【作者】 焦娇；

【导师】 赵万一；

【作者基本信息】 西南政法大学 ， 民商法学， 2010， 博士

【摘要】 公司作为现代社会一个非常重要的商事主体,已被世界各国通过法律形式赋予其法人人格。虽然对于法人人格的本质形成了多种学说,但作为一种经济组织,其行为最终需要借助于特定的自然人或自然人集合体即公司代表人来实现。大陆法系以法人实在说为理论基础,主张公司与代表人基于同一人格,代表人的行为就是公司的行为,代表行为的法律效果由公司承担；英美法系则以法人拟制说作为其理论基础,认为公司法人是法律上拟制的人,并不实际存在,主张公司与代表人之间是一种信托关系和委托代理关系,公司的对外行为由作为代理人的董事、高级职员进行,代理人在代理权限内的行为视为公司行为并由公司承担法律后果。本文除导论和结语外,分为五章,约18万字。导论首先对两大法系对法人人格的学理冲突作一个简要的介绍,之后指出公司目标的单一性与公司代表人制度之间的关系,在此基础上提出我国法定代表人制度设计上存在的缺陷,以此作为本文对公司代表人制度进行研究和探讨的法理上和实践上的必要性依据。第二章就公司代表人制度的基本理论作了较为详尽的介绍和论述,并试图通过公司法人主体本质理论、公司代表人制度的基本理论和公司组织机构三方面进行阐述。首先对于法人的本质,不同时期的学者由于各自所处的社会政治环境、经济发展状况、文化体制、法制理念、宗教信仰等因素的差异,产生各种各样不同的学说。法学上对于法人本质的认识基本上达成了一致,即认为各种学说均有其合理性,不存在充分的理由完全肯定或者否定某种学说,各学说均有其合理成分,但均不全面。除公司法人是否具有意志能力这一问题仍处于法学争论之外,对于公司法人是否具备行为能力,也开始成为法学理论界关注的焦点。纵观目前世界各国的立法现状,可以肯定的是法人实在说已被多数大陆法系国家立法和学说所认可；对英美法系而言,法人拟制说仍然占据主流地位。正是基于对法人本质的不同认识,导致在公司代表人制度上两大法系存在着显著差异。其次,法人作为一种组织体,其对内进行经营管理和对外从事商事活动均需通过意思表示机关——代表人来实现；代表权基于法律、公司章程或授权而获得并存在不同的外在表现形式。为追求公司利益最大化目标,对代表人的责任规范有主张实施强制性责任规范的,也有主张契约性责任规范的,但总体上是为了保障公司商事活动的安全并追求更高的效率。第三,公司治理问题随着公司制度的发展而不断完善。“董事会中心主义”是西方发达国家公司治理和公司组织机构的主要方式,世界各国在此基础上发展出了各自不同于他国的公司组织机构模式和公司组织机构设置原则。在这种公司治理理论和公司组织机构设置原则下,公司实行股东会、董事会、监事会三权分立的公司组织机构。第三章对公司代表人制度的产生与发展历史作一个回顾,认为从一定的角度上说,公司的发展史就是公司治理结构的发展史,公司的建立和发展离不开治理组织,公司治理组织制度的发展又促进了公司制度的建立和完善,二者是相互依存、相互依赖的。而公司代表人制度的产生、发展与公司乃至公司治理结构的建立、发展密不可分。西方国家从早期的商业行会到没有法人人格的合伙组织,从无限公司的产生到有限公司、股份有限公司的发展,期间经历了投资者与经营管理者的日趋分离,并由此衍生出代表制度的一部发展史。我国的法定代表人制度是一个极具中国特色的法人制度,源于法律规定,属于立法者的创造,其产生和发展与我国公司发展没有历史上的渊源。第四章重点探讨了公司代表人的法律性质。研究公司代表人法律性质是各国公司法学界的重要课题,其目的在于探讨代表人(或代理人)在公司中的法律地位、代表人(或代理人)行为的法律效力以及代表(或代理)行为后果的法律归属。代表说与代理说的主要区别在于：代理说主张公司对外行为存在三方主体即公司、代理人及相对人,并依据代理法归属规范将代理人行为的法律后果归属于公司；代理限于法律行为,代理人实施的侵权行为、犯罪行为的法律后果无法依据代理关系归于被代理人。而代表说认为公司行为仅存在公司及相对人两方主体,代表人的行为就是公司行为；代表人的行为除个人行为外,即是公司行为,后果归属公司。在公司代表人的法律设置上,各国采用不同的模式,并出现大陆法系的一元制、多元制或折衷制以及英美法系的单独代表制和共同代表制。大陆法系国家和地区多主张法人实在说,因此在法律上都明确规定公司代表人制度。对公司代表人人选的规定无论是法律还是公司章程,都带有明显的“法定性”和强制性,注重公司代表人作为公司对外的代表性和权威性,亦或说把公司代表人视为公司最高权力和权威的象征。而英美法系国家认为公司法人对外行为的实现是基于信托关系形成的代理关系,依靠代理人实现公司的意思表示。因此英美法系不存在公司代表人概念,也没有代表人与代理人之分；其公司代理人选没有法律任何限制,而且代理人范围更广,公司代理人承担实现公司行为的职能,代理行为的后果依据代理关系准则归属于公司或代理人个人承担。我国对于代表人的性质问题具有典型的中国特色,被称为“法定代表人”制度。由于我国公司的法定代表人依照法律规定代表公司具有广泛的职权,几乎可以代表公司实施一切对外和对内活动,包括代表公司行使各种职权,代表公司参加各种民事活动,代表公司签署各种文件,享有签订合同的最终决定权,控制着公司的财政大权,因此公司法并没有赋予公司代表人制度范围内公司自治的权力,导致行政机关越俎代庖,影响公司正常运营的现象十分严重。第五章论证了公司代表人的权利义务与责任承担。现代公司法在强调代表人义务承担的同时,主要从代表人所享有的权利方面来确定其在公司的核心地位,因此随之带来的便是对公司代表人权力的抑制、义务的承担以及滥用权力或违反义务行为所导致的责任归属问题。为了保障商事交易的快速进行,保护相对人合法权益,两大法系国家在完全扬弃传统公司代理理论的情况下,确立公司董事的不受限制的代理权以及越权有效原则,要求公司就代表人的一切代理行为对公司的相对人承担责任。上述原则的确立,使得代表人享有的权利越来越不受约束,为此世界各国公司法在确立代表人权利地位的同时也用大量的条款规定了对其权利的抑制制度。董事、监事、经理作为公司代表人拥有公司的决策权、监督权、执行权,他们在很大程度上控制公司的的运营。因此,各国公司法针对董事普遍性地规定公司代表人严格履行注意义务与忠实义务。除此之外,公司还可以通过章程,对代表人规定更多的义务,确保其以公司利益最大化为代表行为的准则。代表人的注意义务和忠实义务是目前各国公司治理制度中的一个重要内容。注意义务和忠实义务作为两个相互独立的义务形态,符合现代公司发展的趋势。公司代表人的责任承担是公司法律规范的另一个重要的出发点。代表人在执行公司职务时如果违反所承担的注意义务和忠实义务并使公司遭受损失,则应对公司承担责任；尽管代表人可依据股东会、董事会、法庭裁决以及越权有效原则在很多情形下可以得以责任免除。为保护债权人利益,强化代表人的注意义务,两大法系国家的公司法均规定了代表人与公司共同承担连带法律责任的理论。在大陆法系,公司可以根据具体情况,选择要求代表人承担契约责任或侵权责任。英美公司法中,公司代理人违反义务对公司承担的责任主要为违约责任,但也可以构成侵权责任。依据公司机关理论,代表人作为公司的机关,其职权范围内的行为以及超越职权的侵权行为、犯罪行为或其他非法行为所造成的损害赔偿责任均被视为公司行为而由公司概括承担。综合两大法系关于代表人对第三人侵权责任构成的相关理论,都强调损害事实的存在、代表人行为存在故意或重大过失以及两者之间存在因果关系作为侵权责任构成的必要条件。代表人对第三人侵权损害赔偿责任的范围包括直接损害和间接损害。对代表人责任的追究主要为诉讼方式,包括直接诉讼和派生诉讼。第六章针对我国法定代表权制度存在的弊端提出了一些学术上的建议。我国公司代表人制度“法定性、唯一性”的特点在实际运作中存在诸多弊端：“以人治企”的理念导致个人集权而使现代企业制度中“三权分立”的治理结构无法实现,企业治理结构僵化；法定代表人的法定性严重禁锢了公司意思自治原则；相应配套规定的缺失使代表人应承担的法律责任不明确；法定代表人应诉制度的确立,特别是对法定代表人的诉讼以及公司特定情形下的诉讼,因原法定代表人未丧失代表权而相应代表主体在法律上未取得相应法律地位直接导致诉讼上的困扰,使当事人、审判机关在诉讼的提起、答辩和裁决上缺乏相应的法律依据；公司代表的法定单一性,使董事会的作用无法发挥出来,导致董事会和其他董事的权力被架空,决策的科学民主无法实现,分权、制约机制形同虚设并造成法定代表人权利与责任的不对称等。公司代表人法定化,以法律规定强制取代当事人的意思自治,既不符合司法领域的基本原则,也不利于公司治理目标的实现。就代表人模式而言,法律应当在严格遵循公司自治原则下为公司提供可选择模式即可。除公司对代表人模式拥有可选择权之外,还包括公司对代表人产生途径的自主选择,如公司代表人由股东会直接选举产生亦或股东会授权董事会选择产生等。在实际操作中,具体决策由作为公司重要常设机构的董事会决议通过,只要某一决议被董事会明确具体一致通过,最后由哪个董事,或哪些董事签字都应具有同等的效力。我国现行公司法还应当规定公司内部救济制度,以维护公司利益,防止代表人滥用职权。充分发挥监事(会)的监督作用,应当在立法上强化监事会在对代表人诉讼上的代表地位,增强其代表地位的独立性。建立公司登记公司制度,将现行公司代表人登记要件主义修改为对抗主义,切实保护公司利害关系人的利益。更多还原

