【作者】 任中秀；

【导师】 梁慧星； 王丽萍；

【作者基本信息】 山东大学 ， 民商法学， 2014， 博士

【摘要】 文章以德国经济团体法为主要的法律文本,探讨了《德国民法典》第38条意义上的成员权(Mitgliedschaft),以成员权理论中的核心问题,即成员权的性质和保护为主线展开。主要采用了语言诠释学的方法、法解释学的方法、逻辑分析的方法以及历史研究等方法。全文除导言和结语部分,共分六章。导言部分对选题意义、国内外研究现状特别是德国成员权理论研究的现状进行阐述,此外,介绍了论文的研究资料与方法,以及论文的研究思路与结构。第一章考证了成员权的词源并探讨了其存在的团体基础。首先以《德国民法典》第38条的"Mitgliedschaft"的翻译为切入点,解释了德国法上的“成员权”的基本意义。其次,通过描述成员权存在的团体的特征,进而界定了德国法上成员权存在的团体类型；此外,从历史上探寻了成员权存在的团体在罗马法上和日耳曼法上的历史原型。本章得出,鉴于德国"Mitgliedschaft"理论的当代发展,应当放弃“社员权”概念,而将该词译为“成员权”；德国法中作为成员权存在基础的团体具有组织的独立性和法律行为的要素,主要包括合伙与社团法人(包括非经济社团法人)类型,作为成员权存在基础的团体与经济团体有很大程度的交叉,但并不完全重叠；现代德国团体法中团体的历史原型是罗马法上的团体和合伙组织,德意志法上的团体法人和共同共有共同体,这是理解现代德国团体的历史基础。第二章重点论述了成员权的权利性质及内容。首先追溯了德国理论与判决中合伙中的成员资格和法人中的成员资格性质的发展过程,通过对理论与判决的梳理,阐述了成员资格被评定为权利的发展脉络。其次,通过对私法的中心概念“权利”与“法律关系”的分析,确立了文章分析成员权性质的基本思路及理论前提；通过与所有权法律关系、债权法律关系、限制物权法律关系、亲属法上的法律关系的比较,阐述了成员权及成员权法律关系的特殊结构。之后,论述了成员权的权利义务内容,包括成员权的参与权与受保护权、财产权以及成员的忠实与不作为义务、出资义务等。本章最后论述了成员权的可转让性、可继承性以及可以作为限制物权的标的的特点。本章研究认为,成员资格可以被评定为权利,它是由一个“权利(权能)束”所组成的特殊的权利,成员的义务与成员的权利(权能)相联系,并不影响成员权权利性质的评定；成员资格不仅是权利,也是法律关系,二者并不矛盾；较之其他权利,成员权是一种具有特殊结构的权利,成员权的核心权能是参与团体意志形成的参与权以及受保护权,其他权能如财产权、优先认购权均可分为基础权利与具体权利,基础权利与成员资格不可分离,财产权能并非成员权的必然要素；成员权具有可转让性、可继承性并且可作为限制物权的标的。第三章与第四章、第五章、第六章从内容上是总分关系。第三章为侵犯成员权责任概述。运用了历史分析和定性分析的方法阐述了成员权是否为《德国民法典》第823条第1款的“其他权利”。司法判决与理论逐步确立了对成员权的保护适用《德国民法典》第823条第1款的规定；与所有权、人格权、亲属权、债权等权利比较,分析成员权作为“其他权利”的特殊性质。最后,简要概述了侵犯成员权的类型以及侵权行为的可归责性。本章研究得出：成员权是一种独特的支配权,它的“标的”是团体；如同每一个支配权,成员权也享有不仅针对威胁其自身存在的侵犯而且也享有针对基于成员权产生的权利(权能)的侵害的保护；如果只是对成员权的“标的”即团体,造成单纯的影响,由此产生的对成员权的“反射性损害”不构成对成员权的侵犯；总体而言,侵犯成员权责任适用侵权责任法的一般归责原则。第四章重点阐述团体内部侵犯成员权责任是否成立。针对德国学界存在的团体内部侵犯成员权责任是否成立的理论分歧,通过论述合同法律关系与侵权法律关系并存的一般情形,阐述了侵犯成员权责任与团体内部规范并存的可能性；论述了团体内部侵犯成员权责任与团体秩序的关系,分析了团体中其他成员、团体机关成员以及团体侵犯成员权的责任。本章最后以针对股份公司股东大会或有限责任公司股东会的瑕疵决议的法律保护为例,阐明侵权法与公司内部法竞合的普遍原则。本章研究表明,成员权作为支配权的潜在的法律关系与作为其产生基础的合同关系可以并存,当成员权受到侵犯时,这种关系变为侵权法律关系与成员权法律关系的并存；根据《德国民法典》第823条第1款的侵犯成员权责任与一般的社团法和公司法上的原则相协调,团体内部侵犯成员权责任与团体职权秩序并不冲突,侵权法上的相关规定对于团体法的规定具有基础规范的作用,甚至能起到漏洞补充的作用；在团体内部,团体其他成员、团体机关成员以及团体对于成员权的侵权责任可以成立。第五章较为详细地阐述了侵犯成员权的各种具体情形。依序论述了对成员权本身的侵犯、对成员占有状态的侵犯、对成员权的基本财产权的侵犯、对成员权的受保护权与参与权的侵犯以及对信息权的侵犯。本章研究得出,对成员权本身的侵犯表现为对成员的除名、对成员权的无权处分以及事实行使；对抽象性优先认购权的违法剥夺也可能构成对成员占有状态的侵犯；对成员财产权的侵犯主要指对成员基本财产权的侵犯,典型的侵犯表现为分配盈余基本权利的侵犯(如不实施盈余分配决议、违法的盈余分配决议)以及分配共同财产分割结存额的基本财产权的侵犯；成员的依法决议权属于受保护权,其次级权利则为撤销权；对参与权的侵犯表现为康采恩结构调整的措施、以公司合同为基础的采纳决议的义务、隐形盈利分配、瑕疵决议、不执行肯定的决议以及执行否定性的决议；信息权是一种辅助性的权利,应当给予侵权法保护。第六章论述了侵犯成员权责任的特殊问题。具体探讨了侵犯成员权行为的违法性、主观过错以及责任形式的特殊问题。本章认为,成员权保护分为过错侵权责任的保护和绝对权的保护,前者适用《德国民法典》第823条第1款的规定,即适用过错侵权责任的构成要件,后者不要求侵扰者的主观过错,适用《德国民法典》第1004条的规定；侵犯成员权的法律后果可发生损害赔偿请求权、不作为请求权与妨害除去请求权；成员的忠实义务对于恢复原状请求权的行使时间及范围均有限制。结语部分主要从三个方面总结了对德国团体法中的成员权研究的基本结论,即基于成员权在德国团体法中的当代发展,应当采用“成员权”的译法,放弃“社员权”的表述,成员权存在的团体包括合伙与社团法人两大类型；成员资格是一种权利,也是法律关系；团体中的成员权受到《德国民法典》第823条第1款和第1004条的保护,团体中的成员权的侵权法保护与团体内部规范并不冲突,侵犯成员权的类型主要包括对成员权本身的侵犯以及对成员权具体权能的侵犯,侵犯成员权的责任的构成要件及责任形式受团体法影响具有一些特殊性。最后,提出德国成员权理论及制度对于完善中国的成员权理论具有启示和可借鉴性。更多还原

【Abstract】 With the German economic community law as the main legal text, the dissertation explores the "membership (Mitgliedschaft)" in the Article38of the German Civil Code, focusing on the nature and the protection of the membership, mainly using the methodolodgy of language hermeneutics, legal interpretion, logical analysis, historical research, etc. In addition to the Introduction and Conclusion, this dissertation is divided into six chapters.The Introduction elaborates on the significance of the topic and the current research on the membership at home and abroad, especially the recent research state in Germany. In addition, it introduces the research materials and methodology, as well as the research ideas and the structure of the dissertation.Chapter One elaborates the Etymologie and the foundation of the membership.Firstly, based on the translation of "die Mitgliedschaft" in the Article38of the German Civil Code, the dissertation explains the basic meaning of "membership". Secondly, through describing the features of the communities as the foundation of the membership, this chapter defines the types of the communities. Finally, it explores the historical prototypes of the modern German communities from the Roman law and Germanic law. So this chapter concludes that in view of the development of contemporary German "Mitgliedschaft" theory, the research will abandon the translation of "She Yuan Quan" and use "Chen Yuan Quan" instead. The communities in the