论股东知情权的司法救济
|
摘要
公司基于股份所有权与经营权的二权分离而产生的独特治理机构,让大多数股东淡出了公司的日常经营,如果没有一定的渠道让股东了解公司的信息,股东对公司的真实状况的观察就会如雾里看花,在自己的权利受到侵犯的情况下也毫无所知,让公司的现代化治理结构变成侵犯股东权利的寄生体。因此,股东知情权在股东权体系中具有基础性的地位,是其他股东权得以实现的起点和基础。但我国股东知情权保护制度起步较晚,极不完备,让广大股东对如何实现股东知情权茫然无知,也让法院在处理此类案件时无所适从。所以对股东知情权司法救济问题的探讨不仅具有必要性而且具有紧迫性。
股东知情权作为多项股东权利的集合体,以保障股东对公司有关信息的知晓,进而实现对各项股东权的预防性保护为目的。股东知情权的主体包含广义上的股东,客体为公司的各项基础性信息和经营性信息。股东知情权在实现途径上分为主动披露与被动请求两种,其具体行使可归纳为公司事务参与、账簿查询、质询、专业监督、诉讼等五个方面,并表现出力度和强度逐步增强的结构特征。对于股东知情权司法救济的探讨,应当从股东知情权的司法救济原由开始,这是寻求司法救济的入口,决定了可予救济的范围与保护力度。股东知情权司法救济制度有着规范公司治理、提供预防性保护、规范交易秩序等多方面的制度功能和法律意义。对于股东知情权之诉原告的确定,应该以是否具有诉的利益为标准,对被告范围的确定,原则上应当以是否对股东承担的受信义务为标准,同时对于公司有关信息真实性承担担保义务的有关中介机构可能以第三人的身份参加诉讼并承担一定的补充责任。为适应公司形态多样化和股东分布广泛等特点,应当构建单独诉讼、集团诉讼、代表人诉讼三位一体的诉讼机制,最大限度方便股东诉讼。股东知情权之诉本质上是对实体问题的审理,应当适用一般程序,并有必要构建包含诉前保全与诉讼保全在内的完备保全体系,保障诉讼的顺利进行。股东知情权的举证责任分配是对股东间强弱不均现实予以平衡的司法工具,应区分不同案件类型进行有针对性的举证责任分配。作为非财产案件,股东知情权之诉的被告承担的主要是一种非财产民事责任。在股东知情权之诉的执行过程中,主要涉及的是行为的执行,其中既包括可替代行为的执行,也包括不可替代行为的执行。总之,研究股东知情权的司法救济,应当从厘定权利本源、界定权利边界、探悉救济路径、完善救济方式四个方面着手进行,唯有如此,才能建构完善的股东知情权保护机制,实现公司治理结构的和谐。
The special institution of governance, which is resulted from the divorce of ownership and managerial authority, makes the daily affairs of the company out of shareholders' control. If there is no certain channel informing the company's shareholders of information, shareholders will know little about the real situation of the company. They would be unconscious of any violence to their rights, and the company will become a modern management structure which may violate the rights of shareholders. So the realization of the shareholders' right to know which has fundamental status in the shareholders' right system is the start and base of the realization of other rights of shareholders. Although the Corporation Law has already been amended several times, there exist only general principles with scattered and incomplete contents because of the late establishment of our national protect system for shareholders' right. As the right to action has been neglected and there is no regulation about protecting this unique right of shareholders, the shareholders are not aware of the right to know at all, and the court has difficulties in dealing with such cases. Therefore, it is important and urgent to study the judicial relief of the shareholders' right to know.
As a collection of many rights of shareholders, the right to know aims at informing shareholders related information about the company and protecting shareholders' rights. The subject of the right to know contains shareholders in broad sense, and the objects are basic and managerial information of the company. The shareholders' right to know can be divided into two kinds, i.e., active disclosure and passive requirement. Specifically, the right of participation into the company's affairs, the right of inspection of the corporation's books and records, the right to address questions, the right of professional supervision, the right of internal request, the right to action, showing a build-up structure. The study of judicial relief of the right to know starts from analyzing the reasons of judicial relief, which determines the range of relieving and the strength of protection. The regulations of judicial relief of the right to know have many functions and significant meaning in regulating the management of the company and the order of transaction and providing protection. The determination of plaintiff should take action benefit as a criterion, while, the insurance of the defender should take his duty as a criterion. According to the characteristics of varied company form, it is necessary to establish a trinity litigious mechanism which composes of individual litigation, collective litigation, and representative litigation. The nature of the action of the shareholders' right to know is how to deal with practical matters, which apply general procedure. And it is necessary to found a complete protection system including pre-action protect and action protect to make sure that action is successful. The duty of giving certification is a judicial method to balance the strength among shareholders. In a word, the study of judicial relief of the right to know should begin with the origin of shareholders' right to know, its scope, and its relief paths and methods. By this way, we can construct protection mechanism of shareholders' right and realize harmonious governance of corporation.
