公司代表人法律制度研究

【作者】 杨汝轩；

【导师】 赵旭东；

【作者基本信息】 中国政法大学 ， 民商法学， 2008， 博士

【摘要】 公司系股东共同出资设立的、被赋予法人人格的经济组织。虽然对于法人人格的本质形成了多种学说,但是无论如何公司的行为最终需要借助于特定的自然人或自然人结合体来实现。在大陆法系中,该自然人或自然人集合体被称为公司代表人,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;英美法系公司法中则没有代表人概念,公司的对外行为由被认为是代理人的董事、高级职员进行,在代理权限内的行为被认为是公司的行为,公司承担代理人行为的法律后果。由此,公司的对外行为得以实现。本文应用比较法、体系化方法、实证研究及历史方法,以完善我国法定代表人制度为研究目的,从大陆法系理论出发,结合英美公司法理论,建立了一个公司代表人制度的基本框架。通过研究,本文试图回答的问题主要包括公司代表人应当以何种方式产生、代表行为如何构成、代表人应当承担何种义务及民事责任等。全文共分为六章,主要内容如下。第一章导论。本章就选题的背景、理由,研究现状、研究方法及本文中的两个核心概念进行了界定。第二章公司代表人制度的法理基础。本章首先对公司代表人涉及的基本问题进行了简要的分析,包括代表人的概念、代表权、代表人的法律地位及相关概念的比较与制度的基本理念等;由于对公司法人人格的认识是研究代表人制度的起点,因此第二节比较分析了两大法系公司法人人格理论,并结合公司代表人制度予以评述;最后研究了公司机关理论,讨论了公司机关的结构及代表机关在公司机关中所处的位置。第三章公司自治抑或法律干预——公司代表人模式的选择。本章研究的目的是揭示公司代表人的确定及其行为方式选择应当属于公司自治的范畴,法律在此的作用应当限于为公司提供一个“模板”,如果公司没有另外作出选择,则当然适用法律的规定。为了说明代表人模式应由公司自治,本章首先讨论了公司法的私法性质和私法自治理念,然后研究了公司自治与公司代表人模式的选择,最后选择有代表性的两大法系国家的公司代表人模式进行了比较研究,并总结了各自的特点与发展趋势。第四章代表人行为之法律分析。公司代表人的主要职能是实现公司的对外行为,但其同时又是独立的民事主体,因此应当对哪些行为是代表行为进行界定。法学上通过构成要件学说实现这种界定,这就是代表行为的构成要件。与此同时,对于特定情形下非代表人的行为以及超越代表权限的行为,为了保护第三人的利益和交易安全,法律视其为代表行为,其典型就是大陆法系中表见代表和英美法中的越权行为理论。本章分别就上述三个主题进行了研究。第五章我国代表人之义务与民事责任。代表人行为即公司的行为,因此对于代表人行为的约束对公司而言就具有重要意义。法律通过赋予代表人以特定的义务及违反义务应承担的责任,实现对代表人行为的约束。由于代表人通常同时为公司的董事、高级职员,因此董事、高级职员的义务适用于代表人,公司法中无须作出重复规定。但与不担任代表人的董事、高级职员相比,代表人由于享有对外代表公司的职权,其违反义务的情形具有特殊性,故而本文对此特别加以研究。违反义务应当承担法律责任,否则义务就必然丧失其约束力。代表人违反义务的法律责任可能为行政责任、刑事责任及民事责任,但基于研究者的专业背景,本文只对代表人的民事责任进行探讨,包括对公司的责任和对第三人的责任。第六章我国法定代表人制度之检讨与完善。本章首先对法定代表人(公司代表人在我国的表现)制度的历史进行了考察,然而分析了法定代表人制度的形成原因、制度特征与制度缺失及缺陷,最后在前文研究的基础上提出了完善法定代表人制度的建议。更多还原

【Abstract】 Companies are economic organizations which are incorporated by their shareholders and get personality because of law.Although there are several theories about corporate personality,companys need natural person or personal aggregate to carry out its behavior eventually.In civil law system the natural person or personal aggregate is named corporate representative.Representatives’ behaviors is company’s behavior and the legal effect is attributed to the company.But common law system is different from civil law system.There is not the term of corporate representative in corporate law of common law system.The directors and officers are deemed as corporate agents whose behavoir within agency authority are corporate’s behaviors.Thus company’s external behavior is implemented.This dissertation tries to establish a basic framework of corporate representative system and get some useful experience from the theories and legislations of civil law system and common law system to improve China’s Legal Representatives system by means of comparative law, systematic analysis,empirical analysis and historical investigation.In this dissertation the author intends to resolve these issues:what way is the rational manner to select corporate representative? what essentials of the representative behavior should consists of? what obligation and civil responsibility should corporate representative assume? The dissertation consists of six chapters.ChapterⅠ:introduction.This part discusses the background,reason, status quo,methods of the research and defines the main terms of the dissertation.ChapterⅡ:the legal foundation of the corporation representative system.This chapter discusses the basic issues about the corporate representative system,including its concept,representative authority, representative’s legal status and basal idea in the first section.Then the second section discusses the theory of corporate personality of civil law system and common law system because it’s the foundation to research the corporate representative system.The last section resesrches corporate organ’s structure and the status of the corporate representative organ.ChapterⅢ:corporate autonomy or governmental intervention: corporate representative pattern’s choice.This chapter intends to show that the issue of choosing corporate representative and its behavior pattern should be part of corporate autonomy.About this issue law should just provide a example for corporate to choose and empowers company to choose other pattern.To make it clear that law should leave behind the choice to company this chapter discusses the private nature of company law and private law autonomy.The second section explores the connection between corporate autonomy and choosing corporate representative pattern.In the end this chapter compares the main countries’ corporate representaive pattern of civil law system and common law system.ChapterⅣ:representaive behavior’s legal analyzing.The main fuction of corporate representative is to behave on behalf of the company. At the same time corporate representaive are nature person and his behavior maybe personal.So it is necessary to define which behavior is representative behavior.To achieve this intention jurist construct essential theory.To protect the third party and the safety of trade the non-representative’s behavior and behavior exceeding their authority the law treats these behavior as representative behavior,typically the representative by estoppel in civil law system and exceeding behavior in common law system.This chpater discusses these three issues mentioned above.ChapterⅤ:corporate representative’s obligation and civil responsibility.Because representative’s behavior is treated as corporate behavior,how to restrict his behavior is meaningful to company.To achieve this goal the law charges corporate representative with special obligation and responsibility when he/she violates the obligation who should abide.It is common that corporate representative are directors or officers of the company.So he/she should abide by the obligation that law prescribes for directors or officers without doubt and it is not necessary to stipulate this in the law repeatedly.But there are special issues about corporate representative’ violating his/her obligation for his/her authority. For this reason this chapter discusses it expressly.It is not enough to prescribe representative’s obligation in the law.He/she must be charged with corresponding responsibility when corporate representative violates his/her obligation.Because of the author’s specialty this chapter only discusses the civil responsibility,including responsibility to corporate and to the third party.ChapterⅥ:reviewing Chinese Legal Representative System and suggestion to improve it.In the first place this chapter reviews the Legal Representative System’s history.Then the author analyses Legal Representative System forming causation,characteristic,defect and its disadvantage.In the end the author advances some suggestion to improve the Legal Representative System on the foundation of above chapter.更多还原