中国股东派生诉讼制度：实证研究及完善建议 (Shareholder Derivative Action in China : Empirical Study and Reform Proposals)

Chinese Abstract: 本文对于我国新公司法下的股东派生诉讼制度进行实证研究，从案件的总体数目、年度分布、地域分布、涉案公司类型和股权情况、诉讼当事人、诉讼理由、前置程序以及成本收益等方面全面揭示和评估该制度的实施情况，并从法解释学和立法论等角度提出相关完善建议。本文发现，该制度已经得到了积极运用，并产生了实质性的诉讼利益；但与国外不同，我国目前针对股份有限公司的判例极少，而几乎所有的判例都是发生在有限责任公司的场合，这不符我国引入该制度的立法初衷，没有充分发挥其功能。从比较法经济学的角度，本文认为其原因在于，公司法对于股份有限公司中派生诉讼的原告资格限制过于严格，以及诉讼成本与收益的严重失衡导致了提起股东派生诉讼的激励不足。另外，基于实证数据，本文建议被告范围应当采取广义解释，公司的诉讼地位应确定为第三人，前置程序应当允许公司以正当理由阻止诉讼，并且扩展豁免请求范围。English Abstract: This paper represents an update on the empirical study of China's shareholder derivative litigation as published in ‘Shareholder Derivative Litigation in China: Empirical Findings and Comparative Analysis' (2012) 27(4) Banking and Finance Law Review 619. While the initial BFLR paper includes a sample of cases during the four year period of 2006 to 2009, this subsequent paper adds the cases decided in 2010, rendering the statistics more complete and more comparable with similar studies in overseas jurisdictions. Further, more qualitative data obtained through interviews are provided to complement and test the quantitative data. It is found that the change in the case sample does not significantly affect the validity of the findings and arguments put forward in the initial BFLR paper