公司经营者忠实和勤勉义务诉讼研究——以14省、直辖市的137件判决书为样本  

On Actions against Directors or Officers for Breaching the Duty of Loyalty or the Duty of Care:An Empirical Study Based on 137 Cases from 14 Provinces in China

作　　者：王军[1] 

机构地区：[1]中国政法大学

出　　处：《北方法学》2011年第4期24-39,共16页Northern Legal Science

摘　　要：对14个省、直辖市的基层、中级和高级法院的137件经营者忠实和勤勉义务纠纷案件判决的统计显示:当前绝大多数涉案公司是有限责任公司和各类外商投资企业;以忠实义务为焦点的案件占绝大多数;大量案件的争议事项超出了法律列举的董事、监事和高管的禁止行为,法院经常援用概括性条款作出判决。法院在审判中进行不同形式的法律解释:一方面,多数判决倾向于形式化审查和机械解释,法院尽量避免脱离法律、行政法规和公司章程的实体性和程序性规则作出判断;另一方面,少数判决对案件进行实质性审查,对法条进行创新解释。审判实践提出的核心问题是,如何解释和适用《公司法》第148条第一款中作为概括条款的忠实义务和勤勉义务。The study on 137 cases against directors and officers for breaching duty of loyalty or duty of care with jurisdictions covering district,intermediate,and higher courts in 14 provinces and municipalities shows that most companies concerned are closely held corporations and foreign invested companies in which duty of loyalty is the focus of lawsuits.Besides,many disputes are beyond the scope of prohibited conducts by directors,supervisors and senior officers listed in Article 149 of the Company Law,thus courts often apply general provisions in articles 148 or 150 for case judgment.Courts undertake different legal interpretations in trial：in the majority of decisions,courts incline to adopt procedural interpretation within the limit of literal understanding of laws,regulations and corporate charters;only a few decisions are based on creative interpretations by substantive examinations.Therefore,the core of judicial practice is how to interpret and apply the general provisions in Article 148（1） of the Company Law.

关 键 词：忠实义务 勤勉义务 形式化审查 实质性审查 

分 类 号：DF411.91[政治法律—经济法学]