【摘要】： 公司控制權(quán)的制度構(gòu)造是公司治理的核心問題。本文結(jié)合世界范圍內(nèi)公司法改革的軟化趨勢,以公司控制權(quán)的契約構(gòu)造理念為指引,對公司控制權(quán)的生成基礎(chǔ)、行使路徑以及失范救濟(jì)等問題進(jìn)行了較為全面和深入的契約化分析,并以此為基礎(chǔ)將公司控制權(quán)的制度構(gòu)造全面還原為公司參與各方之間的契約安排。除導(dǎo)論和結(jié)論外,本文共設(shè)四章,各部分的主要內(nèi)容如下: 本文的導(dǎo)論部分首先介紹了世界范圍內(nèi)一些國家公司法改革的基本情況,通過對公司法發(fā)展趨勢的概括和揭示,提出了公司控制權(quán)的契約構(gòu)造這一命題并闡明了該選題研究的理論和現(xiàn)實意義。此外,導(dǎo)論部分還簡要說明了本文研究的路徑選擇以及具體的研究方法,并介紹了本文的主要內(nèi)容及結(jié)構(gòu)安排。 第一章,公司控制權(quán)基本概述。本章首先介紹了人們對公司權(quán)力的傳統(tǒng)認(rèn)識并給予了適當(dāng)評論,其后通過對公司權(quán)力內(nèi)在邏輯的追問重新厘定了公司權(quán)力的概念定義,并從權(quán)力來源的角度論證了公司權(quán)力的生成機(jī)理;在此之后,圍繞著公司控制權(quán)導(dǎo)源于公司權(quán)力這一核心論點,重點論述了公司控制權(quán)的概念限定及類型劃分,并漸次梳理了公司控制模式的演進(jìn)脈絡(luò)。此外,本章還基于揚(yáng)棄的立場對公司契約理論進(jìn)行了較為全面的檢視和評介,其中重點分析了公司章程的契約屬性,并解釋了之所以存在公司法的主要原由。從邏輯體系上看,本章是其后各章節(jié)的基礎(chǔ)鋪墊。 第二章,公司控制權(quán)生成的契約基礎(chǔ)。本章重點論證了股東控制權(quán)、董事控制權(quán)以及債權(quán)人等利益相關(guān)者控制權(quán)得以生成的契約基礎(chǔ),并描述了不同控制權(quán)形態(tài)之間的轉(zhuǎn)換過程。股東之所以擁有公司的(最終)控制權(quán),一方面是因為他們向公司讓渡了傳統(tǒng)意義上的財產(chǎn)所有權(quán);另一方面,他們承擔(dān)了公司經(jīng)營的絕大多數(shù)邊際風(fēng)險,因此具有行使控制權(quán)的最佳激勵。此外,由于股東是公司的最終控制者,所以,董事的控制權(quán)主要來自于股東的整體授權(quán),為了保障股東利益的實現(xiàn),在此過程中董事往往被要求承擔(dān)信義義務(wù)。還有,債權(quán)人等利益相關(guān)者在特定的場合也可以通過簽約獲得控制權(quán),因此,這種控制權(quán)的生成則完全是契約性的。 第三章,公司控制權(quán)行使的契約路徑。本章集中分析了股東控制權(quán)、董事控制權(quán)以及債權(quán)人等利益相關(guān)者控制權(quán)在實際運(yùn)作中的各種行使方式及其契約屬性。就股東控制權(quán)的行使路徑而言,股東投票權(quán)、投票權(quán)代理、累積投票條款的設(shè)定、投票權(quán)信托、股東表決權(quán)拘束協(xié)議等行使方式都是典型的契約安排。在董事控制權(quán)的行使方面,董事會的議事規(guī)則、商業(yè)判斷原則、投票代理權(quán)征集等行使方式也可以在契約的框架內(nèi)獲得解釋。較之于股東和董事控制權(quán)的行使路徑,債權(quán)人等利益相關(guān)者控制權(quán)的行使方式則純粹是通過合同的約定予以明確的。 第四章,公司控制權(quán)失范的契約救濟(jì)。本章主要分析了(控制)股東、董事以及債權(quán)人等利益相關(guān)者濫用控制權(quán)的各種可能情形,并從契約的角度提出了規(guī)制控制權(quán)失范現(xiàn)象的各種策略。為了防范控制股東濫用控制權(quán),股東之間可以通過合同約定決策權(quán);債權(quán)人則可以在訂約的起點上要求股東放棄有限責(zé)任規(guī)則的庇護(hù),也可就有限責(zé)任基礎(chǔ)之上的交易后果及其相關(guān)事項與任何償債能力有疑問的公司約定各種行之有效的自助措施。針對可能發(fā)生的董事濫用控制權(quán)的情形,股東可以通過公司章程和董事服務(wù)契約為董事的行為設(shè)定各種具有針對性的契約義務(wù)并輔之以嚴(yán)格的違約責(zé)任。此外,債權(quán)人等利益相關(guān)者在實際控制公司以后,也可能實施對抗公司管理的潛在機(jī)會主義行為,此時對公司而言,契約的救濟(jì)也不失為一種有效的自助措施。 本文的結(jié)論部分總結(jié)了各章節(jié)的主要觀點和研究結(jié)論,并再次重申了公司控制權(quán)的契約構(gòu)造理念,最后,在前述基礎(chǔ)上揭示出了公司控制權(quán)的適應(yīng)性品格及其重要意義。
[Abstract]:The system structure of corporate control is the core of corporate governance. In the light of the softening tendency of the company law reform in the world, this paper makes a more comprehensive and in-depth contract analysis on the basis of the creation of the control of the company, the exercise of the path and the out-of-the-standard relief, based on the contract construction idea of the company's control right. On the basis of this, the system structure of the company's control right is fully restored to the contractual arrangement between the company and the parties. In addition to the introduction and conclusion, there are four chapters in this paper. The main contents of each section are as follows: The introduction part of this paper first introduces the basic situation of the corporate law reform in some countries around the world, and through the generalization of the development trend of the company law and the theory and present of the research on this topic are set forth. In addition, the introduction part briefly describes the path selection and the specific research methods of this paper, and introduces the main contents and the knots of this paper. Organization of the organization. Chapter I, Company This chapter first introduces the traditional understanding of the company's power and gives appropriate comments, and then redefines the concept definition of the company's power through the inquiry of the internal logic of the company's power, and demonstrates the generation of the company's power from the point of view of the power source. The mechanism; after that, the core of the company's power is derived around the control of the company, and the concept and the division of the control of the company are mainly discussed, and the company's control is gradually sorted