论我国股东知情权制度的完善

发布时间：2018-11-22 13:55

【摘要】：在经济建设为核心的国内外大背景下,公司,当仁不让的作为市场经济中的主角儿存在,公司的顺利运营与有序管理是市场经济蓬勃发展的基石。股东知情权是股东行使其他权利的基础,所以股东知情权制度的完善对保护股东权利、激发股东投资热情都有不可估量之影响。所以说,对股东知情权制度相关问题进行研究的意义显得尤为重大。在以《证券法》、《公司法》为基石的股东知情权法律体系中,就整体状况而言,我国现行法对股东知情权的保护情况是不容乐观的。股东,尤其是中小股东,他们对公司事务的知情权经常受到威胁,而且,由于实体法尚不完善、股东知情权救济制度等相关诉讼程序又存在诸多欠缺,许多股东在知情权遭受侵害的时候不愿意去寻求司法救济或者即便诉诸法律也得不到相应的保护,这是造成公司侵害股东知情权案件频繁发生的重要原因之一。正是在这样的背景下,我国初次制定《公司法》时就提到过股东知情权保护的概念,又于2005年之后逐步对原有的《公司法》和《证券法》进行不断修改和解释,股东知情权制度得以逐渐完善和发展。现行《公司法》及配套司法解释较之于1993年版的《公司法》而言在内容上进行了一系列调整,比如:在股东知情权的外延方面有所扩充、应当享有股东知情权的主体范围进一步广泛化、权利行使的外部条件得到进一步明确、对有限责任公司股东和股份有限公司股东所享有的权利在内容上加以区别对待等。这些与原来的《公司法》相比都是进步之处,即便如此,欠缺与不足也依然明显,诸如股东知情权所包含的具体内容仍不全面、股东知情权的主体资格仍不具体、检查人选任制度缺失等。由于现行法律在股东知情权的保护方面尚不完善,使得对股东知情权进行分析以及研究如何完善股东知情权制度等工作显得尤为迫在眉睫,故作此篇,以期为进一步完善相关法律制度献计献策。本篇论文的主体内容分为四大部分。第一部分介绍了股东知情权的源起和内涵之后又对股东知情权的子权利分别作了扩充性介绍,对股东查阅权、股东质询权、检查人选任请求权、股东获取公司告知信息的权利等进行了详细分析,进一步论述我国股东知情权制度的性质及特征,为后文阐述我国相关规定中存在的问题做出了前提性铺垫。第二部分主要阐述在大的时代背景下我国股东知情权保护制度的现状以及局限性,引出现行法律在股东查阅权、股东质询权、检查人选任权等相关方面存在的欠缺及问题。这些问题主要表现为我国现行法对股东查阅权的外延、股东质询权的主体资格限制、知情权行使范围、以及权利被侵害之后的救济程序等要素上,这些方面的不足使得同案不能同判,严重影响司法权威;检查人选任制度的缺失导致股东的正当诉求无法可依,故而,司法实务工作者对检查人选任制度的引入问题呼声甚高,为后文提出针对性的完善措施找出症结所在,以便对症下药。第三部分是与股东知情权保护法律制度相关的域外法律法规的借鉴问题,通过对英美法系和大陆法系国家相关法律制度的研究,探索我国股东知情权保护制度现存的不足之处,对后文的完善与建议部分起到借鉴与启示的作用。第四部分则是对股东知情权制度仍然存在的问题提出可行性建议。这一部分是本篇论文浓墨重彩之处,是整篇论文最重要的部分。在本部分里,笔者将完善建议划分为实体法和程序法两个方面,实体层面的完善主要从股东知情权的范围、“正当目的”的认定以及股东知情权保护与公司商业秘密保护的协调等方面来具体构建,程序层面的完善主要从当事人各方举证责任分配、诉讼程序、期限、保全、裁判与执行等方面来提出可行性建议。
[Abstract]:Under the background of economic construction as the core, the company, as the main character of the market economy, the smooth operation and orderly management of the company is the cornerstone of the vigorous development of the market economy. The shareholder's right to know is the basis of the shareholder's exercise of other rights, so the perfection of the shareholder's right to know system has an immeasurable effect on the protection of the rights of the shareholders and the enthusiasm of the shareholders. Therefore, the significance of the research on the relevant problems of the shareholder's right to know system is especially important. In the legal system of the right to know of the shareholders which are the cornerstone of the Securities Law> and the Company Law, the current law of our country is not optimistic about the protection of the shareholders' right to know. The shareholders, especially the small and medium-sized shareholders, are often threatened with the right to know the company's affairs. Many of the shareholders are not willing to seek the judicial remedy at the time of the invasion of the right to know, or even if the access to the law is not protected, which is one of the important reasons for the frequent occurrence of the company's right to know the right to know. It is in this background that the concept of shareholder's right to know protection is mentioned in the initial development of the Company Law in our country, and after 2005, the existing Company Law and the Securities Law are gradually amended and explained, and the shareholder's right to know system is gradually perfected and developed. The present and the corresponding judicial interpretation have been adjusted in the content of the Company Law in 1993, such as the extension of the extension of the shareholder's right to know, and the scope of the subject's right to know should be further broadened. The external conditions of the exercise of the right are further clarified, and the rights enjoyed by the shareholders of the limited liability company and the shareholders of the limited liability company shall be treated differently. Compared with the former Company Law, these are the places of progress. Even