深石原则在中国公司破产中的适用研究

发布时间：2018-05-21 16:27

本文选题：深石原则 + 控制公司　；参考：《中国政法大学》2010年硕士论文

【摘要】： 近年来,随着规模经济效益的突显,我国的企业集团化发展十分迅速。随之而来的是市场经济主体中大量关联企业的出现。这些关联企业之间通过资本参与、人事安排或者财产的持有使用等纽带建立了紧密联系。他们之间的债权债务往来使得关联企业的外部债权人和社会公众承受了更大的经济风险。尤其是在从属企业破产时,按照我国现行相关法律规定,对其拥有巨额债权的控制企业与其他债权人平等受偿,这对外部债权人来讲,可能是有失公平的。为解决这一问题,我们试图引入最早形成于美国公司破产案例中的“深石原则”,研究其在中国的适用性,由于作者能力及论文篇幅有限,本文只研究“深石原则”在中国公司破产案件中的适用。本文通过比较研究,即研究英美法系和大陆法系关于关联企业的规范与我国现行相关法律对于关联企业的规范,来分析我国对关联企业规范的不足和缺陷,又通过对司法实践中相关案例的分析研究,来阐述在我国公司破产案件中引入“深石原则”的重要意义。本文首先追溯了“深石原则”的形成及发展过程。“深石原则”最早是在美国以判例的形式确定下来的,后来又经过一系列判例的补充和发展,使得“深石原则”的内涵不断扩充和丰富。在总结一系列法院案例判决的基础上,“深石原则”最终以成文法的形式在美国《破产法》中确定下来。接着通过分析国际规范关联企业的立法、我国相关法律对关联企业的规范以及关于从属公司破产时控制公司债权的处理案例,来揭示“深石原则”在对关联企业的各方利益进行协调方面的重要法律价值。本文接着重点研究了该原则在我国适用应注意的几个相关问题,并试图得出分析结论。然后作者试图在总结以往研究成果的基础上,构建“深石原则”在我国适用的法律规则。第一,先是确定了“深石原则”在我国适用的理论渊源,即民法上的禁止权力滥用原则和公司法上的受信义务。第二,具体规则的构建,包括了“深石原则”与公司法、破产法、合同法等相关法律的融合。在完成了立法上对“深石原则”规则构建的研究之后,本文最后对“深石原则”在司法中的适用应注意的两个问题又作了初步的讨论。
[Abstract]:In recent years, with the highlight of scale economic benefits, the development of enterprise collectivization in China is very rapid. What follows is the appearance of a large number of affiliated enterprises in the main body of market economy. These affiliated enterprises establish close ties through such ties as capital participation, personnel arrangement or possession and use of property. The debt exchange between them causes the external creditors and the public to bear more economic risks. Especially in the bankruptcy of subordinate enterprises, according to the current relevant laws of our country, the controlling enterprises with huge amounts of creditor's rights are equally compensated with other creditors, which may be unfair to the external creditors. In order to solve this problem, we try to introduce the "Deep Stone principle", which was first formed in the bankruptcy cases of American companies, to study its applicability in China, because of the author's ability and the limited length of the thesis. This paper only studies the application of the "Deep Stone principle" in the bankruptcy cases of Chinese companies. Through the comparative study, that is, the study of the norms of the Anglo-American law system and the continental law system on affiliated enterprises and the relevant laws of our country regarding the associated enterprises, this paper analyzes the deficiencies and defects of the related enterprise norms in our country. Through the analysis and study of relevant cases in judicial practice, this paper expounds the significance of introducing the "deep stone principle" in our country's corporate bankruptcy cases. This paper first traces the formation and development of the Deep Stone principle. The "deep stone principle" was first determined in the form of precedent in the United States, and then was supplemented and developed by a series of precedents, which made the connotation of the "deep stone principle" expand and enrich. On the basis of summing up a series of court cases, the "Deep Stone principle" was finally established in the American bankruptcy Law in the form of statute law. Then through the analysis of the international legislation of regulating affiliated enterprises, the relevant laws of our country regulate the affiliated enterprises and the cases of controlling the creditor's rights of the affiliated companies when the subordinate company goes bankrupt. To reveal the important legal value of "deep stone principle" in coordinating the interests of affiliated enterprises. This paper then focuses on several relevant problems which should be paid attention to in the application of this principle in China, and tries to draw an analytical conclusion. Then the author tries to construct the legal rules of "deep stone principle" in our country on the basis of summarizing the previous research results. Firstly, the theoretical origin of the application of the "Deep Stone principle" in our country is determined, that is, the principle of prohibiting abuse of power in civil law and the fiduciary obligation in the Company Law. Second, the construction of specific rules, including the "deep stone principle" and the company law, bankruptcy law, contract law and other related laws. After completing the legislative research on the construction of the rules of the "deep stone principle", this paper finally makes a preliminary discussion on the application of the "deep stone principle" in the administration of justice.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.92

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