上市公司中小股东权益保护现状分析与对策建议  

The Analysis of the Current Situation of the Protection of Minority Stockholders’Rights and Interests in Public Companies and the Countermeasures

作　　者：郑瑞琨[1] 孙超 ZHENG Rui-kun;SUN Chao(School of Humanities and Social Sciences,University of Science and Technology Beijing,Beijing 100083,China;Audit Office,Beijing University of Technology,Beijing 100124,China)

机构地区：[1]北京科技大学文法学院,北京100083 [2]北京工业大学审计处,北京100124

出　　处：《北京科技大学学报（社会科学版）》2021年第5期553-559,共7页Journal of University of Science and Technology Beijing(Social Sciences Edition)

摘　　要：上市公司中小股东所持有的闲散资金是证券市场重要的资金来源,加强对其利益保护具有十分重要的现实意义。实践中,上市公司控股股东滥用支配地位以及公司治理结构存在的缺陷导致侵害中小股东权益的行为屡有发生,《公司法》可诉性条款存在的缺陷给上市公司中小股东寻求救济带来障碍。基于此,文章从赋予控股股东诚信义务并强化董事忠实义务、完善投票表决机制和累积投票制等治理结构及完善决议瑕疵诉讼和股东代表诉讼制度等方面提出上市公司中小股东权益保护的若干思路,以期对丰富上市公司中小股东权益保护研究相关理论及实践起到促进作用。The Idle funds held by minority stockholders of public companies are important sources of funds in the securities market,so it is of great practical significance to strengthen the protection of their interests.In prac-tice,the abuse of dominant position by the controlling stockholders of public companies and the defects in cor-porate governance structure lead to frequent infringement of the rights and interests of minority stockholders,and the defects of the justiciable clauses in the company law bring obstacles for minority stockholders of public com-panies to seek relief.Based on this,the paper puts forward some ideas on the protection of the rights and in-terests of minority stockholders in public companies from three aspects:endowing the controlling stockholder with the duty of good faith and strengthening the director’s duty of loyalty,improving the voting mechanism and cumulative voting system and other governance structure,and improving the system of flaws decision litigation and stockholder representative litigation,so as to enrich the relevant theory and practice of the protection of the rights and interests of minority stockholders in public companies.

关 键 词：上市公司 中小股东 权益保护 

分 类 号：DF411.91[政治法律—经济法学]