股东知情权作为多项股东权利的集合体,以保障股东对公司有关信息的知晓,进而实现对各项股东权的预防性保护为目的。股东知情权的主体包含广义上的股东,客体为公司的各项基础性信息和经营性信息。股东知情权在实现途径上分为主动披露与被动请求两种,其具体行使可归纳为公司事务参与、账簿查询、质询、专业监督、诉讼等五个方面,并表现出力度和强度逐步增强的结构特征。对于股东知情权司法救济的探讨,应当从股东知情权的司法救济原由开始,这是寻求司法救济的入口,决定了可予救济的范围与保护力度。股东知情权司法救济制度有着规范公司治理、提供预防性保护、规范交易秩序等多方面的制度功能和法律意义。对于股东知情权之诉原告的确定,应该以是否具有诉的利益为标准,对被告范围的确定,原则上应当以是否对股东承担的受信义务为标准,同时对于公司有关信息真实性承担担保义务的有关中介机构可能以第三人的身份参加诉讼并承担一定的补充责任。为适应公司形态多样化和股东分布广泛等特点,应当构建单独诉讼、集团诉讼、代表人诉讼三位一体的诉讼机制,最大限度方便股东诉讼。股东知情权之诉本质上是对实体问题的审理,应当适用一般程序,并有必要构建包含诉前保全与诉讼保全在内的完备保全体系,保障诉讼的顺利进行。股东知情权的举证责任分配是对股东间强弱不均现实予以平衡的司法工具,应区分不同案件类型进行有针对性的举证责任分配。作为非财产案件,股东知情权之诉的被告承担的主要是一种非财产民事责任。在股东知情权之诉的执行过程中,主要涉及的是行为的执行,其中既包括可替代行为的执行,也包括不可替代行为的执行。总之,研究股东知情权的司法救济,应当从厘定权利本源、界定权利边界、探悉救济路径、完善救济方式四个方面着手进行,唯有如此,才能建构完善的股东知情权保护机制,实现公司治理结构的和谐。
The special institution of governance, which is resulted from the divorce of ownership and managerial authority, makes the daily affairs of the company out of shareholders' control. If there is no certain channel informing the company's shareholders of information, shareholders will know little about the real situation of the company. They would be unconscious of any violence to their rights, and the company will become a modern management structure which may violate the rights of shareholders. So the realization of the shareholders' right to know which has fundamental status in the shareholders' right system is the start and base of the realization of other rights of shareholders. Although the Corporation Law has already been amended several times, there exist only general principles with scattered and incomplete contents because of the late establishment of our national protect system for shareholders' right. As the right to action has been neglected and there is no regulation about protecting this unique right of shareholders, the shareholders are not aware of the right to know at all, and the court has difficulties in dealing with such cases. Therefore, it is important and urgent to study the judicial relief of the shareholders' right to know.
As a collection of many rights of shareholders, the right to know aims at informing shareholders related information about the company and protecting shareholders' rights. The subject of the right to know contains shareholders in broad sense, and the objects are basic and managerial information of the company. The shareholders' right to know can be divided into two kinds, i.e., active disclosure and passive requirement. Specifically, the right of participation into the company's affairs, the right of inspection of the corporation's books and records, the right to address questions, the right of professional supervision, the right of internal request, the right to action, showing a build-up structure. The study of judicial relief of the right to know starts from analyzing the reasons of judicial relief, which determines the range of relieving and the strength of protection. The regulations of judicial relief of the right to know have many functions and significant meaning in regulating the management of the company and the order of transaction and providing protection. The determination of plaintiff should take action benefit as a criterion, while, the insurance of the defender should take his duty as a criterion. According to the characteristics of varied company form, it is necessary to establish a trinity litigious mechanism which composes of individual litigation, collective litigation, and representative litigation. The nature of the action of the shareholders' right to know is how to deal with practical matters, which apply general procedure. And it is necessary to found a complete protection system including pre-action protect and action protect to make sure that action is successful. The duty of giving certification is a judicial method to balance the strength among shareholders. In a word, the study of judicial relief of the right to know should begin with the origin of shareholders' right to know, its scope, and its relief paths and methods. By this way, we can construct protection mechanism of shareholders' right and realize harmonious governance of corporation.
