投票代理权征集法律制度的比较研究

发布时间：2018-01-26 09:41

本文关键词： 投票代理权股东表决权代理公司治理结构　出处：《中国海洋大学》2010年硕士论文　论文类型：学位论文

【摘要】： 随着现代股份公司规模不断扩大,股份公司的股东分布越来越分散。由于考虑到出席股东大会的成本可能会超过由此带来的利益,很多中小股东怠于参加股东大会行使投票权,由此产生的股东消极因素直接影响了投票权对保障公司股东会顺利召开和优化公司治理作用的实现乃至直接、间接损害了中小股东的合法权益。投票代理权征集制度正是基于解决这种矛盾而设计产生的一种制度。在公司中小股东利益常遭侵害的今天,股东投票代理权征集制度若能得到合理的设计和充分的应用,股东权益的保障将更进一步,其将在优化公司治理、规范公司行为、提高公司经营效益方面发挥关键作用。股东投票代理权征集的规范在我国属于立法盲点,除我国公司法对此有概括性的规定外,其他法律法规对此均无规定。实践表明,该制度在我国的立法中是粗线条式的,可操作性不强,投票代理权征集制度的功能在我国发挥得并不充分。而实践的发展却要求我们尽快地制定出可行的法律规则来规范投票代理权征集的行为。作为股东投票代理权征集活动最为频繁的国家,美国确立了相当有效和完善的规制股东投票代理权征集的法律体系。因此对美国法有关代理权征集的各种利益平衡机制进行深入具体的分析,探讨其精髓,并对我国上市公司股东投票代理权征集法律规制相应问题的解决提供立法设计是本文的主要任务。本文主要利用比较研究的方法在分析我国构建股东投票代理权征集制度可行性的基础上,主要借鉴美国和德国、日本以及我国台湾地区的立法,对我国股东投票代理权征集法律制度进行分析论证并进行初步设计。本文共分为三部分：第一部分对投票代理权征集法律制度基本理论进行了分析。该部分从投票代理权征集法律制度的起源与基本概念入手,对该制度的发展状况、特征、法律关系以及法律类型进行实证分析研究,比较了与表决权信托、书面投票等制度的异同,分析了投票代理权征集法律制度的法理依据和基本功能。第二部分是本文的重要部分,通过对美国及其他国家、地区投票代理权征集法律制度的比较研究,得出关于代理权征集制度的主体、征集行为以及法律责任等三个方面的研究结果。具体包括征集人的范围、有偿征集之合法性问题、征集费用负担问题、征集投票权之数量问题、信息披露问题、虚假信息披露的民事责任等重要问题。第三部分则是根据上一部分的研究结果,结合我国的经济环境,分析了我国投票代理权征集制度未能够充分发展的原因、我国相关立法现状及不足,并对我国的投票代理权征集制度的立法指导思想以及具体规定如作了初步的设计。
[Abstract]:As the scale of modern joint-stock companies continues to expand, the distribution of shareholders is becoming more and more dispersed, considering that the costs of attending shareholders' general meetings may outweigh the benefits arising therefrom. Many minority shareholders are reluctant to participate in the shareholders' general meeting to exercise the right to vote. The negative factors of shareholders directly affect the realization and even the direct effect of voting rights on ensuring the smooth convening of the shareholders' meeting and optimizing the corporate governance. Indirect damage to the legitimate rights and interests of minority shareholders. The solicitation system of voting agency is based on the solution of this contradiction and the design of a system. In the interests of minority shareholders in the company is often infringed today. If the system can be reasonably designed and fully applied, the protection of shareholders' rights and interests will be further improved, which will optimize corporate governance and standardize corporate behavior. In order to improve the efficiency of the company, it is the blind spot of legislation in our country to regulate the solicitation of shareholders' voting agency right, except for the general provisions of the company law of our country. Other laws and regulations do not provide for this. Practice shows that the system in our legislation is a rough line, the operability is not strong. The function of the solicitation system of voting agency is not fully developed in our country, but the development of practice requires us to formulate feasible legal rules as soon as possible to regulate the behavior of the solicitation of voting agency. As the most frequent solicitation of shareholders' right to vote. The United States has established a quite effective and perfect legal system to regulate the solicitation of shareholders' proxy right. It is the main task of this paper to provide the legislative design to solve the corresponding problems of the legal regulation of the shareholders' voting agency right of listed companies in our country. This paper mainly uses the method of comparative study to analyze the feasibility of establishing the system of shareholder voting agency in China, and mainly draw lessons from the legislation of the United States, Germany, Japan and Taiwan. This paper analyzes and demonstrates the legal system of shareholder's right to vote for proxy in our country and designs it preliminarily. This paper is divided into three parts: The first part analyzes the basic theory of the legal system of the solicitation of the right of voting agent. This part starts with the origin and basic concept of the legal system of the solicitation of the right of voting agent, and analyzes the development and characteristics of the system. This paper makes an empirical study on the legal relationship and legal types, compares the similarities and differences with the voting trust and the written voting system, and analyzes the legal basis and basic functions of the legal system of soliciting the right to vote. The second part is an important part of this paper, through the comparative study of the legal system of proxy solicitation in the United States and other countries and regions, the main body of the agency solicitation system is obtained. Including the scope of solicitors, the legality of paid solicitation, the burden of solicitation fees, the number of voting rights, and the disclosure of information. The civil liability of false information disclosure and other important issues. The third part is based on the results of the previous part of the study, combined with the economic environment of our country, analyzes the reasons why the system of solicitation of voting agency has not been fully developed, and the current situation and deficiencies of relevant legislation in our country. The legislative guiding ideology and specific provisions of the system of solicitation of the right of voting agent in our country are also preliminarily designed.
【学位授予单位】：中国海洋大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91

【引证文献】