中小股东权益保护的法理分析与制度设计探讨

发布时间：2018-08-18 08:47

【摘要】：公司是社会化大生产的产物,自从公司这种组织形式诞生以来,为世界各国的经济发展提供了重要的制度保障。控制股东拥有着与生俱来的强势地位,所以少数股东的利益总是暴露在控制股东的强权之下,随时有可能受到控制股东根据自身的经济利益所作出的决策以及其它不正当交易的侵害。控制股东为了追求自身利益的最大化往往会置公司利益和广大中小股东的利益于不顾,使广大中小股东深受其害,影响了股份有限公司的健康发展。因此,如何保护股份有限公司中小股东的权益就成为各国学者广泛关注的问题。中小股东权益的保护,对提升中小股东的投资信心,起着重要的作用,也直接关系到我国资本市场能否稳定和可持续发展的问题,从而对研究中小股东权益保护具有现实意义。中小股东权益保护问题,论者实多,却一般仅囿于具体制度保护措施的完善与提出,没有分析应受保护的更深层原因,导致在论述过程中或时有漏洞,或以偏概全,或矫枉过正,故本文从法理学角度探讨中小股东权益保护问题具有理论价值。通过考察国外有关理论及实践经验,结合实际国情,从法理学角度对我国中小股东权益进行研究,提出了我国中小股东权益保护的一系列立法建议。文章总的分为三个大部分第一章我国中小股东权益受侵害的现状分析。本章通过对我国目前中小股东权益受侵害的现状考察,得出我国中小股东权益受到的侵害主要来自于公司的大股东和公司管理层,造成这种现状的原因主要是公司机关制度不完善,缺乏相应的内部制约机制,对大股东及公司管理层的义务责任没有明确的法律规定,造成了资本多数决的滥用和对中小股东的侵害。另外,中小股东的诉讼机制不畅通,尤其是没有建立股东派生诉讼机制,使中小股东的权利受侵害后,得不到有效的司法救济。第二章国外中小股东法律保护制度分析。通过对两大法系中小股东权保护的历史演变过程的考察,做出了一定的评价并归纳出了中小股东权保护的发展趋势。第三章归纳出中小股东权的具体内容和对其进行保护的必要性,并试图从理论上找到保护的依据。第四章我国中小股东权益保护的立法完善。本文从公司机关制度完善及建立股东派生诉讼制度两个大的方面进行阐述,具体从股东大会制度、董事会制度、监事会制度方面通过对外国经验的借鉴,提出了在我国的具体改进措施,以期建立起良好的公司内部运行机制,达到预防侵害的目的。针对我国中小股东诉讼机制不健全问题,通过借鉴国外经验,提出建立我国的中小股东派生诉讼制度,具体从诉讼主体、诉讼当事人的法律地位、诉讼的前提条件、诉讼股东的权利和责任方面进行了阐述,期望在对中小股东的侵害已成事实的情况下,拓宽中小股东求助司法救济的法律途径。
[Abstract]:The company is the product of socialized mass production. Since the birth of this organization form, it has provided important system guarantee for the economic development of countries all over the world. Controlling shareholders have an inherent strong position, so the interests of minority shareholders are always exposed to the power of controlling shareholders. At any time, they are vulnerable to decisions made by controlling shareholders on their own economic interests and other improper transactions. In order to maximize their own interests, controlling shareholders often ignore the interests of the company and the interests of the majority of minority shareholders, so that the majority of minority shareholders suffer a lot of harm, which affects the healthy development of joint stock limited companies. Therefore, how to protect the rights and interests of minority shareholders of limited stock companies has become a widespread concern of scholars all over the world. The protection of minority shareholders' rights and interests plays an important role in promoting the investment confidence of minority shareholders, and it is also directly related to the stability and sustainable development of our capital market, so it is of practical significance to study the protection of minority shareholders' rights and interests. There are many opinions on the protection of the rights and interests of minority shareholders, but generally it is limited to the perfection and proposal of specific system protection measures, and it does not analyze the deeper reasons which should be protected, resulting in loopholes or partial generalizations in the process of discussion. Therefore, it is of theoretical value to discuss the protection of minority shareholders' rights and interests from the perspective of jurisprudence. This paper studies the rights and interests of minority shareholders in China from the point of view of jurisprudence, and puts forward a series of legislative suggestions on the protection of the rights and interests of minority shareholders in our country by investigating the relevant theories and practical experiences of foreign countries and combining with the actual national conditions. The article is divided into three major parts: chapter one analyzes the current situation of the infringement of minority shareholders' rights and interests in China. By investigating the current situation of the infringement of minority shareholders' rights and interests in China, this chapter concludes that the infringement of minority shareholders' rights and interests mainly comes from the majority shareholders and the management of the company. The main reasons for the present situation are the imperfect system of the company's organs, the lack of corresponding internal restriction mechanisms, and the lack of clear legal provisions on the obligations and responsibilities of the major shareholders and the management of the company. The abuse of capital majority decision and the infringement of minority shareholders. In addition, the litigation mechanism of minority shareholders is not smooth, especially the shareholder derivative litigation mechanism has not been established, so that the rights of minority shareholders are infringed, there is no effective judicial remedy. The second chapter analyzes the legal protection system of foreign minority shareholders. Based on the investigation of the historical evolution of the protection of minority shareholders' rights in the two major legal systems, this paper makes a certain evaluation and concludes the development trend of the protection of minority shareholders' rights. The third chapter sums up the concrete contents of minority shareholders' rights and the necessity of protecting them, and tries to find the basis of protection theoretically. The fourth chapter is the legislative perfection of the protection of minority shareholders' rights and interests in China. This paper expounds from two aspects of perfecting the system of the company's organ and establishing the system of shareholder derivative litigation, specifically from the aspects of the system of shareholders' general meeting, the system of board of directors, the system of board of supervisors, and the reference to foreign experience. The concrete improvement measures in our country are put forward in order to set up good internal operation mechanism of the company and achieve the purpose of preventing infringement. In view of the problem of imperfect litigation mechanism of minority shareholders in our country, this paper puts forward the establishment of derivative litigation system of minority shareholders in our country by using foreign experience for reference, specifically from the subject of litigation, the legal status of litigant parties, and the prerequisite of litigation. This paper expounds the rights and responsibilities of the litigant shareholders and expects to widen the legal ways for the minority shareholders to resort to judicial remedies under the condition that the infringement on the minority shareholders has become a reality.
【学位授予单位】：华东理工大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91

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