论商业判断规则的适用

发布时间：2018-03-26 06:37

本文选题：商业判断规则　切入点：董事注意义务　出处：《宁波大学》2010年硕士论文

【摘要】：商业判断规则是美国公司法中一项具有重要理论意义和实践价值的判例法规则,法院据此来审查公司董事行使职权的方式和过程的适当性,判定董事是否承担相应的责任;学者以此为切入点研究美国法中的被信任者责任,不断丰富完善美国公司法体系,反过来又促进公司治理结构的优化。我国在强化对董事责任追究的同时,越来越多的学者也在呼吁引入美国商业判断规则,弥补我国董事勤勉义务司法审查标准的空缺及不足,以平衡董事权责,鼓励董事为公司的利益大胆决策。然而由于美国商业判断规则判例法属性以及本身的不确定性,我国学者对其内涵、本质、理论基础及适用条件等重要问题还存在诸多争论,本文针对目前争议比较大的几个问题进行了论证并结合我国立法司法现状,提出完善我国公司法律制度的几点建议。本文共分为四个部分。第一部分是对商业判断规则内涵本质的解析,主要阐述商业判断规则“是什么”的问题。首先文章就美国法学研究所和特拉华州判例法中对商业判断规则的阐述进行了分析和比较,界定其内涵。其次,通过对董事注意义务与商业判断规则关系的厘清,明晰商业判断规则的外沿,并为下文商业判断规则司法运用中的若干问题打下基础。最后着重运用法经济学的方法,分析其存在的正当性基础。第二部分以美国为例探讨商业判断规则的司法适用。本文分别选取了最近商业判断规则适用成功与失败的McMullin v. Beran案与CompuCom股东派生诉讼案进行分析考察,论述商业判断规则的适用要件,就善意、信息充分及为公司最大利益行事这三个有争议的要件进行深入阐述,最后就美国强化董事责任的背景下理论界对商业判断规则适用要件及实效的质疑,提出自己一点看法,并进一步强调商业判断规则的价值。第三部分主要是阐述了商业判断规则在美国境外的适用。分析了同是英美法系的澳大利亚、英国对商业判断规则适用的不同态度以及日本司法实践中对商业判断规则的借鉴。通过比较分析,得出影响商业判断规则适用的因素主要在于各国对董事注意义务的司法审查标准、针对董事违反注意义务的民事诉讼的严厉程度及司法介入公司治理深度的不同。第四部分是针对目前我国理论界关于是否应导入商业判断规则以及应如何导入该规则这两个争议焦点的进行了论证。首先从理论上论述了我国导入商业判断规则的意义,接着以模塑科技案为视角论证我国导入商业判断规则的现实需要,并在此基础上就商业判断规则在我国适用的方式、适用条件、程序以及相关配套制度的完善等问题提出自己的意见。
[Abstract]:The commercial judgment rule is a case law rule with important theoretical significance and practical value in American company law. According to this rule, the court examines the appropriateness of the way and process of the directors' exercising their functions and powers, and determines whether the directors should bear the corresponding responsibilities. Scholars take this as a starting point to study the liability of trusted persons in American law, enrich and perfect the American corporate law system, and in turn promote the optimization of corporate governance structure. More and more scholars are also calling for the introduction of American commercial judgment rules to make up for the lack and deficiency of the standards of judicial review of directors' diligence and obligation in order to balance the rights and responsibilities of directors. The directors are encouraged to make bold decisions for the benefit of the company. However, due to the nature of the case law of the business judgment rules in the United States and its own uncertainty, there are still many controversies among Chinese scholars on such important issues as its connotation, nature, theoretical basis and applicable conditions. This article has carried on the demonstration according to the present dispute several questions, unifies our country legislation judicature present situation, proposed the consummation our country company legal system several suggestions. This paper is divided into four parts. The first part is the analysis of the essence of commercial judgment rules. First, the article analyzes and compares the elaboration of commercial judgment rules in the American Institute of Law and Delaware case Law, and defines its connotation. By clarifying the relationship between directors' duty of care and the rules of commercial judgment, this paper clarifies the outer direction of the rules of commercial judgment, and lays a foundation for the following problems in the judicial application of the rules of commercial judgment. Analysis of its existence of the legitimacy of the basis. The second part takes the United States as an example to explore the judicial application of commercial judgment rules. This paper selects McMullin v. Beran and CompuCom shareholder derivative cases, which have been successful or unsuccessful in the application of commercial judgment rules, respectively. This paper discusses the applicable elements of the commercial judgment rules, and expounds in depth the three controversial elements of good faith, sufficient information and acting in the best interests of the company. Finally, the author puts forward his own opinion on the application elements and effectiveness of the commercial judgment rules under the background of strengthening the director's liability in the United States, and further emphasizes the value of the commercial judgment rules. The third part mainly expounds the application of the commercial judgment rule outside the United States. The different attitudes towards the application of commercial judgment rules in Britain and the reference to commercial judgment rules in Japanese judicial practice. The main factors that affect the application of commercial judgment rules are the standards of judicial review of directors' duty of care, the severity of civil litigation against directors' breach of duty of care and the different depth of judicial intervention in corporate governance. The fourth part is to discuss whether the commercial judgment rules should be introduced and how to introduce the rules in the theoretical circle of our country at present. Firstly, the significance of introducing the commercial judgment rules into our country is discussed theoretically. Then from the perspective of molding science and technology case to demonstrate the practical need of introducing commercial judgment rules in our country, and on the basis of this, on the basis of commercial judgment rules in our country applicable way, applicable conditions, Procedures and the improvement of relevant supporting systems and other issues to put forward their own views.
【学位授予单位】：宁波大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91

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