我国股东诉讼代表制度研究

发布时间：2018-07-10 08:36

本文选题：股东 + 代表诉讼　；参考：《中央民族大学》2010年硕士论文

【摘要】：法律制度的设立重要的是能与社会生活的发展实际需要相符合,在现实的经济生活当中,公司的经营管理由于传统资本多数决原则的约束,大股东在公司治理过程之中占有着绝对优势,由此也导致大股东利用其资本优势侵害其它中小股东和公司利益的案例早有发生。股东代表诉讼制度肇始于英国,后在美国得到全面发展,法国、加拿大、日本、中国台湾等许多国家和地区的商法或公司法中都规定了该制度。尽管股东代表诉讼制度在英、美、日等国家早有相关立法,但在我国很长时间里股东代表诉讼制度一直停留在理论阶段,仅有的只是对直接侵害股东利益的直接诉权保护。目前,股东代表诉讼制度已成为现代公司法的一项重要内容,成为弥补公司治理结构缺陷的必要手段,在保护中小股东权益等方面发挥着重要作用,在许多国家和地区的公司法中都确立了这一制度。股东代表诉讼制度在我国经过逐步的探索研究,在2005年新《公司法》中得以正式确立,其中规定了原告股东资格、被告、适用的纠纷形态、诉讼前置程序等方面的内容,但我国新《公司法》关于股东代表诉讼制度的规定比较原则化,其可操作性不强,在程序法和实体法方面,诸如公司的法律地位、诉讼费用补偿制度、原告股东的处分权等方面并没有作出进一步的规定,有一些规定也不够完善,缺乏具体的操作性。有必要运用一定的研究方法对相关问题进行进一步研究以更好地健全我国股东代表诉讼制度。文章全文分为三个部分,在第一部分中对股东代表诉讼制度进行了概括性地介绍,全文重点在第二部分和第三部分,分别从程序法角度和实体法角度对股东代表诉讼制度的现有规定结合其它国家的立法经验进行了对比分析总结,对前置程序、当事人身份确定、诉讼的提起、收费、调解、补偿、撤诉、执行等现实操作层面一一做了分析,并提出了自己的立法建议,以期该制度能更好地为中小股东的合法利益服务。在目前的相关期刊论文中,对股东代表诉讼收费制度,大部分意见倾向于学习日本股东代表诉讼制度的相关规定按非财产案件定额收费,以利于本来就处于弱势地位的中小股东方便提起诉讼。对于公司的诉讼地位,按照我国传统的法律思维,大部分研究者的意见认为公司应在诉讼中以无独立请求权第三人的位置列明,当然这一意见也存在着很大的争议,但相关方面的不断探讨也为相关司法解释的出台提供了强有力的理论基础。本文希望以现实操作为出发点,通过对股东代表诉讼制度的理论探讨,在延伸理论的基础上,对实际的立法、司法解释及法律运用提供一些有益的引导。
[Abstract]:The establishment of the legal system is important to be able to meet the actual needs of the development of social life. In the real economic life, the management of the company is restricted by the traditional principle of majority determination of capital. Large shareholders have absolute advantages in the process of corporate governance, which also leads to cases where large shareholders use their capital advantages to infringe on the interests of other small and medium shareholders and companies. The shareholder representative litigation system began in Britain and developed in the United States. It is stipulated in the commercial law or company law of many countries and regions such as France Canada Japan Taiwan and so on. Although the shareholder representative litigation system in Britain, the United States, Japan and other countries have long had relevant legislation, but in our country for a long time, the shareholder representative litigation system has been staying in the theoretical stage, the only thing is to directly infringe on the shareholders' interests of direct litigation protection. At present, shareholder representative litigation system has become an important part of modern company law, a necessary means to remedy the defects of corporate governance structure, and plays an important role in protecting the rights and interests of minority shareholders. This system has been established in the company law of many countries and regions. The shareholder representative litigation system has been established in the new Company Law in 2005 after gradual exploration and research in our country. It stipulates the qualification of the plaintiff shareholder, the defendant, the applicable dispute form, the pre-litigation procedure, and so on. However, the provisions of the new Company Law concerning the shareholder representative litigation system are more principled and less operable. In terms of procedural law and substantive law, such as the legal status of the company, the system of compensation for litigation expenses, The plaintiff shareholder's disposition right and so on has not made the further stipulation, some stipulation also is not perfect, lacks the concrete operation. It is necessary to use certain research methods to further study the related problems in order to perfect the shareholder representative litigation system in China. The article is divided into three parts, in the first part of the shareholder representative litigation system is introduced in a general way, the full text focuses on the second part and the third part, From the point of view of procedural law and substantive law respectively, this paper makes a comparative analysis and summary of the existing provisions of the shareholder's representative litigation system combined with the legislative experience of other countries, and makes a comparative analysis and summary of the pre-procedure, the determination of the parties' identity, the initiation of litigation, the collection of fees, the mediation, In order to serve the legitimate interests of minority shareholders, the author makes an analysis of compensation, withdrawal, execution and other practical operational aspects, and puts forward his own legislative suggestions in the hope that the system can better serve the legitimate interests of minority shareholders. In the current related journal papers, the majority of opinions on the shareholder representative litigation system tend to learn from the relevant provisions of the Japanese shareholder representative litigation system and charge fees according to the scale of non-property cases. In order to facilitate the disadvantaged position of small and medium shareholders to file a lawsuit. As for the litigation status of the company, according to the traditional legal thinking of our country, most researchers think that the company should list the position of the third party without independent claim in the litigation. Of course, this opinion is also very controversial. However, the continuous discussion of related aspects also provides a strong theoretical basis for the introduction of relevant judicial interpretation. This article hopes to take the realistic operation as the starting point, through to the shareholder representative litigation system theory discussion, in the extension theory foundation, provides some beneficial guidance to the actual legislation, the judicial interpretation and the legal application.
【学位授予单位】：中央民族大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91

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