论欧洲公司法的多层级协调机制

【作者】 史惠宁；

【导师】 程卫东；

【作者基本信息】 中国社会科学院研究生院 ， 国际政治， 2014， 博士

【摘要】 欧洲公司法是一个多层级的法律协调机制，它由欧盟层面的立法协调与司法协调、成员国层面的立法竞争以及非传统的协调方式共同组成。一方面，欧盟坚持硬法协调，即通过超国家机构制定欧洲公司法，且仅仅对公司法具有跨国因素的核心领域进行协调，以促进公司在欧盟内部的自由流动。欧盟之所以把协调的重点放在公司的对外关系上，是因为公司的对外关系所引发的法律后果与公司外部第三人的利益息息相关。对成员国涉及公司第三人保护规定的协调，是欧洲公司法实现对公司股东与债权人保护目标的必要手段。在公司的内部关系领域，欧盟倾向于实行软法协调，特别是通过公司治理准则，绕过硬法的局限，促使公司治理核心领域获得协调，并使英美法系和大陆法系各国公司治理准则趋同。欧盟利用条例的协调手段在成员国法的冲突中寻求统一，这些超国家的法律协调方式统一了成员国的冲突法律规范，但在法律具体的实施与运用上却又离不开成员国实体法的相关规定。指令和条例的这些功能上的特性，恰恰是许多问题形成的根源，它使法律协调活动与一体化进程变得更加缓慢。为此，欧盟转变了公司法立法的基本理念，欧盟的工作重心从通过次级立法对股东与债权人的保护来防止权力滥用，转移到建立统一的法律框架结构。法律协调不再是欧盟委员会追求的终极目标，而仅仅是一种克服危机的手段，它服务于特定的政治目标。以指令作为主要协调手段的目的不是为了削弱各国法律制度的多元化，相反恰恰是为了保障这种多元化发展。欧盟次级立法对核心内容的协调构成了欧洲公司法的一个屋顶，在此之下，成员国立法相互竞争。立法竞争促使各成员国基于共同目标相互学习，在发现实践中不断创新，使成员国能够找到与本国制度框架相吻合的政策。欧盟再通过欧洲法院的司法协调机制，对欧盟层面传统立法协调的疏漏进行补充，防止了成员国法之间的朝底竞争。另一方面，欧盟通过非传统协调机制，绕过硬法的局限，对欧盟层面的法律协调与成员国层面的立法竞争进行疏导与指引，对欧洲公司法在欧盟层面与成员国层面的立法互动与渗透提供有效的补充，为欧洲范围内活动的企业建立更实惠的机制性的框架，并力图在传统协调方式难以有效运作的情况下，找到一种平衡。对欧洲公司法非传统协调方式本身的研究就具有独特的学术价值。欧洲公司法多个法律协调层级之间的相互联系与共同作用正是欧洲公司法独具匠心之处。这种多层级的协调机制提供了一种思路，即欧洲公司法的协调不必仅仅拘泥于一种唯一的方案，因为随着时代的发展，欧洲公司法不仅在内容上的协调程度越来越广泛与深入，而且在协调方式上也呈现多样性与复杂化的特点。竞争与协调、官方规制与非官方规制、传统方式与非传统方式不是对立的，而是互为补充的。在欧洲公司法的多层级协调机制之内，非传统协调方式在欧盟传统法律协调机制促进竞争与促进公司法现代化的功能上作为一种润滑液，使其中不同层级之间的相互作用能够顺利地进行。欧洲公司法的协调机制不仅仅是一种立法手段，它囊括了立法本身到法律实施的全过程。这种对立法主体和实施主体、立法程序和实施程序、规制趋同和规制协作严格区分且又相互合作的价值理念，是欧盟立法活动的一种动态的、全面的创新。我国对欧洲公司法多层级协调机制的理解与研究也不能简单地模仿与引进，因为它是经历了诸多变革，按照国际与欧洲公司法现代化的标准建立起来的一套有效运作的机制。中国公司法能够从中得到启示，一个完备的公司法律协调机制不是某方面的提升，而是从立法理念到司法实践，从官方层面到非官方层面，从传统协调方式到非传统协调方式共同合作、有效整合的结果。更多还原

