本文選題：股東查閱權(quán)　切入點：效果穿越　出處：《中國政法大學(xué)》2011年碩士論文　論文類型：學(xué)位論文

【摘要】：股東查閱權(quán)作為股東的一項基本權(quán)利,是股東實現(xiàn)其他股東權(quán)的基礎(chǔ)。股東查閱權(quán)穿越行使實質(zhì)上是股東查閱權(quán)范圍的擴(kuò)張,在沒有相應(yīng)規(guī)則安排的情況下,權(quán)利的擴(kuò)張有可能打破公司原有的權(quán)力結(jié)構(gòu)和利益平衡。而對原有結(jié)構(gòu)和平衡的突破,需要有迫切的現(xiàn)實需求、充分的理論支持以及合理的規(guī)則設(shè)計,這樣才不會因某項權(quán)利的擴(kuò)張而導(dǎo)致整個公司法體系的紊亂。據(jù)此,本文在明確股東查閱權(quán)跨越行使內(nèi)涵的前提下,揭示母公司股東查閱權(quán)保護(hù)的現(xiàn)實需要,面對目前立法上的缺失,通過相關(guān)理論的介紹、相關(guān)利益沖突平衡的探討,證明股東查閱權(quán)跨越行使的正當(dāng)性,進(jìn)而參考美國對此問題的立法與實踐,審視我國股東查閱權(quán)現(xiàn)有規(guī)定,對股東查閱權(quán)穿越行使有關(guān)規(guī)則設(shè)計進(jìn)行討論并提出建議。除引言和結(jié)論外,本文分為四章: 第一章,股東查閱權(quán)穿越行使的界定及意義。本章首先引入了股東查閱權(quán)的概念之爭,基于揚(yáng)棄的立場對股東查閱權(quán)的概念進(jìn)行統(tǒng)一,進(jìn)而奠定本文討論的權(quán)利基礎(chǔ)。其后引入查閱權(quán)穿越行使的概念,明確其實質(zhì)為股東查閱權(quán)在范圍上的擴(kuò)張,達(dá)到了查閱權(quán)行使效果上的“穿越”。在明確股東查閱權(quán)穿越行使內(nèi)涵的情況下,通過現(xiàn)實案例,揭示股東查閱權(quán)穿越行使的必要性,為后文的論述進(jìn)行鋪墊。 第二章,股東查閱權(quán)穿越行使的正當(dāng)性分析。本章首先對股東查閱權(quán)穿越行使的相關(guān)理論進(jìn)行介紹,源于法人格否認(rèn)的穿越理論直接為股東查閱權(quán)穿越行使提供支持,而法人格否認(rèn)理論進(jìn)一步查閱權(quán)穿越行使提供解釋。隨后對股東查閱權(quán)穿越行使所可能帶來的利益沖突進(jìn)行討論,并嘗試尋找平衡機(jī)制。 第三章,股東查閱權(quán)穿越行使的立法與實踐。本章以美國為例,探討各州法院對股東查閱權(quán)穿越行使的態(tài)度及處理方式:一些州持否定態(tài)度,即嚴(yán)格按照該州現(xiàn)有規(guī)定進(jìn)行文義解釋,否認(rèn)股東查閱權(quán)穿越行使;其他州持肯定態(tài)度,支持股東查閱權(quán)穿越行使,但根據(jù)是否通過制定法承認(rèn)查閱權(quán)穿越行使又可分為兩類:一類是在無制定法規(guī)定的情形下,尋求其他解釋途徑進(jìn)而類比適用;另一類是創(chuàng)設(shè)新的制定法,直接規(guī)定股東查閱權(quán)穿越行使的條件。 第四章,我國查閱權(quán)制度的現(xiàn)狀與完善。本章首先對我國查閱權(quán)制度的現(xiàn)有規(guī)定進(jìn)行介紹,指出我國公司法以單一公司模型為核心指向,對于母子公司架構(gòu)中股東查閱權(quán)的行使問題未作規(guī)定。隨后,在明確股東查閱權(quán)穿越行使的邊界的前提下,從行使主體及行使范圍兩方面重點討論股東查閱權(quán)穿越行使的具體規(guī)則。
[Abstract]:Right as a basic right of shareholders, is the basis for shareholders to achieve other shareholder rights. Through the exercise of shareholder inspection right is essentially the expansion of the scope of the inspection right of shareholder, in the absence of the corresponding regular arrangement, the power expansion is likely to break the original power structure and the balance of interests of the original structure. And the balance of the breakthrough, need urgent demand, full theoretical support and reasonable design rules, so that it will not lead to the whole system of company law disorder caused by a right expansion. Accordingly, this paper makes clear the shareholder inspection right across the exercise of the connotation of the premise, to reveal the parent company of the inspection right of shareholder protection the reality, in the face of the current lack of legislation, through the introduction of the relevant theory, to explore the balance of conflict related interests, proving the legitimacy of shareholders'inspection right across the exercise, and reference to the United States In view of the legislation and practice of this problem, we examine the existing provisions of the shareholder's right to inspect in China, discuss and propose the rules related to the exercise of shareholders' access right. In addition to the introduction and conclusion, the paper is divided into four chapters.
The first chapter, the definition and significance of shareholders'inspection right through the exercise. This chapter first introduces the concept of shareholder inspection right dispute, unified concept of discarding the position on the inspection right of shareholder based on rights and lay the basis for discussion in this paper. The concept of the right of access through the exercise of the subsequent introduction, clear the essence for the inspection right of shareholder in the scope of the expansion, to the right of access to the exercise effect on "through". In the clear shareholders'inspection right through the exercise of the connotation of the situation, through the real cases, the paper reveals the necessity through the exercise of shareholder inspection right, after the discussion of the bedding.
The second chapter, analysis the legitimacy of shareholders'inspection right through the exercise of related theory. This chapter first through the inspection right of shareholder exercise were introduced, from the law personality denial theory through directly to the shareholders'inspection right through the exercise of support, and disregard of corporate personality theory further check right through the exercise of shareholders' inspection and provide an explanation. The right to discuss through the conflicts of interest may bring the exercise, and try to find a balance mechanism.
The third chapter, the legislation and practice of shareholders'inspection right through the exercise of this chapter. In the case of the United States, to investigate the attitude and approach the state court through the inspection right of shareholder exercise: some states hold a negative attitude, that is in strict accordance with the state provisions of the existing interpretation, right through the exercise of shareholders denied access to other states; positive attitude, support the inspection right of shareholder through exercise, but according to whether through legislation through exercise the right of access to admit and can be divided into two categories: one is in no statute law case, and then seek other ways to explain the application of analogy; the other is the creation of the new law, through the exercise of shareholder inspection right the conditions stipulated directly.
The fourth chapter, China's present situation and perfection of access right system. The first chapter of the existing provisions of the inspection right system in our country are introduced, pointed out that the company law of our country to a single company model as the core point, for the inspection right of shareholder of parent company in the framework of exercise is not specified. Then, on the premise of clear inspection right of shareholder through the exercise of the border, from the two aspects of the exercise subject and scope of the exercise focuses on the specific rules of shareholders'inspection right through the exercise.

【學(xué)位授予單位】：中國政法大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2011
【分類號】：D922.291.91

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