【Abstract】 Company as a modern society in a very important commercial body, has been the world through the legal form of their personality. Although the essence of corporate personality to form a variety of doctrine, but as a form of economic organization, its behavior is ultimately needed a specific natural person or natural person collection of the company representative. Civil law to legal persons is the Foundation for the theory that advocates on behalf of the company and people based on the same personality, representative of the company, on behalf of the legal effects of acts by the company; the common law to corporate fiction say as its theoretical basis that corporate legal fiction, does not actually exist, and advocate on behalf of the company and person is a trust relationship and the principal-agent relationship, the company’s external acts as the agent of the directors, officers, agents in the agent permissions within the conduct as corporate actions and bear the legal consequences of the company. This article is an introduction and conclusion except, divided into five chapters, about18million characters.Introduction to the first of the two legal systems on the legal personality of conflicts make a brief introduction, after that the company’s goals of Unicity and company representatives, the relationship between the human system, on this basis by our legal representative system design deficiencies, as this article on corporate representative system to conduct a study and discussion of law and practice on the basis of need.Chapter Ⅱ the company representative system of basic theory for a more detailed introduction and expositions, and trying to pass the theoretical nature of corporate body, the company representative system of basic theory and corporate organizations in three areas. First of all for the essence of the legal person, a different period of scholars because of their social and political environment, economic development, cultural, institutional, and legal philosophy, religion, and other factors have all sorts of differences, different theory. Law on legal essence of basically agreed, that the various doctrines have its rationality, no good reason for a full positive or negative, the doctrine of the theory has its logical components, but are not comprehensive. In addition to the will of the Corporation has the capacity of this issue is still in a legal dispute, whether for corporate capacity, are starting to become law without focus. Panoramic view of the current legislative situation in the countries of the world, to be sure it is a legal person that has been most civil law countries recognized by the legislation and doctrine; on the common law, the legal fiction that still occupy the mainstream status. It is based on the legal nature of the different perceptions that result in the company representative system on two legal systems there is a significant difference. Secondly, the legal entity as an organization, to its internal management and external engaged in commercial activities through means that authorities—represent people; representation based on the law, the articles of association or authorized to obtain and present different external manifestations. To pursue the maximization of corporate interests, the responsibility of representing people have advocated for the mandatory liability specification, also advocated the contractual responsibility norms, but in General is to safeguard the company’s commercial activities and the pursuit of greater efficiency. Third, the corporate governance issues as company constant development of the system."Centrism" is the Board of Trustees of the Western developed corporate governance