股份有限公司董事义务与责任的比较研究
摘要
强化股份有限责任公司(简称股份公司)董事义务和责任是维护股东权益，增强投资者积极性的关键环节。通过重点介绍和分析英美国家法中相关的理论和制度，本文对这一问题具体分以下几个方面展开论述：一、董事义务与股东权益；二、董事的忠实义务；三、董事的善管义务；四、董事的离任义务；五、董事责任的追究和股东权益的救济。相应地，本文分为五章。
第一章由两部分组成，第一节简述了公司董事的权力与义务，着重论述了强化其义务与责任的重要性与紧迫性。第二节论述了有关股东权的一些基本问题，诸如股东权的概念、来源、分类和冲突，以及股东权保护的原则、和意义。第二章着重分析了董事忠实义务中的冲突交易禁止义务、篡夺公司机会的禁止义务和竞业禁止义务。对于董事利益冲突交易的禁止义务，具体论述了这一交易的适用范围、生效要件等问题；对于篡夺公司机会禁止义务，着重探讨了公司机会的认定和公司机会的例外；对于竞业禁止义务，具体阐述了竞业的认定、违反这一义务的后果及这一义务的相对性。第三章在主要介绍英美法相关理论的基础上，着重阐述了如何在中国确立董事善管义务履行情况的衡量标准。第四章就董事的离任义务展开研究，论述了传统理论基础的缺失和重构、具体规则的设立以及我国有关立法的缺陷及完善。第五章探析了董事责任的追究和股东权益救济问题，具体对派生诉讼的提起、监事会职能的改革、刑事救济的缺陷和民事救济措施的加强等问题进行了分析。
In order to protect shareholders' interests and accelerate their zeal to invest, it's a critical aspect to intensify duty and liability of directors of joint-stock limited companies. This thesis, mainly by introducing and analyzing the related theories and systems in Anglo-American legal system, probes into this issue in detail by dividing itself into a few parts as follows: 1. Directors' duty and shareholders' right and interest; 2. Directors' duty of loyalty; 3. Directors' duty of care; 4. Off-post directors' duty; 5. Investigating and fixing liability of directors and remedies to shareholders' right and interest. Accordingly, this thesis involves five chapters.
The first includes two sections. The one simplifies power and duty of directors and the other analyzes some basic issues relating to share-holders' right and interest, such as the concept, origin, classification, of share-holders' right and interest, the principles and meaningfulness of protecting share-holders' right and interest, and conflicts between shareholders' right and interest. The second emphasizes three kinds of duties of directors named the duty to avoid conflicting benefit transactions, the duty to snatch none business opportunities from their companies and the duty to keep away from business strife. As the duty to avoid conflicting benefit transactions is concerned, this thesis
concentrates on the issues such as the scope and the entry-into-force requisition of this kind of transactions. As the duty to snatch none of corporate business opportunities is concerned, this thesis takes the identification and the exception of corporate business opportunities as the key issues. As the duty to keep away from business strife is concerned, this thesis dwells upon the identification of business strife, the consequence of breach and the relativity of this duty. The third, after mainly introducing the related theories in Anglo-American legal system, dwells on how to establish a yardstick to measure directors' fulfillment of duty of care. The fourth develops the research work on
a director's off-post duty. Accordingly, it expounds the defects and re-establishment of the traditional theories so as to base the mentioned duty upon, the setting-up of the exact rules to this duty and the lack and
the perfection of China's related legislation. The fifth probes into the issues of investigating and fixing liability of directors and the remedies to shareholders' right and interest and stresses such issues as starting a derivation action, reforming the board of supervisors, the betterment of criminal remedies and strengthening the measures of civil remedies.
第一章由两部分组成，第一节简述了公司董事的权力与义务，着重论述了强化其义务与责任的重要性与紧迫性。第二节论述了有关股东权的一些基本问题，诸如股东权的概念、来源、分类和冲突，以及股东权保护的原则、和意义。第二章着重分析了董事忠实义务中的冲突交易禁止义务、篡夺公司机会的禁止义务和竞业禁止义务。对于董事利益冲突交易的禁止义务，具体论述了这一交易的适用范围、生效要件等问题；对于篡夺公司机会禁止义务，着重探讨了公司机会的认定和公司机会的例外；对于竞业禁止义务，具体阐述了竞业的认定、违反这一义务的后果及这一义务的相对性。第三章在主要介绍英美法相关理论的基础上，着重阐述了如何在中国确立董事善管义务履行情况的衡量标准。第四章就董事的离任义务展开研究，论述了传统理论基础的缺失和重构、具体规则的设立以及我国有关立法的缺陷及完善。第五章探析了董事责任的追究和股东权益救济问题，具体对派生诉讼的提起、监事会职能的改革、刑事救济的缺陷和民事救济措施的加强等问题进行了分析。
In order to protect shareholders' interests and accelerate their zeal to invest, it's a critical aspect to intensify duty and liability of directors of joint-stock limited companies. This thesis, mainly by introducing and analyzing the related theories and systems in Anglo-American legal system, probes into this issue in detail by dividing itself into a few parts as follows: 1. Directors' duty and shareholders' right and interest; 2. Directors' duty of loyalty; 3. Directors' duty of care; 4. Off-post directors' duty; 5. Investigating and fixing liability of directors and remedies to shareholders' right and interest. Accordingly, this thesis involves five chapters.
