封闭型公司股东权益保护的立法完善——以“股东直接诉讼”为切入点  

Amendments of the Protection of Shareholders’Rights and Interests in Closed Companies:Breaking Through“Shareholder’s Direct Action”

作　　者：杨姗[1] YANG Shan(Southwest University of Political Science and Law,Chongqing 401120,China)

机构地区：[1]西南政法大学民商法学院,重庆401120

出　　处：《现代法学》2021年第3期195-208,共14页Modern Law Science

基　　金：2019年重庆市博士后特别资助项目“股债融合式契约结构对公司法组织规则的挑战与应对”(渝人社办[2019]298)。

摘　　要：“股东直接诉讼”以《公司法》第152条为依据,是股东权益的保护机制,但该法条被置于《公司法》的“董事等高管义务与责任”章。通过对第152条司法实践的考察,发现该制度缺乏适用空间,究其根源在于:董事等高管受任于公司,且公司具有独立法人人格。在我国,董事等高管信义义务的受益对象只能是公司而非股东,董事等高管与股东间的利益冲突无法构成。另外,司法实践还从侧面反映了我国封闭型公司中股东权益遭受损害主要来自控制股东的“滥权”行为。虽现行《公司法》第20条对股东“滥权”行为进行了规范,但由于其过于简陋,无法满足现实的需求。《公司法》的修订不能仅停留于完善关于“控制股东”的行为规范,更应从体系层面予以考量:将公司组织类型划分为封闭型公司和开放型公司;根据不同类型公司控制股东“滥权”行为的不同表现,分而治之,以期从根本上解决矛盾,实现股东权益保护的立法目的。“Shareholders’direct action”is based on Article 152 of Chinese Company Law,which is the protection mechanism of shareholders’rights and interests.However,this article is placed in the chapter of“obligations and responsibilities of directors and other senior executives”of the Company Law.Based on the judicial practice of Article 152,it is found that the system lacks applicable space,and its root lies in:Directors and other executives are“appointed”by the company,and the company has independent legal personality,so the beneficiaries of directors and other executives’fiduciary duty can only be the company rather than shareholders,and the conflict of interests between directors,other executives and shareholders can’t be formed.In addition,the judicial practice also reflects that the damage to shareholders’rights and interests in the closed companies mainly comes from the“abuse of power”behavior of controlling shareholders.Although Article 20 of the Company Law regulates the“abuse of rights”of shareholders,it is too simple to meet the needs of reality.The revision of the company law should not only improve the behavior norms of“controlling shareholders”,but also be considered from the system level:According to the different behaviors of controlling shareholders’abuse of power in different types of companies,it should be dividedly ruled,so as to fundamentally solve the contradiction,and realize the legislative purpose of protecting shareholders’rights and interests.

关 键 词：股东权益保护 股东直接诉讼 控制股东 信义义务 股东代表诉讼 

分 类 号：DF591[政治法律—民商法学]