董事关联交易效力要件研究

发布时间：2018-08-01 09:57

【摘要】：关联交易中,交易行为的效力规则是实现关联交易当事人权益的重要规则之一,甚至可以说,关联交易法律领域中的首要问题就在于建立关联交易效力的适当判断标准。遗憾的是,我国公司法上并没有该制度的构建。本文拟通过中外比较研究,结合我国公司法存在的问题,提出修改建议,以期尽早建立关联交易效力要件体系。本文正文共分为四部分,主要内容为: 第一部分是研究对象的界定。主要分析了关联交易的概念及特征;在区分董事关联交易和控制股东关联交易的基础上,将主体限定在董事范围上;最后将研究对象缩小至关联交易的效力之上,以明确本文对关联交易的研究领域。第二部分从合同法的角度分析关联交易的效力适用。关联交易虽发生在公司法领域,但其本质仍属合同,故有适用合同效力的可能性。笔者具体分析了合同无效、可撤销情形下效力的适用。第三部分是本文的重点。笔者有针对性的节选英、美、日、法等域外国家对关联交易强制披露、批准、实质公平效力要件的规定,引出我国公司法关联交易的现状,并进一步揭露出我国公司法在规制关联交易效力问题上存在的诸多不足。第四部分针对我国关联交易效力要件存在的不足,从立法和司法两个层面提出建议。在立法上,应确立披露、实质公平、无利害关系董事会批准效力要件的法律地位;在司法上,应积极发挥司法能动性,补充“标准性”规范规制关联交易的不足。结语对本文所述内容进行了总结,阐述了研究董事关联交易效力要件的意义和价值,并提出了有待继续探讨和研究的问题。
[Abstract]:In the related party transaction, the validity rule of transaction behavior is one of the important rules to realize the rights and interests of the party concerned in the related party transaction. Even, the primary problem in the related party transaction law field is to establish the appropriate criterion of the validity of the related party transaction. Unfortunately, there is no such system in our company law. Based on the comparative study between China and foreign countries and the problems existing in our company law, this paper puts forward some suggestions to set up the effective elements system of related party transactions as soon as possible. This text is divided into four parts, the main content is: the first part is the definition of the object of study. This paper mainly analyzes the concept and characteristics of related party transaction; on the basis of distinguishing director related party transaction from controlling shareholder related party transaction, it limits the subject to director scope; finally, it narrows the object of study to the effect of related party transaction. In order to clarify the research area of related party transactions in this paper. The second part analyzes the validity of related party transactions from the angle of contract law. Although the related party transaction occurs in the field of company law, its essence is still a contract, so it is possible to apply the contract effect. The author analyzes the application of the validity under the circumstances of invalidity and revocability of the contract. The third part is the focus of this paper. The author extracts the provisions of compulsory disclosure, approval and substantial fairness of related party transactions from foreign countries, such as Britain, the United States, Japan, and France, which lead to the present situation of related party transactions in China's Company Law. And further reveals that our company law has many shortcomings in regulating the effectiveness of related party transactions. In the fourth part, the author puts forward some suggestions from the aspects of legislation and judicature in view of the deficiency of the effective elements of related party transactions in our country. In legislation, it is necessary to establish the legal status of disclosure, substantive fairness, and approval by the board of directors without interest. In the judicial field, the judicial initiative should be actively brought into play to supplement the deficiency of "standard" regulation of related party transactions. The conclusion summarizes the contents of this paper, expounds the significance and value of the research on the effective elements of the director's related transactions, and puts forward some problems to be further discussed and studied.
【学位授予单位】：上海交通大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91

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