【作者】 祁妍；

【导师】 车虎；

【作者基本信息】 中国政法大学 ， 比较法学， 2010， 硕士

【摘要】 本文将研究视角聚焦于公司僵局这一法律问题。公司僵局是公司运营过程中经常发生的一种情况,具体表现为权力对等的股东之间或董事之间发生矛盾、互不妥协,致使股东会或者董事会无法有效召集,或无法通过任何决议,最终导致公司的一切决策和管理机制陷入瘫痪的状况。公司僵局的发生使公司的正常运作处于停滞状态,公司资产流失,股东的合法利益受到严重损害,甚至产生很多社会问题。国外对公司僵局问题已有多年的研究,积累了丰富的理论成果和实务经验,而我国对公司僵局的关注才刚刚开始,在这方面的研究和实践远远落后。长期以来,如何处理公司僵局问题始终是立法上的空白。随着我国社会主义市场经济建设进程的加快,公司僵局在我国公司中越来越频繁地出现,公司僵局问题也逐渐成为社会各界关注的焦点。有鉴于此,2006年1月1日正式施行的现行《公司法》体现了对公司僵局的关注,在第183条中首次对公司司法解散作出了相应规定。尽管司法开始正式介入公司僵局问题,但《公司法》并没有建立一套完整的公司僵局救济制度,救济措施的单一、程序机制的不完善导致公司僵局仍然是司法实践中的一道难题。本文从现实生活中的一则公司僵局案例入手,以公司僵局及其法律救济为研究对象,阐述公司僵局的内涵,探讨新《公司法》183条在司法实践上的适用,并分析本案在现有法律框架下应该如何判决,借以指出目前我国在公司僵局解决机制上存在的诸多问题。同时结合对英美法系和大陆法系国家立法制度和司法实践的考察,根据相关的公司法理论,在我国现有的法律环境下,提出如何完善司法解散制度。在此基础上,为了有效解决公司僵局问题,通过对国外公司僵局的其他替代性救济措施进行分析和比较,建议我国应当建立强制股份收买制度,并加强仲裁和调解的自治功能,同时通过章程进行预防,形成完整有效的救济体系。全文分为四个部分:第一部分:案例事实与裁决要旨。这部分介绍了一则因公司僵局而提起司法解散之诉的真实案例,概括了该案的主要事实,以及一审和二审法院的不同判决结果,由此引出公司僵局及其救济问题。第二部分:公司僵局的法律透视。具体分为两个问题,一是公司僵局的内涵,这部分主要对公司僵局的概念、特征、分类、成因及其危害性进行系统阐述。二是是我国的公司僵局解决机制,这部分主要论述了司法解散制度的立法背景,目前我国的公司僵局救济的制度设计,以及通过案例揭示的我国公司僵局解决机制存在的问题,以体现我国建立公司僵局救济制度的必要性。第三部分:公司僵局的司法解散制度。首先论述了西方国家解决公司僵局的理论基础,指出公司僵局的司法解散制度符合法理依据。其次列举了英美法系和大陆法系国家的公司僵局司法解散制度,并对司法解散制度进行分析。最后提出如何完善我国的司法解散制度,从诉讼主体、公司僵局的认定、司法解散的适用、清算、财产及证据保全、恶意诉讼等几个方面提出了相应的修改具体意见。第四部分:建立并完善我国公司僵局救济体系。即使完善司法解散制度,其在公司僵局的救济上仍有适用的局限性,不能完全解决公司僵局问题,需要引入其他救济方式。国外解决公司僵局问题的替代性措施,主要包括强制股份收买、任命破产管理人或监管人、任命临时董事、直接司法管理权、公司分立、仲裁、章程预定等,通过对每种救济方式进行论述和比较,分析其功能优劣和适用利弊,为我国建立公司僵局救济体系提供了参考和借鉴。笔者建议我国建立强制股份收买制度,并加强仲裁和调解的自治功能,同时通过章程的进行预防,结合司法解散制度,最终形成多元化有机性的公司僵局救济体系。更多还原

