有限责任公司股利分配请求权制度研究

发布时间：2018-09-11 12:02

【摘要】：法谚有云，“有权利必有救济”，否则权利形同虚设。对权利拥有者来说，权利无法得到保障，必然会受到无辜侵害。具体到《公司法》中，关于有限责任公司股利分配请求权的保护就是一个很好的例证。从应然层面而言，《公司法》作为现代市场经济法制体系中的重要组织部分，应当充分体现平等权、市民权等权利本位法的特性和商法追求意思自治、自由、盈利的价值精神。但遗憾的是，在我国公司理论、制度和实践中，关于有限责任公司中小股东股利分配请求权的保护一直很不到位。在理论方面，我国学术界对该制度的重视程度还不够，研究股利分配请求权的论文、著作等还处于刚刚起步阶段，数量上不是很多，质量上也有待进一步提高；在制度方面，我国《公司法》和其他一些相关法律法规对股利分配请求权保护制度的规定不健全，有些规定甚至比较原则，根本不具有现实的可操作性，制度的规定与现实明显存在脱节；在实践方面，随着我国经济的高速发展，企业的数量不断增加，利益纠纷的可能性也在不断增多。当公司股东的股权尤其是股利分配请求权受到控股股东或者董事会不分配或者少分配决策的侵害，制度的缺失或者不具有可操作性的法律规定使得公司中的中小股东只能面临现实的侵害而无可奈何。这不仅不利于激发中小股东的投资热情，更不利于企业的长远发展，对中国市场经济的发展必定会造成阻碍。《公司法》强调商事主体的意思自治，包括制定公司章程。但是中小股东投资公司是为了获取股利，赚取利益。如果公司控股股东利用资本多数决原则，打着自治的名义侵害中小股东的利益，不向中小股东分配股利，那么，不仅中小股东投资的愿望可能落空，同时，如果允许法律任意强制性地介入公司的事情，也会与《公司法》的意思自治原则相冲突。由此可见，如何处理好这种关系，事关重大。有鉴于此，本文着力以有限责任公司股东股利分配请求权为研究对象，以中国公司治理和股东维权为立足点和出发点，借鉴国外先进的立法、司法和实践经验，以期能够在理论、制度和实践中为我国有限责任公司中小股东股利分配请求权的保护提供有益借鉴。全文除引言和结语外，共分五个部分：第一部分，案例及问题的引出。本部分以典型案例作为切入点，提出有限责任公司股东股利分配请求权被侵害的问题，对公司意思自治与法院强制介入的关系以及有限责任公司中小股东如何获得司法救济进行了相应思考，从而引出探讨有限责任公司股利分配请求权的意义与价值。第二部分，有限责任公司股利分配请求权的基本理论。本部分具体包括三个方面的内容：第一，股利分配请求权的定义；第二，股利分配请求权的特征；第三，股利分配请求权的实现方式。本部分主要是对股利分配请求权的相关理论知识作简要概述，，从而为进一步阐述论点予以铺垫。第三部分，我国《公司法》对股利分配请求权保护的制度缺陷。本部分结合我国《公司法》的具体规定，剖析了我国在相关方面存在的立法缺陷，具体包括以下内容：第一，公司章程自治的保护缺陷；第二，股东会决议无效、可撤销之诉的保护缺陷；第三，异议股东的股利回购请求权的保护缺陷；第四，控股股东违反诚信义务的损害赔偿的保护缺陷。第四部分，有限责任公司股利分配求权的比较法考察。本部分通过对美国、英国和法国有限责任公司股利分配请求权法律规定的考察，对我国相关制度的完善提供了借鉴。第五部分，完善我国有限责任公司股利分配请求权的建议。本部分主要包括四个方面的内容：第一，强化公司章程事先协议意识；第二，建立强制分配股利诉讼制度；第三，重构股份回购请求权要件；第四，限制股东资本多数决原则。
[Abstract]:As the legal proverb goes, "the right must have remedies", otherwise the right is in vain. As for the owner of the right, the right can not be guaranteed, and will inevitably be innocent infringement. Specifically, in the Company Law, the protection of the right to dividend distribution of limited liability company is a good example. As a modern city, the Company Law is a good example. The important part of the legal system of the field economy should fully embody the characteristics of the right-based law of equality and civil rights and the value spirit of the commercial law in pursuit of autonomy of will, freedom and profit. In theory, the academic circles of our country have not paid enough attention to the system, the research papers and works on the right of dividend distribution are still in the initial stage, the quantity is not very large, and the quality needs to be further improved; in the system, the company law and other relevant laws and regulations on the dividend distribution request. In practice, with the rapid development of China's economy, the number of enterprises is increasing, and the possibility of interest disputes is also increasing. It is the right of dividend distribution that is infringed by the decision of the controlling shareholder or the board of directors not to distribute or to distribute less. The lack of the system or the non-operational legal provisions make the small and medium shareholders in the company only face the actual infringement and have no alternative. This is not conducive to stimulating the investment enthusiasm of the small and medium shareholders, but also not conducive to the enterprise. The long-term development of China's market economy is bound to be hindered. stresses the autonomy of commercial subjects, including the formulation of articles of association. If the interest does not distribute dividends to the minority shareholders, the desire of the minority shareholders to invest may be frustrated. At the same time, if the law is allowed to intervene in the affairs of the company arbitrarily and compulsively, it will also conflict with the principle of autonomy of will in the Company Law. The right to claim for dividend distribution of any shareholder of a company is the research object. Based on the Chinese company's governance and the shareholder's rights protection, the author draws lessons from foreign advanced legislation, judicature and practical experience in order to provide useful reference for the protection of the right to claim for dividend distribution of minority shareholders in China's limited liability company in theory, system and practice.
In addition to the introduction and conclusion, the paper is divided into five parts.
The first part is the introduction of cases and problems. This part takes typical cases as the breakthrough point, puts forward the infringement of the shareholders'right to dividend distribution in limited liability company, ponders the relationship between the autonomy of the will of the company and the compulsory intervention of the court, and how the minority shareholders in limited liability company obtain judicial relief, thus leads to discussion. The meaning and value of limited company's right to dividend distribution.
The second part is the basic theory of the right to claim for dividend distribution in a limited liability company. This part includes three aspects: first, the definition of the right to claim for dividend distribution; second, the characteristics of the right to claim for dividend distribution; third, the realization of the right to claim for dividend distribution. A brief overview is made to lay the groundwork for further elaboration.
In the third part, the system defect of the protection of the right to claim for dividend distribution in the Company Law of our country is analyzed. Combining with the specific provisions of the Company Law of our country, this part analyzes the legislative defects existing in the relevant aspects, including the following contents: first, the protection defect of the autonomy of the articles of association; second, the protection of the invalid resolution of the shareholders'meeting and the revocable action. Defects; Thirdly, the dissident shareholder's dividend repurchase claim protection defects; Fourthly, the controlling shareholder's breach of the obligation of good faith damages protection defects.
The fourth part is a comparative study of the right of dividend distribution in limited liability companies.This part provides a reference for the improvement of the relevant system in China by investigating the legal provisions of the right of dividend distribution in limited liability companies in the United States, Britain and France.
This part mainly includes four aspects: first, strengthening the consciousness of prior agreement in the articles of association; second, establishing a compulsory dividend distribution litigation system; third, reconstructing the elements of the right to claim share repurchase; fourth, restricting the majority rule of shareholders'capital.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D922.291.91

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