【摘要】：經(jīng)理職權(quán)是一項(xiàng)權(quán)力,權(quán)力易于擴(kuò)大,并且可能導(dǎo)致濫用,特別是上市公司經(jīng)理濫用職權(quán)的行為,造成的損失和社會(huì)影響力更巨大,包括安然公司經(jīng)理丑聞在內(nèi)的眾多案例引發(fā)了一場(chǎng)針對(duì)經(jīng)理問(wèn)題的全球性的大討論,如何防范經(jīng)理職權(quán)濫用行為重新成為一個(gè)廣受關(guān)注的課題。本文通過(guò)具體案例剖析了我國(guó)上市公司經(jīng)理職權(quán)濫用行為的表象,并通過(guò)實(shí)證調(diào)查分析了我國(guó)上市公司經(jīng)理職權(quán)濫用的原因和癥結(jié),并針對(duì)經(jīng)理職權(quán)濫用的原因提出了約束經(jīng)理職權(quán)濫用的一點(diǎn)建議。本文主張通過(guò)對(duì)經(jīng)理職權(quán)行使主體的監(jiān)督和對(duì)經(jīng)理職權(quán)范圍的約束建構(gòu)我國(guó)上市公司經(jīng)理職權(quán)濫用行為的內(nèi)部防范機(jī)制,以減少上市公司經(jīng)理職權(quán)濫用行為的出現(xiàn)。 論文分為引言、正文、結(jié)語(yǔ)三大部分,其中正文分為四章。 引言部分對(duì)本文研究問(wèn)題的原因、背景及研究的方法進(jìn)行了概述。 第一章是“上市公司經(jīng)理職權(quán)行使的基礎(chǔ)”。這一部分引入了兩大法系國(guó)家關(guān)于經(jīng)理概念的界定、經(jīng)理權(quán)和經(jīng)理職權(quán)的關(guān)系以及經(jīng)理職權(quán)行使基礎(chǔ)的歷史考察,主要介紹了我國(guó)經(jīng)理職權(quán)法定化的特點(diǎn)以及上市公司經(jīng)理職權(quán)與非上市公司經(jīng)理職權(quán)的不同點(diǎn)。 第二章是“我國(guó)上市公司經(jīng)理職權(quán)行使的現(xiàn)狀”。這一部分簡(jiǎn)單介紹了經(jīng)理職權(quán)在法律監(jiān)督和保障體制下的一般現(xiàn)狀,通過(guò)對(duì)上市公司經(jīng)理職權(quán)濫用案例的簡(jiǎn)要分析,筆者認(rèn)為上市公司經(jīng)理職權(quán)濫用行為可以概括為對(duì)我國(guó)《公司法》第五十條規(guī)定中前兩項(xiàng)職權(quán)的侵害,我國(guó)上市公司經(jīng)理的職權(quán)范圍過(guò)于廣泛,現(xiàn)實(shí)中存在著對(duì)上市公司經(jīng)理職權(quán)的范圍進(jìn)行必要限制或?qū)ζ渎殭?quán)行使進(jìn)行監(jiān)督和約束的必要性。 第三章是“我國(guó)上市公司經(jīng)理職權(quán)行使現(xiàn)狀的原因分析”。這一部分中,從上市公司經(jīng)理職權(quán)主體(行使主體和限制主體)和現(xiàn)行公司經(jīng)理制度的角度,分析了我國(guó)上市公司經(jīng)理職權(quán)濫用的誘發(fā)因素。筆者認(rèn)為上市公司經(jīng)理本身的道德感和責(zé)任感不足,上市公司缺乏采取適當(dāng)措施及時(shí)限制經(jīng)理職權(quán)范圍的積極性。上市公司經(jīng)理職權(quán)濫用與《公司法》中關(guān)于董事兼任經(jīng)理、經(jīng)理職權(quán)法定化的規(guī)定存在一定關(guān)系,并且提出了現(xiàn)行立法缺乏對(duì)經(jīng)理權(quán)利、民事責(zé)任的規(guī)定,這一立法缺失在一定程度上導(dǎo)致了經(jīng)理激勵(lì)機(jī)制的缺失和責(zé)任承擔(dān)的減少。 第四章是“上市公司經(jīng)理職權(quán)濫用的防范機(jī)制構(gòu)建”。在這一部分中,筆者從構(gòu)建我國(guó)上市公司經(jīng)理內(nèi)部約束機(jī)制的價(jià)值為出發(fā)點(diǎn),從經(jīng)理職權(quán)的行使主體和經(jīng)理職權(quán)范圍的界定及監(jiān)督兩方面來(lái)構(gòu)建我國(guó)上市公司經(jīng)理職權(quán)濫用的防范機(jī)制。 最后一部分是本文的結(jié)論,簡(jiǎn)單地回顧了本文寫(xiě)作的得失之處。
[Abstract]:A manager's authority is a power that is easy to expand and can lead to abuse, especially by managers of listed companies, resulting in greater loss and social influence. Many cases, including Enron's manager scandal, have led to a global discussion on manager issues. How to prevent managers from abusing their authority has become a subject of great concern. This paper analyzes the appearance of managers' abuse of power in listed companies in our country through concrete cases, and analyzes the causes and sticking points of managers' abuse of authority in listed companies through empirical investigation. The author also puts forward some suggestions to restrain the abuse of manager's power. This paper proposes to construct the internal prevention mechanism of the abuse of manager's power by supervising the subject of the exercise of the manager's authority and restricting the scope of the manager's authority, so as to reduce the occurrence of the abuse of the manager's power in the listed company. The thesis is divided into three parts: introduction, text and