公司法缺省性规则价值研究

发布时间：2018-04-15 22:16

本文选题：公司法 + 公司自治　；参考：《西南政法大学》2010年硕士论文

【摘要】： 立法理念的与时俱进,是我国《公司法》在2005年历经一番整新和修葺之后最为显著的特征。这部法律充分体现了放松管制、强化自治的理念,强调尊重公司自治、尊重公司合法权利的运用,减少政府的干预。在《公司法》中多处出现了“公司章程另有规定的除外”或类似表述的典型的缺省性规则用语,以公司参与者的约定替代强制性法律规定,充分尊重公司参与者的意愿。放眼全球,公司立法中公司自治理念得到不断深化并成为公司立法的趋势,公司法改革中任意性规则得以扩充,而强制性规则的空间不断被压缩。公司法缺省性规则成为公司自治理念深入公司法改革的一条不可或缺的通道,是公司立法技术提升的典型体现,它在公司法中发挥着越来越重要的作用。然而,国内学术界鲜有文章或专著对公司法缺省性规则进行专项研究,在一定程度上受制于传统将公司法规则作强制性与任意性划分的两分法。而国外学者爱森伯格教授、柴芬斯教授等的三分法将任意性规则进一步细分为缺省性规则与赋权性规则,对公司法规范的应然结构也表达了不同的观点。无论如何,公司法规范混合结构的综合法说是最具说服力的,其能平衡公司法所保护的不同利益主体的多样利益诉求。本文所遵循的一个基本理论前提也就是公司法规则是强制性规则、缺省性规则与赋权性规则的混合结构。对缺省性规则的价值分析,首先起步于公司法的私法品格。公司法私法品格的最典型体现是公司自治,而公司章程自治是公司自治的最佳载体。公司合同理论为公司章程自治提供了法学基础理论上的研究捷径,也从一个侧面为缺省性规则的存在提供了理论基础。但应当注意的是,公司章程自治并不是漫无边际的,它要遵循基本的法律精神、在基本的价值与规则框架内实现最大化的自治。其次,强制性规则与赋权性规则有着自身无法克服的缺陷,而缺省性规则在一定程度上又能够弥补这些缺陷。缺省性规则的特质使其介于强制性规则与赋权性规则之间,有调和两者直接对立的法律属性。其条文规定通常包含公司参与者无另外约定即自动适用(也可以说是“推定适用”)的法定缺省安排和公司参与者可以通过公司章程等其他形式另行做出安排的规定。法定缺省安排的设计方法有假设交易方法、可推翻的缺省方法,公司参与者排除适用法定缺省安排的路径通常有三种:实体性选择路径、法定程序路径和公司章程路径。无疑,公司章程路径是最重要的实现途径,也是本文从一个侧面展开对缺省性规则的研究的切入点。在文章的最后一个部分,本文对公司法在公司设立、运营、解散三个阶段所设定的缺省性规则作了简要的评析,一方面肯定了《公司法》对缺省性规则的立法价值,另一方面指出《公司法》中既有的缺省性规则也并非完美的。顺应全球公司自治的立法趋势,《公司法》中必将有更多的强制性规则得到缓和,在未来替换为缺省性规则(以及赋权性规则),从而提高缺省性规则在公司法规则中的比例。
[Abstract]:The idea of legislation to keep pace with the times, is China's company law > < after a refurbishment and repair in 2005. The most significant feature of the law fully reflects the deregulation, strengthening the concept of autonomy, emphasizing respect the autonomy of the company, with respect for the legitimate rights of the company, reduce the government intervention in the "company law". In many places there "unless otherwise stipulated by the articles of association" or similar expressions of the typical default rules in terms of the company members agreed to replace the mandatory law, fully respect the wishes of the participants.
Looking at the world, the concept of company autonomy in company legislation has been continuously deepened and become the trend of legislation, the company law reform in arbitrary rules can be expanded, but the space of mandatory rules are compressed. The default rule in the corporation law has become the concept of company autonomy in-depth company law reform as an indispensable channel, is typical of the legislative technology company ascension, it plays an increasingly important role in the company law.
However, few articles or monographs in domestic academic circles to make a special study of the company law of default rules, to some extent, the traditional dichotomy of company law rules for compulsory and arbitrary division. While the foreign scholar Professor Eisenberg, three law professor Chivens will be further subdivided into arbitrary rules and default rules weighted rules ought to be on the structure of the company law also expressed a different view. In any case, comprehensive law company law mixed structure is said to be the most convincing, diversity of interests protected by the company law to balance the different stakeholders. A basic theoretical premise of the paper is followed by the company's rule of law is mandatory rules, default rules and enabling rules of the hybrid structure.
Analysis of the value of default rules, first started in the company law of private law character. The typical expression of company law is the character of company autonomy, and the autonomy of company charter is the best carrier of company autonomy. The theory of corporate contract provides a shortcut to research basic theory of law on the autonomy of the articles of association of the company, but also provides the theoretical basis from a the default rules exist. But it should be noted that the autonomy of company charter is not boundless, it must follow the basic spirit of the law, to realize the maximization of autonomy in the framework of the basic value and rules.
Secondly, the mandatory rules and enabling rules have great defects, and default rules in a certain extent can compensate for these defects. Between the default rules traits ranged from mandatory rules and enabling rules, law attribute of harmonic in direct opposition to the two. Its provisions usually include the company participants in an automatic application (also can be said to be "presumption") the statutory default arrangement and company participants through the articles of association of the company and other forms shall make arrangements regulations. Legal arrangements have the default design method assumes transaction method, the default method can be overturned, corporate participants excluded statutory default arrangement path is usually three A: the entity path selection, path of legal procedures and the company's articles of association path. Undoubtedly, the path of company charter is the most important way to realize, also is this article The starting point of the research on default rules from one side.
In the last part of the article, the establishment of the company law in operation, make a brief analysis of default rules set by the dissolution of the three stage, a nod to the legislation of company law on the value of < > default rules, on the other hand, points out the existing "Company Law > Default rules the legislation is not perfect. Conforming to the global trend of company autonomy," Company Law > will have more mandatory rules to alleviate in the future to replace the default rules (and weighting rules), so as to improve the default rules in company law than in the cases.

【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91

【参考文献】