公司对股东处罚的法律问题研究

发布时间：2018-05-06 23:24

本文选题：公司处罚 + 私法制裁措施　；参考：《天津师范大学》2017年硕士论文

【摘要】：我国《公司法司法解释(三)》规定了公司对违反出资义务的股东予以权利限制和除名的处罚。在现实中除了权利限制和除名处罚外,还有如训诫、罚款等多种表现形式,而我国现行法律并未对此进行系统规定。公司对股东处罚的效力、法律本质、种类、设定规则、行使程序及救济等问题都缺乏法律的明确规定,使公司对股东的处罚在行使过程中存在诸多争议,不利于股东权益的维护和公司目的的实现。对此,笔者拟对公司对股东处罚问题进行系统的探讨,希望能为解决此类案件的争议提供有益的参考借鉴。本文共分为五个部分。第一部分主要阐述了两个关于公司对股东进行处罚的案例,指出当前我国法院对公司处罚设定的态度,即处罚必须由公司章程予以规定,且处罚的种类、范围和幅度必须明确,否则应属无效。进而引出本文拟探讨的主要问题。第二部分分析公司对股东处罚的基础理论。首先,对公司处罚的正当性进行阐释;其次,根据公司章程的法律本质引出公司对股东处罚的法律性质,分别是社团罚和合同罚,并通过阐释两种学说,说明笔者的观点;继而探讨了公司对股东处罚的适用范围;最后,列举了处罚的四种类型,包括名誉罚、财产罚、股东权利的限制或剥夺和除名;根据具体情形,可以单独使用或合并使用。第三部分论述了公司对股东处罚的依据及其限制。笔者认为,除非有法律法规的明确规定,处罚应以公司章程为依据,其适用的情形和种类必须在章程中明确规定,以发挥处罚的预测和警告作用。在处罚范围和幅度不明确的情况下,可由股东会行使"自由裁量权"予以明确。第四部分对公司对股东处罚的实施予以分析。实施主要包括实施原则、程序、生效和法律后果。实施原则主要有"一事不再罚"、"比例原则"和"平等原则";程序包括前置程序和决议程序,处罚应当根据处罚内容的不同而采取不同的表决方式,且被处罚股东应当回避。公司对股东处罚的作出必须遵守各项规则,否则做出的处罚决议就存在瑕疵,可能被撤销或无效;同时处罚因种类不同而产生不同的法律后果。第五部分主要对公司处罚的法律救济进行阐述。对内容或程序有瑕疵的股东会处罚决议,被处罚股东可以向公司提出抗辩,维护自己的合法权益;也可以在法定期间内向法院起诉,法院对处罚决议的内容和程序进行审查之后,作出有效、被撤销、无效或者不成立的判决。
[Abstract]:The Judicial interpretation of Company Law (3) prescribes that the company shall restrict and remove the rights of shareholders who violate the obligation of capital contribution. In reality, in addition to the restriction of rights and delisting punishment, there are many forms of expression, such as discipline, fine and so on, which are not systematically stipulated in the current law of our country. The validity, nature, type, rules, procedure and remedy of the company's punishment to the shareholders are all lack of clear legal provisions, which makes the punishment of the shareholders in the company have many disputes in the process of exercising the punishment. Not conducive to the protection of shareholders' rights and interests and the realization of the company's objectives. In view of this, the author intends to carry on the systematic discussion to the company to the shareholder punishment question, hoped can provide the beneficial reference for resolving this kind of case dispute. This paper is divided into five parts. The first part mainly expounds two cases about the punishment of the shareholders, and points out the attitude of the court to the punishment of the company, that is, the punishment must be stipulated by the articles of association, and the type, scope and extent of the punishment must be clear. Otherwise, it should be invalid. And then leads to the main problems to be discussed in this paper. The second part analyzes the basic theory of shareholder punishment. Firstly, it explains the legitimacy of corporate punishment; secondly, according to the legal essence of the articles of association, it leads to the legal nature of corporate punishment to shareholders, which is community penalty and contract penalty, and explains the author's viewpoint by explaining two theories. Finally, it lists four types of punishment, including reputation penalty, property penalty, restriction or deprivation of shareholders' rights and delisting; according to specific circumstances, it can be used separately or in combination. The third part discusses the basis and limitation of the company's punishment to shareholders. The author holds that unless there is a clear stipulation of laws and regulations, the punishment should be based on the articles of association, and the applicable circumstances and types must be clearly stipulated in the articles of association, so as to play the role of prediction and warning of punishment. In case the scope and extent of punishment are not clear, the shareholders' committee may exercise discretion to make it clear. The fourth part of the company to the implementation of shareholder punishment to be analyzed. Implementation mainly includes implementation principles, procedures, effectiveness and legal consequences. The implementation principle mainly includes "no punishment", "proportionality principle" and "principle of equality"; the procedure includes pre-procedure and resolution procedure, the punishment should adopt different voting methods according to the different contents of punishment, and the shareholders who are punished should avoid it. The company must abide by the rules of the shareholders' punishment, otherwise, the punishment resolution made will be defective, may be revoked or invalid, and the punishment will have different legal consequences according to the different types of punishment. The fifth part mainly expounds the legal remedy of company punishment. For the resolution on punishment of shareholders' meeting with defective contents or procedures, the punished shareholders may raise a plea to the company to safeguard their legitimate rights and interests, and may also sue the court within the statutory period, After reviewing the content and procedure of the penalty resolution, the court makes a valid, annulled, invalid or unsubstantiated judgment.
【学位授予单位】：天津师范大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.291.91

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