控制股东侵占行为研究
发布时间：2018-11-09 18:34
【摘要】： 规制控制股东侵占行为的法理基础来源于控制股东诚信义务,而诚信义务来源于英国的衡平法,它是当事人之间基于信义关系而产生的义务。我国虽然并未直接在法律中规定控制股东的诚信义务,但是确立控制股东对公司和对其他股东的义务和责任,防止控制股东权利滥用,对改善我国当前股份公司的治理结构、保护投资者的利益,具有非常重要的意义。 本文采用分析和实证相结合的方法,对控制股东和侵占行为的定义分别予以了说明,并从学理、法律规定和公司实务的角度对他们分别进行了分析认定。在侵占行为具体表现方式和相对应的法律责任方面,结合我国的实际情况进行了详细的分类。 控制股东侵占行为的形式多种多样,法律从不同的角度对其进行了规制。本文将通过证监会的行政处罚决定书和法院的判决书这两种特殊的研究对象来进行实证分析,力求把握我国目前证券市场中上市公司控制股东侵占行为的实际情况,对比分析控制股东侵占行为的新变化,同时对证监会的监管情况进行详细的分析。 日本公司法一些新修改的内容对控制股东起到了约束作用,也将成为本文的研究对象,将会从中小股东权利保护的角度提出规制建议。 文章最后会对我国目前控制股东侵占行为提出法律规制建议,重点主要是在信息披露、独立董事制度和公司自我规范方面。
[Abstract]:The legal basis of regulating the behavior of controlling shareholders' encroachment comes from the fiduciary obligation of controlling shareholders, and the bona fide obligation comes from the equity of England, which is the obligation arising from the fiduciary relationship between the parties. Although China has not directly stipulated the bona fide obligation of controlling shareholders in the law, but to establish the obligations and responsibilities of controlling shareholders to the company and other shareholders, to prevent the abuse of the rights of the controlling shareholders, and to improve the governance structure of our country's current joint-stock companies. It is of great significance to protect the interests of investors. In this paper, the definition of controlling shareholder and embezzlement is explained by the method of combination of analysis and demonstration, and they are analyzed and identified from the angles of theory, legal regulation and company practice. In the specific manifestation of encroachment behavior and corresponding legal liability, combined with the actual situation in China, the detailed classification. There are many forms of controlling shareholders' encroachment, which are regulated by law from different angles. This article will carry on the empirical analysis through the two special research objects of the CSRC's decision of Administrative penalty and the judgment of the Court, in order to grasp the actual situation of the controlling shareholder's encroachment behavior of listed company in our country's stock market at present. This paper compares and analyzes the new changes of controlling shareholders' encroachment, and analyzes the supervision of CSRC in detail. Some newly amended contents of Japanese company law play a binding role on controlling shareholders, and will also become the object of this paper, which will put forward regulatory suggestions from the angle of the protection of minority shareholders' rights. At the end of this paper, the author puts forward some suggestions on the regulation of controlling shareholder encroachment, mainly on information disclosure, independent director system and corporate self-regulation.
【学位授予单位】：华东师范大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91
本文编号：2321226
[Abstract]:The legal basis of regulating the behavior of controlling shareholders' encroachment comes from the fiduciary obligation of controlling shareholders, and the bona fide obligation comes from the equity of England, which is the obligation arising from the fiduciary relationship between the parties. Although China has not directly stipulated the bona fide obligation of controlling shareholders in the law, but to establish the obligations and responsibilities of controlling shareholders to the company and other shareholders, to prevent the abuse of the rights of the controlling shareholders, and to improve the governance structure of our country's current joint-stock companies. It is of great significance to protect the interests of investors. In this paper, the definition of controlling shareholder and embezzlement is explained by the method of combination of analysis and demonstration, and they are analyzed and identified from the angles of theory, legal regulation and company practice. In the specific manifestation of encroachment behavior and corresponding legal liability, combined with the actual situation in China, the detailed classification. There are many forms of controlling shareholders' encroachment, which are regulated by law from different angles. This article will carry on the empirical analysis through the two special research objects of the CSRC's decision of Administrative penalty and the judgment of the Court, in order to grasp the actual situation of the controlling shareholder's encroachment behavior of listed company in our country's stock market at present. This paper compares and analyzes the new changes of controlling shareholders' encroachment, and analyzes the supervision of CSRC in detail. Some newly amended contents of Japanese company law play a binding role on controlling shareholders, and will also become the object of this paper, which will put forward regulatory suggestions from the angle of the protection of minority shareholders' rights. At the end of this paper, the author puts forward some suggestions on the regulation of controlling shareholder encroachment, mainly on information disclosure, independent director system and corporate self-regulation.
【学位授予单位】：华东师范大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91
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