上市公司实际控制入侵权责任制度之法律研究

发布时间：2018-04-18 07:49

本文选题：上市公司 + 实际控制人　；参考：《复旦大学》2010年硕士论文

【摘要】：公司制企业的出现,在企业的发展史上具有划时代的意义,中国于1993年首次颁布了《公司法》,至今经过1999年和2004年两次修正,于2005年进行了全面修订并重新公布。但中国的公司运营仍存在许多不规范,中国的公司法理论仍相对滞后。2006年1月1日施行的《公司法》第一次以法律的形式提出了实际控制人的概念,经过近五年实践,实际控制人的相关法律规则是否符合中国发展实践的需要?本文以中国实际控制人的侵权责任为研究对象,结合三九系案和飞天系案为基础案例进行分析,从以下几个方面对实际控制人侵权责任的相关法律机制展开论述,讨论这个问题：第一章是对实际控制人的概括性介绍,主要内容包括公司控制权的产生、中国上市公司实际控制人的概念界定和特点分析。首先以公司控制权产生为起点,论述公司控制权的客观存在必然性和正当行使的优势；然后阐述了现行《公司法》中实际控制人的法律概念,对中国上市公司中实际控制人进行了类型化的分析；最后结合实际,分析了中国上市公司实际控制权形成和发展的特色。第二章是对实际控制人实体法的法律规制进行具体分析和阐述。首先从基础案例对中国上市公司实际控制人侵权现状进行分析,说明实际控制人侵权行为的种类和表现形式；接着从实践延深到理论,探讨实际控制人应承担的义务和责任在公司法法理基础上的依据；然后再以理论结合实践的方式,阐述中国上市公司实际控制人的侵权法律责任规制及其不足之处；最后对实际控制人的民事侵权责任的实体法价值给予评价。第三章是对实际控制人侵权责任的民事诉讼程序法的具体分析和阐述。首先明确了民事诉讼法作为程序法对于实现保护公众中小股东权益的重要性；其次从证券市场相关的民事诉讼程序机制中,分析民事诉讼救济中的有关机制和出现的问题；接着分析了公司法中以股东代表诉讼为主的诉讼规则,说明股东代表诉讼在追究实际控制人侵权责任的关键作用和应完善之处；最后,结合证券法、公司法和民事法律规定,对完善实际控制人侵权责任制度提出总结性建议。
[Abstract]:The emergence of corporate enterprises is of epoch-making significance in the history of enterprise development. China promulgated Company Law for the first time in 1993, which has been revised twice in 1999 and 2004, and has been revised and republished in 2005.However, there are still many irregularities in the operation of companies in China, and the theory of company law in China is still relatively lagging behind. The Company Law, which came into force on January 1, 2006, put forward the concept of "actual controller" in the form of law for the first time, after nearly five years of practice.Does the relevant legal rules of the actual controller meet the needs of China's development practice?This paper takes the tort liability of China's actual controller as the research object, and analyzes the relevant legal mechanism of the actual control person's tort liability from the following aspects, combining with the 39 series case and the Feitian case as the basic case.Discuss this issue:The first chapter is a general introduction to the actual controllers, including the emergence of corporate control, the definition and characteristics of the actual controllers of listed companies in China.Firstly, taking the emergence of corporate control as the starting point, this paper discusses the objective existence inevitability and the advantage of proper exercise of corporate control, and then expounds the legal concept of actual controller in the current Company Law.This paper analyzes the types of actual controllers in listed companies in China, and finally analyzes the characteristics of the formation and development of the actual control rights of listed companies in China.The second chapter is the actual control of the substantive law of the specific analysis and elaboration.First of all, the author analyzes the current situation of the actual controller infringement of listed companies in China from the basic case, and explains the types and forms of the actual controller tort; then, from the practice to the theory,This paper probes into the basis of the obligations and responsibilities of the actual controller on the basis of the company law, and then expounds the rules and disadvantages of the tort liability of the actual controller of the listed company in China by combining theory with practice.Finally, it evaluates the substantive law value of the civil tort liability of the actual controller.The third chapter is the concrete analysis and elaboration of the civil procedure law of the tort liability of the actual controller.Firstly, it clarifies the importance of the civil procedure law as a procedural law to protect the rights and interests of the minority shareholders of the public; secondly, it analyzes the relevant mechanisms and problems in the relief of civil action from the relevant civil procedural mechanisms in the securities market.Then it analyzes the litigation rules of shareholder's representative litigation in company law, and explains the key role and perfection of shareholder's representative action in investigating the tort liability of actual controller. Finally, it combines the securities law, company law and civil law provisions.Put forward the summative suggestion to perfect the tort liability system of the actual controller.
【学位授予单位】：复旦大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91

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