引文
[1]Walter Werner.Corporation Law in Search of Its Future.Columbia Law Review,Vol.81,No.8(Dec.,1981),1613
[2]蓝寿荣.上市公司股东知情权研究.北京:中国检察出版社.2006,45,84,97
[3]赵家义,高义融.股东信息权制度研究.政法论坛,2000(4):54,55,52
[4]周建伟.美国公司法股东查阅权制度演变初探.北京政法职业学院学报,2005(4):52
[5]Randall S.Thomas“Improving shareholder Monitoring of Corporate Management by Expanding Statutory Access to Information”,Spring,1996,38,Ariz.L.Rev.331
[6]龙卫球.民法总论.第二版.北京:中国法制出版社,2002,118,122,380
[7]谢怀栻.《论民事权利体系》[载《民法总则论文选萃》].北京:中国法制出版社,2004,250
[8]史尚宽.民法总论.北京:中国政法大学出版社,2000,85
[9]钱玉林.股东大会决议瑕疵研究.北京:法律出版社,2005,88,76-78
[10]肖海军.企业法原论.长沙:湖南大学出版社,2006,164-165
[11]刘俊海.股份有限公司股东知情权的保护.北京:法律出版社,2004,371-374,53-54,363,296,316
[12]张明远.证券投资损害诉讼救济论.北京:法律出版社,2002,243
[13]徐贵勇,陈震.“信义层级”视野下的股东知情权若干实务问题探析.http://www.civillaw.com.cn,2007
[14]佚名.股东享有知情权公司章程不能夺.http://www.chinacpx.corn,2006-6-27
[15]李林.股东知情权制度研究:上海社会科学院硕士学位论文.上海:上海上海科学院法学研究所,2006,1-2,3,31
[16]任丹丽.股东知情权制度的研究路径.湖北经济学院学报[人文社会科学版],2006(12):110
[17]蒋大兴.超越股东知情权诉讼的司法困境.法学.2005(2):12,13
[18]MICHAEL J WHINCOP http://www.austlii.org/.2007-9-5
[19]徐静.股份有限公司股东知情权制度研究.硕士学位论文.长春:吉林大学,2006,28
[20]徐志涵.股东查阅权法律问题研究.硕士学位论文,重庆:西南政法大学,2006,11
[21]赵旭东.境外公司法专题概览.北京:法律出版社,2005,363-371,540
[22]于敏,杨东.最新日本公司法.北京:法律出版社,2006,246-249,325
[23]于定勇.试论我国股东知情权法律制度之构建.广东经济管理学院学院学报.2005(3):76
[24]庞梅.股东知情权:从利益平衡到法律适用.法律适用,2007(8):53-54
[25]孙加瑞.公司股东权诉讼研究:[博士学位论文].北京:中国社会科学院法学研究所,2000,93,108,112,102,107
[26]托马斯.莱塞尔,吕迪格.法伊尔.德国资合公司法.高旭军,单晓光,刘晓梅等译.北京:法律出版社,2005,236-243,456
[27]金邦贵.法国商法典.北京:中国法制出版社,2000,147
[28]王燕莉.论权利制衡下股东知情权之行使.四川师范大学学报,2004(2):42
[29]江伟,邵明,陈刚.民事诉权研究.北京:法律出版社,2002,166-167
[30]杨路.股东知情权案件若干问题研究.法律适用,2007(4):10,13
[31]宣伟华.虚假陈述民事赔偿与投资者权益保护.北京:法律出版社,2003,76
[32]梅迪库斯.德国民法总论.邵建东译.北京:法律出版社,2000,92-93
[33]苏保国.论股东质询权[硕士学位论文].重庆:西南政法大学,2006,23
[34]拉德布鲁赫.法学导论.米健译.北京:中国大百科出版社,1997,100
[35]刘桂清.公司治理视角中的股东诉讼研究.北京:中国方正出版社,2005(3):4,7,18,123-124
[36]柯芳枝.公司法.北京:法律出版社,2004,33,274-275,54
[37]黄辉.股东派生诉讼制度研究.商事法论集.第7卷,340
[38]王泽鉴.侵权行为法.北京:中国政法大学出版社,2002,8.86
[39]范健,王建文,公司法.北京:法律出版社,2006,283,286,4,332,3415
[40]冯晓萍.公司集团诉讼价值研究.法制与社会.2007(4):112
[41]江伟.民事诉讼法.北京:中国人民大学出版社,2004.,132
[42]杨峰.证券民事责任制度比较研究.北京:法律出版社,2006,390,223
