股东网络投票具体规则研究

发布时间：2018-05-08 09:02

本文选题：网络投票 + 中小股东　；参考：《河北大学》2017年硕士论文

【摘要】：2004年我国证监会出台了《关于加强社会公众股股东权益保护的若干规定》将股东网络投票作为新的股东表决方式确立了下来。值得注意的是,股东网络投票不是传统表决方式的补充或替代,它是在网络技术冲击证券市场的现实背景下孕育的创举,在维系股东之间、股东与董事高管之间权益方面拥有独立的价值。股东网络投票制度的具体规则散见于我国证监会颁布的《上市公司股东大会规则》和深沪两地证券交易所根据公司的实践情况针对发现的问题不断修订的《上市公司股东大会网络投票实施细则》中,虽然这种灵动的方式值得肯定,但遗憾的是我国《公司法》未对股东网络投票作出回应。在网络技术向经济领域渗透,悄然影响着我国公司发展的当下,股东网络投票作为与传统的股东出席股东大会进行投票、股东委托代理投票地位平等的表决方式应当被纳入我国《公司法》。现行股东网络投票具有证券交易所提供的互联网系统和通过证券交易所的交易系统投票两种投票系统,这可能导致重复投票、空白投票等效力难题。本文从民法意思表示理论入手讨论股东网络投票的效力难题,认为股东网络投票时不享有修改权,应当运用网络技术避免重复投票的产生。现行股东网络投票具体规则的适用范围仅仅是上市公司,适用主体是中小股东,适用范围和投票时间太过保守,对网络技术故障导致股东表决权受损的法律责任不明确,这些缺陷都阻碍了股东网络投票功能的发挥。鉴于美国、日本和我国台湾地区关于股东网络投票的具体规则的立法经验较为先进,具有极大的借鉴意义。本文在考察它们的立法和学术观点的同时比较分析我国现行规定的不足,总结出对我国大陆地区的完善建议,从而更加全面、权威地指导我国股东网络投票,切实保障中小股东的权益,衡平股东和公司的关系,推动公司治理的完善,实现双赢。
[Abstract]:In 2004, China's Securities Regulatory Commission issued several regulations on strengthening the protection of the shareholders' rights and interests of social public shares. The shareholders' network voting was established as a new way of voting for shareholders. It is worth noting that the shareholders' online voting is not a supplement or a substitute for the traditional voting method, but a pioneering undertaking conceived under the background of the impact of network technology on the securities market. There is an independent value in terms of equity between shareholders and directors. The specific rules of the shareholders' network voting system can be found in the "rules of shareholders' meeting of listed companies" promulgated by China's Securities Regulatory Commission (CSRC) and the "listing rules of listed companies" promulgated by the Shenzhen and Shanghai stock exchanges according to the company's practical situation in view of the problems found. Detailed rules for the implementation of the online voting of the company's shareholders' general meeting, Although this smart way is worthy of recognition, it is regrettable that China's Company Law has not responded to the shareholders' network voting. With the penetration of network technology into the economic field and quietly affecting the development of Chinese companies, the shareholders' network voting is conducted as a vote with the traditional shareholders attending the shareholders' general meeting. The voting method of equal voting status should be included in the Company Law of our country. The current shareholders' network voting has two voting systems: the Internet system provided by the stock exchange and the trading system through the stock exchange, which may lead to the effect of repeated voting and blank voting. Based on the theory of civil law, this paper discusses the problem of the effectiveness of shareholders' online voting, and holds that the shareholders' online voting does not enjoy the right of modification, and the network technology should be used to avoid the repeated voting. The scope of application of the current specific rules of shareholders' network voting is only listed companies, the main body is small and medium shareholders, the scope of application and voting time is too conservative, the legal liability of shareholders' voting rights damage caused by network technical faults is not clear. These defects all hinder the exertion of shareholder network voting function. In view of the advanced legislative experience of the specific rules of shareholder network voting in the United States, Japan and Taiwan, there is great significance for reference. While examining their legislative and academic viewpoints, this paper compares and analyzes the shortcomings of the current regulations in China, summarizes the suggestions for the improvement of China's mainland region, and directs the voting of our shareholders' network more comprehensively and authoritatively. Protect the rights and interests of minority shareholders, balance the relationship between shareholders and companies, promote the improvement of corporate governance, and achieve win-win.
【学位授予单位】：河北大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.291.91

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