中小股东权益的法律救济

发布时间：2018-10-31 15:53

【摘要】：公司是现代企业最主要的组织形式,公司有权决定自己的经营行为和管理行为,享有独立的法人人格,而股东是公司的最后监督者和最终风险承担者。在公司运营中股东提起民事诉讼,不仅是救济自身权益的有效途径,也是利用国家司法权完善公司治理结构的重要方式。在现代公司内部治理中,公司法不仅规定了股东平等原则,还规定了资本多数决原则,因此股东的平等仅仅体现在表决权行使的过程之中,在表决结果中无法体现中小股东意见和利益,股东大会所作出的决议总是体现少数大股东的意志；加上公司经营中所有权与经营权分离的趋势,中小股东权益通常面临公司控股股东和管理层的侵害。为了给中小股东权益提供有效救济渠道,保障公司的健康发展,在证券法和公司法的修订中,针对公司治理中存在的主要问题,如公司董事、监事、高管等对控制权的滥用,利用关联交易侵蚀公司利益等,加强了对相关责任人员的制裁与惩罚力度,明确规定了其民事赔偿责任,最重要的是完善了股东直接诉讼制度并确立了股东派生诉讼制度,赋予股东充分的诉权。证券法和公司法的修订充分肯定了股东诉讼对加强股东权益保护、提高法律实施质量、改善公司治理水平的作用,但在司法实践股东诉权的实施效果较差,法律规定的操作性不强,很多方面有待进一步完善。本文运用比较分析、实证归纳等方法具体分析了股东直接诉讼和股东派生诉讼两大股东权益救济制度,试图通过中小股东民事诉权的行使,更有效的解决公司治理中控股股东对中小股东的剥夺问题,切实保障中小股东权益,为中小股东的权利保护提供指引。
[Abstract]:The company is the most important organization form of the modern enterprise, the company has the right to decide its own management behavior and management behavior, enjoys the independent legal person personality, and the shareholder is the final supervisor and the ultimate risk bearer of the company. It is not only an effective way to remedy one's own rights and interests, but also an important way to improve the corporate governance structure by using the national judicial power. In modern corporate governance, the company law not only stipulates the principle of equality of shareholders, but also the principle of capital majority, so the equality of shareholders is only reflected in the exercise of voting rights. The opinions and interests of minority shareholders can not be reflected in the voting results, and the resolutions made by the shareholders' general meeting always reflect the will of the minority major shareholders; With the trend of separation between ownership and management, the rights and interests of minority shareholders are usually infringed by the controlling shareholders and the management of the company. In order to provide effective relief channels for the rights and interests of minority shareholders and to ensure the healthy development of the company, in the revision of the Securities Law and the Company Law, the main problems in corporate governance, such as the abuse of control rights by directors, supervisors and executives, are addressed. Using related party transactions to erode the interests of the company, it strengthens the sanction and punishment of the related liability personnel, clearly stipulates its civil liability, and the most important thing is to perfect the shareholder direct action system and establish the shareholder derivative action system. Give shareholders full rights of action. The revision of the Securities Law and the Company Law fully affirmed the role of shareholder litigation in strengthening the protection of shareholders' rights and interests, improving the quality of law enforcement and improving the level of corporate governance, but in judicial practice the effect of shareholder's right of action was poor. The operation of legal provisions is not strong, many aspects need to be further improved. This paper uses comparative analysis, empirical induction and other methods to analyze the shareholder's rights and interests relief system of shareholders' direct action and shareholder's derivative action, trying to use the exercise of minority shareholders' civil litigation right. It is more effective to solve the problem of controlling shareholders' deprivation of minority shareholders in corporate governance, to protect the rights and interests of minority shareholders, and to provide guidance for the protection of minority shareholders' rights.
【学位授予单位】：兰州大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91

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