[43]章光园.再论社员权——以其演变、意义与保护为视角.http://article.chinalawinfo.com.2007-8-21
[44]李理.有限责任公司股东知情权诉讼若干问题的探讨.湖南商学院学报.2007(2):102
[45]郑伟.民商事典型案例精解.北京:人民法院出版社,2005,243
[46]王文字.公司法论.北京:中国政法大学出版社,2004,330
[47]常怡.民事诉讼法学.北京:中国政法大学出版社,1999,119
[48]Michael Ottley.Briefcase on COMPANY LAW.Second Edition.武汉:武汉大学出版社影印版.2004,53
[49]Robert W.Hamilton,The 1aw of Corporations,fouth edition:West Publishing Co.,1996:379[中国人民大学2001年影印版]
[50]张卫平.民事诉讼:关键词展开.北京:中国人民大学出版社,2005,158
[51]党玺.保荐人责任问题法律研究.福建金融管理干部学院学报,2007(1):48
[52]李智慧.证券信息披露中保荐人的民事责任[硕士学位论文].吉林:吉林大学,2007,1
[53]钱卫清.公司诉讼——公司司法救济新论.北京:人民法院出版社,2003:82
[54]钟淑健.股东知情权及利润分配诉讼有关问题研究.政法论坛,2006(5):71
[55]曲艺.我院审结一起股东知情权纠纷案件.http://www.courtwind.org:2007-9-10
[56]翟志文.我国大陆与台湾地区民事证据保全制度的比较.江淮论坛,2007(1):32
[57]廖小琴.民事证据保全制度研究.[四川大学硕士学位论文].成都:四川大学,2005.34
[58]毕玉谦.证据保全程序问题研究.北京科技大学学报,2001,(2):61
[59]吴宏耀,魏晓娜.诉讼证明原理.北京:法律出版社,2002,286,313
[60]公司股东知情权案,http://www.sh-lawyer.net/2007-8-30
[61]杨立新.侵权法论.第三版.北京:人民法院出版社,2005,238
[62]张新宝.侵权责任法原理.北京:法律出版社,2005,467-468
[63]黎蜀宁.民事执行行为研究[博士学位论文].重庆:西南政法大学.2004(1),74-77.86
[64]夏蔚.论行为请求权的执行.政法学刊,2003(4):16
[65]刘晓燕,李劼.股东知情权就这样落到实处.人民法院报,2007-7-23
[2]蓝寿荣.上市公司股东知情权研究.北京:中国检察出版社.2006,45,84,97
[3]赵家义,高义融.股东信息权制度研究.政法论坛,2000(4):54,55,52
[4]周建伟.美国公司法股东查阅权制度演变初探.北京政法职业学院学报,2005(4):52
[5]Randall S.Thomas“Improving shareholder Monitoring of Corporate Management by Expanding Statutory Access to Information”,Spring,1996,38,Ariz.L.Rev.331
[6]龙卫球.民法总论.第二版.北京:中国法制出版社,2002,118,122,380
[7]谢怀栻.《论民事权利体系》[载《民法总则论文选萃》].北京:中国法制出版社,2004,250
[8]史尚宽.民法总论.北京:中国政法大学出版社,2000,85
[9]钱玉林.股东大会决议瑕疵研究.北京:法律出版社,2005,88,76-78
[10]肖海军.企业法原论.长沙:湖南大学出版社,2006,164-165
[11]刘俊海.股份有限公司股东知情权的保护.北京:法律出版社,2004,371-374,53-54,363,296,316
[12]张明远.证券投资损害诉讼救济论.北京:法律出版社,2002,243
[13]徐贵勇,陈震.“信义层级”视野下的股东知情权若干实务问题探析.http://www.civillaw.com.cn,2007
[14]佚名.股东享有知情权公司章程不能夺.http://www.chinacpx.corn,2006-6-27
[15]李林.股东知情权制度研究:上海社会科学院硕士学位论文.上海:上海上海科学院法学研究所,2006,1-2,3,31
[16]任丹丽.股东知情权制度的研究路径.湖北经济学院学报[人文社会科学版],2006(12):110
[17]蒋大兴.超越股东知情权诉讼的司法困境.法学.2005(2):12,13
[18]MICHAEL J WHINCOP http://www.austlii.org/.2007-9-5
[19]徐静.股份有限公司股东知情权制度研究.硕士学位论文.长春:吉林大学,2006,28
[20]徐志涵.股东查阅权法律问题研究.硕士学位论文,重庆:西南政法大学,2006,11
