试论商业判断规则在我国的适用

发布时间：2018-06-13 11:15

本文选题：商业判断规则 + 董事勤勉义务　；参考：《天津大学》2011年硕士论文

【摘要】：商业判断规则(BusinessJudgmentRule)是美国法院在审理公司法案件过程中形成的一项重要的司法审查标准。法院在审理涉及董事勤勉义务类的案件时,事先假定董事做出决策行为是出于对公司利益最大化的考虑,并且善意地、在对相关信息必要充分知悉的基础上,依照职业义务进行商业决策,同时要求董事在决策时与公司不存在利害关系,以及在整个决策过程中不存在重大过失行为。除非指证董事违反勤勉义务的一方能够举出足够证据推翻前述假设,那么法院将会尊重该决策的合理性,保护董事免于承担相应的法律责任。我国公司法律制度当中对于董事经营过程中的具体义务规定的比较笼统,操作性不强,尤其是在勤勉义务方面,作为审理董事勤勉义务案件中的重要制度并与勤勉义务紧密相关的商业判断规则更是处于完全空白的状态。一方面,本文通过对商业判断规则构成要件的分析,深入比较商业判断规则在美国、英国、澳大利亚、日本等国的理论发展状况和实践应用情况,并联系我国法律制度的特殊性,发现该制度的引入完全符合经济规律自身的要求和公司与股东、董事之间的利益关系的需求,对完善我国公司法律制度,健全公司治理结构,提高诉讼效率,节约社会资源等方面有着积极地作用。另一方面,引入商业判断规则这一法律制度,符合法律的可移植性和公司法的开放性特征,并根据商业判断规则在别国实践的经验和商业判断规则要件的可操作性分析得出该制度在我国的可行性。从商业判断规则在大陆法系国家的实践情况来看,我国对商业判断规则的引入不能一味照搬英美法系国家的做法,而应该采取“渐进式”的引入方式,从较低位阶的立法形式做起,如通过最高人民法院颁布“审判指导意见”的形式。另外,我国要引入商业判断规则,还要明确商业判断规则的具体标准、适用的具体程序,待各项相关制度建立起来后,再逐步将商业判断规则通过成文法的形式确定下来,最终将商业判断规则纳入我国公司法的体系之中。
[Abstract]:Business judgment Rule is an important judicial review standard formed by American courts in the process of handling corporate law cases. In hearing cases involving the diligent duty of directors, the court presupposes that the directors' decision making is based on the consideration of maximizing the interests of the company and, in good faith, on the basis of having full knowledge of the relevant information. In accordance with the professional obligation to make business decisions, directors are required to have no interest in the company and no gross negligence in the whole decision-making process. The court will respect the reasonableness of the decision and protect the director from the corresponding liability unless the party alleging that the director has breached his duty of diligence can adduce sufficient evidence to disprove the above hypothesis. In China's corporate legal system, the specific obligations of directors in the course of management are relatively general and not operational, especially in the area of diligence obligations. As an important system in the hearing of directors' diligent duty cases and closely related to the diligent obligation, the commercial judgment rules are in a completely blank state. On the one hand, through the analysis of the constitutive elements of the commercial judgment rules, this paper makes a deep comparison of the theoretical development and practical application of the commercial judgment rules in the United States, Britain, Australia, Japan and other countries. Considering the particularity of China's legal system, it is found that the introduction of this system conforms to the requirements of the economic law itself and the interest relationship between the company, the shareholders and the directors, so as to perfect the legal system of our country's company and perfect the corporate governance structure. Improve litigation efficiency, save social resources and other aspects have a positive role. On the other hand, the introduction of the rules of commercial judgment accords with the portability of the law and the openness of the company law. According to the practice of commercial judgment rules in other countries and the operational analysis of the elements of commercial judgment rules, the feasibility of this system in China is obtained. Judging from the practice of commercial judgment rules in the countries of continental law system, the introduction of commercial judgment rules in our country should not only follow the practice of common law countries, but also adopt the "gradual" way of introducing commercial judgment rules. From the lower legislative form, such as through the Supreme people's Court issued "trial guidance" form. In addition, our country should introduce commercial judgment rules, clarify the specific standards of commercial judgment rules and the specific procedures to be applied. After the establishment of various relevant systems, we will gradually determine the commercial judgment rules through the form of statutory law. Finally, the rules of commercial judgment are brought into the system of company law of our country.
【学位授予单位】：天津大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91

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