论股东派生诉讼之当事人

【作者】 魏琪；

【导师】 张竞芳；

【作者基本信息】 郑州大学 ， 民商法， 2004， 硕士

【摘要】 在以公权力解决私权利纠纷的民事诉讼中，当事人制度是三大理论基石之一，对于任何诉讼系属都是不可或缺的要件。从诉讼程序的启动要件到判决效力所拘束的主观范围，无不是以当事人的主体地位为中心来展示解决矛盾冲突的意义。本文从诉讼法角度出发，运用历史分析、比较分析等方法，突破我国现行诉讼法的局限，力图建立一个全新的公司诉讼法律关系，寻求股东派生诉讼中当事人诉讼主体地位的实现途径。 本文共分五个部分： 第一部分论述了股东派生诉讼之基本理论。该部分包括了股东派生诉讼的概念、特征、与其它相关制度之比较以及起源、发展、当事人适格理论等。在对股东派生诉讼制度进行系统、深入的研究过程中，笔者提出了这样的观点：股东派生诉讼的产生，归根到底是由于公司的非自然人属性和工具价值属性。中小股东之所以起诉，是由于他们的股东权受到了间接损害，因此，该诉讼解决的仍是“人与人之间的纠纷”。 当事人适格理论是本文的基石。当事人适格理论在各种新类型纠纷的冲击中，不断发展、完善。笔者提出，当事人适格要件包含了了实体权利保护要件和程序要件，因此，把当事人适格问题作为实体法和程序法之间的特殊问题加以对待更加适当。而且，用“固有利益”理论对当事人适格的权利保护要件加以阐述，将更加准确、清晰。 第二部分论述了股东派生诉讼之原告。原告的范围应当限制于公司的股东。适格的原告股东应当具备的权利保护要件，即原告股东的适格基础在于其与公司之间存在着“股权”。股权所体现的不仅是单纯的利益，而是股东享有的多种权利和义务的集合体，是一种与物权、债权并列的新型财产权。此外，适格的原告股东还应具备程序要件，即受到不同程度的程序法限制。 第三部分论述了股东派生诉讼之被告。通过对各国股东派生诉讼适格被告规定的比较，笔者赞同以美国立法例为基础的宽泛被告范围，以预防和救济公司机关组成人员擅权营私，也可阻遏和消弥第三人对公司之侵害。适格被告的基础在于，侵害人实施了违法或不适行为并对公司造成直接损害。因此，适格被告与适格原告的权利保护要件关系密切。当被告不适格时，应当以诉无理由而驳回原告的诉讼请求 第四部分论述了股东派生诉讼之第三人。公司在股东派生诉讼中应处何种地位，理论界争议颇大。鉴于我国现行诉讼法中无独立请求权第三人制度存在着难以解决的冲突和矛盾，笔者引入了“准独立第三人理论”。通过对准独立第三人参诉基础及参诉方式的剖析，将公司定位为股东派生诉讼中的第三人不失为是一种恰当的选择。 第五部分着重对我国股东派生诉讼制度中当事人地位进行设计。目前，我国关于股东派生诉讼方面的立法几乎是空白，司法实践操作也相当混乱。鉴于此，笔者立足于诉讼法角度，构建各方当事人在股东派生诉讼中的地位，以期更好地保障其诉讼权利的实现。更多还原

【Abstract】 The positive meaning of shareholder’s derivative suit is fixed by many scholars at the work in recent years , and it is thought that our country should leads this system basing on the abroad laws. But leading any one kind of law all must operate to his theory foundation and solid affair , then builds the corresponding concrete system combining our reality. With public power solving in the civil action of private interests dispute , party’s system is discussed as one of foundation stones in procedural law, and is also indispensable for any lawsuit. It is all without exception to show the meaning of solving the contradictory conflicting with the main body position of party, from the lawsuit program to the subjective scope of judgment.This text from the procedural law angle,exerts historic method,comparative method, breaks through the limitations of currently procedural law of our country , and establishes the completely new procedural law relation of joined forces , to realize each side party positionThis text divides five parts altogether:The first part has been discussed the basic theory of shareholder’s derivative suit. It is about the concept,features,discriminate between it and other systems, its history, and the beneparty theory. In the research course, the author has put forward such viewpoint that shareholder’s derivative suit rises from artificial person attribute and tool value attribute owing to the corporation. Why middle and small shareholder indicts is that their shareholder’s power have suffered indirectly. Therefore this lawsuit settlement still is " between person and person’s dispute " .The beneparty theory is the foundation stone of this text . The beneparty theory constantly develops and makes perfect in the shock of various new type disputes. The author puts forward that the requirement of beneparty containesthe substance right and the program regulation . So the requirement of beneparty is treated more suitably as the problem between substantive law and the procedure law . At the same time , " intrinsic interest " theory is expound to the right of beneparty will be more accurate and distinctThe second part has been discussed the petitioner of shareholder’s derivative suit. The scope of the petitioner should be placed restrictions on shareholders of the corporation . The petitioner should have substance right . That is to say, the foundation of the petitioner as the beneparty is shareholding. It is not the simple right,but the combination of many kinds of rights that are shareholder enjoys and duty . It is the new property right beside jus in rem and aes suum . In addition , the petitioner still should have program regulation that is the program restriction of different level as the benepartyThe third part has been discussed the defendant of the shareholder’s derivative suit. By way of the comparison of the derivate lawsuit object scope to each country shareholder , the author approves of wide in range defendant’s scope that takes the American legislation as the foundation . Thus it can prevent and salvage corporation mechanism component personnel monopolize power and seek private gain , also can check and disappear the infringement from other person. The foundation of the defendant as beneparty depends on that he breaks the law or does unsuitable action and that directly does harm to to the corporation . The relationship between the petitioner and the defendant is so tight that if the defendant is an un - beneparty, the petitioner will be dismissed of the action for he hasn’t the grounds of the action.The forth party has been discussed the third person of shareholder’s derivative suit. It has been disputed bittly that what the corporation is of the shareholder’s derivative suit. In view of the conflict and contradiction in the dependent claimed third person’s system of the procedural law in effect of our country , the author has led " quasi-independent third party’s theory " . Analysing the foundation and the way he joins the action of the independent third person , to fix a positi更多还原