【Abstract】 European company law is a multi-level legal coordination mechanism, which is composed ofthe legislative and judicial co-ordination at EU level, a common component of competitionlegislation and unofficial manner of coordination at member state level. On the one hand, the EUinsists on hard law harmonization, namely the development of European company law bysupranational institutions, and only the core areas of company law with cross-border coordinationof factors in order to promote the free movement of companies within the EU. The reason why theEU focuses on the coordination of the company’s external relations is that its legal consequencesare closely related to the interest of a third person outside the company. Coordination of MemberStates third party protection provisions of European company law is a necessary means to achievethe Company’s shareholders and creditor protection objectives. In the field of internal relations ofCompany, the EU tends to coordinate the implementation of soft law, in particular through thecorporate governance guidelines, bypassing the limitations of hard law, prompting the company toobtain the core areas of governance coordination, and making common law and civil law countriesthe convergence of corporate governance standards. The EU uses the means of coordination of EUregulations for unity in the conflict law of its members to seek a unified law of the Member States,but the relevant provisions in the implementation and application of specific laws are inseparablefrom the substantive law of the relevant regulations of its Member States. However, the functionalcharacteristic of these directives and regulations is precisely the root of many problems, because itmakes the process of legal harmonization and integration activities slower. To this end, the EUchanged the basic concept of company law harmonization. So the EU’s focus from protection bysecondary legislation to prevent the shareholders and creditors of the abuse of power has beentransferred to the establishment of a unified legal framework. Legal harmonization is no longerpursuing the ultimate goal of the European Commission, but merely a means to overcome thecrisis, which serve specific political goals. The main purpose of the instruction as a means ofco-ordination is not to undermine the diversity of national legal systems. On the contrary, it isprecisely in order to protect this diversity. Coordination of EU secondary legislation constitutesthe core of a rooftop European company law, under this, the legislation of its member statescompete with each other. The Legislative competition in the Member States urges them to learnfrom each other based on common goals and to practice innovation in the discovery, so that theycan find an institutional framework consistent with their national policies. Through theCoordination Mechanism of the European Court of Justice, the EU supplements the traditionallegislative omissions at the EU legislative level of coordination and prevents the competitionbetween Member States running to the bottom.On the other hand, the EU adopted an unofficial bottom-up coordination mechanism to bypassthe limitations of hard law, to counsel and guide the legislative competition at the Member Stateslevel and legislative harmonization at the EU level, to provide effective complement for thelegislation interaction and Interpenetration of European company law at the EU level and MemberStates level and to establish more affordable institutional framework for activities of companieswithin Europe. And in case that the traditional coordination methods are unable to operateeffectively, the unofficial coordination is trying to find a balance. Unofficial coordinated Europeanapproach to the Act itself has a unique academic research value. Interrelationship and interaction between different legal coordination levels of the European company law have the greatestoriginality.This multi-level coordination mechanism provides a thought that coordination of Europeancompany law does not have to just stick to a unique solution, because with the development of thetimes, the degree of coordination of the European company law not only upgraded in content anddepth, but also presents a coordinated manner in the diversity and complexity of the features.Competition and Coordination, official and unofficial regulations are not antagonistic butcomplementary. Multi-level coordination mechanism within the European company law promotescompetition and modernization of company law as a function of lubricating fluid, so that theinteraction between the different levels can smoothly proceed. Coordination Mechanism of theEuropean company law is not just a means of legislation, which encompasses the whole process oflegislation itself to law enforcement. The Values of the strict distinction and mutual cooperationbetween the legislative body and the implementation main body, the legislative procedure andimplementation procedures, regulatory convergence and regulatory coordination is a kind ofdynamic, comprehensive innovation activities of EU legislation.Understanding and study of multi-level coordination of European company law mechanismscannot simply imitate the introduction, as it is experiencing a lot of change and a mechanism forthe effective functioning of the established modern company law in accordance with internationalstandards. Chinese company law can get inspiration from which a complete legal mechanism isnot certain aspects of the company’s promotion, but the idea of legislation to the judicial practice,from the official level to the effective integration of the non official level, the results ofcooperation, but the legislative concept to judicial practice, the level of co-operation from officialto unofficial level, the effective integration of the results.更多还原