论股东查阅权的穿越行使

发布时间：2018-03-06 10:37

本文选题：股东查阅权　切入点：效果穿越　出处：《中国政法大学》2011年硕士论文　论文类型：学位论文

【摘要】：股东查阅权作为股东的一项基本权利,是股东实现其他股东权的基础。股东查阅权穿越行使实质上是股东查阅权范围的扩张,在没有相应规则安排的情况下,权利的扩张有可能打破公司原有的权力结构和利益平衡。而对原有结构和平衡的突破,需要有迫切的现实需求、充分的理论支持以及合理的规则设计,这样才不会因某项权利的扩张而导致整个公司法体系的紊乱。据此,本文在明确股东查阅权跨越行使内涵的前提下,揭示母公司股东查阅权保护的现实需要,面对目前立法上的缺失,通过相关理论的介绍、相关利益冲突平衡的探讨,证明股东查阅权跨越行使的正当性,进而参考美国对此问题的立法与实践,审视我国股东查阅权现有规定,对股东查阅权穿越行使有关规则设计进行讨论并提出建议。除引言和结论外,本文分为四章: 第一章,股东查阅权穿越行使的界定及意义。本章首先引入了股东查阅权的概念之争,基于扬弃的立场对股东查阅权的概念进行统一,进而奠定本文讨论的权利基础。其后引入查阅权穿越行使的概念,明确其实质为股东查阅权在范围上的扩张,达到了查阅权行使效果上的“穿越”。在明确股东查阅权穿越行使内涵的情况下,通过现实案例,揭示股东查阅权穿越行使的必要性,为后文的论述进行铺垫。第二章,股东查阅权穿越行使的正当性分析。本章首先对股东查阅权穿越行使的相关理论进行介绍,源于法人格否认的穿越理论直接为股东查阅权穿越行使提供支持,而法人格否认理论进一步查阅权穿越行使提供解释。随后对股东查阅权穿越行使所可能带来的利益冲突进行讨论,并尝试寻找平衡机制。第三章,股东查阅权穿越行使的立法与实践。本章以美国为例,探讨各州法院对股东查阅权穿越行使的态度及处理方式:一些州持否定态度,即严格按照该州现有规定进行文义解释,否认股东查阅权穿越行使;其他州持肯定态度,支持股东查阅权穿越行使,但根据是否通过制定法承认查阅权穿越行使又可分为两类:一类是在无制定法规定的情形下,寻求其他解释途径进而类比适用;另一类是创设新的制定法,直接规定股东查阅权穿越行使的条件。第四章,我国查阅权制度的现状与完善。本章首先对我国查阅权制度的现有规定进行介绍,指出我国公司法以单一公司模型为核心指向,对于母子公司架构中股东查阅权的行使问题未作规定。随后,在明确股东查阅权穿越行使的边界的前提下,从行使主体及行使范围两方面重点讨论股东查阅权穿越行使的具体规则。
[Abstract]:Right as a basic right of shareholders, is the basis for shareholders to achieve other shareholder rights. Through the exercise of shareholder inspection right is essentially the expansion of the scope of the inspection right of shareholder, in the absence of the corresponding regular arrangement, the power expansion is likely to break the original power structure and the balance of interests of the original structure. And the balance of the breakthrough, need urgent demand, full theoretical support and reasonable design rules, so that it will not lead to the whole system of company law disorder caused by a right expansion. Accordingly, this paper makes clear the shareholder inspection right across the exercise of the connotation of the premise, to reveal the parent company of the inspection right of shareholder protection the reality, in the face of the current lack of legislation, through the introduction of the relevant theory, to explore the balance of conflict related interests, proving the legitimacy of shareholders'inspection right across the exercise, and reference to the United States In view of the legislation and practice of this problem, we examine the existing provisions of the shareholder's right to inspect in China, discuss and propose the rules related to the exercise of shareholders' access right. In addition to the introduction and conclusion, the paper is divided into four chapters.
The first chapter, the definition and significance of shareholders'inspection right through the exercise. This chapter first introduces the concept of shareholder inspection right dispute, unified concept of discarding the position on the inspection right of shareholder based on rights and lay the basis for discussion in this paper. The concept of the right of access through the exercise of the subsequent introduction, clear the essence for the inspection right of shareholder in the scope of the expansion, to the right of access to the exercise effect on "through". In the clear shareholders'inspection right through the exercise of the connotation of the situation, through the real cases, the paper reveals the necessity through the exercise of shareholder inspection right, after the discussion of the bedding.
The second chapter, analysis the legitimacy of shareholders'inspection right through the exercise of related theory. This chapter first through the inspection right of shareholder exercise were introduced, from the law personality denial theory through directly to the shareholders'inspection right through the exercise of support, and disregard of corporate personality theory further check right through the exercise of shareholders' inspection and provide an explanation. The right to discuss through the conflicts of interest may bring the exercise, and try to find a balance mechanism.
The third chapter, the legislation and practice of shareholders'inspection right through the exercise of this chapter. In the case of the United States, to investigate the attitude and approach the state court through the inspection right of shareholder exercise: some states hold a negative attitude, that is in strict accordance with the state provisions of the existing interpretation, right through the exercise of shareholders denied access to other states; positive attitude, support the inspection right of shareholder through exercise, but according to whether through legislation through exercise the right of access to admit and can be divided into two categories: one is in no statute law case, and then seek other ways to explain the application of analogy; the other is the creation of the new law, through the exercise of shareholder inspection right the conditions stipulated directly.
The fourth chapter, China's present situation and perfection of access right system. The first chapter of the existing provisions of the inspection right system in our country are introduced, pointed out that the company law of our country to a single company model as the core point, for the inspection right of shareholder of parent company in the framework of exercise is not specified. Then, on the premise of clear inspection right of shareholder through the exercise of the border, from the two aspects of the exercise subject and scope of the exercise focuses on the specific rules of shareholders'inspection right through the exercise.

【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

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