股东代表诉讼原告制度研究

发布时间：2018-01-16 20:14

本文关键词：股东代表诉讼原告制度研究　出处：《华东政法大学》2007年硕士论文　论文类型：学位论文

【摘要】： 股东代表诉讼制度作为一项重要的保护中小股东利益的手段,现已为绝大多数国家和地区的公司立法所采纳。新修订的公司法根据我国的实际情况,引入了股东代表诉讼制度,对股东代表诉讼中原告资格的限制等问题作了较为明确的规定。但是这些规定是否合理,以及司法实践中必将遇到而新《公司法》尚未做出规定的相关制度如何构建及完善仍是需要深入研究的课题。作为启动整个诉讼程序的原告,承载着不容忽视的重要作用。而以往的研究多是对代表诉讼制度整体框架的构建及相关制度的简单介绍,因此对股东代表诉讼中的原告制度做深入研究有十分重要而深远的意义。笔者在专家、学者已有研究成果的基础上,从四个方面入手,系统地研究了代表诉讼中与原告相关的问题。除前言外,正文部分共分四个章节展开论述: 第一部分论述了原告代表诉权的法理基础。第一节分析了代位求偿权说、监护权说、受益权说等相关学说,最终从程序原告理论的角度解释了代表诉讼原告股东诉权的程序法来源。第二节论述了股东代表诉权的性质,从共益权的角度找到了代表诉权的实体法来源。从而为原告股东提起诉讼的正当性奠定了法理基础。第二部分主要研究了可以提起代表诉讼的原告股东范围,对隐名股东、无记名股东、间接股东及债权人、公司职工等主体是否能够提起代表诉讼作了探讨。而后从持股数量、持股时间、持股性质及提起权的正当性四个方面比较了各国对原告股东资格的具体限制并对我国公司法的相关规定做了评析。最后界定了原告股东可以提起诉讼的事由。第三部分论述了股东代表诉讼中前置程序、诉讼费用担保、举证责任、对诉讼中和解与撤诉的限制、诉讼费用的计算等相关制度,阐述了原告股东在代表诉讼程序中受到的限制及承担的相应义务,比较了国外公司法中相关规定,并对我国如何建立及完善相关制度提出建议。第四部分论述了原告股东对诉讼结果的承担。第一节论述了胜诉情况下原告的两项请求权。第二对原告股东滥诉和非滥诉两种不同的情况分别展开论述,论述了败诉情况下原告对诉讼结果的承担。笔者认为应当构建设我国的滥诉赔偿制度。结束语部分对全文做了总结并再次强调了研究股东代表诉讼原告制度的重要性。笔者对相关制度进行分析与构建的过程中,始终坚持一个原则,即既注重保护中小股东的代表诉权,又设定相关制度以遏止恶意诉讼的提起。
[Abstract]:Shareholder representative litigation system as an important means to protect the interests of minority shareholders has been adopted by the majority of countries and regions of the company legislation. The newly revised Company Law is based on the actual situation of our country. The system of shareholder's representative action is introduced, and the limitation of plaintiff's qualification in shareholder's representative action is clearly defined. However, these provisions are reasonable or not. And the judicial practice will meet but the new "Company Law" has not yet made provisions on how to build and improve the relevant system is still need to be further studied. As the plaintiff to start the entire proceedings. Bear the important role that can not be ignored. But the previous studies are mostly about the construction of the overall framework of the representative litigation system and the brief introduction of the related system. Therefore, it is very important and profound to study the plaintiff system in shareholder representative litigation. Based on the research achievements of experts and scholars, the author systematically studies the problems related to the plaintiff in the representative action from four aspects. Besides the foreword, the text is divided into four chapters: The first part discusses the legal basis of the plaintiff's representative's right of action. The first section analyzes the theory of subrogation right, guardianship theory, benefit right theory and so on. Finally, from the point of view of procedural plaintiff theory, the author explains the source of procedural law of the litigation right of the plaintiff shareholder in the representative action. Section II discusses the nature of the shareholder's representative right of action. The source of substantive law representing the right of action is found from the angle of common right of interest, which lays a legal foundation for the plaintiff shareholder to file a lawsuit. The second part mainly studies the scope of plaintiff shareholders who can file a representative action, including anonymous shareholders, bearer shareholders, indirect shareholders and creditors. Whether the company staff and other subjects can file a representative lawsuit. Then from the number of shares, holding time. Four aspects of the nature of ownership and the legitimacy of the right of filing compare the specific restrictions on the qualification of the plaintiff shareholders in various countries and comment on the relevant provisions of the Company Law of China. Finally, the author defines the reasons why the plaintiff shareholders can file a lawsuit. The third part discusses the pre-procedure in the shareholder representative litigation, litigation cost guarantee, burden of proof, the limitation of the settlement and withdrawal of litigation, the calculation of litigation costs and other related systems. This paper expounds the limitation and obligation of the plaintiff shareholder in the representative litigation procedure, compares the relevant provisions of the foreign company law, and puts forward some suggestions on how to establish and perfect the relevant system in our country. The first section discusses the plaintiff's two claims in the case of successful litigation. The second part discusses the two different cases of the plaintiff shareholder's excessive action and non-excessive action. This paper discusses the plaintiff's burden on the result of litigation under the circumstance of losing litigation, and the author thinks that we should construct our country's system of oversuit compensation. The conclusion part summarizes the full text and emphasizes the importance of studying the plaintiff system of shareholder representative litigation. In the process of analyzing and constructing the relevant system, the author always adheres to a principle, that is, to protect the representative's right of action of minority shareholders, and to set up the relevant system to stop the malicious litigation.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2007
【分类号】：D922.291.91

【引证文献】