发起人制度研究

【作者】 刘素江；

【导师】 石慧荣；

【作者基本信息】 西南政法大学 ， 法律， 2004， 硕士

【摘要】 发起人作为股份有限公司中一个特有的概念，一般被认为是启动股份有限公司设立程序、依法完成发起行为的人。在一定意义上讲，没有发起人，便没有股份有限公司的产生与存续。因而，深入研究发起人制度无疑对公司法理论和公司实务均具有重要的现实意义。但是，在我国，对于发起人的概念、法律地位及责任，不仅司法实践中存在疑问，而且在理论上也很难形成，普遍公认的观点。笔者试图在这一方面作出有益的探索。 全文除引言外，分为四大部分。 一、发起人概念及资格界定 对于发起人的定义，理论上存在三种不同的学说，即形式概念说、实质概念说和两概念结合说。通过比较分析这三种学说，笔者认为我国采取的是形式概念说。因此，在我国，发起人就是指制定公司章程，并在章程上签名盖章的人。为弥补形式概念说的固有缺陷，建议我国立法借鉴日本的作法，增设拟制发起人的有关规定。 发起人在公司设立过程中起着举足轻重的作用，其活动对社会经济影响深刻，故立法对发起人进行了种种资格限制。本部分从数量限制、身份与能力限制、国籍与住所限制几个方面进行了详尽论述。 二、发起人的法律地位 关于发起人的法律地位，学界主要有几种学说。其中，设立中公司机关说得到大多数学者认同。但是，设立中公司机关说不能解释公司不能有效成立时，设立行为的费用为何由发起人负无限连带责任。笔者认为，要考察发起人的法律地位，就应从两个方面来确定：首先，从发起人作为个体来说，其法律地位表现在发起人之间的合伙关系中。其次，从发起人作为一个群体来说，其法律地位主要表现在其与设立中公司的关系中。从这两方面分析，可以很好地解释公司成立或不成立时发起人责任的承担。 发起人作为整体是设立中公司的机关，依“同一体说”，设立中公司与成立的公司实际上是一个实体的两个阶段，是同一的，所以，一旦公司合法成立，发起人的行为所生之权利义务，自然归于公司享有或承担。当公司设立不能时，设立中公司消失，回到发起人合伙，对设立公司行为所产生的债务和其它后果，当然要由全体发起人按照合伙合同承担连带责任。 三、发起人的权利及其法律规制 发起人在发起设立公司过程中，享有各种权利，其可能获得的利益必定是非常广泛的。本部分在讨论发起人权利与利益的关系基础上，分析发起人的利益哪些是合法的，哪些是应受法律规制的。笔者从发起人出资方式的选择权、获得特别利益的杠牙纽、设立费用偿还权和报酬请求权、筹办设立事务的权利等四方面，结合案例进行论证。 四、发起人的责任 发起人责任制度是公司设立制度健康实施的保证。但是，一直以来，我国法学界对发起人责任的研究却相对较少，而且不够深入。所以对发起人在公司设立失败或公司成立的情况下对债权人、认月无人、成立后公司的民事责任的研究就显得十分迫切。本部分主要围绕公司能否成功设立和发起人实施设立行为的结果能否最终由公司承担这两个不确定性因素进行分析。其中，分为发起人对第三人的责任、对认股人的责任、以及对公司的责任等三个部分。更多还原

【Abstract】 As a special concept of Co. Ltd., the sponsor generally refers to the person who starts the procedure to establish Co. Ltd. and finishes promoting acts accordingly to law. In a sense, Co. Ltd. will not emerge and exist without the sponsor. So it is significant both in theory and in practice to make a deep-going study on the system of the sponsor. In our country, there is much question about the definition, the legal status and the legal liabilities of the sponsor.In this thesis, the author attempts to do some beneficial researches into the legal problems concerning the sponsor on the basis of comparing and analyzing the stipulations in some developed countries and areas.The whole thesis consists of four parts besides the introduction.The First Part: The Definition and Qualification of the Sponsor of Co. Ltd.The author favors the standard that the sponsor be defined in accordance with whether he signs and affixes his seal on the article of association of Co. Ltd.The sponsor plays an important role during the course of establishing Co. Ltd., so it is necessary for law to stipulate some limitations to a sponsor. This part gives a detailed exposition on the limitations to a sponsor relating to three aspects: number, identity and civil capacity, nationality and domicile.The Second Part: The Legal Status of the Sponsor of Co. Ltd.There are several different theories on the legal status of the sponsor of Co. Ltd. in the sphere of learning .The author suggests adopting the theory which holds the sponsor as the body of the company. Besides, the relation among sponsors is partnership.As a whole, the sponsor is the body of the company, so when the company is established successfully, the company should shoulder the rights and obligations made by the sponsor. As an individual, thesponsor is partner to others, so when the company fails to form, the sponsor should shoulder all debts and other consequences made during the company’s establishment.The Third Part: The Rights of the Sponsor of Co. Ltd. and the Legal Restriction on the Rights.During the course of establishing Co. Ltd., the sponsor owns many rights, such as rights to choose method of capital subscription, rights to gain special benefit and so on. Benefit the sponsor may enjoy must be very extensive. Some benefit is legal, but some will be illegal and should be prohibited. In order to prevent the sponsor from gaining illegal benefit, placing restriction on the sponsor’s rights is necessary.The Fourth Part: The Legal Liabilities the Sponsor of Co. Ltd. should shoulder.The legal liabilities of the sponsor are guarantee of the company’s establishment. In our country, however, fewer researches on the legal liabilities of the sponsor have been made, so it is imperative for us to study the liabilities of the sponsor when the company has been established successfully or fails to form.In this part, the author put much stress on the content of the legal liabilities the sponsor should shoulder. The legal liabilities of the sponsor consist of liabilities to the company, the company’s debtors and subscribers of shares.更多还原