全流通时代中国上市公司控制权行使的法律规制研究

发布时间：2018-02-16 20:25

本文关键词： 市公司控制权控股股东法律规制　出处：《中国政法大学》2011年硕士论文　论文类型：学位论文

【摘要】：上市公司控制权是公司治理中的核心议题之一,上市公司控制权正当行使与否直接关系到股东、公司及其他利益相关者的利益。本文以上市公司控制权行使的法律规制研究为主线,通过对上市公司控制权理论分析及中国上市公司股权结构分析,指出中国现阶段上市公司控制权的配置模式是控股股东公司控制权模式,因此中国现行《公司法》规制上市公司控制权行使的主要目标是规制上市公司控股股东公司控制权的行使,并以此为基础提出规制上市公司控制权行使的两种思路:一种是从公司治理角度入手,从规制上市公司控制权本身着手,改善公司治理结构,为公司控制权的行使设定内部制衡机制。而另一种思路则是从规制上市公司控制权滥用的具体法律制度构建入手,制定完善的上市公司控制权行使的法律规制制度,防止上市公司控制权滥用,保障公司和中小股东的利益。本文分别通过对上市公司控制权配置及规制上市公司控制权滥用的具体法律制度构建两方面提出规制中国上市公司控制权行使的具体措施。在完善中国上市公司控制权配置方面,本文认为应坚持股权保护原则、公司控制权相互制衡原则、利益相关者适当参与原则,减少股东会公司经营决策职能,规制控股股东控制权;扩大董事会公司经营决策职能,赋予董事会适当的公司控制权;加强监事会制度建设,扩大监督职能。在防止上市公司控制权滥用具体制度构建方面,本文认为应通过完善股东大会表决方式、引入衡平居次原则等方面构建完善的防止上市公司控制权滥用具体制度,保护上市公司股东和利益相关者利益。
[Abstract]:The right of control of listed companies is one of the core issues in corporate governance, and the exercise of the right of control of listed companies is directly related to shareholders. The main line of this paper is the study on the legal regulation of the exercise of the right of control of listed companies, through the theoretical analysis of the control rights of listed companies and the analysis of the equity structure of listed companies in China. It is pointed out that the mode of allocation of control rights of listed companies in China at present is the mode of controlling rights of controlling shareholders. Therefore, the main goal of China's current Company Law to regulate the exercise of control rights of listed companies is to regulate the exercise of corporate control rights by controlling shareholders of listed companies. On this basis, two ideas are put forward to regulate the exercise of the control rights of listed companies. One is to improve the corporate governance structure from the perspective of corporate governance and from the perspective of regulating the control rights of listed companies. The other way of thinking is to establish a perfect legal regulation system for the exercise of control rights of listed companies, starting with the construction of specific legal system to regulate the abuse of control rights of listed companies. To prevent the abuse of control rights of listed companies, In this paper, the author puts forward two ways to regulate the exercise of control rights of listed companies in China through the allocation of control rights of listed companies and the construction of specific legal systems to regulate the abuse of control rights of listed companies. In improving the allocation of control rights of listed companies in China, This paper holds that we should adhere to the principle of equity protection, the principle of mutual checks and balances of corporate control rights, the principle of appropriate participation of stakeholders, reduce the decision-making functions of shareholders, regulate the control rights of controlling shareholders, and expand the decision-making functions of the board of directors. In order to prevent the abuse of the control rights of listed companies, this paper holds that we should improve the voting method of shareholders' general meeting, and strengthen the construction of supervisory board system and expand the supervisory function. This paper introduces the principle of equalization and other aspects to establish a perfect system to prevent the abuse of control rights of listed companies and to protect the interests of shareholders and stakeholders of listed companies.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91

【引证文献】