股东派生诉讼制度的比较研究

发布时间：2018-06-16 00:55

本文选题：股东派生诉讼制度 + 英美法系　；参考：《中央民族大学》2011年硕士论文

【摘要】：股东派生诉讼是公司法上的一个重要的问题。它既关系到对公司小股东利益的保护,又对公司治理结构起着独特的监督作用。股东派生诉讼最早起源于英国Foss v Harbottle一案所确立的规则及其例外规定。我国新《公司法》第一百五十二条明确规定了股东代表诉讼制度。该制度从2005年《公司法》实施以来到现在5年的时间里,并没有得到广泛的应用。这一方面说明了我国股东派生诉讼制度规定存在着诸多不完善的地方,另一方面也体现出其具有广阔的应用空间。鉴于我国股东派生诉讼制度仍处于起步阶段,对于国外比较成熟的相关规定的比较分析及借鉴,对于我国股东派生诉讼制度的完善和发展是具有十分积极的意义的。本文共分五部分。第一部分对我国目前的股东派生诉讼的相关规定进行概括总结和分析。在总结目前立法内容的基础上,对我国股东派生诉讼存在的问题和不足进行简单的概括。从而引出比较研究国外股东派生诉讼制度的必要性。第二部分对英美法系的代表国家英国和美国的股东派生诉讼制度展开研究。在股东派生诉讼制度的始祖英国,从判例法的发展到成文法中对该制度的确立和完善,英国股东派生诉讼制度的发展历程对我国具有十分重要的借鉴意义。股东派生诉讼制度始于英国发展完善于美国。第三部分是对大陆法系的代表国家德国和日本的股东派生诉讼制度进行的比较研究和分析。虽然同属于大陆法系国家,都较早的引入了股东派生诉讼制度,但是两国移植的具体过程以及后期该制度在本国的发展都有所不同。第四部分是从理念、实体及程序的规定上对各个典型国家的股东派生诉讼制度进行横向的比较分析。最后一部分是结合上述所有分析的结果,对我国股东派生诉讼制度提出一些意见和建议。在立法原则上,应该更加明确这一制度的职能,坚持协调好股东权益保护与公司自治这两个理念的平衡关系。在立法和司法的过程中,应当积极鼓励中小股东提起股东派生诉讼,发挥这一制度在保障股东权益和公司治理方面的功能,如对前置程序的细化规定、前置程序豁免规定的具体化明确化、诉讼费用的规定等。
[Abstract]:Shareholder derivative action is an important issue in company law. It not only relates to the protection of the interests of minority shareholders, but also plays a unique role in supervising the corporate governance structure. Shareholder derivative action originated from the rules and exceptions of Foss v Harbottle in England. Article 152 of the new Company Law clearly stipulates the shareholder representative litigation system. The system has not been widely used in five years since the company law was put into effect in 2005. On the one hand, it shows that there are many imperfections in the regulation of shareholder derivative litigation system in China, on the other hand, it has broad application space. In view of the fact that the shareholder derivative litigation system in China is still in its infancy, the comparative analysis and reference to the relatively mature relevant regulations in foreign countries is of great significance to the improvement and development of the shareholder derivative litigation system in our country. This paper is divided into five parts. The first part summarizes and analyzes the relevant provisions of shareholder derivative litigation in China. On the basis of summing up the current legislative content, the problems and shortcomings of shareholder derivative litigation in China are briefly summarized. Therefore, the necessity of comparative study on the derivative litigation system of foreign shareholders is drawn. In the second part, the author studies the shareholder derivative litigation system in the United Kingdom and the United States, which is the representative country of Anglo-American law system. From the development of case law to the establishment and perfection of the shareholder derivative litigation system in Britain, the development of the shareholder derivative litigation system in Britain is of great significance to our country. The system of shareholder derivative action began in England and developed in America. The third part is a comparative study and analysis of the shareholder derivative litigation system in Germany and Japan, the representative countries of the continental law system. Although both countries belong to the continental law system, they have introduced the shareholder derivative litigation system earlier, but the specific process of transplantation and the later development of the system in their own countries are different between the two countries. The fourth part is the horizontal comparative analysis of shareholder derivative litigation system in each typical country from the point of view of concept, entity and procedure. The last part puts forward some opinions and suggestions on the system of shareholder derivative action based on all the above analysis results. In the legislative principle, the function of this system should be more clearly defined, and the balance between the two concepts of shareholder rights and interests protection and corporate autonomy should be well coordinated. In the process of legislation and judicature, minority shareholders should be actively encouraged to file shareholder derivative actions, giving play to the functions of this system in protecting shareholders' rights and interests and corporate governance, such as the detailed provisions on the pre-procedure, The stipulation of the exemption of the pre-procedure and the stipulation of the cost of litigation, etc.
【学位授予单位】：中央民族大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91

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