【摘要】： 企業(yè)破產清算是市場經(jīng)濟下“優(yōu)勝劣汰”法則的自然體現(xiàn),但是破產重整制度卻反向行之,以挽救企業(yè)重生為核心目標,延長“困境企業(yè)”的市場生存周期。破產重整制度是市場經(jīng)濟發(fā)展到社會化大生產階段的產物,它是社會本位理念發(fā)展的要求。此制度具有維護社會穩(wěn)定、保持就業(yè)等方面的顯著優(yōu)點,從其誕生以來已經(jīng)被世界眾多國家采用。上世紀九十年代末,俄羅斯爆發(fā)嚴重的金融危機,大批金融機構瀕臨破產的邊緣,為了挽救金融機構,維護社會的穩(wěn)定,俄羅斯引入了破產重整制度,但是在重整制度實踐中債權人的利益受到了嚴重的損害,債權人權利行使被動,破產重整中債權人的保護制度失靈。 本文通過兩個線索尋找俄羅斯破產重整中債權人權利行使被動的根源。其一,全面梳理俄羅斯破產重整中債權人的保護制度,尋找制度設計的不足;其二,分析制度移植環(huán)境對制度實施的影響,尋找轉型國家債權人保護制度的特殊性。本文認為,在破產重整中債權人利益保護制度的設計方面,轉型國家不能完全照搬發(fā)達國家的模式,應該強化債權人利益的保護,建立激勵與監(jiān)督并重的債權人保護制度。中國和俄羅斯同屬于轉型國家,在破產重整債權人利益保護制度的建設方面存在相關性,俄羅斯經(jīng)驗對中國具有重要的啟示作用。圍繞上述觀點本文分五章進行論述: 第一章,闡述俄羅斯現(xiàn)行法律框架下債權人弱勢化的地位。俄羅斯的破產重整制度“реорганизация”移植于西方國家,設置在破產法律體系中,債權人保護的相關制度也構造其中。追溯歷史,從債務執(zhí)行中的債權人保護到破產重整中債權人的保護,俄羅斯實施多元價值目標下的債權人利益保護制度。這種以公共利益優(yōu)先的債權人保護制度,遭到了債務償付危機的挑戰(zhàn),債權人對公共利益的讓渡演變?yōu)閷妱堇婕瘓F的利益讓渡,債權人的利益嚴重受損,弱勢化地位形成。 第二章,闡述俄羅斯破產重整中債權人保護的制度設計。在俄羅斯破產重整制度有兩個層次,法庭外重整和法庭內重整。在法庭外重整層次中,對債權人的保護主要體現(xiàn)在政府救助措施方面。在法庭內重整層次中對債權人利益保護最有代表性的制度有:第一,調查制度;第二,財務恢復中的擔保制度;第三,仲裁管理制度。此外俄羅斯還設置了,債權人會議監(jiān)督、仲裁管理人自律監(jiān)督、俄羅斯聯(lián)邦企業(yè)重整與破產管理局監(jiān)督三個層次的監(jiān)督制度,這對債權人利益的維護起到了重要的作用。 第三章,論述俄羅斯破產重整中債權人權利行使的被動。俄羅斯的債權人保護制度給予了債權人很多實體性的權利,但在實踐中債權人權利行使受限。本文在總結俄羅斯破產實踐典型案例的基礎上,提出了“債權人權利行使被動化”的問題,并追尋了這一問題背后的法律根源。本文還進一步論證了債權人權利行使對俄羅斯重整制度實施績效的影響。 第四章,揭示俄羅斯債權人利益保護立法目標實現(xiàn)的路徑。俄羅斯破產重整制度采用了衡平的立法模式,在這種模式下債權人的利益通過重整公司的利益最大化的方式實現(xiàn),此種實現(xiàn)方式與俄羅斯嚴峻的公司治理結構和司法環(huán)境相沖突,轉型國家破產重整中的債權人利益需要強化保護。債權人利益保護立法目標的實現(xiàn)需要從債權人激勵機制和監(jiān)督機制完善兩個方面完成。 第五章,總結俄羅斯破產重整中債權人利益保護制度建設對中國的啟示。中國的破產重整制度也是法律移植的產物,重整制度也規(guī)定在破產法律框架下,中國債權人保護的法律變遷和俄羅斯具有相似性,債權人權利行使被動問題也具有相似性,俄羅斯債權人利益保護制度的完善對中國具有啟示作用。第一,中國需要完善法庭外重整對債權人利益的保護;第二,中國需要建立破產重整的實質審查程序;第三,中國的需要規(guī)制破產重整計劃的強制批準;第四,中國需要建立破產重整公司治理的債權人激勵機制。
[Abstract]:The bankruptcy liquidation of the enterprise is the natural expression of the "the fittest of the fittest" 's law in the market economy, but the bankruptcy reorganization system is reversed, so as to save the rebirth of the enterprise as the core target, and extend the market survival period of the "predicament enterprise". The bankruptcy reorganization system is the product of the development of the market economy to the large-scale production stage, and it is the requirement of the development of the social standard. The system has the remarkable advantages of maintaining social stability and maintaining employment, and has been adopted by many countries in the world since its birth. In the late 1990s, Russia broke out a serious financial crisis, and a large number of financial institutions are on the verge of bankruptcy. In order to save the financial institutions and maintain the stability of the society, Russia has introduced the bankruptcy reorganization system. However, in the practice of the reform system, the interests of the creditors are seriously damaged, the rights of the creditors are in the passive mode, and the protection system of the creditors in the bankruptcy reorganization is out of order. In this paper, two clues are adopted to find out the passive rights of the creditors in the Russian bankruptcy reorganization First, it is to sort out the protection system of the creditors in the Russian bankruptcy reorganization, to find the deficiency of the system design, and to analyze the effect of the system transplant environment on the implementation of the system and to find the protection system of the creditor of the transitional state. The paper holds that in the aspect of the design of the creditor's interest protection system in the bankruptcy reorganization, the transition country cannot copy the model of the developed country completely, and the protection of the interests of the creditors should be strengthened, and the creditor's protection and supervision should be established. China and Russia are closely related to the construction of the interests protection system of the bankruptcy reorganization creditors, and the experience of Russia is of great importance to China. To show the effect. It is divided into five chapters around the above-mentioned point of view. The first chapter expounds the creditor's rights under the current legal framework of