论股东多重代表诉讼

发布时间：2018-05-30 23:05

本文选题：多重代表诉讼 + 股东代表诉讼　；参考：《南京师范大学》2017年硕士论文

【摘要】：从十九世纪工业革命以来,企业组织形态逐渐从单一性向多元化演变,公司集团的诞生就是最好的例证。在公司集团的生存模式中,母公司通过控股的方式成为子公司股东,两者的利益紧密相连。所以如果子公司的董事等高管在经营活动中采取消极懈怠的态度,没有尽到一个善良管理人的义务,导致子公司的利益受损,那么作为子公司股东的母公司也会受到牵连,而隐藏在母公司背后的母公司股东就是最后的利益受损者。根据我国《公司法》第152条的规定,在这种情况下,如果子公司拒绝对违法失职的董事提起诉讼,追究其法律责任,那么子公司的股东(包括母公司)就可以向法院提起股东代表诉讼以获得救助,从而维护子公司的利益。但是有时候由于子公司的董事与母公司之间存在着千丝万缕的联系,作为子公司股东的母公司会基于各种理由拒绝提起对子公司董事的责任追究之诉。在现行《公司法》实行的情况下,母公司的股东,尤其是中小股东,只能求助无门,吞下因为母公司怠于行使自己权利而产生的恶果。为了解决这一问题,完善企业集团的内部治理,日本于2014年通过公司法修正案正式设立了多重代表诉讼制度。多重代表诉讼源于美国判例法,主要目的在于解决股东代表诉讼无法在母子公司架构下的适用难题以及维护母公司股东权益。①为顺应公司的发展需要,进一步完善母子公司管理体制,笔者认为适时的引入多重代表诉讼制度对我国母子公司的治理也将产生重要作用。本文将结合多重代表诉讼在美国、日本两国的发展状况,详细介绍多重代表诉讼,并试图论证在中国设立该制度的必要性及合理性,然后针对中国的立法现状,对在我国设立多重代表诉讼制度提出一些建议。本文由引言、正文、结论三部分构成,正文主要包括以下五章内容。第一章是关于多重代表诉讼的概述。主要介绍了多重代表诉讼的概念、特征、历史发展轨迹以及在我国引入多重代表诉讼的必要性。通过与股东代表诉讼的对比,揭示多重代表诉讼在处理母子公司关系问题上的优越性。第二章介绍了多重代表诉讼的理论基础。关于多重代表诉讼,既有支持它的声音存在,也有反对它的意见存在。支持建立多重代表诉讼的理论主要有法人格否认理论、共同支配理论、信任关系理论、代理理论以及特别履行理论,但也有学者以存在其他救济手段、违反同期所有权原则等理由反对建立多重代表诉讼制度。美国是多重代表诉讼起源的地方,而日本则是为数不多将多重代表诉讼写入本国公司法的国家。多重代表诉讼能在这两个国家生存下来,并不是这两个国家的突发奇想,而是在经过长时间的司法实践和不同的观点博弈之后,探索出的符合自己国家公司发展的成果。本文接下来的三章内容将分别借鉴美日两国多重代表诉讼中关于前置程序、原告适格以及被告适格已有的设计经验,就多重代表诉讼制度在我国的设立问题,提出一些符合我国国情的设想。
[Abstract]:Since the industrial revolution in nineteenth Century, the form of enterprise organization has gradually evolved from a single sex to a plurality. The birth of the company group is the best example. In the survival mode of the company group, the parent company has become a subsidiary of the subsidiary through the way of holding, and the interests of the two are closely connected. In the event of a passive slack, no obligation to a good manager and a damage to the interests of a subsidiary, the parent company that is a subsidiary of a subsidiary will also be implicated, and the parent shareholder hidden behind the parent company is the final benefit. According to the 152nd provisions of the company law of China, this is the case. If a subsidiary refuses to bring a lawsuit against an illegal director and pursue its legal responsibility, the shareholders of a subsidiary (including the parent company) can bring a shareholder representative action to the court to obtain assistance to safeguard the interests of the subsidiary. But sometimes, there are countless ties between the directors of the subsidiary and the parent company. The parent company, the parent of a subsidiary of a subsidiary, will refuse to bring up a complaint against the director of a subsidiary company for a variety of reasons. Under the current "Company Law >", the shareholders of the parent company, especially the small and medium shareholders, can only resort to no door, swallowing the bad result of the parent company's slack in exercising its own rights. In order to improve the internal governance of the enterprise group, in 2014, Japan formally established the multiple representative litigation system through the amendment of the company law. The multiple representative litigation originated from the United States case law. The main purpose is to solve the problem of the application of the shareholder's representative litigation in the framework of the parent subsidiary company and to protect the shareholders' rights and interests of the parent company. In order to further improve the management system of parent and subsidiary companies, the author thinks that the introduction of multiple representative litigation system will also have an important role in the governance of the parent subsidiary companies in China. This paper will introduce multiple representative litigation in detail in the United States and Japan, and try to demonstrate the establishment of the system in China. The necessity and rationality, and then in view of the current situation of China's legislation, put forward some suggestions on the establishment of multiple representative litigation system in China. This article is composed of three parts: introduction, text and conclusion. The main body includes the following five chapters. The first chapter is about the description of multiple representative litigation. It mainly introduces the concept and characteristics of multiple representative litigation. The historical development track and the necessity of introducing multiple representative litigation in our country. Through the comparison with the shareholder representative litigation, it reveals the superiority of the multiple representative litigation in dealing with the relationship between the parent and subsidiary company. The second chapter introduces the theoretical basis of the multiple representative litigation. The theory that supports the establishment of multiple representative lawsuits mainly includes the theory of legal personality denial, the theory of common domination, the theory of trust relations, the theory of agency and the theory of special performance, but there are also many scholars who oppose the establishment of multiple representative litigation system by other remedies and violation of the principle of ownership of the same period. The United States is multiple. It represents the origin of the lawsuit, while Japan is the country where few representative cases are written into the national company law. Multiple representative suits can survive in these two countries, not the sudden fantasy of the two countries, but after a long time judicial practice and different views, the exploration is in line with their own country. The following three chapters will draw on the problems of the establishment of the multiple representative litigation system in our country, and put forward some ideas in accordance with the national conditions of our country.
【学位授予单位】：南京师范大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.291.91

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