论公司债权人保护制度

发布时间：2018-05-15 07:25

本文选题：公司 + 债权人　；参考：《对外经济贸易大学》2007年博士论文

【摘要】： 公司制度的盛行,极大程度地为社会带来经济财富,但也带来诸多的问题。公司制度植基于公司法人格独立及股东有限责任两大原则之上,而此两大原则则相当程度的将公司风险外部化,亦即将公司本应承担的风险转由公司外部人承担。在诸多公司外部人中,牵涉最广、受害最直接的当为公司债权人。在公司创造巨大经济规模,进而享受巨大利益的同时,人们不禁要问,公司是否也应尽其社会责任? 关于公司债权人保护的讨论,自古即有,并且一直随着公司发展而不时被提出,也形成各种各样的制度,例如公司资本三原则、公司信息披露、债权人会议以及公司破产、和解、重整阶段的保护制度等。在诸多的公司债权人保护制度或措施中,是否隐藏着比较普遍而通用的规律,以及可否找出对公司债权人普遍适用的制度,从而构建完整的公司债权人保护制度体系,则是本论文所要探讨的主题。本论文从债权人保护之意义出发,提出传统法律对公司债权人保护之不足,进而寻析债权人保护之理论,探究公司实际控制者之责任,再从微观面分析公司在不同阶段的债权人保护制度,最终尝试归纳出一套具有普遍性的公司债权人保护制度。第一章部分:公司债权人保护的意义与角色定位公司债权人保护的课题长久以来即为人们所关注,其之所以成为债权人保护中一个特殊的议题,乃因公司性质所然。公司法人格独立及股东有限责任为公司制度最重要的特性,因公司的这些特性,使得公司债权人在面对公司时,成为弱势的债权人,其既无法参与公司经营,却必须承担公司风险外部化的结果。于现代社会,公司的发展更超过历史上任何时期,其对社会的影响十分巨大,而与公司关系极为密切的公司债权人,理当受到更多的关注及保护。在探求如何对公司债权人进行保护前,应先理解公司债权人所处的地位,以知其困境,进而谋求保护公司债权人之道。第二章部分:民法或普通法对公司债权人提供契约保护所存在的问题传统的民法或普通法对公司债权人的保护,乃是以契约的形式对公司债权人提供保护,然而公司债权人面对于公司,其往往是处于弱势地位,不仅议约能力可能受限、难以对公司履约进行监控,合约的签订亦无法解决公司风险外部化的问题。故以传统之民事法方式保护公司债权人,存在先天上的弱点无法克服,尚须其它制度补充其不足。第三章部分:公司债权人保护之理论与依据本章针对公司社会责任理论、公司资本制度、及法人格否认理论等诸理论提出探讨。自公司社会责任理论中,可得知公司社会责任为公司责无旁贷的责任,而公司对公司债权人之责任,实为公司社会责任中最基本的一种,我国大陆公司法于第一条及第二条即揭示了这点。自公司资本制度的讨论中,可得知传统上的资本三原则等保护公司债权人的理论,已逐渐被认为无法适切的保护公司债权人,对公司资本制度的改革以及重新认识乃是一重要课题。在法人格否认理论的探索中,本文认为传统上将此理论仅限于追及股东责任是值得商榷的,于今日公司巨形化的情况,公司管理层对公司的控制往往远大于任何股东。公司制度使得控制公司者得以隐藏于公司面纱之后,而法人格否认理论正是要使幕后实际应负责之人得以现形,以负其应负之责。既然公司管理层可能是公司实际掌控者,则使其现形而负责,或亦该含括在法人格否认所适用的范围之内。此看法虽非主流,我国大陆公司法新修法亦未采,但随着公司管理层掌握愈来愈大的权力,则将法人格否认理论适用于其上,应是可考虑的方向。第四部分:公司控制者与公司债权人之保护本章分别对公司管理层、关联公司的母公司以及一人公司之股东等实际控制公司者,探索其情况与责任。在公司管理层方面,两大法系均规定了董事与公司一起共同并连带的对公司董事所为之侵权行为负责的法律结构,此种结构亦应适用于经理人,至于公司发起人,因公司尚未正式成立,故应自负其责。关联公司的母公司以及一人公司的情况,实乃法人格否认理论最适切的运用,藉由公司面纱的揭开,母公司须为其控制行为承担责任,一人公司股东亦然。第五章部分:公司重要阶段之债权人保护本章从公司生命周期观察公司于各个阶段的公司债权人保护情况。自公司成立,而后发生组织变更、发行公司债、减资、分立、合并,直至公司解散清算、破产、和解及重整,从微观面对公司存在的各阶段对公司债权人保护制度做较为细部的了解。透过本章分析,我们明白公司在不同阶段,对公司债权人提供的保护均不相同,其中有相似者亦有相异者,须分别情况考虑之。第六章部分:构建四面向的公司债权人保护制度(代结论) 公司债权人保护制度既多且杂,有无可能追寻出一个普遍适用的制度或系统,以此做为制定公司债权人保护政策或立法的参考?通过对公司债权人保护制度宏观及微观面的分析,本文尝试综合各种制度与措施,构建一个具有普遍适用性的公司债权人保护制度,此章亦是本论文最具独创性之部分。本文最终归纳出四个面向的公司债权人保护制度,或可称为架构公司债权人保护制度的四根支柱,以此四个面向的考虑,对公司债权人施以全面性的保护,此四个面向分别为:预防制度、监督制度、自治制度及究责制度。期待此四个面向架构的公司债权人保护制度,可以做为制定公司债权人保护政策或立法的参考。
[Abstract]:The prevalence of the company system brings economic wealth to the society to a great extent, but it also brings many problems. The company system is based on the two principles of company law personality independence and shareholders' limited liability, and the two principles externalization of the company risk to a considerable degree, and the risk that the company should undertake to the outside of the company. Among the companies outside the company, the most widely involved, the most directly affected by the company creditors. In the company to create huge economic scale, and then enjoy great benefits, people can not help but ask whether the company should do its social responsibility as well?
The discussion about the protection of the creditors of the company has been established from time to time, and has been raised from time to time with the development of the company. It also forms a variety of systems, such as the three principles of corporate capital, the disclosure of company information, the creditors' meeting, the company's bankruptcy, the settlement, the protection system of the reorganization stage, and so on. In this paper, whether to hide a general and universal law, and whether to find a system that is generally applicable to the creditors of the company, and to build a complete system of the protection of the creditors of the company is the subject in this paper.
This paper, starting from the significance of the protection of creditors, puts forward the shortcomings of the protection of the creditors of the company by the traditional law, and then analyses the theory of the creditor protection, explores the responsibility of the actual controllers of the company, and then analyses the creditor protection system at different stages of the company from the microcosmic perspective, and finally sums up a set of universal corporate creditor protection. Protect the system.
Chapter one: the significance and role orientation of corporate creditors protection.
The issue of the protection of the creditors of the company has long been paid attention to. It has become a special issue in the protection of creditors, because of the nature of the company. The personality independence of the company law and the limited liability of shareholders are the most important characteristics of the company system. Because of these characteristics of the company, the company creditors become weak in the face of the company. The potential creditors, which can not participate in the business of the company, must bear the result of the externalization of the company's risk. In modern society, the development of the company is more than any period in history, its influence on the society is great, and the company creditors, which are closely related to the company, are more concerned and protected. Before creditors protect, they should first understand the position of creditors of the company, so as to understand their plight, and then seek to protect their creditors.
The second chapter: problems existing in civil law or common law in providing contractual protection to company creditors.
