技术入股型公司治理研究
发布时间：2018-08-28 14:48
【摘要】： 在知识经济时代,随着技术数量的激增,公司法的日益完善以及更多当事人倾向通过技术入股实施技术成果产业化,技术入股型公司大量涌现,并成为知识经济的一种象征。但是目前的公司治理理论建立在资金为核心生产要素的公司基础之上,没有反映技术股权的特殊内容,没有反映技术股权与经营管理权关系,也没有反映对技术入股股东及入股技术的监督检查情况,因此这必然呼唤建立有特色的技术入股型公司治理理论。 在法治时代,管理的原则和要素越来越嵌入在法律中,个人和组织行为越来越受法律保障与制约;另外,法律应该反映实践效果良好的公司治理。同时,实践中的技术入股型公司治理问题也日益凸显。因此以法律的视野研究技术入股型公司治理,为我国技术入股型公司治理立法献计献策,并在法律框架内寻求技术入股型公司管理智慧,为技术入股型公司治理实践提供帮助,这更加符合法治时代要求。 本文在系统梳理和分析学术界对技术入股型公司治理问题研究的主要成果、不足和空白的基础上,运用比较制度学、法解释学、系统论、绿色和谐管理和社会学的研究方法,围绕技术入股型公司治理的构成要素和制度设计进行了创新研究。本文主要的研究内容与成果如下: 1.技术入股型公司的股权关系。现有文献没有系统研究技术股权。本文通过技术入股型公司股权的形成和结构的研究,认为技术股权表征技术入股型公司股权。技术入股型公司的股权结构由物质股权和技术股权构成,它们结合的法律基础在于人合。技术入股型公司生产经营方式为入股技术密集型,技术推动而不是资金推动成为该公司最重要的生产动力,技术也是该公司最重要的资本形式,因此技术股权比物质股权更表征了技术入股型公司股权特点。技术股权具有相对稳定性。技术股权法律关系有三要素,其主体为技术入股者,其客体为入股技术,其内容为技术入股股东享有的权利与义务。这为研究技术入股型公司的人合管理、入股技术管理和当事人权义利责管理提供了法律框架。 2.技术入股型公司的经营管理组织。现有文献认为“技术入股股东的股权与经营管理权相分离”。本文通过22家技术入股型公司的相关数据的实证研究和理论分析,认为技术入股股东的股权与经营管理权通常合一。这是由下列因素决定的:技术入股型公司的人合性、风险资本进入技术入股型公司、技术股权对经营管理权的“股权控制”和“技术控制”双因素、技术入股股东的发起人资格与技术入股股东适应管理信息化的品性。这为技术入股型公司经营组织的制度设计提供了理论依据。 3.技术入股型公司的监督检查。现有文献主要指向公司监事会制度,并且没有结合技术入股型公司实际情况。本文通过技术入股型公司的监督检查组织与监督检查内容的研究,认为技术入股型公司的监督检查重点为“入股技术”和“技术入股股东”。技术入股型公司的监督检查组织不仅包括监事会,还包括风险资本家和检查人。入股技术价值的不易确定性,入股技术合同的复杂性,入股技术信息不对称性以及技术入股股东的股权与经营管理权通常合一等因素决定了技术入股型公司的监督检查重点为“入股技术”和“技术入股股东”,前者主要包括入股技术构成要件的监督检查和入股技术评估的监督检查,后者包括监督检查技术入股股东信托责任和特殊义务的履行以及技术入股股东特殊权利的行使。这为技术入股型公司提供了监督检查的管理主体和管理重点。 4.技术入股型公司治理的管理制度设计。现有文献没有具体的技术入股型公司管理制度。本部分基于上述技术入股型公司治理的构成要素的研究,认为技术入股型公司法律特征决定其有别于普通公司的管理制度设计。技术入股型公司的股权关系制度设计包括人合管理制度、入股技术的管理制度和权义利责管理制度,其中人合管理包含信任要素、合作要素和分享要素;在入股技术的管理中,技术入股型公司首先应该消化吸收入股技术,并在此基础上实施技术创新,最终建立技术入股型公司技术池;技术入股型公司管理应该遵循当事人权义利责平衡原则。在技术入股型公司的经营组织制度设计中,技术入股型公司应该根据自身特点在经营管理中设置技术管理者职位;技术入股股东行使经营管理权利大于弊。在技术入股型公司的监督检查制度设计中,技术入股型公司监事会成员可以由技术入股股东的代表、其他股东的代表和公司职工代表构成;技术入股型公司章程可以赋予监事会对该公司特定交易行为的事先批准权;确认“股东出资填补义务”情形并委任检查人需要遵循谨慎原则。这为技术入股型公司的法律制订和管理实践提供了参考。
[Abstract]:In the era of knowledge-based economy, with the rapid increase of technology, the perfection of company law and the tendency of more parties to industrialize technological achievements through technology shareholding, a large number of technology shareholding companies have emerged and become a symbol of the knowledge-based economy. However, the current corporate governance theory is based on the company with capital as the core factor of production. On this basis, it does not reflect the special content of technology equity, the relationship between technology equity and management power, nor the supervision and inspection of technology shareholders and technology.