so, the lack and insufficiency are still obvious, such as the specific content of the shareholder's right to know is still not comprehensive, the main qualification of the shareholder's right to know is still not specific, the examination of the absence of the system of the selection of the person, etc. Because the existing law is not perfect in the protection of the right to know of the shareholders, it is especially urgent to analyze the right to know the shareholders and to study how to perfect the shareholder's right to know, so as to make a contribution to the further improvement of the relevant legal system. The main contents of this thesis are divided into four parts. The first part introduces the origin and connotation of the shareholder's right to know, and then introduces the sub-right of the shareholder's right to know the right to know the right of access to the shareholder, the right of the shareholder's inquiry, the right of the inspection of the person's choice of choice, the right of the shareholder to obtain the information, etc., This paper further discusses the nature and characteristics of the system of the right to know in our country, and provides the basis for the following text to explain the existing problems in the relevant regulations of our country. The second part mainly expounds the present situation and limitation of the protection system of the right to know of the shareholders in the background of the big background, and draws out the defects and problems existing in the current law in the aspects of the shareholder's access to the right of access, the right to inquiry of the shareholders, the examination of the right of the person to be elected, and so on. These problems are mainly manifested as the extension of the current law on the right of access to the shareholder, the limitation of the main qualification of the shareholder's quality inquiry, the scope of the right to know and the relief program after the infringement. The lack of the examination of the system of the person's selection leads to the failure of the legitimate demands of the shareholders. Therefore, the judicial practice worker is very high in the introduction of the examination of the system of the selection of the human being, so as to find out the crux of the problem, so as to take the medicine. The third part is the reference of the extraterritorial laws and regulations related to the legal system of the shareholder's right to know, through the study of the relevant legal system of the common law system and the continental law system, to explore the existing defects of the system of the right to know and protect the shareholder's right to know, The improvement of the post-text and the suggested part play the role of reference and inspiration. The fourth part is to make a feasible suggestion to the problems that the shareholder's right to know system still exists. This part is the most important part of the whole thesis. In this part, the author divides the perfect suggestion into the two aspects of the substantive law and the procedural law, and the perfection of the entity level is mainly constructed from the scope of the shareholder's right to know, the determination of the legitimate purpose and the coordination of the protection of the shareholder's right to know and the protection of the company's trade secret. The perfection of the program level is mainly based on the parties' burden of proof distribution, the procedure of litigation, the time limit, the preservation, the decision and the execution, etc.
【学位授予单位】：河北经贸大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.291.91

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