本文選題：多重代表訴訟 + 股東代表訴訟　； 參考：《南京師范大學(xué)》2017年碩士論文

【摘要】：從十九世紀(jì)工業(yè)革命以來,企業(yè)組織形態(tài)逐漸從單一性向多元化演變,公司集團(tuán)的誕生就是最好的例證。在公司集團(tuán)的生存模式中,母公司通過控股的方式成為子公司股東,兩者的利益緊密相連。所以如果子公司的董事等高管在經(jīng)營活動(dòng)中采取消極懈怠的態(tài)度,沒有盡到一個(gè)善良管理人的義務(wù),導(dǎo)致子公司的利益受損,那么作為子公司股東的母公司也會(huì)受到牽連,而隱藏在母公司背后的母公司股東就是最后的利益受損者。根據(jù)我國《公司法》第152條的規(guī)定,在這種情況下,如果子公司拒絕對(duì)違法失職的董事提起訴訟,追究其法律責(zé)任,那么子公司的股東(包括母公司)就可以向法院提起股東代表訴訟以獲得救助,從而維護(hù)子公司的利益。但是有時(shí)候由于子公司的董事與母公司之間存在著千絲萬縷的聯(lián)系,作為子公司股東的母公司會(huì)基于各種理由拒絕提起對(duì)子公司董事的責(zé)任追究之訴。在現(xiàn)行《公司法》實(shí)行的情況下,母公司的股東,尤其是中小股東,只能求助無門,吞下因?yàn)槟腹镜∮谛惺棺约簷?quán)利而產(chǎn)生的惡果。為了解決這一問題,完善企業(yè)集團(tuán)的內(nèi)部治理,日本于2014年通過公司法修正案正式設(shè)立了多重代表訴訟制度。多重代表訴訟源于美國判例法,主要目的在于解決股東代表訴訟無法在母子公司架構(gòu)下的適用難題以及維護(hù)母公司股東權(quán)益。①為順應(yīng)公司的發(fā)展需要,進(jìn)一步完善母子公司管理體制,筆者認(rèn)為適時(shí)的引入多重代表訴訟制度對(duì)我國母子公司的治理也將產(chǎn)生重要作用。本文將結(jié)合多重代表訴訟在美國、日本兩國的發(fā)展?fàn)顩r,詳細(xì)介紹多重代表訴訟,并試圖論證在中國設(shè)立該制度的必要性及合理性,然后針對(duì)中國的立法現(xiàn)狀,對(duì)在我國設(shè)立多重代表訴訟制度提出一些建議。本文由引言、正文、結(jié)論三部分構(gòu)成,正文主要包括以下五章內(nèi)容。第一章是關(guān)于多重代表訴訟的概述。主要介紹了多重代表訴訟的概念、特征、歷史發(fā)展軌跡以及在我國引入多重代表訴訟的必要性。通過與股東代表訴訟的對(duì)比,揭示多重代表訴訟在處理母子公司關(guān)系問題上的優(yōu)越性。第二章介紹了多重代表訴訟的理論基礎(chǔ)。關(guān)于多重代表訴訟,既有支持它的聲音存在,也有反對(duì)它的意見存在。支持建立多重代表訴訟的理論主要有法人格否認(rèn)理論、共同支配理論、信任關(guān)系理論、代理理論以及特別履行理論,但也有學(xué)者以存在其他救濟(jì)手段、違反同期所有權(quán)原則等理由反對(duì)建立多重代表訴訟制度。美國是多重代表訴訟起源的地方,而日本則是為數(shù)不多將多重代表訴訟寫入本國公司法的國家。多重代表訴訟能在這兩個(gè)國家生存下來,并不是這兩個(gè)國家的突發(fā)奇想,而是在經(jīng)過長(zhǎng)時(shí)間的司法實(shí)踐和不同的觀點(diǎn)博弈之后,探索出的符合自己國家公司發(fā)展的成果。本文接下來的三章內(nèi)容將分別借鑒美日兩國多重代表訴訟中關(guān)于前置程序、原告適格以及被告適格已有的設(shè)計(jì)經(jīng)驗(yàn),就多重代表訴訟制度在我國的設(shè)立問題,提出一些符合我國國情的設(shè)想。
[Abstract]:Since the industrial revolution in nineteenth Century, the form of enterprise organization has gradually evolved from a single sex to a plurality. The birth of the company group is the best example. In the survival mode of the company group, the parent company has become a subsidiary of the subsidiary through the way of holding, and the interests of the two are closely connected. In the event of a passive slack, no obligation to a good manager and a damage to the interests of a subsidiary, the parent company that is a subsidiary of a subsidiary will also be implicated, and the parent shareholder hidden behind the parent company is the final benefit. According to the 152nd provisions of the company law of China, this is the case. If a subsidiary refuses to bring a lawsuit against an illegal director and pursue its legal responsibility, the shareholders of a subsidiary (including the parent company) can bring a shareholder representative action to the court to obtain assistance to safeguard the interests of the subsidiary. But sometimes, there are countless ties between the directors of the subsidiary and the parent company. The parent company, the parent of a subsidiary of a subsidiary, will refuse to bring up a complaint against the director of a subsidiary company for a variety of reasons. Under the current "Company Law >", the shareholders of the parent company, especially the small and medium shareholders, can only resort to no door, swallowing the bad result of the parent company's slack in exercising its own rights. In order to improve the internal governance of the enterprise group, in 2014, Japan formally established the multiple representative litigation system through the amendment of the company law. The multiple representative litigation originated from the United States case law. The main purpose is to solve the problem of the application of the shareholder's representative litigation in the framework of the parent subsidiary company and to protect the shareholders' rights and interests of the parent company. In order to further improve the management system of parent and subsidiary companies, the author thinks that the introduction of multiple representative litigation system will also have an important role in the governance of the parent subsidiary companies in China. This paper will introduce multiple representative litigation in detail in the United States and Japan, and try to demonstrate the establishment of the system in China. The necessity and rationality, and then in view of the current situation of China's legislation, put forward some suggestions on the establishment of multiple representative litigation system in China. This article is composed of three parts: introduction, text and conclusion. The main body includes the following five chapters. The first chapter is about the description of multiple representative litigation. It mainly introduces the concept and characteristics of multiple representative litigation. The historical development track and the necessity of introducing multiple representative litigation in our country. Through the comparison with the shareholder representative litigation, it reveals the superiority of the multiple representative litigation in dealing with the relationship between the parent and subsidiary company. The second chapter introduces the theoretical basis of the multiple representative litigation. The theory that supports the establishment of multiple representative lawsuits mainly includes the theory of legal personality denial, the theory of common domination, the theory of trust relations, the theory of agency and the theory of special performance, but there are also many scholars who oppose the establishment of multiple representative litigation system by other remedies and violation of the principle of ownership of the same period. The United States is multiple. It represents the origin of the lawsuit, while Japan is the country where few representative cases are written into the national company law. Multiple representative suits can survive in these two countries, not the sudden fantasy of the two countries, but after a long time judicial practice and different views, the exploration is in line with their own country. The following three chapters will draw on the problems of the establishment of the multiple representative litigation system in our country, and put forward some ideas in accordance with the national conditions of our country.
【學(xué)位授予單位】：南京師范大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類號(hào)】：D922.291.91

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本文編號(hào)：1957203