【作者】 陆智潜；

【导师】 白国栋；

【作者基本信息】 复旦大学 ， 法律， 2009， 硕士

【摘要】 股东代表诉讼制度的设立旨在为股东特别是中小股东提供维护公司和自身合法权益的手段,以制止董事、监事、高管、控股大股东、第三人等人员对公司的侵害行为。股东代表诉讼当事人法律地位设置是否合理、严密,直接关系到该制度功能的发挥。我国于2005年修订的《公司法》正式引入了股东代表诉讼制度,但对其当事人的具体规定上仍存在立法缺陷,有进一步完善的必要。本文通过对境内外国家和地区股东代表诉讼当事人立法和司法实践的比较研究,从实体法和程序法两个层面作出法律分析,对完善我国《公司法》股东代表诉讼当事人提出了立法建议。本文分为六个部分:第一章概述股东代表诉讼制度的概念、历史沿革和发展;明确股东代表诉讼当事人的定义及所依据的法理基础;针对我国股东代表诉讼当事人的立法缺陷,提出对其研究和完善的必要性。第二章比较分析各国对股东代表诉讼原告资格限制的规定,提出我国公司法应要求提起代表诉讼的股东在整个诉讼过程中必须持有公司股份,适当降低持股比例的限制,以及在主观要件上作出限定。第三章股东代表诉讼被告的境外立法分类、确定被告的标准,以及将我国代表诉讼被告范围依据公司内、外部人员予以分别研究。第四章论述公司参加股东代表诉讼的必要性,研究相关国外立法例,提出在我国代表诉讼中应将公司列为无独立请求权第三人的观点。第五章比较研究美国和日本关于其他股东诉讼地位的立法例,提出我国立法应鼓励其他股东参加到已提起的代表诉讼中来,在诉讼地位上与提起代表诉讼的股东为共同原告。第六章为完善我国股东代表诉讼当事人的立法,建议我国应建立双重、三重及多重股东代表诉讼,完善免除诉讼前置程序的例外规定,构建滥诉赔偿制度和建立相配套的诉讼费用制度。更多还原

【Abstract】 Shareholder’s Representative Action System aims at providing shareholders, especially minority shareholders with means to protect the legal rights of the company and themselves. Whether the way to set legal status of the party of Shareholder’s Representative Action is reasonable and rigorous directly influences the function of this System. The amended version of "Company Law of PRC 2005" formally introduced the Shareholder’s Representative Action System, while the regulations related to the parties need to be further improved. By comparing and researching the Shareholder’s Representative Action System in China and other countries/areas, combining the legal analysis on Administrative Procedure Law of PRC, this article raises legislation suggestions to improve the Shareholder’s Representative Action System in our company law. It consists of six chapters.The first chapter summarizes the conception, history and development of Shareholder’s Representative Action System. It clarifies the definition of the Party of Shareholder’s Representative Action from the angle of law principle. Aiming at the legislation shortage on Shareholder’s Representative Action in China, it brings forward the necessity of further research and improvement.The second chapter conducts comparative analysis on the regulations on plaintiff qualification in Shareholder’s Representative Action of different countries, and suggests that the shareholder who raises representative action should hold the company’s share during the whole action process, and there should be a limitation on its share reduction and the restriction to its subjective condition.The third chapter conducts the respective researches on the legislation classification and qualification of defendant in shareholder’s representative action out of China, and in China the defendant either inside or outside of the company.The fourth chapter discusses the necessity of Shareholder’s Representative Action by studying the legislation examples of other countries, and raises the opinion that in China Shareholder’s Representative Action, the company should be viewed as the third party with no independent claim. The fifth chapter studies the legislation examples and comparing other shareholder’s action status in USA with that in Japan, and suggests that in China the legislation should encourage other shareholders to join the representative action legally as co-plaintiff.To consummate the Party’s System of Shareholder’s Representative Action in China, the sixth chapter suggests to establish double, triple even multiple derivative Shareholder’s Representative Action System, by further clarifying the regulations on exception in previous procedure exemption, setting regulations on compensation standards due to indiscriminate lawsuits, and on related action expenses.更多还原