German law having the organizational independence and the legal acts, includes the partnership and the corporation (including non-economic Corp.), and have a large degree of crossover with the economic groups, but they do not completely overlap. The historical prototypes of the modern German communities are "universitas" and "societas" in Roman law, and "die deutschrechtliche Koperschaft" and "die Gemeinschaft zur gesamten Hand" in Germanic law, which is the historical foundation to the understanding of the modern German communities.Chapter Two mainly discusses the right attributes and contents of the membership. Firstly, it traces the development of the theories and the judgments about the membership in the partnership and the corporation in order to know the history of the development of the nature of the membership. Secondly, through the analysis of the core concepts of private law "right" and "legal relationship", it establishes the idea and the theoretical premise to analyze the nature of the membership. Through comparing with the ownership, the legal relationship between the creditor and the debtor, limiting property legal relationship, and the legal relationship of relatives, this chapter describes the special structure of the membership and the relationship of membership. After that, it discusses the specific rights and obligations of members, including the rights of participation and being protected, the property right, the obligations of loyalities and fund, etc. Finally, this chapter discusses the transferability and the inheritability of the membership, which can also be the object of the usufruct and the pledge. This chapter suggests that the membership can be assessed as a right, which is a special right with a bundle of rights. The obligations and the rights of the members connect with each other, does not affect the assessment of the membership. The membership is not only a right, but also a legal relationship, which is not contradictory. Comparing with other rights, the membership is a special right with a special structure. The core rights of the membership is the rights of participation and being protected.The property rights and preemptive rights may be divided into basic rights and specific rights, and the basic rights can not be separated from the membership. The property rights are not necessary rights of the membership.The membership can be transferable and inheritable and can be the object of the usufruct and the pledge.Chapter Three and Chapter Four, Chapter Five, Chapter Six are the whole-part relationship. Chapter Three is the general introduction to the tort liability of the membership. Using the methodolodge of historical analysis and qualitative analysis, this chapter expounds whether the membership is the "other rights" in the Article823, Paragraph1of the "German Civil Code", the application of which is gradually established according to the judgments and theories. Comparing with the ownership, personal rights, family rights, claims and other rights, this chapter analyzes the special nature of the membership as the "other right". Finally, it summarizes briefly the types and the imputability of the tort acts of the membership. This chapter comes to the conclusion:the membership is a special dominating right, the object of which is the community. Like every other dominating right, the membership can be protected from an infringement either of its own existence or of the specific rights. If the infringement only influences the object of the membership, that is the community, the "reflective damage" does not infringe the membership. In a word, the tort liability applies to the doctrine of the liability fixation of the tort law.Chapter Four focuses on whether the tort liability of the membership in the communities can be established. In view of the disputes on the theories of the tort liability of the membership in the communities, the chapter analyzes the different views and the basic foundament of the tort liability of the membership in the communities. Through expounding the general coexisting of the contract law and the tort law, the chapter expounds the possibility of coexisting of internal norms of the communities and the tort law for the protection of the membership. It also analyzes the relevant tort liabilities