股东权滥用条款司法适用的实证研究

发布时间：2018-04-19 23:02

本文选题：股东权滥用 + 衡平性条款　；参考：《吉林大学》2017年硕士论文

【摘要】：公司法的核心作用在于平衡各个主体间的利益关系,为不同主体的利益提供相应的保护。随着现代企业制度的成熟与发展,公司从最初的主要强调经济利益最大化,逐渐开始向注重社会责任的承担转变,与此相对应,公司法也经历了一个发展演进的过程。相比于最初的股东利益导向,现代公司法在内部关系上开始注重对中小股东的利益保护,在外部关系上则开始注重保护债权人的利益,而最能体现这种变化的便是限制股东权滥用相关制度的建立健全。我国限制股东权滥用的原则性内容主要体现在《中华人民共和国公司法》(以下简称《公司法》)第20条第1、2款,这一条款可以称之为“股东权滥用条款”。但是与规定了“法人人格否认制度”的第3款相比,旨在调整股东与股东间、股东与公司间的内部关系的股东权滥用条款受关注的程度却明显较低。正是在这样的背景之下,本文选择了以《公司法》第20条第1、2款,即《公司法》中的股东权滥用条款作为研究对象,通过实证研究的方法,对该条款在实际司法中的适用情况进行了分析,希望以此引起人们对于该条款的重视,为更好地适用与发展《公司法》尽绵薄之力。本文在研究方法上主要运用了实证与理论相结合的方法。首先对股东权滥用条款的司法适用进行了实证梳理。该部分研究主要对适用了股东权滥用条款的相关案例及裁判文书进行了数据整理与分析,总结归纳该条款在司法适用上所呈现出的统计学规律与特点,并对这些特点的形成原因进行了解释。在实证研究的对象上,本文以“中国裁判文书网”作为数据来源,选取了2014年1月1日至2016年12月31日间,以股东权滥用条款为裁判依据的民事判决书作为研究样本。在此基础上,通过分类统计的方式,对样本总体在地域分布、审判程序、审级以及诉讼结构方面所呈现的趋势特点进行了分析,描述了样本总体在统计学上所具有的特点。对于股东权滥用条款在司法适用上的特点分析,本文在数据统计结果的基础之上,结合“股东”、“股东权滥用”以及“衡平性条款”等理论概念,发现了司法实践中对股东权滥用条款适用不当的一些情况,并集中分析了股东权滥用条款在“公司决议违法而无效”和“占有、处分公司财产型”案件中的适用以及单独适用三方面所存在的问题。最后,基于股东权滥用条款所具有的衡平性的特点,本文最终得出了我国股东权滥用条款在实际司法适用中应当向衡平性回归,具体方式为应当更加注重对股东权滥用条款的具体化的结论。同时,本文对所研究的实证案件进行了类型化,得出了七种典型的股东权滥用行为类型,并对该七类案件各自的特点以及人民法院的裁判要点进行了分析,并且提出了相应的合理化的建议。
[Abstract]:The core function of company law is to balance the interests of different subjects and provide corresponding protection for the interests of different subjects. With the maturation and development of the modern enterprise system, the company began to change from the initial emphasis on maximizing economic benefits to paying attention to social responsibility. In contrast, the company law has also undergone a process of development and evolution. Compared with the initial shareholder interest orientation, the modern company law began to pay attention to the protection of the interests of minority shareholders in the internal relations, and to the protection of the interests of creditors in the external relations. And what can embody this kind of change most is to restrict the establishment of the relevant system of shareholder right abuse. The principle content of restricting the abuse of shareholders' rights in our country is mainly embodied in the second paragraph of Article 20 of the Company Law of the people's Republic of China (hereinafter referred to as "Company Law"), which can be called "the term of abuse of shareholder's Rights". However, compared with the third paragraph of "the denial of legal personality", the term of abuse of shareholder's rights, which aims to adjust the relationship between shareholders and shareholders, and between shareholders and companies, has attracted much less attention. It is under this background that this paper chooses the second paragraph of Article 20 of the Company Law, that is, the shareholder abuse clause in Company Law, as the object of study, through the method of empirical research. This paper analyzes the application of this clause in the actual administration of justice in the hope that people will attach importance to it and do their utmost to better apply and develop Company Law. In this paper, empirical and theoretical methods are mainly used in the research. First of all, the judicial application of the term of abuse of shareholders' rights is analyzed empirically. This part of the research mainly applies the shareholder right abuse clause related cases and the adjudicative document to carry on the data arrangement and the analysis, summarizes and summarizes this clause in the judicial application presents the statistical law and the characteristic. The reasons for the formation of these characteristics are explained. On the object of empirical study, this paper takes "China judgment document Network" as the data source, selects the civil judgment based on the shareholder abuse clause as the research sample between January 1, 2014 and December 31, 2016. On this basis, through the way of classification and statistics, this paper analyzes the trend characteristics of the sample population in the aspects of geographical distribution, trial procedure, trial level and litigation structure, and describes the statistical characteristics of the sample population. Based on the analysis of the characteristics of the judicial application of the term of abuse of shareholder's right, this paper combines the theoretical concepts of "shareholder", "abuse of shareholder's right" and "equity clause" on the basis of the statistical results. Some cases of improper application of shareholder abuse clause in judicial practice are found, and the author focuses on the analysis of shareholder abuse clause in "illegal and invalid company resolution" and "possession". The problem of the application and the separate application in the case of the property type of branch office. Finally, based on the equity characteristics of the term of abuse of shareholders' rights, this paper finally draws the conclusion that the term of abuse of shareholders' rights in our country should return to equity in the actual judicial application. The concrete way is to pay more attention to the concrete conclusion of the shareholder right abuse clause. At the same time, this paper classifies the empirical cases studied, obtains seven typical types of shareholders' abuse of rights, and analyzes the characteristics of the seven cases and the main points of the people's court's decision. And put forward the corresponding rationalization suggestion.
【学位授予单位】：吉林大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.291.91

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