and safeguarding the legitimate rights and interests of the company .

Finally , the purpose of this paper is to analyze and reflect on the control shareholder ' s abuses in practice on the basis of recognition of the legitimacy of controlling shareholder ' s exercise of control right . The aim is to ensure that the control right is exercised through the positive meaning of exercising control right under the existing legal mechanism from the control shareholder itself , and the cost and the risk brought by the exercise of power to the company are minimized .
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91

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