本文關(guān)鍵詞：公司法任意性規(guī)范研究　出處：《吉林大學(xué)》2017年博士論文　論文類型：學(xué)位論文

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【摘要】：本文以公司法任意性規(guī)范為研究對(duì)象,以我國(guó)公司法發(fā)展與改革為背景,運(yùn)用公司契約理論以及市場(chǎng)經(jīng)濟(jì)理論,綜合運(yùn)用實(shí)證分析、比較研究、經(jīng)濟(jì)分析等方法,反思當(dāng)下我國(guó)公司法制存在的問題。結(jié)合司法程序,從理論建構(gòu)和制度建設(shè)出發(fā),研究公司法任意性規(guī)范的理論價(jià)值、制度建設(shè)以及保障機(jī)制。本文寫作遵循以下步驟:首先對(duì)公司法任意性規(guī)范進(jìn)行理論探討;其次對(duì)公司法制度作實(shí)證研究;再次提出保障公司任意性規(guī)范實(shí)施的機(jī)制。自由是公司法理論研究的主題,自由價(jià)值以公司法任意性規(guī)范為載體。公司法任意性規(guī)范是自治性私法規(guī)范,當(dāng)事人意思優(yōu)先于國(guó)家意志。公司法任意性規(guī)范可以由當(dāng)事人選擇、變更或排除適用�；诠痉ǖ乃椒▽傩�,其任意性規(guī)范之配置情況,在一定程度上決定了公司運(yùn)行之效率。本文運(yùn)用公司契約理論路徑解讀公司法,認(rèn)為任意性規(guī)范應(yīng)為公司法之基本規(guī)范,公司法應(yīng)當(dāng)是權(quán)利保障法而非管制型法律。在探討公司法任意性規(guī)范的類型時(shí),本文借鑒了國(guó)外學(xué)者Ian Ayres和Robert Gertnert提出的理論。認(rèn)為公司法任意性規(guī)范應(yīng)當(dāng)以自動(dòng)適用與非自動(dòng)適用的任意性規(guī)范為主要構(gòu)成部分。從公司契約理論出發(fā),基于效率的考量,以人文主義和自由主義為基礎(chǔ),本文認(rèn)為:在公司法規(guī)范目的確認(rèn)方面,強(qiáng)制性規(guī)范除了保障公司法任意性規(guī)范的實(shí)施不應(yīng)有其他目的;在規(guī)范內(nèi)容設(shè)置方面,公司法強(qiáng)制性規(guī)范應(yīng)當(dāng)注重對(duì)公司參與方訴權(quán)的規(guī)定,側(cè)重于對(duì)公司法參與方行使權(quán)利的程序性規(guī)定;在規(guī)范邏輯方面,公司法強(qiáng)制性規(guī)范應(yīng)當(dāng)建立起這樣一種邏輯,即任何公司法強(qiáng)制性規(guī)范之設(shè)置,應(yīng)當(dāng)能夠證明其強(qiáng)制之合理性。本文通過實(shí)證的方法,以公司市場(chǎng)準(zhǔn)入制度和一人公司制度為例,探討公司法任意性規(guī)范發(fā)展的趨勢(shì)。公司市場(chǎng)準(zhǔn)入制度包括公司設(shè)立制度和公司資本制度。公司設(shè)立的本質(zhì),乃國(guó)家控制權(quán)與商人自治的博弈。通過研究我國(guó)以及世界主要國(guó)家和地區(qū)關(guān)于公司設(shè)立規(guī)范的發(fā)展,其規(guī)范呈逐步放松的過程。公司法規(guī)范大體上遵循著從強(qiáng)制性規(guī)范向任意性規(guī)范發(fā)展的軌跡。公司資本制度是指由法律規(guī)定的在公司成立及運(yùn)營(yíng)過程中,公司資本發(fā)行、繳付、維持、減少的制度。公司資本制度的改革不僅體現(xiàn)了一國(guó)經(jīng)濟(jì)政策導(dǎo)向的變化,更影響著大眾投資興業(yè)的意愿。法律對(duì)公司資本制度的規(guī)定,劃分著政府強(qiáng)制與企業(yè)自治的邊界。債權(quán)人保護(hù)是公司資本制度設(shè)置的理由。但是隨著資本信用功能的弱化,資本規(guī)制方式發(fā)生了變化。通過對(duì)公司資本制度的實(shí)證分析,公司資本制度的發(fā)展整體上也符合公司法規(guī)范體系整體由強(qiáng)制性向任意性規(guī)范發(fā)展的軌跡。一人公司制度超越了公司的團(tuán)體性,其賦予公司主體更大的靈活性。在法制發(fā)展方面,一人公司經(jīng)歷了從禁止到限制的過程,整體上仍遵循增加公司法任意性規(guī)范的發(fā)展規(guī)律。但是當(dāng)下對(duì)一人公司仍存在不必要的限制,本文認(rèn)為保護(hù)一人公司債權(quán)人不足以構(gòu)成對(duì)一人公司限制的理由,應(yīng)當(dāng)進(jìn)一步增加公司法任意性規(guī)范之規(guī)定。對(duì)公司法任意性規(guī)范的研究不應(yīng)僅局限于《公司法》本身,還需結(jié)合《證券法》以及證監(jiān)會(huì)制定的規(guī)范性文件。我國(guó)上市公司以遵循《證券法》以及證監(jiān)會(huì)所制定的規(guī)范性文件為主。這造成了公司規(guī)范的雙軌制:普通公司更多的參考公司法規(guī)則,上市公司更多的參考證券法規(guī)則。以上市公司股東大會(huì)職能為例,兩種不同的法律體系所內(nèi)涵的價(jià)值是不同的,于此造成了公司治理實(shí)踐的搖擺。本文認(rèn)為,無論是公眾公司還是閉鎖公司,公司治理、公司經(jīng)營(yíng)主要是私人領(lǐng)域,應(yīng)當(dāng)以任意性規(guī)范為主要的行為依據(jù)。在規(guī)范體系方面,應(yīng)當(dāng)協(xié)調(diào)證券法規(guī)范與公司法規(guī)范,以設(shè)置公司法任意性規(guī)范的方式對(duì)證券法涉及公司自治領(lǐng)域的問題進(jìn)行吸收。本文對(duì)公司法任意性規(guī)范的研究既包括對(duì)立法之反思,也包括對(duì)司法之建議�；仡櫸覈�(guó)司法在經(jīng)濟(jì)發(fā)展中的歷史,存在以司法替代立法的做法。因此司法制度應(yīng)當(dāng)回歸其權(quán)利救濟(jì)程序的本質(zhì)。在公司法任意性規(guī)范保障方面,國(guó)家干預(yù)和市場(chǎng)機(jī)制缺一不可,國(guó)家干預(yù)應(yīng)當(dāng)遵循有限干預(yù)的原則,市場(chǎng)機(jī)制應(yīng)當(dāng)發(fā)揮基礎(chǔ)作用。應(yīng)當(dāng)對(duì)當(dāng)下我國(guó)的控制權(quán)市場(chǎng)、職業(yè)經(jīng)理人市場(chǎng)和資本市場(chǎng)進(jìn)行改革,遵循市場(chǎng)競(jìng)爭(zhēng)的指導(dǎo)思想,充分發(fā)揮市場(chǎng)定價(jià)的作用。同時(shí)聯(lián)結(jié)司法程序與市場(chǎng)之間的關(guān)系,結(jié)合公司糾紛審判程序,本文提出應(yīng)當(dāng)以司法能動(dòng)主義為指導(dǎo),重塑裁判邏輯,并完善股東訴訟的立法規(guī)定。