out. In addition, this chapter also makes a more comprehensive view and review on the contract theory of the company based on the position of the disclaimer, in which the contract property of the company's articles of association is analyzed, and the existence of the public is explained. The main part of the administration of justice. From the logical system, this chapter is the following The foundation of the chapter. Chapter 2, Public The key of this chapter is to demonstrate the basis of the contract that the control of the shareholders, the control of the directors and the control of the stakeholders such as the creditors can be generated, and describe the different controls. The process of conversion between the forms of the right to manufacture. The shareholders have the (ultimate) control of the company, on the one hand, because they have transferred the ownership of the property in the traditional sense to the company; on the other hand, they assume the vast majority of the marginal risks of the company's operations, and therefore There is the best incentive to exercise control. In addition, because the shareholders are the ultimate controllers of the company, the control of the directors is mainly from the overall authorization of the shareholders, in order to guarantee the realization of the interests of the shareholders, the directors in the process It is often required to assume the obligation of a letter. In addition, stakeholders, such as creditors, can also gain control over a specific occasion, and therefore, such control The generation of which is completely contractual. In this chapter, the control of the shareholders, the control of the directors and the control of the stakeholders, such as the creditors, are analyzed in this chapter. in the exercise of the control of the shareholders, the shareholders' right to vote, the right to vote, the setting of the cumulative voting clause, the right to vote, the voting restraint of the shareholders, In the exercise of the control of the directors, the rules of procedure of the board of directors, the principle of business judgment, the collection of voting power, etc. The expression can also be explained in the framework of the contract, and the way of exercising control of the stakeholders, such as the creditors and other stakeholders, is the same as that of the control of the shareholders and the directors. It is clear through the agreement of the contract. Chapter four, the contract relief of the control of the company's control of control. This chapter mainly analyzes the possible circumstances of the abuse of control by the stakeholders, the directors and the creditors, and from the contract In order to control the control of the shareholders' abuse, the decision-making power of the shareholders can be agreed by the contract, and the creditor may be in the contract. At the starting point, the shareholders are required to give up the application of the limited liability rules, and the consequences of the transaction on the basis of the limited liability and the related matters and any debt-paying ability The company in question has agreed on various effective self-help measures. In the case of potential directors' abuse of control, the shareholders may set up a variety of actions for the directors' behavior through the articles of association and the director's service contract In addition, the creditors and other stakeholders may also implement the potential opportunistic behavior against the management of the company after the actual control of the company, at the same time for the company The contract relief is also an effective self-help measure. The conclusion part of this paper sums up the main points of view and research conclusion of each chapter, and reiterates the contract construction idea of the company's control right, and finally, in the above-mentioned base,
【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】：2010
【分類號】：D922.291.91

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本文編號：2409103