The protection of the creditors of a company by the traditional civil law or common law is to provide protection to the creditors of the company by contract. However, the creditors of the company are often in a weak position in the face of the company. Not only the ability of the agreement may be limited, but it is difficult to monitor the performance of the company, and the signing of the contract can not solve the externalization of the company's risk. Therefore, it is impossible to overcome the weakness in the traditional civil law and protect the company creditors.
The third chapter: the theory and basis of corporate creditors protection.
This chapter discusses the theory of corporate social responsibility, the corporate capital system, and the theory of legal personality denial. From the corporate social responsibility theory, it can be found that the corporate social responsibility is the responsibility of the company, and the company's responsibility to the company's creditors is the most basic kind of corporate social responsibility, China's continental company law. In the discussion of the company's capital system, the theory of protecting the creditors of the company, such as the traditional capital Sanyuan, has gradually been considered as an important issue for the reform and rerecognition of the company's capital system. The theory of denial of the legal personality is an important issue. In this paper, it is debatable that the traditional theory is limited to the liability of shareholders. In today's case of corporate gigantic, the management of the company is often far greater than any shareholder. The company system allows the control of the company to hide behind the veil of the company, and the legal denial theory is just to make the reality behind the curtain. The person in charge is able to be in shape to bear its responsibility. Since the company management may be the actual control of the company, the company is responsible, or should include the scope applicable to the denial of the legal personality. This view is not the mainstream, the new law of the mainland company law has not been adopted, but as the management of the company is more and more powerful, The application of the theory of disregard of corporate personality should be taken into consideration.
The fourth part: the protection of corporate controllers and corporate creditors.
This chapter explores the situation and responsibility of the company management, the parent company of the affiliated company and the shareholders of the one person. In the management of the company, the two legal systems stipulate the legal structure that the directors and the company are jointly and jointly responsible for the rights of the directors of the company. This structure should also be appropriate. For the manager, the company sponsor, as the company has not been formally established, should be responsible for its own responsibility. The case of the parent company of the affiliated company and the one person company is the most appropriate use of the legal denial theory. By the disclosure of the company's veil, the parent company must take responsibility for its control and the shareholders of one company.
The fifth chapter: creditor protection in the important stage of the company.
This chapter looks at the company's creditor protection from the company's life cycle at all stages of the company. Since the company is established, the company has been formed, and then the company is changing, issuing corporate debt, reducing capital, dividing and merging, until the company dissolves liquidation, bankruptcy, reconciliation and reorganization, and makes a more detail of the company's creditor protection system from the micro face of the company in the various stages of the company. Understanding. Through the analysis of this chapter, we understand that the protection of the company's creditors at different stages of the company is different, and there are similar persons, which must be considered separately.
The sixth chapter: the construction of four sides protection system for creditors.
The protection system of the creditors of the company is not only large and complex, but also it is possible to find a universal system or system in order to make a reference for the protection policy or legislation of the creditors of the company. Through the macro and micro analysis of the protection system of the creditors of the company, this paper tries to synthesize various systems and measures to build a universal applicability. This chapter is also the most original part of this paper. This article concludes four oriented corporate creditor protection systems, or can be called the four pillars of the framework of the creditor protection system of the structure company, and take the four oriented consideration to protect the creditor's creditor in an all-round way. The four faces are respectively: The prevention system, the supervision system, the autonomy system and the accountability system. The four framework oriented corporate creditor protection system can be used as a reference for the formulation of the protection policy or legislation of the company's creditors.

【学位授予单位】：对外经济贸易大学
【学位级别】：博士
【学位授予年份】：2007
【分类号】：D912.29

【引证文献】