[Abstract]:According to the company law standard of arbitrariness as the research object, in our company law reform and development as the background, using the corporate contract theory and market economic theory, analysis, comprehensive use of empirical comparative study, economic analysis, reflection on current company legal problems. Combined with the judicial process, starting from the theoretical construction and the system construction, theoretical value of the study of company law arbitrary norms, system construction and protection mechanism. This paper follow the following steps: firstly, discusses the theory of company law of arbitrary norms; secondly makes an empirical research on the system of company law; the company once again put forward the safeguard mechanism of arbitrary norms implementation. Freedom is the theme of the theory of company law the value of freedom as the carrier, in order to standardize the company law. The company law of any arbitrary norms is the autonomy of private law, the parties prior to the will of the state. Any justice Specification can be chosen by the parties, change or exclude it. Private property company law based on the arbitrary norms of the configuration, to a certain extent determines the efficiency of corporate operation. This paper uses the contract theory path of the interpretation of the company law, that arbitrary norms should be the basic norms of company law, company law should be the law on the protection of rights and non control law. In the study of company law and arbitrary standards, this paper use Ian Ayres and Robert Gertnert foreign scholars put forward the theory of company law. That arbitrary norms should be applied automatically and non arbitrary norms applicable to automatic main components. Starting from the theory of corporate contract, efficiency based on the consideration, the humanism and liberalism as the basis, this paper holds that in company law standard to confirm, in addition to the protection of the mandatory norms of company law and arbitrary standards The implementation should not have other purposes; in setting the standard content, the mandatory norm of the company law should pay attention to the provisions of the company to participate in the Party of the right to appeal, focusing on company law party to procedural rights stipulated in the specification; logic, mandatory rules of law should establish such a logic, that is to set any corporate mandatory the standard, should be able to prove that the compulsory rationality. Through empirical methods, the company in the market access system and the system of one-man company as an example, to explore the development of the company law the specification of any trend. The market access system including the establishment of company system and company capital system. The essence of the establishment of the company, but the state control and game merchants autonomous. Through the development of research in China and the world's major countries and regions on the company to establish the standard, the standard is gradually relaxed. The corporation law Generally follow from the mandatory norms to arbitrary norms. The trajectory of company capital system refers to the legal provisions in the company set up and operation of the process, the company issued capital, pay, maintain, reduces the system. The reform of company capital system not only reflects the change of a country by economic policy orientation, but also affect the public investment will. Legal