【Abstract】 This article focuses on the legal issue of the corporate deadlock. The corporate deadlock is a kind of situation which appears frequently in corporate operation practice. It is reflected by the phenomena that the shareholders or directors with equal right or power come into conflict and can’t compromise, then the meeting of shareholders or directors can’t be held or any resolution can’t be made, and finally the governance and management of the corporate get paralyzed. The corporate deadlock may results in the stagnation of normal operation, loss of corporate assets, serious damage of shareholder’s rights, and even a lot of social problems.As to the corporate deadlock, other countries have studied for many years and accumulated a wealth of theoretical results and practical experience. However, China’s concern about the issue just starts with the research and practice in this area being lagging far behind. For a long time, how to deal with the corporate deadlock is a gap in legislation. With the acceleration of the process of building China’s socialist market economy, the deadlock appears more frequently in our corporate and the problem has gradually become the focus of whole society. For this reason, the current Company Law implemented on January 1, 2006 reflects the concern about the corporate deadlock and makes the provisions of judicial dissolution in Section 183. Although judicial power can interfere in the corporate deadlock, the Company Law fails to establish a complete set of corporate deadlock remedies system, and scarcity of relief measures and imperfections of procedures and mechanisms are still a problem in the judicial practice.The article starts with a real corporate deadlock case, to study the corporate deadlock and remedies, to describe the connotation of corporate deadlock, to discuss the application of Section 183 in judicial practice and to analyze the decision of this case under the existing legal framework, then to point out the problems of corporate deadlock remedies mechanisms in our country, meanwhile, on the study of legislation system and judicial practice of common law countries and civil law countries, and with the relevant company law theory, to propose how to improve judicial dissolution under current legal environment in our country. On this basis, in order to effectively solve the problem of corporate deadlock, through the analysis and comparison of alternative remedies in foreign countries, the author advises that our country shall establish the buyout system, strengthen arbitration and mediation, and encourage prevention through the articles of association, so as to form a complete and effective remedies system. The article consists of four parts:Part One: The facts and judgment of the case. This part introduces a real judicial dissolution case about corporation deadlock, summarizes the main facts and the different decisions of district court and appellate court, to give rise to the issue of corporate deadlock and remedies.Part Two: The legal perspective of corporate deadlock. It is divided into two issues. The first is the connotation of the corporate deadlock, systematically expounding the concept, characteristics, classification, causes and dangers of corporate deadlock. The second is the corporate deadlock remedies mechanisms in our country, which discusses the legislative background of the judicial dissolution, the current situation of corporate deadlock remedies mechanisms, as well as the existing problems of corporate deadlock remedies mechanisms in China, to reflect the necessity of the establishment of corporate deadlock remedies system.Part Three: The judicial dissolution mechanism of corporate deadlock. Firstly the author expounds the theory to deal with the corporate deadlock in foreign countries and points out that the judicial dissolution mechanism is in accordance with legal principles, then enumerates the judicial dissolution mechanism in common law countries and civil law countries and analyzes the judicial dissolution mechanism, and last puts forward how to improve the judicial dissolution mechanism in China and gives amendment advice on aspects of subjects, identification, application, liquidation, preservation of property and evidence, malicious litigation. Part Four: The establishment and improvement of corporate deadlock remedies system in China. Even improved, the judicial dissolution mechanism still has limitations on application and can’t completely solve the corporate deadlock problem, and we need to introduce other remedies. The alternative remedies to resolve the corporate deadlock problem in foreign countries mainly include buyout,temporary receivers or custodians, temporary directors, the right to direct judicial governance, corporate separation, arbitration and prevention by articles, etc. On the basis of discussion and comparison on the pros and cons of the function and application of each remedy, which provides a reference for the establishment of corporate deadlock remedies system, the author proposes to establish buyout mechanism, to enhance the autonomy function of arbitration and mediation, and to encourage prevention through the articles of association, combined with the judicial dissolution mechanism, eventually to form the diversified organic corporate deadlock remedies system.更多还原