[21]赵旭东.境外公司法专题概览.北京:法律出版社,2005,363-371,540
[22]于敏,杨东.最新日本公司法.北京:法律出版社,2006,246-249,325
[23]于定勇.试论我国股东知情权法律制度之构建.广东经济管理学院学院学报.2005(3):76
[24]庞梅.股东知情权:从利益平衡到法律适用.法律适用,2007(8):53-54
[25]孙加瑞.公司股东权诉讼研究:[博士学位论文].北京:中国社会科学院法学研究所,2000,93,108,112,102,107
[26]托马斯.莱塞尔,吕迪格.法伊尔.德国资合公司法.高旭军,单晓光,刘晓梅等译.北京:法律出版社,2005,236-243,456
[27]金邦贵.法国商法典.北京:中国法制出版社,2000,147
[28]王燕莉.论权利制衡下股东知情权之行使.四川师范大学学报,2004(2):42
[29]江伟,邵明,陈刚.民事诉权研究.北京:法律出版社,2002,166-167
[30]杨路.股东知情权案件若干问题研究.法律适用,2007(4):10,13
[31]宣伟华.虚假陈述民事赔偿与投资者权益保护.北京:法律出版社,2003,76
[32]梅迪库斯.德国民法总论.邵建东译.北京:法律出版社,2000,92-93
[33]苏保国.论股东质询权[硕士学位论文].重庆:西南政法大学,2006,23
[34]拉德布鲁赫.法学导论.米健译.北京:中国大百科出版社,1997,100
[35]刘桂清.公司治理视角中的股东诉讼研究.北京:中国方正出版社,2005(3):4,7,18,123-124
[36]柯芳枝.公司法.北京:法律出版社,2004,33,274-275,54
[37]黄辉.股东派生诉讼制度研究.商事法论集.第7卷,340
[38]王泽鉴.侵权行为法.北京:中国政法大学出版社,2002,8.86
[39]范健,王建文,公司法.北京:法律出版社,2006,283,286,4,332,3415
[40]冯晓萍.公司集团诉讼价值研究.法制与社会.2007(4):112
[41]江伟.民事诉讼法.北京:中国人民大学出版社,2004.,132
[42]杨峰.证券民事责任制度比较研究.北京:法律出版社,2006,390,223
[43]章光园.再论社员权——以其演变、意义与保护为视角.http://article.chinalawinfo.com.2007-8-21
[44]李理.有限责任公司股东知情权诉讼若干问题的探讨.湖南商学院学报.2007(2):102
[45]郑伟.民商事典型案例精解.北京:人民法院出版社,2005,243
[46]王文字.公司法论.北京:中国政法大学出版社,2004,330
[47]常怡.民事诉讼法学.北京:中国政法大学出版社,1999,119
[48]Michael Ottley.Briefcase on COMPANY LAW.Second Edition.武汉:武汉大学出版社影印版.2004,53
[49]Robert W.Hamilton,The 1aw of Corporations,fouth edition:West Publishing Co.,1996:379[中国人民大学2001年影印版]
[50]张卫平.民事诉讼:关键词展开.北京:中国人民大学出版社,2005,158
[51]党玺.保荐人责任问题法律研究.福建金融管理干部学院学报,2007(1):48
[52]李智慧.证券信息披露中保荐人的民事责任[硕士学位论文].吉林:吉林大学,2007,1
[53]钱卫清.公司诉讼——公司司法救济新论.北京:人民法院出版社,2003:82
[54]钟淑健.股东知情权及利润分配诉讼有关问题研究.政法论坛,2006(5):71
[55]曲艺.我院审结一起股东知情权纠纷案件.http://www.courtwind.org:2007-9-10
[56]翟志文.我国大陆与台湾地区民事证据保全制度的比较.江淮论坛,2007(1):32
[57]廖小琴.民事证据保全制度研究.[四川大学硕士学位论文].成都:四川大学,2005.34
[58]毕玉谦.证据保全程序问题研究.北京科技大学学报,2001,(2):61
[59]吴宏耀,魏晓娜.诉讼证明原理.北京:法律出版社,2002,286,313
[60]公司股东知情权案,http://www.sh-lawyer.net/2007-8-30
[61]杨立新.侵权法论.第三版.北京:人民法院出版社,2005,238
[62]张新宝.侵权责任法原理.北京:法律出版社,2005,467-468
[63]黎蜀宁.民事执行行为研究[博士学位论文].重庆:西南政法大学.2004(1),74-77.86
[64]夏蔚.论行为请求权的执行.政法学刊,2003(4):16
[65]刘晓燕,李劼.股东知情权就这样落到实处.人民法院报,2007-7-23