provisions of company capital system, divide the boundaries of government compulsory and corporate autonomy. The protection of creditors of the company capital system is set for. But with the weakening of credit capital, changes in capital regulation. Through empirical analysis of the capital system, the overall development of the capital system of the company on the whole system in line with the development of the company law by compulsion to arbitrary norms. The trajectory of one person company system beyond the group of companies, which gives the company the main body More flexibility. In the development of legal system, one company has experienced from prohibition or restriction on the whole process, follow the law of development of the company law is still increasing. But the arbitrary norms of one person companies still exist unnecessary restrictions, this paper argues that the protection of creditors of one-man company does not constitute a limit the reason, should further increase the provisions of the company law. The arbitrary norms of company law and arbitrary standards should not be limited to the "company law" itself, still need to be combined with the Securities Law > and commission to develop normative documents. The normative documents of our country listed companies to follow the securities Law > and < the commission established. This caused double track company specifications: rule company more reference to company law, listed companies more reference to the securities law rules. The function of shareholders' meeting of listed companies as an example, two different The legal system of the connotation of value is different, this caused the swing the practice of corporate governance. This paper argues that, whether it is a public company or close corporation, corporate governance, the main operating company is the private sector, should be based on the arbitrary norms of behavior as the main basis. In the standard system, should coordinate with securities laws and company the law, involving the company autonomous domain of Securities Law of company law to set arbitrary norms of the way of absorption. The study of company law and arbitrary standards both in legislation reflection, also includes the judicial review of China's judicial suggestions. In the economic development history, existing in judicial alternative legislation practice. Therefore the judicial system should be return to nature of their rights. The relief procedure in the company law specification of any security, both state intervention and market mechanism, government intervention should follow The principle of limited intervention, the market mechanism should play a basic role. It should be on the current control of the market, occupation manager market and capital market reform, follow the guiding ideology of market competition, give full play to the role of market pricing. At the same time, the relationship between the judicial process and the connection of the market, combined with the company's dispute trial procedure, is proposed in this paper. Should be based on judicial activism as a guide, to reshape the referee logic, legislation and perfection of shareholder litigation.

【學(xué)位授予單位】：吉林大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2017
【分類號(hào)】：D922.291.91
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本文編號(hào)：1439652