股东派生诉讼制度在我国司法实务中的应用及问题研究

发布时间：2018-10-17 12:47

【摘要】：股东派生诉讼制度是指公司利益受到不法侵害,而公司又怠于通过诉讼追究相关人员责任时,具备法定资格的股东为了公司的利益代公司提起的诉讼。股东派生制度就像一把双刃剑,既要保护股东的合法利益,又要防止股东滥用此项权利。确立此项制度,是我国近年来商事立法的一大进步。然而,股东派生诉讼制度在我国以立法形式正式确立的五年间,由于法律上的架构并不完备,在实际操作层面上审理难度较大且较难调处,如前置程序不够细化,诉讼范围不甚明确,当事人主体资格认定仍有难度,甚至诉讼费用负担过高等等。这些问题的出现使股东派生诉讼制度很难实现《公司法》保护中小股东利益的立法意旨。为准确理解《公司法》及其最新司法解释(包括征求意见稿)的立法精髓,把握相关案件的审判思路,研究解决其中的疑难热点问题。本文首先对股东派生诉讼制度在实践中的应用及反映出的问题进行分析。继之,结合我国的公司法律实务,同时借鉴美国、日本及中国台湾等国家和地区的立法及理论阐述,对我国股东派生诉讼提起的前提条件及诉讼范围进行剖析,力求寻求与我国国情相匹配的平衡体系;文章第三部分分析了股东派生诉讼制度中各方主体的法律地位及确认方法,以增强当事人主体认定的可操作性;第四部分笔者从法律人的角度对此项制度提出了辨证思考,指出股东派生诉讼制度在价值取向上具有两面性,因此,在制度完善上,不仅要在立法上明确保护中小股东弱势利益的意旨,还要在程序启动上具有现实可操作性,而不流于形式。同时,对于公司正常经营也不能武断干预。
[Abstract]:The shareholder derivative litigation system refers to the lawsuit filed by the legally qualified shareholders on behalf of the company when the interests of the company are unlawfully infringed and the company is lazy to investigate the responsibility of the relevant personnel through litigation. The shareholder derivative system is like a double-edged sword, which not only protects the legitimate interests of shareholders, but also prevents shareholders from abusing this right. The establishment of this system is a great progress of commercial legislation in China in recent years. However, in the five years that the shareholder derivative litigation system was formally established in the form of legislation in our country, due to the incomplete legal framework, it is more difficult and difficult to deal with on the practical operation level, such as the pre-procedure is not detailed enough. The scope of litigation is not clear, the party subject qualification is still difficult, even the burden of litigation costs is too high. The emergence of these problems makes it difficult for the shareholder derivative litigation system to realize the legislative intention of protecting the interests of minority shareholders in Company Law. In order to understand the legislative essence of Company Law and its latest judicial interpretation (including the draft of soliciting opinions), to grasp the judicial thinking of relevant cases, and to study and solve the difficult and hot problems. This paper first analyzes the application and problems of shareholder derivative litigation system in practice. Then, combined with the company law practice of our country, and drawing lessons from the legislation and theory of the United States, Japan, Taiwan and other countries and regions, this paper analyzes the preconditions and the scope of the shareholder derivative litigation in China. The third part of the article analyzes the legal status and confirmation methods of the parties in the shareholder derivative litigation system in order to enhance the operability of the subject identification. In the fourth part, the author puts forward dialectical thinking on this system from the angle of legal person, and points out that the shareholder derivative litigation system has two sides in value orientation, therefore, it is perfect in system. It is necessary not only to legislate the intention of protecting the minority shareholders' weak interests, but also to be practical and practical in the process of starting up, but not to be a mere formality. At the same time, for the normal operation of the company can not be arbitrary intervention.
【学位授予单位】：上海交通大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91

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