论股东代表诉讼之判决既判力主观范围的扩张  

Expansion of the Subjective Scope of the Res Judicata of Shareholder Derivative Litigation

作　　者：谭逍月 段文波[1] TAN Xiaoyue;DUAN Wenbo(Law School,Southwest University of Political Science and Law,Chongqing 401120,China)

机构地区：[1]西南政法大学法学院,重庆401120

出　　处：《商业经济与管理》2021年第11期90-100,共11页Journal of Business Economics

基　　金：国家社会科学基金西部项目“创新驱动发展战略下知识产权诉讼机制研究”(21XFX001)。

摘　　要：股东代表诉讼判决既判力主观范围的扩张,包括向公司与其他股东二者的扩张。长期以来原告股东与公司的关系存在诉讼代理与诉讼担当之争,综合立法现状、制度渊源与改革成本等因素的考量,原告股东与公司的关系应定性为法定诉讼担当,从而为判决既判力向公司扩张提供正当理论支撑。但受制于股东代表诉讼前置程序形骸化,对原告股东起诉的正当性审查无从实现,公司与其他股东对于诉讼的获悉存在信息壁垒,由此应当通过诉讼告知程序为公司或其他股东作为有独立请求权第三人进入诉讼开辟通路。同时借由不起诉理由书与统一案件受理费等程序构建,作为其他股东进入诉讼的激励机制,进而为既判力的扩张提供理性基础。The expansion of the subjective scope of the res judicata of shareholder derivative litigation includes expansion to both the company and other shareholders.The relationship between the plaintiff s shareholders and the company has long been disputed over litigation agency and litigation undertaking.Considering factors such as the status quo of legislation,system origins,and reform costs,the relationship between the plaintiff s shareholders and the company should be regarded as statutory undertaking,so as to provide legitimate theoretical support for the judgment of the expansion of the subjective scope of the res judicata to company.Because of the useless pre-procedures in shareholder derivative litigation,the examination of the legitimacy of the plaintiff s prosecution cannot be realized.In consideration of information barriers to the knowledge of the lawsuit between company and other shareholders,it is necessary to allow company and other shareholders to join the suit as the third party with independent claims by litigation notification system.At the same time,through the construction of procedures such as no-action system and unification of case fee,it serves as an incentive mechanism for other shareholders to enter the litigation,thereby providing a rational basis for the expansion of res judicata.

关 键 词：股东代表诉讼 既判力主观范围扩张 法定诉讼担当 诉讼告知 

分 类 号：D72[政治法律—政治学]