股份有限公司股东质询权问题研究

发布时间：2018-07-21 19:38

【摘要】： 股份公司的治理结构和制度设计是公司法研究的重要课题，本文根据建立完善的公司治理结构的需要，从股份公司股东权保护的角度，研究股份公司股东质询权的主要问题，包括股份公司股东质询权的权利主体、义务主体、股东质询权内容的范围、股东质询权的禁止，以及股东质询权的法律救济。全文共分以下六个部分。第一部分导论，简述公司法在公司治理的制度设计中，把充分保障股东权，特别是中小股东的权利，作为对董事会权力的重要制衡机制；完善股份公司股东质询权制度，是我国及一些大陆法系国家股份公司治理和立法的重要课题。第二部分股份公司股东质询权的权利主体。首先结合法国、德国及我国台湾地区的立法模式，根据不同种类公司的特点，论证是否有必要在股份公司立法中明确规定股东质询权，然后研究了股东质询权为单独股东权、无表决权股东的质询权、质押股票的质询权权利主体等有关权利主体的几个特殊问题。第三部分股份公司股东质询权的义务主体。从董事会(董事)、监事会(监事)职责的角度，研究德国、法国、日本三国公司法关于股东质询权义务主体的不同立法模式，指出我国公司法应明确规定股东质询权的义务主体为公司董事会和监事会。第四部分股份公司股东质询权内容的范围，是本文的重点部分。首先评述股东质询权法理依据的不同学说，根据完善股份公司监督体系的需要，阐述了确定股东质询权内容的直接法理依据是股东的知情权和监督权，，指出我国公司法规定的股东质询权完整体现了知情权和监督权的内涵。然后分别从股东行使知情权、监督权的角度，展开论述与股东行使知情权和监督权有关的质询事项，界定了股东质询权内容的范围。第一，关于与股东行使知情权有关的质询事项，本文研究了股东质询事项与股东大会议题之间必需存在的关联性，并进一步探讨了关联性的判断和举证责任承担问题。然后，结合股东大会的部分职权，分析了与股东大会职权有关的质询事项范围。第二，本文根据股东质询权的直接法理依据，把股东与行使必要监督权有关的质询事项，概括性地界定为股东大会议题之外的、股东对公司的经营活动有权监督的事项。并重点列举了董事的善管义务、竞业禁止义务、关联交易及其他经营活动和行为等方面的质询事项。第五部分股份公司股东质询权的禁止。指出股份公司立有法还应设置股东质询权的禁止性条款，然后结合德国股份公司法和日本商法以及我国法律的规定，对股东质询权的禁止事由进行了分析研究，并提出了完善我国相关立法的建议。第六部分股份公司股东质询权的法律救济。论述股东质询权在受到侵害时股东可以通过提起强制公司作答之诉或撤销股东大会决议之诉，寻求司法救济，并结合德国和日本的相关立法和法理，探讨这两种司法救济措施的适用、程序、原告和被告主体资格等问题。第七部分结论。指出我国公司法应借鉴德国等国立法，在股东质询权的主体、质询权内容的范围及其禁止等方面加以完善，建立起健全的股份公司股东质询制度，充分保障股东质询权的行使。在质询权立法和研究中，应从保障股东权和提高股份公司经营效率两个角度，明确界定股份公司不同主体之间的权力边界，以期达到制衡的效果。
[Abstract]:The governance structure and system design of the joint - stock company is an important subject of the study of the Company Law . According to the need of establishing perfect corporate governance structure , this paper studies the main problems of shareholder ' s right of inquiry from the angle of shareholder ' s right protection , including the right subject , the obligation subject , the content of shareholder ' s inquiry right , the prohibition of shareholder ' s right of inquiry and the legal remedy of shareholder ' s right of inquiry .

The first part introduces the company law in the system design of corporate governance , which fully guarantees the rights of the shareholders , especially the small and small shareholders , as an important balance mechanism for the power of the board of directors ;
Perfecting the system of shareholders ' inquiry right is an important subject of corporate governance and legislation in China and some civil law countries .

First , according to the characteristics of France , Germany and Taiwan region of China , it is necessary to make clear the right of shareholders ' inquiry in the legislation of joint stock company according to the characteristics of different kinds of companies , and then study several special problems of shareholder ' s right of inquiry as separate shareholder ' s right , non - voting shareholder ' s right of inquiry , right of inquiry right of pledge stock and so on .

The third part is the obligation subject of the shareholder ' s right of inquiry . From the perspective of the responsibilities of the board ( director ) and the board of supervisors ( supervisor ) , the paper studies the different legislative modes of the corporate law of Germany , France and Japan concerning the subject of shareholder ' s right of inquiry , and points out that the company law of our country should specify the duty subject of the shareholder ' s right of inquiry as the board of directors and the board of supervisors .

In the fourth part , the scope of the content of the shareholder ' s right of inquiry is the key part of this paper . Firstly , the author comments on the different theories of shareholder ' s right of inquiry right . According to the need of perfecting the supervision system of the joint stock company , the paper expounds that the direct legal basis for determining the content of shareholder ' s right of inquiry is the content of the right to know and the right of supervision .

Firstly , with regard to the questions related to the shareholders ' exercise of the right to know , this paper studies the relationship between the shareholders ' inquiry and the issue of shareholders ' meeting , and further discusses the relationship ' s judgment and burden of proof . Then , the scope of the inquiry matters related to the shareholders ' general meeting ' s authority is analyzed in the part of the functions and powers of the shareholders ' general meeting .

Secondly , according to the direct legal basis of the shareholder ' s right of inquiry , the paper outlines the matters related to the shareholder ' s right to exercise the necessary supervision right , which is broadly defined as the matter of the shareholders ' general meeting , and the shareholder ' s right to supervise the operation activities of the company .

According to the provisions of German stock company law and Japanese commercial law and the law of our country , the prohibition of the shareholder ' s right of inquiry is analyzed and studied , and the suggestion of perfecting the relevant legislation in our country is put forward .

The article discusses the application , procedure , plaintiff and subject qualification of the two kinds of judicial remedies in the light of the relevant legislation and jurisprudence of Germany and Japan .

In the seventh part , it is pointed out that the Company Law of our country should draw lessons from the legislation of Germany and other countries , perfect the subject of the right of inquiry of shareholders , the scope of the content of the right of inquiry and its prohibition , and establish a sound corporate shareholder inquiry system to fully guarantee the exercise of the shareholder ' s right of inquiry . In the legislation and research of the right of inquiry , we should clearly define the power boundary between different entities of the joint stock company in order to achieve the effect of checks and balances .
【学位授予单位】：中国社会科学院研究生院
【学位级别】：硕士
【学位授予年份】：2003
【分类号】：D912.29

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