發(fā)布時(shí)間：2018-04-02 12:06

  本文選題：非正當(dāng)關(guān)聯(lián)交易　切入點(diǎn)：法人治理結(jié)構(gòu)　出處：《哈爾濱工程大學(xué)》2011年碩士論文

【摘要】：市場(chǎng)經(jīng)濟(jì)是法治經(jīng)濟(jì),完善的社會(huì)主義法律制度對(duì)于成功建設(shè)社會(huì)主義市場(chǎng)經(jīng)濟(jì)具有重要意義。資本市場(chǎng)作為我國(guó)社會(huì)主義市場(chǎng)經(jīng)濟(jì)體系的重要組成部分,其繁榮與穩(wěn)定必須建立在上市公司的規(guī)范運(yùn)行的基礎(chǔ)之上,而關(guān)聯(lián)交易卻對(duì)我國(guó)上市公司的規(guī)范運(yùn)行提出了嚴(yán)峻挑戰(zhàn)。 關(guān)聯(lián)交易按性質(zhì)可以區(qū)分為正當(dāng)關(guān)聯(lián)交易和非正當(dāng)關(guān)聯(lián)交易。正當(dāng)關(guān)聯(lián)交易可以優(yōu)化資源配置,降低市場(chǎng)交易成本,增強(qiáng)上市公司競(jìng)爭(zhēng)能力,實(shí)現(xiàn)公司利潤(rùn)的最大化等,因此受到法律的保護(hù)；非正當(dāng)關(guān)聯(lián)交易往往成為控股股東、董事或高級(jí)管理人員侵害上市公司、中小股東以及公司債權(quán)人合法權(quán)益的重要手段,嚴(yán)重?cái)_亂市場(chǎng)經(jīng)濟(jì)秩序,因此需要加強(qiáng)法律規(guī)制。 近年來(lái),由于公司法人制度缺陷、公司法人治理結(jié)構(gòu)的嚴(yán)重扭曲、相關(guān)法律規(guī)范的薄弱與空白、公司改制不徹底以及信息披露制度不完善等,我國(guó)上市公司非正當(dāng)關(guān)聯(lián)交易層出不窮,已經(jīng)引起人們的廣泛關(guān)注。然而,我國(guó)無(wú)論是在法律制度建設(shè)上還是在法學(xué)理論研究上都處于較為薄弱的狀態(tài)。雖然《公司法》已經(jīng)初步形成了非正當(dāng)關(guān)聯(lián)交易法律規(guī)制體系,但是仍然需要進(jìn)一步補(bǔ)充和完善。因此,我國(guó)應(yīng)當(dāng)借鑒其他國(guó)家的先進(jìn)立法經(jīng)驗(yàn),并結(jié)合我國(guó)的實(shí)際國(guó)情,采取強(qiáng)化控股股東的誠(chéng)信義務(wù)、構(gòu)建關(guān)聯(lián)股東表決權(quán)排除制度、完善獨(dú)立董事制度、充分發(fā)揮監(jiān)事會(huì)的監(jiān)督職能、引入深石原則、細(xì)化股東派生訴訟制度等措施完善《公司法》,從而有效規(guī)制上市公司非正當(dāng)關(guān)聯(lián)交易。
[Abstract]:The market economy is an economy ruled by law, and a perfect socialist legal system is of great significance for the successful construction of a socialist market economy. Capital market is an important part of the socialist market economy system of our country. Its prosperity and stability must be based on the normative operation of listed companies, while related party transactions pose a severe challenge to the normative operation of listed companies in China. According to the nature of related party transactions, they can be divided into legitimate related party transactions and unjustified related party transactions, which can optimize the allocation of resources, reduce market transaction costs, enhance the competitive power of listed companies, and realize the maximization of corporate profits, etc. As a result, illegal related party transactions often become an important means for controlling shareholders, directors or senior management personnel to infringe on the legitimate rights and interests of listed companies, minority shareholders and creditors of the company, thus seriously disrupting the order of the market economy. Therefore, it is necessary to strengthen legal regulation. In recent years, due to the defects of the corporate system, the serious distortion of corporate governance structure, the weakness and blank of relevant legal norms, the incomplete restructuring of the company and the imperfect information disclosure system, etc. The emergence of illegal related party transactions of listed companies in our country has caused widespread concern. However, Our country is in a weak state both in the construction of legal system and in the research of legal theory. Although the Company Law has initially formed the legal regulation system of illegitimate related party transactions, But it still needs to be further supplemented and perfected. Therefore, our country should draw lessons from the advanced legislative experience of other countries and combine the actual situation of our country, take to strengthen the fiduciary duty of the controlling shareholders, and construct the system of excluding the voting rights of the associated shareholders. Perfecting the system of independent directors, giving full play to the supervisory function of the board of supervisors, introducing the principle of deep stone, refining the system of shareholder derivative litigation, and so on, perfecting the Company Law, so as to effectively regulate the illegal related party transactions of listed companies.
【學(xué)位授予單位】：哈爾濱工程大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2011
【分類號(hào)】：D922.291.91

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