上市公司股东表决权制度研究

发布时间：2018-07-05 16:53

本文选题：上市公司 + 股东表决权　；参考：《广东商学院》2011年硕士论文

【摘要】：发达国家资本市场的历史经验表明,上市公司的良好治理是资本市场健康与可持续发展的基石。股东表决权制度作为公司法中最为重大的基本问题之一,就是一项非常重要的公司治理法律制度。以2005年修订的《中华人民共和国公司法》为标志,上市公司并购制度、独立董事制度等一些国外具体法律制度的相继引进与建立,表明我国已基本建立了与市场经济相适应的现代公司制度。但是,从近年来国内上市公司股东大会运作实践可见,股东大会股东表决权制度运作还存在着许多实际问题,所以,深入探究上市公司完善治理结构的有效途径,以保护广大股东特别是流通股股东权益正是本文的研究宗旨之所在。本文在新《公司法》颁布的背景下,从股东表决权的概念、性质、作用等基本理论出发,详细阐述股东表决权行使机制和行使方法,在借鉴国外表决权制度的先进立法经验的基础上,对如何完善我国股东表决权制度进行了探讨。全文共分为五个部分: 第一部分:股东表决权概述。本部分首先从法理的角度以及经济学的角度对股东的表决权制度进行分析,并在此基础上对股东表决权的法律性质及行使的基本原则等内容进行了论述。股东表决权不仅具有私法权利属性,还具有经济法权利的特征,表决权作为公司所有与公司经营的连接点,是股东享有的法定固有权利之一。第二部分:上市公司股东表决权的行使机制。股东表决权的行使需要在一定的时空场所中进行,而这个时空场所就是股东表决机制。本部分论述了传统的表决权行使方式以及新型的表决权行使方式,并分析了表决权行使中的相关限制。第三部分:股东表决权制度比较研究。首先阐述了大陆法系和英美法系国家的股东表决权制度,并结合我国现行公司法和其他规范性文件设计股东表决权制度的情况进行比较研究和借鉴。第四部分:我国上市公司股东表决权制度中存在的问题。本部分在上述分析的基础上,结合我国公司法的规定,分析了在我国上市公司股东表决权制度中存在大股东易垄断表决权、累积投票权制度可操作性差、股东表决权代理行使制度中存在问题、表决权信托方式制度缺失等问题。第五部分:完善我国上市公司股东表决权制度的对策建议。本部分结合我国公司治理实践经验,提出要建立股东分类表决权制度,保护中小股东权益;完善累积投票制;通过立法推行新型表决权行使方式,节约表决权成本;完善股东表决权代理制度;逐步引进表决权信托制度。
[Abstract]:The historical experience of capital markets in developed countries shows that good governance of listed companies is the cornerstone of healthy and sustainable development of capital markets. As one of the most important basic problems in company law, shareholder voting right system is a very important legal system of corporate governance. Marked by the revised Company Law of the people's Republic of China in 2005, the merger and acquisition system of listed companies and the independent director system have been introduced and established one after another in some foreign countries. It shows that our country has basically established the modern company system adapted to the market economy. However, it can be seen from the operation practice of shareholders' general meeting of domestic listed companies in recent years that there are still many practical problems in the operation of shareholder voting rights system of shareholders' general meeting. Therefore, the effective way to improve the governance structure of listed companies is deeply explored. The purpose of this paper is to protect the rights and interests of the majority of shareholders, especially the circulating shareholders. Under the background of the promulgation of the new Company Law, this paper expounds in detail the mechanism and methods of the exercise of shareholders' voting rights from the basic theories of the concept, nature and function of shareholders' voting rights. Based on the advanced legislative experience of foreign countries, this paper probes into how to perfect the voting right system of shareholders in China. The full text is divided into five parts: the first part: the overview of shareholder voting rights. This part firstly analyzes the voting system of shareholders from the angle of legal theory and economics, and on this basis discusses the legal nature and basic principles of the exercise of shareholders' voting rights. The voting rights of shareholders not only have the attribute of private law rights, but also have the characteristics of economic law rights. As the connection point between all the company and the company management, the voting right is one of the inherent legal rights enjoyed by the shareholders. The second part: the exercise mechanism of shareholders' voting rights in listed companies. The exercise of shareholders' voting rights needs to be carried out in a certain place of time and space, which is the voting mechanism of shareholders. This part discusses the traditional voting right exercise mode and the new voting right exercise mode, and analyzes the relevant restriction in the voting right exercise. The third part: the comparative study of shareholder voting right system. Firstly, this paper expounds the voting system of shareholders in civil law system and Anglo-American law system, and makes a comparative study and reference on the design of shareholder voting system in China's current company law and other normative documents. The fourth part: the problems existing in the voting system of listed companies in China. On the basis of the above analysis and combined with the provisions of our company law, this part analyzes the existence of large shareholders' monopoly voting rights in the voting system of listed companies in our country, and the poor operability of the cumulative voting rights system. There are some problems in the system of shareholder's voting agency, the system of voting trust and so on. The fifth part: the countermeasure suggestion of perfecting the shareholder voting right system of listed company in our country. Based on the practical experience of corporate governance in our country, this part proposes to establish the system of shareholders' classified voting rights, to protect the rights and interests of minority shareholders, to perfect the cumulative voting system, to promote a new way of exercising voting rights through legislation, and to save the cost of voting rights. Improve the system of shareholder voting agency; gradually introduce the voting trust system.
【学位授予单位】：广东商学院
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91

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