论股东代表诉讼当事人制度

发布时间：2018-04-27 23:11

本文选题：代表诉讼 + 当事人　；参考：《中国政法大学》2011年硕士论文

【摘要】：股东代表诉讼制度自出现至今,对维护中小股东利益、完善公司治理结构发挥了重要的作用。我国虽然在修订公司法时引进了股东代表诉讼制度,但是,不论从立法层面上来看,还是从司法实践角度来分析都是不完善的。特别是股东代表诉讼的当事人制度规定较为模糊,甚至有些当事人的地位还未确定,这就给司法实践造成了潜在不利因素,给股东代表诉讼在我国真正发挥作用设置了障碍。本文采用了比较分析方法,将具有代表性的国家和地区的代表诉讼当事人制度进行了比较分析,并结合了我国的立法、司法、国情等实际情况,对我国的代表诉讼当事人制度进行了探讨,并提出了改进与完善的意见。本文共分成四章对代表诉讼当事人制度进行了探讨。第一章主要介绍了股东代表诉讼的概念、起源以及制度价值,同时也对股东代表诉讼当事人制度做了一个简要的介绍,主要为后几章作理论和概念的铺垫。第二章具体论述了股东代表诉讼的原告的适格性以及我国股东代表诉讼原告制度的完善。首先以英国、美国、日本以及我国台湾地区法律为代表,从股东身份、持股期限、持股数量以及主观方面四个条件分别阐述了国外关于原告资格的一些立法情况,参考我国现行法律对于原告资格的法律规定和我国公司制度的发展状况,从中总结出一些我国立法和司法实践中可以借鉴的规定和原则,并提出了一些完善的意见。第三章具体论述了股东代表诉讼的被告范围。就目前各国的立法规定来看,对于被告的范围规定各不相同,一些国家规定比较宽泛,如美国,不论是公司内部的董事、监事、控股股东等,还是公司外部的第三人都可以成为被告。有些国家规定范围很狭窄,如我国台湾地区,被告仅仅限定为公司董事。这部分还具体分析了限定性和非限定性的立法规定的利弊,提出了适合我国现状的模式。第四章论述了在股东代表诉讼中一个特殊的当事人—公司,各国的法律一般都肯定公司参加诉讼的必要性,但是对于公司在代表诉讼中的地位却规定不一,有的规定公司是被告,有的规定是第三人,还有的规定其是诉讼参与人,本章都做了具体的阐述,并分析了各自的利与弊,提出了对于在我国股东代表诉讼中公司地位的法律设计,同时指出问题的复杂性,需要持续研究,以期望设计出更加合理的方案。
[Abstract]:Since the emergence of shareholder representative litigation system, it has played an important role in safeguarding the interests of minority shareholders and perfecting the corporate governance structure. Although our country has introduced the shareholder representative litigation system in the revision of the Company Law, it is not perfect either from the legislative level or from the angle of judicial practice. In particular, the provisions of the party system of shareholder representative litigation are rather vague, and even some parties' status has not been determined, which has caused potential unfavorable factors to judicial practice and set up obstacles for shareholders' representative litigation to play a real role in our country. This article adopts the comparative analysis method, compares and analyzes the representative litigant system of the representative countries and regions, and combines the actual situation of our country's legislation, judicature, national conditions and so on. This paper probes into the representative litigant system in China, and puts forward some suggestions for improvement and perfection. This paper is divided into four chapters to discuss the representative litigant system. The first chapter mainly introduces the concept, origin and system value of shareholder representative litigation. At the same time, it also makes a brief introduction to the party system of shareholder representative litigation. The second chapter discusses the appropriateness of the plaintiff and the perfection of the plaintiff system in our country. First of all, taking the laws of the United Kingdom, the United States, Japan and Taiwan as the representatives, this paper expounds the legislation on the plaintiff's qualification in foreign countries from four aspects: shareholder status, stock holding period, shareholding quantity and subjective aspects. Referring to the legal provisions of the plaintiff qualification and the development of the company system in our country, this paper sums up some regulations and principles that can be used for reference in the legislation and judicial practice of our country, and puts forward some perfect opinions. The third chapter discusses the scope of the defendant in the shareholder's representative action. As far as the current legislative provisions of various countries are concerned, the scope of the defendant is different. In some countries, the provisions are relatively broad. For example, in the United States, whether they are directors, supervisors, or controlling shareholders within the company, Even a third person outside the company can be a defendant. In some countries, such as Taiwan, defendants are limited to company directors. This part also analyzes the advantages and disadvantages of the limited and unqualified legislative provisions, and puts forward a model suitable for the present situation of our country. The fourth chapter discusses a special litigant in the shareholder representative litigation-the company, the law of the countries generally affirm the necessity of the company to participate in the litigation, but the status of the company in the representative litigation is not the same. Some stipulate that the company is the defendant, some are the third party, and others are the participants in the proceedings. This chapter has made a specific exposition and analyzed their respective advantages and disadvantages. This paper puts forward the legal design of the position of the company in the shareholder representative litigation in our country, and points out the complexity of the problem, which needs to be studied continuously in order to design a more reasonable scheme.
【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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