In the era of rule of law, the principles and elements of management are more and more embedded in the law. Individual and organizational behavior are more and more subject to legal protection and restriction. In addition, the law should reflect the corporate governance with good practice effect. At the same time, the problem of technology-based corporate governance in practice is increasingly prominent. Corporate governance provides suggestions for the legislation of technology shareholding corporate governance in China, seeks the management wisdom of technology shareholding companies within the legal framework, and helps the practice of technology shareholding corporate governance, which is more in line with the requirements of the era of rule of law.
On the basis of systematically combing and analyzing the main achievements, shortcomings and blanks of the research on technology-based corporate governance in academic circles, this paper makes innovative research on the constituent elements and system design of technology-based corporate governance by using the research methods of comparative institutionalism, legal hermeneutics, system theory, green harmonious management and sociology. The main contents and achievements of this paper are as follows:
1. Equity relationship of technology-based companies. There is no systematic study on technology equity in the existing literature. This paper studies the formation and structure of technology equity in technology-based companies, and holds that technology equity characterizes the equity of technology-based companies. Technological equity is the most important motive force of production, and technology is also the most important capital form of the company. Therefore, technological equity is more representative of the characteristics of technology equity than material equity. There are three elements in the legal relationship of technology equity, the subject of which is the technology shareholder, the object of which is the technology shareholder, and the content of which is the rights and obligations of the technology shareholder.
2. Operation and management organization of Technology-owned companies. The existing literature holds that "technology-owned shareholders'equity and management rights are separated". Based on the empirical study and theoretical analysis of the data of 22 Technology-owned companies, this paper holds that Technology-owned shareholders' equity and management rights are usually unified. This is determined by the following factors The two factors of technology equity are equity control and technology control. The originator qualification of technology equity shareholders and technology equity shareholders are adapted to the characteristics of management informationization. It provides a theoretical basis.
3. Supervision and Inspection of Technological Shareholding Companies. The existing literature mainly refers to the system of the company's supervisory board, and does not combine with the actual situation of Technological Shareholding Companies. The supervision and inspection organization of the technology shareholding company includes not only the board of supervisors, but also the venture capitalists and inspectors. The supervision and inspection of the technical shareholding companies are mainly focused on the "technology" and "technology shareholders", the former mainly includes the supervision and inspection of the constituent elements of the technology and the evaluation of the technology, the latter includes the supervision and inspection of the technical shareholders'fiduciary duties and special obligations and the special rights of the technical shareholders. The purpose of this article is to provide supervision and inspection management subjects and management priorities for technology stock companies.
4. Design of the management system of the technology shareholding company. There is no specific management system of the technology shareholding company in the existing literature. Based on the study of the constituent elements of the technology shareholding company, this part holds that the legal characteristics of the technology shareholding company determine its management system design different from the ordinary company. The design of the equity relationship system includes the joint-ownership management system, the management system of the shareholding technology and the management system of the rights and responsibilities, in which the joint-ownership management includes the trust elements, the cooperation elements and the sharing elements; in the management of the shareholding technology, the technological shareholding company should first digest and absorb the technology, and on this basis, implement technological innovation. In the design of the operation and organization system of the technology shareholding company, the technology shareholding company should set up the position of technology manager according to its own characteristics; the technology shareholders should exercise the right of management. The advantages outweigh the disadvantages. In the design of the supervision and inspection system of the technical shareholding company, the members of the board of supervisors of the technical shareholding company can be composed of the representatives of the technical shareholders, the representatives of other shareholders and the employees of the company. The principle of prudence should be followed when the inspector is appointed under the situation of "East Capital Payment Obligation".