and corporate structure of the main method of the Nations of the world on this basis developed their own distinct from other company organization and company organization settings. In this kind of corporate governance and corporate organizations set guidelines, companies, shareholders, Board of Directors, the Supervisory Board of the three powers of the company organization.Chapter III on company representative system of history for a recalled that from a certain point, the history of the company is the history of the corporate governance structure, the company’s establishment and development of governance organization, corporate governance organization system development and promotion of the company establishment and improvement of the system, they are interdependent and mutually dependent. While the company representative system of production, development and company and corporate governance structure of the establishment, development are inseparable. Western countries from the early days of commercial Guild to a partnership without legal personality, the generation from OHG to co, Ltd during the development of experienced investors, and business managers are becoming increasingly isolated, and thereby derive representative system of a history. China’s legal representative is a legal system with Chinese characteristics, derived from the law, belongs to the legislator’s creation, its production and development and the development of our company is not a source of history.Chapter4focuses on the company’s legal representative. Study on the legal nature of the corporate representative is an important task of company law circles, with the aim of representative (or agent) in the company’s legal status, on behalf of the person (or agent) the legal effects of acts and the representative (or proxy) the consequences of legal ownership. Representative and agent said the main differences:agent that claims the company behavior three parties subject that companies, agents and counterpart, and is based on proxy method behavior specification will agent belonging to the legal consequences of belonging to the company; the agent limited to legal acts, agent of tort, the legal consequences of the offence cannot be based on the agent to the principal. The representative said that the company behavior only exists company and relative person two parties subject, on behalf of the person’s behavior is company; representative of acts subject to individual behaviour, that is, corporate actions, consequences of belonging to the company. In the company’s legal representative person, States set up in different modes, and the civil law of the unitary, pluralistic system or compromise system and the common law of individual representation and common representation. Civil law countries and regions more advocate body really said, and in law are expressly provided for in the company representative system. Candidates for the company on behalf of either the law or the articles of Association, with obvious "legal nature" and mandatory, pay attention to the company representative, as the company’s external representation and authority, or that the company representative considered company supreme power and authority. While the common law countries think corporate external behavior of the implementation is based on the trust relationship between the formation of the agency relationship, to rely on agents of realization of the company. Therefore common law there is no concept of company representative or representatives and agents of the company agent selected; there is no legal restrictions, and agent of the broader, company representatives assume the functions of the realization of corporate actions, proxy behavior of consequences based agent relations belong to company or agent of personal commitment. China