conclusion, in which the text is divided into four chapters. The introduction summarizes the reasons, background and research methods of this paper. The first chapter is the basis of the executive power of listed companies. This part introduces the definition of the concept of manager in the countries of two legal systems, the relationship between manager's power and manager's power, and the historical investigation of the basis of the exercise of manager's authority. This paper mainly introduces the characteristics of the legalization of manager's power in our country and the difference between manager's power of listed company and that of non-listed company. The second chapter is the status quo of the exercise of manager's functions and powers of listed companies in China. This part briefly introduces the general situation of manager's power under the system of legal supervision and guarantee, through the brief analysis of the case of manager's abuse of authority in listed company. The author thinks that the abuse of manager's power of listed company can be summarized as the infringement of the first two functions and powers stipulated in Article 50 of the Company Law of our country, and the scope of the manager's authority of listed company in our country is too wide. In reality, it is necessary to restrict the scope of the manager's power or to supervise and restrain the exercise of his authority. The third chapter is the reason analysis of the status quo of the executive power of listed companies in our country. In this part, the author analyzes the inducing factors of the abuse of manager's power of listed companies in China from the angle of the subject of manager's authority (exercise subject and restriction subject) and the current system of company manager. The author thinks that the managers of listed companies have insufficient moral sense and sense of responsibility, and the listed companies lack the enthusiasm to take appropriate measures to limit the managers' terms of reference in time. The abuse of manager's power in listed company has certain relation with the regulation of the director concurrently acting as manager and the legalization of manager's power in Company Law, and it is pointed out that the current legislation lacks the stipulation of manager's right and civil liability. To a certain extent, this lack of legislation leads to the lack of manager incentive mechanism and the reduction of responsibility. The fourth chapter is the construction of prevention mechanism of manager's abuse of power in listed company. In this part, the author starts from the value of constructing the internal constraint mechanism of the managers of listed companies in our country. From the two aspects of the exercise of manager's authority and the definition and supervision of manager's power, this paper constructs the prevention mechanism of manager's abuse of power in listed company. The last part is the conclusion of this paper.
【學(xué)位授予單位】：華東政法大學(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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