Russia The status of the vulnerability of the human being. The ".........................................." of the Russian bankruptcy reorganization system is transplanted to the western countries and is set up in the bankruptcy law system. The protection of the creditors is related. The system is also constructed. The tracing history, the protection of the creditors from the debt enforcement to the protection of the creditors in the bankruptcy reorganization, the creditor's rights under the multi-value target in Russia The system of the protection of the people's interests, such as the creditor's protection system with the priority of the public interest, has been challenged by the debt payment crisis, the creditor's transfer to the public interest is transferred to the benefit of the strong interest group, the benefit of the creditor is seriously damaged, The formation of the status of weakness. Chapter 2, the reform of the Russian bankruptcy The system design of the protection of the middle-class creditors. There are two levels in the Russian bankruptcy reorganization system, in that out-of-court reform of the tribunal, the protection of the creditor is mainly The most representative system for the protection of the interests of the creditors in the reform of the court is: the first, the investigation system; the guarantee system in the second and the financial recovery in addition, Russia has set up that supervision of the creditor's conference, the self-discipline supervision of the arbitration management, the reform of the enterprise of the Russian federation and the supervision of three levels of supervision system, which is in the interest of the creditor The maintenance of Russia has played an important role, and the third chapter discusses Russia. The passive of the exercise of the rights of the creditors in the bankruptcy reorganization. The Russian creditor's protection system gives the creditor a lot of substantive rights However, in practice, the exercise of the rights of the creditor is limited. On the basis of summarizing the typical case of the Russian bankruptcy practice, the paper puts forward the "The realization of the right of the creditor to be passive" problem. In this paper, the author further demonstrates the right of the creditor to exercise. The impact of the performance of the Russian reform system. The path to the realization of the objective of the protection of the interests of the Russian creditors. The Russian bankruptcy reorganization system adopts a balanced legislative model. In this mode, the interests of the creditors are realized through the way of maximizing the interests of the company. Ross's grim corporate governance structure and the justice environment conflict and transform The interests of the creditors in the national bankruptcy reorganization need to be strengthened. The realization of the protection of the interests of the creditors needs to be taken from the debt The mechanism and supervision mechanism of the party are completed in two aspects. The fifth chapter is to sum up the Roo. The construction of the creditor's interest protection system in the reform of the bankruptcy is a revelation to China. The bankruptcy reorganization system of China is also the product of the legal transplant. The reform system also provides for the legal change of the protection of the Chinese creditors and the Russia under the framework of the bankruptcy law. has the similarity, the creditor's right to exercise the passive issue also has the similarity, The perfection of the interests protection system of the Roth's creditors has an inspiration to China. First, China needs to improve the protection of the interests of the creditors outside the court; secondly, China needs to establish the substantive review procedure of the bankruptcy reorganization; and III. China's need to regulate the forced approval of the bankruptcy reorganization plan; and
【學位授予單位】：中國政法大學
【學位級別】：博士
【學位授予年份】：2009
【分類號】：DD912.29;D951.2

【引證文獻】

相關博士學位論文 前1條

1 鄒楊;中外企業(yè)不良資產債務重組方式的法律比較研究[D];大連海事大學;2014年

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本文編號：2494032