【作者】 陈盎然；

【导师】 肖海军；

【作者基本信息】 湖南大学 ， 法律， 2007， 硕士

【摘要】 公司基于股份所有权与经营权的二权分离而产生的独特治理机构,让大多数股东淡出了公司的日常经营,如果没有一定的渠道让股东了解公司的信息,股东对公司的真实状况的观察就会如雾里看花,在自己的权利受到侵犯的情况下也毫无所知,让公司的现代化治理结构变成侵犯股东权利的寄生体。因此,股东知情权在股东权体系中具有基础性的地位,是其他股东权得以实现的起点和基础。但我国股东知情权保护制度起步较晚,极不完备,让广大股东对如何实现股东知情权茫然无知,也让法院在处理此类案件时无所适从。所以对股东知情权司法救济问题的探讨不仅具有必要性而且具有紧迫性。股东知情权作为多项股东权利的集合体,以保障股东对公司有关信息的知晓,进而实现对各项股东权的预防性保护为目的。股东知情权的主体包含广义上的股东,客体为公司的各项基础性信息和经营性信息。股东知情权在实现途径上分为主动披露与被动请求两种,其具体行使可归纳为公司事务参与、账簿查询、质询、专业监督、诉讼等五个方面,并表现出力度和强度逐步增强的结构特征。对于股东知情权司法救济的探讨,应当从股东知情权的司法救济原由开始,这是寻求司法救济的入口,决定了可予救济的范围与保护力度。股东知情权司法救济制度有着规范公司治理、提供预防性保护、规范交易秩序等多方面的制度功能和法律意义。对于股东知情权之诉原告的确定,应该以是否具有诉的利益为标准,对被告范围的确定,原则上应当以是否对股东承担的受信义务为标准,同时对于公司有关信息真实性承担担保义务的有关中介机构可能以第三人的身份参加诉讼并承担一定的补充责任。为适应公司形态多样化和股东分布广泛等特点,应当构建单独诉讼、集团诉讼、代表人诉讼三位一体的诉讼机制,最大限度方便股东诉讼。股东知情权之诉本质上是对实体问题的审理,应当适用一般程序,并有必要构建包含诉前保全与诉讼保全在内的完备保全体系,保障诉讼的顺利进行。股东知情权的举证责任分配是对股东间强弱不均现实予以平衡的司法工具,应区分不同案件类型进行有针对性的举证责任分配。作为非财产案件,股东知情权之诉的被告承担的主要是一种非财产民事责任。在股东知情权之诉的执行过程中,主要涉及的是行为的执行,其中既包括可替代行为的执行,也包括不可替代行为的执行。总之,研究股东知情权的司法救济,应当从厘定权利本源、界定权利边界、探悉救济路径、完善救济方式四个方面着手进行,唯有如此,才能建构完善的股东知情权保护机制,实现公司治理结构的和谐。更多还原

【Abstract】 The special institution of governance, which is resulted from the divorce of ownership and managerial authority, makes the daily affairs of the company out of shareholders’ control. If there is no certain channel informing the company’s shareholders of information, shareholders will know little about the real situation of the company. They would be unconscious of any violence to their rights, and the company will become a modern management structure which may violate the rights of shareholders. So the realization of the shareholders’ right to know which has fundamental status in the shareholders’ right system is the start and base of the realization of other rights of shareholders. Although the Corporation Law has already been amended several times, there exist only general principles with scattered and incomplete contents because of the late establishment of our national protect system for shareholders’ right. As the right to action has been neglected and there is no regulation about protecting this unique right of shareholders, the shareholders are not aware of the right to know at all, and the court has difficulties in dealing with such cases. Therefore, it is important and urgent to study the judicial relief of the shareholders’ right to know.As a collection of many rights of shareholders, the right to know aims at informing shareholders related information about the company and protecting shareholders’ rights. The subject of the right to know contains shareholders in broad sense, and the objects are basic and managerial information of the company. The shareholders’ right to know can be divided into two kinds, i.e., active disclosure and passive requirement. Specifically, the right of participation into the company’s affairs, the right of inspection of the corporation’s books and records, the right to address questions, the right of professional supervision, the right of internal request, the right to action, showing a build-up structure. The study of judicial relief of the right to know starts from analyzing the reasons of judicial relief, which determines the range of relieving and the strength of protection. The regulations of judicial relief of the right to know have many functions and significant meaning in regulating the management of the company and the order of transaction and providing protection. The determination of plaintiff should take action benefit as a criterion, while, the insurance of the defender should take his duty as a criterion. According to the characteristics of varied company form, it is necessary to establish a trinity litigious mechanism which composes of individual litigation, collective litigation, and representative litigation. The nature of the action of the shareholders’ right to know is how to deal with practical matters, which apply general procedure. And it is necessary to found a complete protection system including pre-action protect and action protect to make sure that action is successful. The duty of giving certification is a judicial method to balance the strength among shareholders. In a word, the study of judicial relief of the right to know should begin with the origin of shareholders’ right to know, its scope, and its relief paths and methods. By this way, we can construct protection mechanism of shareholders’ right and realize harmonious governance of corporation.更多还原