股东代表诉讼——以中小股东权利保护为视角

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1、独创性声明本人郑重声明：本人所呈交的毕业论文，是在导师曹兴权指导下独立研究取得的成果。毕业论文中凡引用他人已经发表的成果、数据、观点等，均已明确注明出处。除文中已注明引用的内容外，均为独创性写作，不包含任何其他个人或集体已发表的论文。若有抄袭，愿承担法律责任。特此声明完成人签名：何张凤2012年9月28日2目录1股东代表诉讼的制度概论………………………………61.1股东代表诉讼的内涵„„„„„„„„„„„„„„„„„„„61.2股东代表诉讼产生的基础„„„„„„„„„„„„„„„„„92股东代表诉讼

2、制度的局限性………………………………………162.1股东怠于提起股东代表诉讼„„„„„„„„„„„„„„„„„„162.2股东恶意利用股东代表诉讼„„„„„„„„„„„„„„„„„„173提高股东提起股东代表诉讼积极性的措施…………………173.1明确适格当事人的法律地位„„„„„„„„„„„„„„„„„„183.2采取诉讼激励措施„„„„„„„„„„„„„„„„„„„263.3强化股东知情权„„„„„„„„„„„„„„„„„„„„„294防止股东代表诉讼被恶意利用的措施……………………304.1程

3、序限制：前置程序需竭尽内部救济„„„„„„„„„„„„„„304.2实体限制„„„„„„„„„„„„„„„„„„„„„„32主要参考文献…………………………………………………………373股东代表诉讼—以中小股东权利保护为视角何张凤（西南政法大学法律硕士学院；重庆400031）[内容摘要]股东代表诉讼是维护中小股东权利的一条重要途径。2005年我国《公司法》首次确立了股东代表诉讼，但股东代表诉讼的司法实践效果却一直不甚理想。在实践中，股东代表诉讼制度不仅对中小股东的激励作用不强，并且也容易被他人恶意利

4、用。本篇论文的研究目的正是要解决股东代表诉讼的这一难题，即要在股东代表诉讼制度中寻找出一个平衡点，既能激励中小股东维护通过司法途径维护其正当权利同时又能防范其被他人恶意利用。基于此本文首先从股东代表诉讼的制度概论出发，介绍了股东代表诉讼的内涵、特点及其产生背景和条件。其次着力分析股东代表诉讼现阶段在中国遇到的一些问题，突出表现在中小股东提起代表诉讼的积极性不够且易被他人恶意利用。最后尝试着提出一系列解决现阶段存在问题的方案。一方面从明确适格当事人的法律地位、采取诉讼激励措施、保障股东知情权三个方面来

5、提高中小股东提起股东代表诉讼的积极性；另一方面则从程序和实体两个角度对股东代表诉讼的提起加以了限制，以防范股东代表诉讼制度被他人恶意利用。4[关键词]中小股东权利股东代表诉讼公司治理[Abstract]shareholderrepresentativeactionisanimportantwaytosafeguardtherightsofsmallandmedium-sizedshareholders.China's"CompanyLaw"in2005forthefirsttimeestablish

6、edashareholderrepresentativesuit,butthejudicialproceedingsonbehalfofshareholderspracticaleffecthasbeenlessthanideal.Inpractice,theShareholderRepresentativeLitigationSystemnotonlyincentivesforsmallandmedium-sizedshareholdersnotstrong,andeasyformalicious

7、use.Thisproblem,namelythethesisresearchaimistosolvetheShareholderRepresentativeLitigationShareholderRepresentativeLitigationSystemtofindapointofbalance,bothtostimulatesmallandmedium-sizedshareholdersmaintenancetosafeguardtheirlegitimaterightsthroughleg

8、alchannelswhileatthesametimetopreventitsmalicioususe.ThisarticlefirstdeparturefromshareholdersonbehalfoftheIntroductiontothelitigationsystem,introducedashareholderrepresentativeactionconnotation,characteristicsandbackgroundandconditions