“实质性剥夺”股东知情权的公司意思效力研究《公司法解释四》第9条的法教义学分析及展开被引量：21

On the Effectiveness of Corporation's Intention Concerning the“Substantial Deprivation”of Shareholders Right to Know Doctrinal Analysis and Exposition of Article 9 of Judicial Interpretation of Corporate Law

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摘要判定"实质性剥夺"股东知情权的公司意思的效力,离不开公司组织法上的两个共识与一个司法政策立场,也构成正确理解《公司法解释四》第9条立法意旨的重要部分。共识一,知情权的股东固有权本质,即公司自治意思可予以限制但不容忍实质性剥夺;共识二,公司法关于知情权规定的强制性规范属性,即"为避免产生严重的不公平后果或为满足社会要求而对私法自治予以限制的规范";一个司法政策立场,体现为对于股东、公司自治理念的恰当尊重,以及公司法上的利益平衡理念。基于上述共识与立场,限制、实质性剥夺股东知情权的公司意思效力边界得以界定,司法适用的诸多细节亦得以厘定。此外,其效力规则类推适用的对象,则应限缩解释为具有与知情权相同法律属性的股东权。 Determining the effectiveness of corporation＇s intention on ＂substantial deprivation＂ of shareholders＇ right to know forms an essential aspect of accurate comprehension of the legislative inten- tion of Article 9 of the Judicial Interpretation IV of Corporate Law and is indispensable with two consen- suses in the corporate law and one standpoint of judicial policy. The first consensus is about the nature of the shareholders＇ intrinsic right of the right to know, which reveals the fact that the will of corporation autonomy can be restricted but cannot be imposed by the substantial deprivation. The second consensus is about the mandatory specification attribute of the right to know stipulated in corporate law, which is a le-gal norm ＂as to avoid serious unfair consequences or to impose restrictions on autonomy of private law in order to meet the requirements of society＂. Viewed from the standpoint of judicial policy, it is necessary to give appropriate respect to shareholders and the philosophy of corporate governance, and to set up the theory of balance of interests in corporate law. Based on the consensuses and stance illustrated above, the boundaries of effectiveness of corporation＇s intention concerning restricting and substantial depriving of shareholders＇ right to know are defined, and many particulars of judicial application are determined. In addition, the object to which the effectiveness rule can be analogically applied is supposed to fall into the scope of shareholder＇s right and restrictively interpreted as having the same legal attribute as the right to know.

作者李建伟

机构地区中国政法大学民商经济法学院

出处《中外法学》 CSSCI 北大核心 2018年第5期1339-1359,共21页 Peking University Law Journal

基金中国政法大学校级人文社科项目"民法总则制定中的商事主体立法研究"(项目编号:15ZFZ82007)阶段性成果中国政法大学优秀中青年教师培养支持计划资助项目(项目编号:DSJCXZ180303) 中国政法大学新兴学科培育与建设计划(项目编号:20180615A03)的支持青年教师商法学学术创新团队项目(项目编号:16XCXDT01)

关键词股东知情权固有权强制性规范公司意思实质性剥夺 Shareholders＇ Right to Know Intrinsic Right Peremptory Norms Corporation＇s Intention Substantial Deprivation

分类号 D922.291.91 [政治法律—经济法学]