【摘要】： 商業(yè)判斷規(guī)則(Business Judgment Rule)是美國(guó)在公司制度運(yùn)營(yíng)及司法實(shí)踐中逐漸建立并發(fā)展起來(lái)的一種公司法判例規(guī)則,是法院審查董事行為適當(dāng)性的司法審查準(zhǔn)則,是一項(xiàng)免除公司董事就合理經(jīng)營(yíng)事務(wù)承擔(dān)法律責(zé)任的法律制度。 我國(guó)2006年公司法雖然規(guī)定了董事及高管對(duì)公司負(fù)有忠實(shí)義務(wù)和勤勉義務(wù),但并未對(duì)該義務(wù)的內(nèi)涵和標(biāo)準(zhǔn)做進(jìn)一步的解釋。如何區(qū)分董事行為屬于正常的經(jīng)營(yíng)決策行為還是屬于違反勤勉義務(wù)的經(jīng)營(yíng)決策行為,成為我國(guó)的現(xiàn)行法律體系中沒(méi)有答案的問(wèn)題。我國(guó)學(xué)界開(kāi)始討論是否可以通過(guò)吸收、借鑒商業(yè)判斷規(guī)則以解決這一司法審判困境,并且針對(duì)如何學(xué)習(xí)、借鑒提出了一些可行的途徑。但是筆者認(rèn)為:討論什么方式引進(jìn)應(yīng)該是針對(duì)該規(guī)則討論中第二位的問(wèn)題,商業(yè)判斷規(guī)則是否適合引進(jìn),在什么樣的條件下,什么樣的時(shí)機(jī)引進(jìn)才是第一位的問(wèn)題。只有深入考量中國(guó)國(guó)情,對(duì)中國(guó)的文化背景、法律傳統(tǒng)、執(zhí)法者的素質(zhì)及我國(guó)司法現(xiàn)狀及進(jìn)行全面考量后,才能夠得出正確的結(jié)論。只有這樣,才能保證一項(xiàng)吸收、借鑒的規(guī)則能夠在新的法律土壤中煥發(fā)勃勃生機(jī),才能有效地促進(jìn)我國(guó)市場(chǎng)經(jīng)濟(jì)的健康發(fā)展,才能為社會(huì)主義法治理念的建立、完善起到積極的作用。 本文共分為四個(gè)部分。緒論部分主要是提出問(wèn)題,說(shuō)明本文的研究?jī)r(jià)值、與之前的研究相比本文的獨(dú)創(chuàng)之處,對(duì)本文的研究方法及參考文獻(xiàn)進(jìn)行綜述。 第一部分是以美國(guó)特拉華州公司法的起源與演變?yōu)榛A(chǔ),厘清商業(yè)判斷規(guī)則的理論基礎(chǔ)及法律特征。首先從商業(yè)判斷規(guī)則的起源及演變分析該規(guī)則的適用條件。其次對(duì)該規(guī)則的理論依據(jù)進(jìn)行分析。最后對(duì)該規(guī)則的性質(zhì)進(jìn)行判定:商業(yè)判斷規(guī)則既是一項(xiàng)程序規(guī)則,也是一項(xiàng)實(shí)體規(guī)范,判例法特征是其顯著特征。 第二部分筆者試圖通過(guò)對(duì)具有代表性的商業(yè)判斷規(guī)則案例進(jìn)行實(shí)證分析,通過(guò)對(duì)各國(guó)吸收借鑒該規(guī)則所采取的態(tài)度進(jìn)行比較,發(fā)現(xiàn)和提煉商業(yè)判斷規(guī)則的顯著特征和法律精髓。 第三部分將分析我國(guó)借鑒商業(yè)判斷規(guī)則的必要性、可能性及可行性。我國(guó)司法制度的發(fā)展完善為引入商業(yè)判斷規(guī)則提供了可能�，F(xiàn)代公司制度的健全及科學(xué)的治理方式也需要引入商業(yè)判斷規(guī)則。部分學(xué)者已經(jīng)對(duì)吸收、借鑒的方式進(jìn)行了有益的探討。 文章的第四部分從我國(guó)的文化背景、法律傳統(tǒng)、執(zhí)法者的素質(zhì)等方面提出引入商業(yè)判斷規(guī)則不得不直面的障礙。提出在這樣一個(gè)環(huán)境和基礎(chǔ)上,深入研究商業(yè)判斷規(guī)則的價(jià)值:社會(huì)主義法制建設(shè)、實(shí)現(xiàn)依法治國(guó)需要的不僅是幾部先進(jìn)的法律,更需要建立一種好的法律理念和法律文化,從而使本文具有更為廣泛的社會(huì)意義。
[Abstract]:The commercial judgment rule (Business Judgment Rule) is a kind of company law case rule established and developed gradually in the operation of company system and judicial practice in the United States. It is also the judicial review criterion for the court to review the appropriateness of director's behavior. It is a legal system that exempts directors of a company from legal liability for reasonable business operations. Although the company law of our country in 2006 stipulates that directors and executives have the duty of loyalty and diligence to the company, they have not further explained the connotation and standard of this obligation. How to distinguish between the director's behavior which belongs to the normal management decision-making behavior or the business decision behavior that violates the duty of diligence has become a question that has no answer in the current legal system of our country. The academic circles of our country begin to discuss whether we can learn from the rules of commercial judgment to solve the dilemma of judicial judgment, and put forward some feasible ways to learn from them. However, the author thinks that discussing what way to introduce should be the second problem in the discussion of this rule, whether the commercial judgment rule is suitable for the introduction, and under what conditions, what kind of timing is the first problem. Only after deeply considering China's national conditions, the cultural background, the legal tradition, the quality of the law-enforcers and the current judicial situation of our country, can we draw a correct conclusion. Only in this way, can we guarantee an absorption and reference rules that can radiate vitality in the new legal soil, effectively promote the healthy development of our market economy, and establish the socialist concept of the rule of law. Perfection plays a positive role. This paper is divided into four parts. The introduction part is mainly to put forward the question, explain the research value of this paper, compare the original place of this article with the previous research, carry on the summary to the research method and reference document of this article. The first part is to clarify the theoretical basis and legal characteristics of commercial judgment rules based on the origin and evolution of Delaware Company Law. First, from the origin and evolution of the rules of commercial judgment, the applicable conditions of the rules are analyzed. Secondly, the theoretical basis of the rule is analyzed. Finally, the nature of the rule is determined: the commercial judgment rule is not only a procedural rule, but also a substantive norm, and the case law characteristic is its remarkable feature. In the second part, the author tries to make an empirical analysis of the typical cases of commercial judgment rules. By comparing the attitudes adopted by various countries to absorb and learn from the rules, the author finds and refines the remarkable characteristics and legal essence of the commercial judgment rules. The third part will analyze the necessity, possibility and feasibility of using commercial judgment rules for reference in China. The development and perfection of China's judicial system provides the possibility for the introduction of commercial judgment rules. The perfection of modern company system and scientific governance also need to introduce commercial judgment rules. Some scholars have carried on the beneficial discussion to the absorption, the reference way. The fourth part of the article from the cultural background, legal tradition, the quality of law enforcement and other aspects of the introduction of commercial judgment rules have to face the obstacles. On the basis of such an environment and on the basis of such an environment, it is proposed that the value of the rules of commercial judgment should be studied in depth: the construction of the socialist legal system requires not only several advanced laws, but also a good legal concept and legal culture. So that this article has more extensive social significance.
【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】：2010
【分類(lèi)號(hào)】：D922.291.91

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