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Title

股東代表訴訟當事人制度研究 = Research on the party's system of Shareholder's Representative Action

English Abstract

Shareholder's Representative Action, was originally created by the countries of common law system is aim to protect the company and any other minority shareholder from right violation. This is a significant system to let shareholder present the company to make a suit directly to the court. The system of Shareholder's Representative Action has been definitely provided in the new Company Law enforced on Jan 1st 2006 and it will play an important role in safeguarding the rights and in assuring them to effectively supervise on the operation and in perfecting the administrative structure. But in the system, the scope of the parties are not set clearly will result in difficult to make a suit. The minority shareholder has difficulty to protect their own benefit. So we should make some efforts to perfect the system. The article mainly analyzes the comparatively typical and perfect system of Shareholder's Representative Action of foreign countries by means of comparative method and at the same time reflects on the shortage of legislation of it. From the fundamentals of law to comprehensive overview, I find some shortcomings and attempt to make some advice to perfect the system. The article is composed of six parts: The first part mainly raises the most important problem in the research on the Party’s system of Shareholder’s Representative Action. Through comparison between research achievements at home and abroad, I introduce the used methods and ideas while writing this article. The second part supports the fundamental theory by mainly focusing on introducing the concept of the litigation, analyzing entity a controversy of the relation person and shareholder represent the relation of the litigation the party concerned. The third part is mainly about the plaintiff system. This part first discusses the boundary of the plaintiff system in shareholder representative. Then through the comparison among four abroad countries, we find that some shortages in our country's legal system and try to make some good advice to perfect the system. The forth part analyzes the scope of the defendant between domestic and foreign shareholder representative litigant, aim to give some excellent suggestion. 王颖 MB150726 364114617@qq.com 7 The fifth part is the discussion of the first question of the company’s status in the suit. The author introduces means of England, Germany and Japan. After a particular analysis, the author points out that the company does not belong to the Party in the suit but it can be considered a relative privy C. And the company can join into the suit. The second problem of other shareholder’s status is analyzed in the fifth part which first introduces legislations in the United States and Japan. The author thinks that we should learn the experiences and encourage other shareholders to attend Shareholder’s Representative Action only if they acquire permission from the Court. The law should guarantee their rights of knowing what happened, and should allow them vote their representatives for the suit. The sixth part, through the comparative study on analysis of the shareholder representative litigation procedures related to special programs, and discusses some insufficient in the procedures, give some advice to adapt to the system.

Chinese Abstract

股东代表诉讼制度,最初是由英美法系的国家所创设的,其根本目的是为了 保护公司及其中小股东的权益在受到侵害时,能够挺身而出代替公司或者自己直 接向权利侵害人提起诉讼的一种特殊救济制度。 我国从 2006 年 1 月 1 日开始正式施行的新《公司法》中虽然引入了股东代 表诉讼制度,这对于维护公司中小股东的权益、确保股东对公司经营的有效监督、 完善公司治理结构具有非常重要的作用。但因为该制度中对其当事人的范围并没 有做出一个明确的规定,这就导致在实践中仍然缺乏其可操作性,小股东在自己 利益受到侵害想要采取措施维护时往往求助无门。所以,面对这项制度在立法中 所存在的缺陷,就需要尽快的进行完善。 本文采用了比较研究方法,通过将国内外股东代表诉讼中的当事人制度进行 比较分析,再结合到我国的国情上,从实体方面和程序方面相结合的角度入手, 就股东代表诉讼当事人制度的现状进一步探讨,对完善和改进这一制度提出了些 许自己的建议。 全文共分为六个部分对股东诉讼当事人制度进行探讨。第一章,提出了本文 所研究的主要问题,目前这个问题在国内外的研究现状以及在写本文的过程中所 用的方法和思路。第二章,首先概述了股东代表诉讼的基本理论,对股东代表诉 讼的概念、历史发展和功能做一个简单的介绍,比较分析了股东代表诉讼与直接 诉讼、代表人诉讼诉讼、债权人代位诉讼之间的区别。其次初步论述了股东诉讼 当事人,明确股东代表诉讼当事人的定义。第三章,具体论述了股东代表诉讼当 事人原告的范围。先以英国、美国、德国和日本为代表阐述了国外关于原告的资 格要求,参考我国现行法律对于我国股东代表诉讼原告制度中的不足提出相应的 完善建议。第四章,通过比较法的研究分析了国内外股东代表诉讼当事人被告的 范围,针对我国股东代表诉讼被告制度中的不足提出相应的改进建议。第五章, 论述了公司及其他股东在股东代表诉讼中的地位。各国法律中一般都肯定公司及 其他股东应该参与到股东代表诉讼中来,但是对于其地位的规定却各有不同。结 合到我国的国情上,公司及其他股东到底该以什么身份来参与诉讼,本章做了具 体的阐述。第六章,通过比较研究分析了股东代表诉讼程序的相关特殊程序,并 对目前程序中的不足加以探讨,提出了股东代表诉讼中适用的几项特殊规则。

Issue date

2013

Author

王穎

Faculty

Faculty of Law

Degree

LL.M.

Subject

Stockholders' derivative actions

股東代表訴訟

Stockholders' derivative actions -- China

股東代表訴訟 -- 中國

Juridical Sciences (Chinese Language) -- Faculty of Law

中文法學 -- 法學院

Supervisor

范劍虹

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Location
1/F Zone C
Library URL
991004891929706306