The first includes two sections. The one simplifies power and duty of directors and the other analyzes some basic issues relating to share-holders' right and interest, such as the concept, origin, classification, of share-holders' right and interest, the principles and meaningfulness of protecting share-holders' right and interest, and conflicts between shareholders' right and interest. The second emphasizes three kinds of duties of directors named the duty to avoid conflicting benefit transactions, the duty to snatch none business opportunities from their companies and the duty to keep away from business strife. As the duty to avoid conflicting benefit transactions is concerned, this thesis
concentrates on the issues such as the scope and the entry-into-force requisition of this kind of transactions. As the duty to snatch none of corporate business opportunities is concerned, this thesis takes the identification and the exception of corporate business opportunities as the key issues. As the duty to keep away from business strife is concerned, this thesis dwells upon the identification of business strife, the consequence of breach and the relativity of this duty. The third, after mainly introducing the related theories in Anglo-American legal system, dwells on how to establish a yardstick to measure directors' fulfillment of duty of care. The fourth develops the research work on
a director's off-post duty. Accordingly, it expounds the defects and re-establishment of the traditional theories so as to base the mentioned duty upon, the setting-up of the exact rules to this duty and the lack and
the perfection of China's related legislation. The fifth probes into the issues of investigating and fixing liability of directors and the remedies to shareholders' right and interest and stresses such issues as starting a derivation action, reforming the board of supervisors, the betterment of criminal remedies and strengthening the measures of civil remedies.
引文
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[5]虞政平．Selected British Companies Acts(英国公司法汇编)．第1版，北京：法律出版社，2001
[6]V Stott.Hong Kong Company Law.7th ed.HongKong:Pitman Publishing and F T Law & Tax Asia Pacific,1997
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[10]王保树．股份有限公司的董事和董事会．外国法译评．1994，(1)：8
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[12]梅慎实．现代公司法人治理结构规范运作论．第1版．北京：中国法制出版社，2001
[13]张军．现代产权经济学．第1版．上海：上海三联书店，1991
[14][美]哈罗德·德姆塞茨．竞争的经济、法律和政治维度．第1版．上海：上海三联书店，1993
[15]刘俊海．股东权法律保护概论．第1版．北京：人民法院出版社，1995
[16][中国台湾]赖英照．公司法论文集．第1版，台湾：三民书局，1988
[17][加]布莱恩·R·柴芬斯．公司法：理论、结构和运作．第1版．北京：法律出版社，林华伟，魏曼译，2001
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[19]Adolf A Berle and Gardiner C Means.The Modern Corporation and Private Property.1st ed.ST Paul Minnesota:West Publishing Co.,1963
[20][美]亚当·斯密．国民财富的性质与原因的研究．第1版．上海：商务印书馆，郭大力，王亚南译，1974
[21]毛亚敏．公司法比较研究．第1版．北京：中国法制出版社，2001
[22]刘俊海．股份有限公司股东权的保护．第1版．北京：法律出版社，1997
[23]Ronald A Anderson,Ivan Fox and David P Twomay.Business Law:Principles,Case,Environment.8thed.Mason Ohio:South-Western Publishing Co.,1991
[24]法学总论——法学阶梯．第1版．上海：商务印书馆，张企泰译，1989
[25]李步云．法理学．第1版．北京：经济科学出版社，2000
[26]姜战军．股份有限公司股东大会制度研究．民商法论丛，2000，(13)：679
[27]张国平．公司法律制度．第1版．南京：南京师范大学出版社，2000
[28]刘俊海．热点商法经济法案例评析与立法问题．第1版，北京：经济科学出版社，2000
[29]刘俊海．欧盟公司法指令全译．第1版．北京：法律出版社，2000
[30]国家经贸委企业改革司．股份制改组与运作法规新编．第1版．北京：法律出版社，2000
[31][美] E．博登海默．法理学——法哲学及其方法．第1版，北京：华厦出版社，邓正来等译，1987
[32][英]A．J．M米尔恩．人的权利与人的多样性——人权哲学．第1版，北京：中国大百科全书出版社，夏勇、张志铭等译，1995
[33]L C B Gower.Gower's Principles of Modern Company Law.5th ed.London: Sweet & Maxwell Press,1992
[34]张民安．现代英美董事法律制度研究．第1版，北京：法律出版社，2000
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