for the representative nature of a typical Chinese characteristics, known as the "legal representative" System. Since our company’s legal representatives on behalf of the company in accordance with the law has a broad mandate, almost everything can be implemented on behalf of the company’s external and internal activities, including the exercise of the various functions on behalf of the company, on behalf of the company to take part in all kinds of civil activities, on behalf of the company to sign various documents, have signed a contract with the final say, controls the company’s financial power, therefore the company law does not empower the company representative system of self-government within the company, leading the executive powers supersede, the impact of the phenomenon of company operations.Chapter5demonstrates the company representative’s rights and obligations and responsibility. Modern company law, stressing the obligation assumed by the representative of the people, mainly from the representative of the right to determine their position in the company’s core, it brings along with it is to the company representative powers of suppression, obligations of commitment as well as the abuse of power or breach the attribution of responsibility.In order to protect commercial transactions quickly and to protect the legitimate rights and interests of private parties, strating in completely abandoning the traditional company acting theory, established company directors, without limitation, a valid principle of Agency and ultra vires, calling the company representative of all agent acts on the company’s relative person responsible. These principles establish that the rights of the person who is less and less constrained, for which the world company in establishing representative rights status at the same time also a lot of provisions on the rights of suppression system. Directors, supervisors, and managers as a company representative with the company’s decision-making authority, supervision, execution, they are to a large extent on the control of the company’s operations. Therefore, national company law provisions for Directors General to abide scrupulously by company representatives that obligation and the obligation of fidelity. In addition, the company also can through the articles of Association, on the representative’s obligations under more, ensure that it is to maximize the profits of the company as a representative action guidelines. Representative person of the duty of care and the obligation of fidelity is currently national corporate governance system in an important content. Note the obligation and the obligation of fidelity as two separate obligations form, in compliance with the trend of modern companies. Company representative’s responsibility is the company legal norms of another important point of departure. Representative in the implementation of the company duties if the breach of the obligations assumed by the attention and the obligation of fidelity and the company suffered losses, the company take responsibility; although Representative pursuant to the shareholders’meeting, the Board of Directors, court decisions, as well as the principle of ultra vires is valid in many cases can be liability.In order to protect the creditors’interests, strengthening representative of duty of care, the two legal systems are State of the law establishes the representative and the company jointly and severally liable.In civil law, the company can choose depending on the circumstances, on behalf of the person requested contractual liability or tort liability. UK company law, company agent in violation of the obligation on the company’s liability for breach of contract, but also can constitute infringement liability. Theoretical basis of company bodies, representatives of