前股东知情权制度研究

发布时间：2018-01-17 16:26

本文关键词：前股东知情权制度研究　出处：《西南政法大学》2014年硕士论文　论文类型：学位论文

【摘要】：现代公司法赋予了股东许多权利，在众多股东权利中，，股东知情权作为一项基础性权利，在保障股东有效行使其他权利方面发挥着重要的作用。伴随着2005年《公司法》的修订，股东知情权制度得以确立。该制度在一定程度上有效的保护了股东利益，尤其是公司内部具有非控制性影响力股东的利益。该制度自2006年施行以来，有关股东知情权诉讼的案件数量逐渐增多，案件所涵盖的争议焦点呈现多样化，覆盖了股东知情权的行使主体、范围、目的以及举证责任分配等方面。司法实践中，对股东知情权行使主体资格的认定不统一，导致许多股东权益在一定程度上受到非法侵害，尤其是对那些基于该知情权维护自身权益的已退出公司的前股东。在众多股东知情权行使主体的诉讼纠纷中，理论界与实务界关于已退出公司的前股东是否享有其原持股期间知情权的争论一直存在。本文旨在厘清股东知情权的概念以及相关理论，从学理和实务层面着重分析了前股东行使知情权的必要性，并对前股东行使知情权的利弊进行了分析，意在为前股东行使股东知情权提供理论支持和解决方案。以期通过该解决方案为完善公司法中有关前股东知情权的立法提供一定参考，并且能够为司法实践提供有益的帮助。本文除引言和结语外，文章由五个部分组成。第一部分，对本文所选的王秋发、王彦青、陈芳、王宇轩与北京五岳机械设备有限责任公司、王玉锁、崔晓平股东知情权纠纷案件的案情进行了简要介绍。第二部分，对本文所选案例涉及的争议焦点进行了概括，并由该争议焦点以及本案上诉人在一审期间的诉讼请求引发了三个本文所要探讨的问题。第三部分，前股东知情权的理论探源。本部分主要包含四个方面：一是股东知情权的概念及内涵，股东知情权内涵主要论述了股东查阅权、股东质询权、外部检查人选任请求权以及保障以上权利行使的相关诉权；二是股东知情权的性质以及理论基础，其理论基础主要阐述了信息不对称理论与信义义务理论；三是前股东行使知情权的必要性，这一部分主要从立法目的、民法诚实信用原则与公平原则、独立于股东资格存在的第三层次知情权以及司法正义四个角度进行了论述；四是对前股东行使知情权的利弊进行了分析。第四部分，介绍了前股东行使知情权的司法现状。通过对各地法院出台的有关前股东是否享有知情权的相关法律文件的搜集，以及对各地法院司法实践中做法的了解并结合对各地法院相关裁判文书的检索调查，得出前股东行使知情权的司法现状不容乐观的结论。第五部分，对完善前股东知情权制度提出了建议。本部分在前文肯定了前股东享有其原持股期间知情权的前提下，从利益平衡视角出发，对前股东行使知情权的范围、目的以及时间范围作出了区别于公司现任股东的界定与限制，并为其设定了相关法律责任。此外，本部分还将外部检查人选任请求权制度引入前股东行使知情权的体系当中，以期在保障前股东的合法权益的同时，更好的维护公司利益。
[Abstract]:The modern company law gives shareholders many rights, rights in many shareholders, shareholder's right as a basic right, plays an important role in ensuring the effective exercise of other rights of shareholders. With the revision of company law in 2005 < >, shareholder's right system has been established. This system effectively in some extent the protection of the interests of shareholders, especially the company has non controlling influence the interests of shareholders. The system implemented since 2006, the number of cases related to litigation right of minority shareholders increased gradually, the focus of controversy of the case cover is diverse, covering the main body, the exercise of shareholders' rights scope, purpose and the burden of proof. In judicial practice, no unified identification of shareholders' right to exercise the subject qualification, leading many shareholders' rights and interests have been infringed in a certain extent, especially for those groups On the right to safeguard their own interests have to withdraw from the company's former shareholders. In many shareholders to exercise the right to know the subject of litigation in theory and practice about has quit the company before the shareholders is entitled to the right to know the original holdings during the debate. This paper aims to clarify the concept of right of shareholders and relevant theories. From the necessity of the theory and practice focuses on the analysis of the former shareholders of the exercise of the right to know, and to exercise the right to know the advantages and disadvantages of former shareholders are analyzed, to the shareholders prior to the exercise of shareholders' rights to provide theoretical support and solutions. In order to provide the solution for the shareholders' right legislation reference company in perfect, and can provide useful help for judicial practice.
In addition to the introduction and conclusion, this article is composed of five parts.
The first part briefly introduces the case of Wang Qiufa, Wang Yanqing, Chen Fang, Wang Yuxuan and Beijing five Yue mechanical equipment Co., Ltd., Wang Yusuo and Cui Xiaoping shareholders' right to know disputes.
The second part generalizes the controversial points in the selected cases, and focuses on the controversy and the appeal request of the appellant during the first instance, which leads to three questions discussed in this paper.
The third part, the theory of the shareholder's right. This part mainly includes four aspects: one is the concept and connotation of right of shareholders, the shareholders' right to know the connotation mainly discusses the inspection right of shareholder, shareholders inquiry right, the right to request the relevant right external examination and security selection above the exercise of the rights of shareholders' nature is two; right as well as the theory basis, its theoretical basis mainly expounds the information asymmetry theory and the theory of fiduciary duties; three is necessary before the shareholders to exercise the right to know, this part is mainly from the legislative purpose, the civil law principle of good faith and fair principle, independent of the shareholder qualification are third level right and judicial justice four aspects this is the four; analyzed the advantages and disadvantages of the right to know of the exercise of shareholders.
The fourth part introduces the judicial status of the shareholders prior to the exercise of the right to know. Through the courts for the introduction of the former shareholders have the right to know the relevant legal documents collection, and understanding of the judicial practice in around the court and combined with the investigation of relevant retrieval around the court judgment, the former shareholders exercise the judicial status the right is not optimistic conclusion.
The fifth part, to improve the former shareholders' right system proposed. This part affirms the former shareholders enjoy the premise of the original shareholders during the right to know, from the perspective of balance of interests, the exercise of the right to know the scope of the shareholders, purpose and time range made different from the current shareholders limit, and set the legal responsibility for it. In addition, this section will also check the external right topetition for introducing the system of shareholders prior to the exercise of the right to know the system, at the same time, in order to safeguard the legitimate rights and interests of shareholders in the former, better safeguard the interests of the company.

【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.291.91

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