【作者】 曹如波；

【导师】 徐卫东；

【作者基本信息】 吉林大学 ， 民商法， 2011， 博士

【摘要】 非讼程序是公司纠纷解决的一种司法救济途径,在民事诉讼程序法理二元化理论中,它与诉讼程序相对应。与诉讼程序相比,非讼程序具有法官的自由裁量权较大、解决纠纷迅速、简便等特征,因此,对于解决部分公司纠纷案件具有固有的制度优势,特别是在公司治理机制失灵时,司法权力通过非讼程序方式介入,可以迅速平息矛盾,将公司内部纠纷解决在初始阶段,防止出现更大的冲突。这就是公司非讼程序的核心价值。但是,我国目前单一类型的公司非讼程序立法现状与公司活动的实际需要不相适应,造成当事人维权成本过高、司法救济不力和司法资源浪费的严重缺陷。正是基于这种认识和判断,本文对公司非讼程序的基本问题进行分析研究,试图对我国公司非讼程序制度的完善提出一些建议。本文在结构上共分五章。第一章,公司非讼程序的理论基础。本章首先介绍了非讼案件与非讼程序的概念与特征,以及非讼程序与诉讼程序交错适用的法理,在此基础上对公司非讼程序进行了界定,分析其价值取向,探讨其与公司治理的关系。通过对公司非讼程序的几种不同称谓进行比较分析,本文认为公司非讼程序的称谓比较简明,赞同这种称谓。通过从民事诉讼程序和公司纠纷解决机制两个视角的观察,对公司非讼程序的概念进行了界定,公司非讼程序就是非讼程序在公司法上的适用,它是公司利益相关主体为维护自己的权利,实现自己的利益,将没有实体民事权益争议或争议不明显的公司纠纷提请法院审理的非讼程序。公司非讼程序体现了国家权力通过法院对公司内部事务的直接干预,特别强调简便、迅捷的效率价值,同时,也存在对当事人程序保障相对薄弱的固有缺陷。因此,在强调国家干预与效率价值的同时,要协调和平衡自由与秩序、公正与效率的关系。公司非讼程序是公司治理机制失灵时有效的外部纠正机制,在司法介入时,要注意把握适度介入的边界,维护公司自治原则。第二章,公司非讼程序的适用范围。非讼程序兼具效率优势和程序保障不足的缺陷,需要在法理上进行研判与实务上的可行性分析,通过恰当地界定公司非讼程序的适用范围,减弱由非讼程序固有缺陷带来的不利影响,兼顾公司非讼程序的公正与效率。关于公司非讼案件的划分标准,可以从形式标准和实质标准两个层面进行区分。形式标准以“实定法”为根据;实质标准以案件的性质判断和效率优先的价值判断两个角度进行划定。如根据“对象说”的观点,公司诉讼案件是指双方当事人对公司法上的权利存在与否等实质事项有争议的纠纷案件,公司非讼案件是指公司利害关系人在没有公司法上实体权益争议或争议不明显的情况下请求法院确认某种事实是否存在,从而使一定的公司法律关系发生、变更或消灭的案件。为加深认识,本章对公司非讼案件的特征及类型进行了分析。第三章,典型公司非讼案件研究。在对我国理论界有代表性的几种不同意见进行分析后,本文认为,在我国公司法背景下,可以适用非讼程序的典型公司案件有5种类型,即股东知情权案件、股东会司法召集案件、董事的司法选任案件、异议股东股份回购请求权案件,以及我国立法已经明确适用非讼程序的公司强制清算案件。对于这几种公司案件,分别进行了比较法考察,介绍了我国司法救济现状,认为这些案件的性质与非讼程序契合,适用非讼程序是比较适宜的,有利于维护当事人的合法权益。第四章,我国公司非讼程序的现状评析。从民事诉讼法的视角介绍了我国非讼程序的立法情况,从公司法视角考察了我国公司非讼程序的立法现状,着重分析了我国公司强制清算制度设立的背景与过程,评析了公司强制清算程序的主要制度,检讨了其中的不足之处,并对我国单一公司非讼程序类型的立法现实进行了反思。在司法实践中,法院对有的公司案件不予受理,司法救济不力,公司治理缺乏有效的救济机制;一些本属非讼性质的公司案件错用了诉讼程序进行审理,造成当事人维权成本过高、司法资源浪费的严重缺陷。这些情况表明,我国需要扩大公司非讼程序的适用范围,完善公司非讼程序制度。第五章,我国公司非讼程序的完善构想。通过借鉴域外非讼程序的立法模式,结合我国的实际情况,提出完善我国公司非讼程序的立法路径:一是在将来修订民事诉讼法时对非讼程序的一般规则作出规定,二是在修订公司法时对公司非讼案件类型及其特殊规则作出规定。应逐步扩大公司非讼程序的适用范围,首先可以考虑将股东知情权案件纳入公司非讼案件的范围。为确保公司非讼程序的正当性,可以参照大陆法系的抗告制度,引入我国民事诉讼复议制度,建立我国公司非讼程序的纠错机制。更多还原

