论股东直接诉讼与派生诉讼的识别与合并  

On the Identification and Joinder of Shareholder Direct Litigation and Derivative Litigation

作　　者：王丹[1] Wang Dan

机构地区：[1]北京建筑大学

出　　处：《比较法研究》2024年第3期38-54,共17页Journal of Comparative Law

摘　　要：股东直接诉讼和派生诉讼的提起分别基于侵害与保护的对象是股东权利抑或公司权利。理论界和实务界一直以来秉持股东间接损害不能以直接诉讼起诉的原则,导致大量的股东损害只能通过派生诉讼方式来主张救济。从诉讼要素观察,股东派生诉讼与直接诉讼具有相同的诉讼当事人、类似的法律事实和诉讼请求、趋同的裁判标准,诉因亦具有极大的交叉重叠性。从理论基础来看,抽象的“公司利益”与相对具象的“股东团体性利益”高度重合,股东直接损害和间接损害边界模糊。刻意区分股东直接损害和间接损害,进而否认针对间接损害提起股东直接诉讼的做法并不可行。在特定情形下,应当将股东“间接损害”识别为“直接损害”,肯定股东以直接诉讼方式救济,同时允许股东在一定条件下合并提起直接诉讼与派生诉讼,为股东提供更多的维权路径。It is generally recognized that if the shareholders directly suffer personal harm,they can bring a direct suit against the corporation and its board of directors,and if the shareholders suffer the harm indirectly,via harm to the corporation itself,they can bring a derivative suit on behalf of the cor-poration against the board of directors.This results in a large number of shareholder damages that can not be remedied.Shareholder derivative litigation and direct litigation have the same parties,legal facts and judgement standards.Besides,the causes of actions also have great cross overlap.From a theoretical perspective,the corporate rights are coincident with the shareholder collective rights,and the boundary between indirect and direct harm to shareholders is too vague.Shareholders should be provided more methods to protect their rights.In specific circumstances,indirect damages should be identified as direct damages to be sued as shareholder direct litigation.Furthermore,direct litigation and derivative litigation should be joined under certain conditions.

关 键 词：股东直接诉讼 股东派生诉讼 直接损害 间接损害 个体性权利 团体性权利 诉讼合并 

分 类 号：D922.291.91[政治法律—经济法学]