论公司高管对债权人承担责任的制度构建

发布时间：2018-10-21 20:26

【摘要】：随着社会经济的发展,公司制度也在不断地变迁,其中最引人注目的是公司的治理中心从股东会向董事会、经理层的转变,这一转变不仅获得了国内外广大学者的普遍认可,也为我们普通老百姓所感受。在现实的生活中,人们对一个公司,尤其是知名公司的认识往往是和该公司的高管联系在一起的。例如,提起万科、海尔、淘宝我们自然就会想到王石、张瑞敏和马云,由此可见,公司的高管对于公司的影响是巨大的。当然,公司法中的这一转变是经济的发展,公司规模的扩大,股权的分散以及公司治理的专业化等各种因素所促成的,适应了现代公司治理的需求。一方面,公司的专业化经营为公司提供了高效的治理模式,但另一方面,所有权与经营权的分离使公司的董事、监事、高级管理人员的权力膨胀,从而可能导致权力的滥用,给公司、股东、债权人等主体的利益造成损失,尤其对与不直接参与公司经营管理的债权人的威胁更大。因此,如何构建与公司高管权利相平衡的义务与责任、研究高管对公司以外的第三人的义务与责任,尤其是对债权人的义务与责任显得尤为重要和迫切。本文一共分为三章,第一章着重探讨公司高管对债权人承担责任的理论基础,即引入该制度的原因,从三个方面进行了说明,首先是对现代公司治理模式对公司债权人保护的局限性进行了分析,得出股东有限责任和公司现行的治理结构导致公司高管的权利义务严重不平衡,权利过于膨胀,而义务和责任的承担较少,直接对债权人的债权产生了威胁,从而说明了引入该制度的必要性。在本章的第二部分分析了现行公司法对公司利益相关者利益平衡的制度设计,通过分析得出现阶段的这些制度并不能够有效保护债权人的利益,第三部分则分析了高管对债权承担责任的意义,因此得出需要引入该制度的结论。文章第二章是公司高管对债权人义务的内容以及责任性质的辨析,通过阅读大量文献,发现大家认为高管对债权人的义务应为两个方面,即信义义务和注意义务,所以在这一章的第一部分介绍了信义义务和注意义务的概念以及公司高管对债权人义务的具体内容,在第二部分分析了高管对债权人承担损害赔偿责任的性质,通过分析得知,其性质要区别不同的情形,可以归纳为一般侵权责任和特别法定责任。文章的最后一部分对我国公司高管对债权人责任制度进行了构建,提出在构建时需要解决的几个问题,并建议借鉴股东派生诉讼制度,在前置程序和主体资格方面进行限定。
[Abstract]:With the development of the society and economy, the company system is changing constantly. The most striking thing is the transformation of the corporate governance center from the shareholders' meeting to the board of directors and the manager, which has not only been generally recognized by the vast number of scholars at home and abroad. It is also felt by ordinary people. In real life, people's knowledge of a company, especially a well-known company, is often associated with its executives. For example, the mention of Vanke, Haier, Taobao, we will naturally think of Wang Shi, Zhang Ruimin and Ma Yun, this shows that the company's executives to the company's impact is huge. Of course, this change in company law is caused by various factors, such as the development of economy, the expansion of company scale, the dispersion of stock rights and the specialization of corporate governance, which meet the needs of modern corporate governance. On the one hand, the specialized management of the company provides an efficient governance model for the company, but on the other hand, the separation of ownership and management rights expands the power of the directors, supervisors and senior managers of the company, which may lead to the abuse of power. To the interests of the company, shareholders, creditors and other subjects caused losses, especially to the creditors who do not directly participate in the management of the company is a greater threat. Therefore, how to construct the obligation and responsibility to balance the rights of company executives, and to study the obligations and responsibilities of executives to the third party outside the company, especially to the creditors, is particularly important and urgent. This paper is divided into three chapters. The first chapter focuses on the theoretical basis of the company executives' responsibility to creditors, that is, the reasons for the introduction of the system, and explains from three aspects. First of all, it analyzes the limitation of the modern corporate governance model on the protection of corporate creditors, and concludes that the limited liability of shareholders and the current governance structure of the company lead to serious imbalance of rights and obligations of company executives and excessive expansion of rights. However, the obligation and responsibility are less, which directly threaten the creditor's rights, thus explaining the necessity of introducing the system. In the second part of this chapter, the author analyzes the system design of the current company law to balance the interests of the stakeholders, and draws the conclusion that these systems can not effectively protect the interests of creditors at the present stage. The third part analyzes the significance of senior executives' liability for creditor's rights, and draws the conclusion that it is necessary to introduce this system. The second chapter is the analysis of the content and nature of corporate executives' obligations to creditors. Through reading a large number of documents, it is found that executives' obligations to creditors should be two aspects, namely, fiduciary obligation and duty of care. So in the first part of this chapter, it introduces the concept of fiduciary duty and duty of care and the specific content of company executives' obligation to creditors. In the second part, it analyzes the nature of executives' liability for damages to creditors. Its nature to distinguish different situations, can be summed up as general tort liability and special legal liability. In the last part of the article, the author constructs the liability system of senior executives to creditors in our country, puts forward several problems that need to be solved in the process of construction, and suggests to use the shareholder derivative litigation system for reference to limit the pre-procedure and subject qualification.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91

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