of the communities, its members and its organ members. The chapter concludes with the legal protection to the fault resolutions of AG shareholders’ meeting or the shareholders’ meeting of a limited liability company as an example to explain the general coexisting of tort law and the internal law of the communities. This chapter shows that the latent legal relationship of the membership as a dominating right can coexist with the legal relationship of the contract, which will becomes the coexisting of the legal relationship of tort liability and the legal relationship of membership when the membership is infringed. According to the Article823, Paragraph1of the "German Civil Code", the tort liability of the membership in the communities does not conflict with the jurisdiction order of the communities. The regulations of the tort law play the role as the general provisions for the internal regulations of the communities and can mend the holes of the community law. In the communities, the tort liablities of the communities, its members and its organ members may take tort liabilities.Chapter Five expounds in more details the specific situations of the infringement of the membership and discusses the impact on the membership itself, the illegal possession of the membership, the infringement of the basic property rights, the members’ rights of being protected and the information rights of the membership. This chapter comes to the results that, the impact on the membership itself exists by the expulsion of members, illegal disposition and the actual exercise of the membership; the illegal deprivation of the abstract preemptive rights may infringe the possession of the membership; the infringement of the property rights mainly refers to the violations to the basic property rights, such as the typical infringement of the fundamental rights of the earnings (not implementing the resolution or implementing the illegal resolution) and the common property division; the voting rights by law and regulations are the rights of being protected and their second rights are the rights of revocation; the measures of the restructuring the company groups, the obligations of the company’s resolution, stealth profit distribution, defect resolution, non-implementation of the affirmative resolution or implementation of the negative resolution probably infinge the membership; the information right is a supplementary rights, which should be protected by the tort law. Chapter Six discusses the special problems of the tort liability of the membership.The chapter analyzes the illegality of the tort acts, subjective fault and the legal consequences. This chapter concludes that the membership is protected by the tort law and the property law in German, correspondingly, the Article823, Paragraph1of the "German Civil Code" is the norm of the tort law which requires the intruders’subjective fault and the Article1004is the norm of the property law, which does not require the intruders’subjective fault. The legal consequences of the infringement of the membership are the rights to claim for damages, nonfeasance and anti-damages. The duty of loyalty has proposed the limiting time and scope of restitution request.The Conclusion summarizes the research judgments to the topic, that is, with the modern development of the membership in the German community law,"She Yuan Quan" should be abandoned and use "Chen Yuan Quan" instead; the communites in the German law include the partnership and the corporation; the membership is not only a right, but also a legal relationship; the membership in the communities is protected by the Article823, Paragraph1of the "German Civil Code" and the Article1004; the protection of the membership does not conflict with the internal legal relationships in the communities; the specific situations of the infringement of the membership mainly include the impact on the membership itself and the infringement of its rights; the constitutive requirements and the legal consequences of the tort liability of the membership have the specialties with the influence of the community law. Finally, it puts forward that the theories and rules of the membership in Germany can be provide much enlightment and experience to the improvement of the theories of membership in China.更多还原