上市公司中小股东权益保护之股东派生诉讼问题研究

发布时间：2018-12-19 17:10

【摘要】： 上市公司作为市场化程度最高涉及利益最广泛的一种股份公司形式,不仅是公司法中的重要组成部分,也是实务操作中的比较复杂的一种组织形式。相对于有限责任公司,上市公司的规模一般较大;相对于普通的股份公司,上市公司是其中运行良好业绩优异的一部分,公司股东的社会化、扩大化使得利益涉及面更加广泛。其资合性的本质在募集了大量社会资本的同时,也要求其承担更多的责任,不仅仅是对公司的原股东,更多的是数量难以计数的中小股东。相关的财务报表、绩效报表、重大决策、公司规划的适当公布不仅关乎大股东的利益,同为中小股东的利益所在。然而,由于资本多数决的存在,中小股东的话语权只能得到有限的释放,甚或剥夺。大股东或其联合操纵公司损害中小股东权益事件时有发生。本文旨在通过法律的途径分析大股东和中小股东力量对比,探讨通过司法介入的方式适度对中小股东权益的保护。本文试图突破单纯的讨论保护中小股东,从而可能损害公司整体利益最终损害中小股东权益的症结,希望在双方各自的正当权益保护、大股东或其联合控制公司运营,追求经济利益和中小股东保护其自身利益之间寻求可接受的均衡,从而达到保护中小股东权益的目的。本文中只以股东派生诉讼为研究切入点。
[Abstract]:As a kind of joint-stock company with the highest degree of marketization, it is not only an important part of company law, but also a complicated organization form in practical operation. Compared with the limited liability company, the scale of the listed company is generally larger. Compared with the ordinary stock company, the listed company is a part of the company with good performance. The socialization and expansion of the shareholders of the company make the interests more extensive. At the same time, it also requires it to bear more responsibilities, not only to the original shareholders of the company, but also to the number of small and medium shareholders. The related financial statements, performance statements, major decisions and company planning are not only related to the interests of large shareholders, but also to the interests of minority shareholders. However, due to the existence of capital majority decision, minority shareholders' right to speak can only be released, or even deprived. Major shareholders or their joint manipulation of the company damage the rights and interests of minority shareholders from time to time. The purpose of this paper is to analyze the power contrast between the large shareholders and the minority shareholders through the way of law, and to discuss the proper protection of the rights and interests of the minority shareholders through the way of judicial intervention. This paper attempts to break through the simple discussion of protecting minority shareholders, which may damage the overall interests of the company and ultimately damage the crux of the rights and interests of minority shareholders, hoping to protect the legitimate rights and interests of both sides, large shareholders or their joint control of the operation of the company. To seek an acceptable balance between the pursuit of economic interests and the protection of the interests of the minority shareholders, thus achieving the purpose of protecting the rights and interests of the minority shareholders. In this paper, only shareholders derivative litigation as a research entry point.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91

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