【学位授予单位】：合肥工业大学
【学位级别】：博士
【学位授予年份】：2010
【分类号】：F276.6;D922.291.91
本文编号：2209704
[Abstract]:In the era of knowledge-based economy, with the rapid increase of technology, the perfection of company law and the tendency of more parties to industrialize technological achievements through technology shareholding, a large number of technology shareholding companies have emerged and become a symbol of the knowledge-based economy. However, the current corporate governance theory is based on the company with capital as the core factor of production. On this basis, it does not reflect the special content of technology equity, the relationship between technology equity and management power, nor the supervision and inspection of technology shareholders and technology.
In the era of rule of law, the principles and elements of management are more and more embedded in the law. Individual and organizational behavior are more and more subject to legal protection and restriction. In addition, the law should reflect the corporate governance with good practice effect. At the same time, the problem of technology-based corporate governance in practice is increasingly prominent. Corporate governance provides suggestions for the legislation of technology shareholding corporate governance in China, seeks the management wisdom of technology shareholding companies within the legal framework, and helps the practice of technology shareholding corporate governance, which is more in line with the requirements of the era of rule of law.
On the basis of systematically combing and analyzing the main achievements, shortcomings and blanks of the research on technology-based corporate governance in academic circles, this paper makes innovative research on the constituent elements and system design of technology-based corporate governance by using the research methods of comparative institutionalism, legal hermeneutics, system theory, green harmonious management and sociology. The main contents and achievements of this paper are as follows:
1. Equity relationship of technology-based companies. There is no systematic study on technology equity in the existing literature. This paper studies the formation and structure of technology equity in technology-based companies, and holds that technology equity characterizes the equity of technology-based companies. Technological equity is the most important motive force of production, and technology is also the most important capital form of the company. Therefore, technological equity is more representative of the characteristics of technology equity than material equity. There are three elements in the legal relationship of technology equity, the subject of which is the technology shareholder, the object of which is the technology shareholder, and the content of which is the rights and obligations of the technology shareholder.
2. Operation and management organization of Technology-owned companies. The existing literature holds that "technology-owned shareholders'equity and management rights are separated". Based on the empirical study and theoretical analysis of the data of 22 Technology-owned companies, this paper holds that Technology-owned shareholders' equity and management rights are usually unified. This is determined by the following factors The two factors of technology equity are equity control and technology control. The originator qualification of technology equity shareholders and technology equity shareholders are adapted to the characteristics of management informationization. It provides a theoretical basis.
3. Supervision and Inspection of Technological Shareholding Companies. The existing literature mainly refers to the system of the company's supervisory board, and does not combine with the actual situation of Technological Shareholding Companies. The supervision and inspection organization of the technology shareholding company includes not only the board of supervisors, but also the venture capitalists and inspectors. The supervision and inspection of the technical shareholding companies are mainly focused on the "technology" and "technology shareholders", the former mainly includes the supervision and inspection of the constituent elements of the technology and the evaluation of the technology, the latter includes the supervision and inspection of the technical shareholders'fiduciary duties and special obligations and the special rights of the technical shareholders. The purpose of this article is to provide supervision and inspection management subjects and management priorities for technology stock companies.
4. Design of the management system of the technology shareholding company. There is no specific management system of the technology shareholding company in the existing literature. Based on the study of the constituent elements of the technology shareholding company, this part holds that the legal characteristics of the technology shareholding company determine its management system design different from the ordinary company. The design of the equity relationship system includes the joint-ownership management system, the management system of the shareholding technology and the management system of the rights and responsibilities, in which the joint-ownership management includes the trust elements, the cooperation elements and the sharing elements; in the management of the shareholding technology, the technological shareholding company should first digest and absorb the technology, and on this basis, implement technological innovation. In the design of the operation and organization system of the technology shareholding company, the technology shareholding company should set up the position of technology manager according to its own characteristics; the technology shareholders should exercise the right of management. The advantages outweigh the disadvantages. In the design of the supervision and inspection system of the technical shareholding company, the members of the board of supervisors of the technical shareholding company can be composed of the representatives of the technical shareholders, the representatives of other shareholders and the employees of the company. The principle of prudence should be followed when the inspector is appointed under the situation of "East Capital Payment Obligation".
【学位授予单位】：合肥工业大学
【学位级别】：博士
【学位授予年份】：2010
【分类号】：F276.6;D922.291.91
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