【Abstract】 In the dualistic legal theories of civil procedure, as the counterpart to contentious procedure, non-contentious procedure is a judicial relief for the corporate disputes. Compared with contentious procedure, non-contentious procedure inherently advantages in solving certain types of corporate disputes as it featured in several aspects such as more discretion vested in judges, efficiency and simplicity in solving corporate disputes, etc., especially in the circumstance of failure of the mechanism of the corporate governance where the judicial power may be exerted through the non-contentious procedure to solve the disputes in a timely manner for avoidance of escalation of further disputes, this is the core value of the non-contentious procedure. However, the current legislation status which only allows one type of non-contentious procedure does not accommodate the needs of corporate activities in China, causing serious defects such as unreasonably high litigation costs for the parties, inadequate of judicial reliefs and waste of judicial resources, etc. In this regard, the article analyzes and studies on the key issues of corporate non-contentious procedure and aims to provide some suggestions for the improvement of corporate non-contentious procedure in China. The article consists of five chapters.Chapter 1, the general principles of corporate non-contentious procedure. The chapter starts with the definitions and features of non-contentious procedure and non-contentious case as well as the rationale of the alternative application of non-contentious procedure and contentious procedure. Based on these, the chapter defines the“corporate non-contentious procedure”and analyzes its value orientation, then discuss its connections with the corporate governance. By comparative analyzing the different expressions of non-contentious procedure, the article agrees with the expression of“corporate non-contentious procedure”for its simplicity and concise. From the perspectives of civil procedure and the mechanism for the dispute resolution of corporate matters, the chapter also defines the concept of“corporate non-contentious procedure”, which is the application of non-contentious procedure in the context of Company Law, i.e. the non-contentious procedure is the non litigation procedure employed by the related parties, in order to protect their rights, achieve their profits, to file petition to the court for non-substantive civil disputes or other non contesting corporate disputes. The corporate non-contentious procedure reflects the direct involvement of state power to the internal corporate matter through the judicial system. The procedure stresses on the value of convenience and efficiency yet also inherently inadequate in the strength of procedural protections offered to the parties to the disputes. Therefore, a balance between the freedom and order, justice and efficiency shall be achieved while emphasizing on the state power’s interventions and the value of efficiency. The corporate non-contentious procedure is an effective external mechanism in the circumstance of failure of the mechanism of corporate governance. Nevertheless, when the judicial power is exerted, a clear boundary should be drawn to ensure the principle of autonomy of a company.Chapter 2, the scope of application of corporate non-contentious procedure. The non-contentious procedure has the advantages of efficiency yet also with the deficiency in procedural protection. Both theoretical analysis and feasibility study on the practices should be conducted to properly determine the applicable scope of non-contentious procedure so as to mitigate the adverse effect thereof and balance the value of justice and efficiency of the procedure. As to the categorization criteria of the corporate non-contentious procedure, it includes criteria in appearance and criteria in substance. The criteria in appearance is in accordance with“positive law”while the criteria in substance is determined by the nature of case in light of the value of efficiency. Categorized by its object, the corporate litigation case handles the disputes arising from the substantive matters such as the rights set out in the Company Law between the parties; the corporate non-contentious procedure applies to the cases where the parties petition the court regarding the non-substantive civil disputes or other corporate matters which is not contesting to confirm certain facts which will consequently affect, change or extinguish certain corporate legal relationships. Furthermore, the chapter also analyzes the features and categories of the corporate non-contentious procedure.Chapter 3, the study on the typical corporate non-contentious cases. After analyzing the different theories by Chinese scholars currently existing, the article is in the view that, in the context of the PRC Company Law, there are five categories of typical corporate disputes may be solved under the corporate non-contentious procedure, namely, cases involving the shareholders’right of information, the convening of the shareholders’meeting, the election of directors as well as the dissenting shareholders’rights of demanding for shares redemption, and the cases related to companies’mandatory liquidations which have been clearly stipulated by the PRC laws as a“non-contentious procedure”. The article studies these cases by employing the method of comparative law and introduces the current status of the judicial relief. The nature of the aforesaid cases conforms to the non-contentious procedure. It is in the parties’best interests to employ non-contentious procedure for such cases.Chapter 4, the analysis of the current legislation on corporate non-contentious procedure in China. The chapter introduces the legislation of non-contentious procedure from the perspective of Civil Procedural Law and considers the legislation of corporate non-contentious procedure from the perspective of Company Law. The chapter focus on the background of establishing the company’s mandatory liquidation system and comments on the mandatory liquidation system, pointing out the weakness of the same. The chapter also made reflections on the fact that only one type of case is expressly stipulated as“non-contentious procedure case”in the PRC laws. In practice, some corporate disputes were denied for case acceptance before the court, the judicial relief is ineffective and the corporate governance lacks of effective remedies. A large number of corporate disputes which should have been solved under non-contentious procedure were inappropriately handled under contentious procedure, causing serious defects such as unreasonably high litigation costs for the parties and waste of judicial resources, etc. Hence, it is necessary to expand the applicable scope of non-contentious procedure and improve the corporate non-contentious procedure.Chapter 5, the perfection of Chinese corporate non-contentious procedure. In light of the oversea experiences in legislation and take Chinese reality into account, the chapter summarizes several ways for improving the corporate non-contentious procedure: firstly, amending the general principle of non-contentious procedure in the PRC Civil Procedure Law; secondly, amending the non-contentious types of cases, specific rules related to corporate non-contentious procedure in the PRC Company Law. The applicable scope of corporate non-contentious procedure should be gradually expanded, such as considering incorporate the shareholders’right of information in to the non-contentious procedure. To ensure the legitimacy of corporate non-contentious procedure, the legislative authorities may consider the judicial review of civil law system and establish the judicial review system for civil procedure in China as the correction mechanism provided for non-contentious procedure.更多还原