the organs of the company, its terms and a violation of the rights of overstepping, crime or other illegal conduct damage liability are treated as corporate actions and commitment by the company overview. Integrated the two legal systems regarding the representative to the third party infringement liability constitutes the relevant theories, emphasized the fact that the existence of damage and representative acts of willful misconduct, gross negligence, as well as the existence of a causal relationship between the two as a sine qua non of tortious liability. Representatives to the third party infringement damages include direct damages and consequential damages. On the liability of the person who is the main way for litigation, including litigation and derivative litigation directly.Chapter VI our statutory representation system abuse made a number of academic recommendation. Our company representative system "legal nature, the characteristics of uniqueness" in practice various disadvantages:in the "people management" concept to personal centralization in the modern enterprise system "three powers" of the governance structure to achieve, corporate governance structure in the rigid; statutory legal representative of a company of serious imprisonment autonomy principle; the lack of appropriate ancillary provisions so that representative should bear the legal responsibility of ambiguous; the legal representative of the litigation system established, particularly with respect to the legal representative of the litigation as well as company-specific circumstances of the proceedings, because the original legal representative does not lose the representation and the corresponding representative body legally without obtaining appropriate legal status led directly to the proceedings of the parties, judicial proceedings instituted, the defence and the lack of appropriate award on the basis of law; company representative statutory uniformity, the role of the Board of directors cannot play, leading to the Board of Directors and other powers of the Directors is overhead, decision Science and democracy cannot be achieved, decentralization, restricting system useless and legal representative of the rights and responsibilities of asymmetry, etc. Company representative statutory mandatory legal provisions, to replace the autonomy of the parties, is not only inconsistent with basic principles of Justice, is not conducive to corporate governance objectives. The representative of the model, the law should strictly follow the principle of the autonomy of the company as the company may select mode.In addition to the company representative has the right to select the model, including the company’s representative to produce autonomous choice of ways, such as company representatives elected by the shareholders or shareholders will also authorize the Board of directors select produce, etc. In practice, specific decision by the company important resolutions of the Board of Directors of the permanent bodies, as long as a resolution was adopted unanimously by the Board of Trustees of the clear and specific, by which the directors, or what directors should have the same signature. China’s existing company law also should provide relief system within companies in order to safeguard the interests of the company, and preventing abuse of power on behalf of the people. Give full play to the Board of supervisors (will) supervisory role, should the legislation strengthening the Supervisory Board in the representative action on behalf of the status, to enhance their representative status of independence. Establishment of company registration system, the company will present the company representative registration elements of modernism to antagonisms, the effective protection of corporate interests at stake.更多还原