【作者】 王睿；

【导师】 里赞；

【作者基本信息】 四川大学 ， 法律硕士（专业学位）， 2021， 硕士

【摘要】 关于公权与私权之间利益平衡的问题,一直都受到国内外的关注,不仅是理论层面,同时也贯穿于整个法律体系的实践始终。执行程序作为诉讼程序的重要组成,既是以公权保障私权实现的手段及方式,又是公权与私权碰撞最为激烈的“地带”,特别是“基本解决执行难”专项行动开展以来,执行阶段受到前所未有的关注,各类操作规范及联动措施层出不穷,力在以最大的行动力、强制力开启“切实解决执行难”的新征程。在这样的背景下,执行调查作为查人找物的重要措施,调查范围及方式进一步拓展,似乎只要是以查清被执行人财产为目的而行使的权力,都可以不受限制,即使这种权力可能会造成当事人、案外人合法权益的侵害。事实上,就启动执行程序的目的来看,它是在私有权利无法得到保障时,通过公权的介入来帮助私权的实现,以实现一项私权而去侵害另一项私权的“论点”似乎缺乏“论据”的支撑。因此笔者认为,执行调查必然应当受到限制,那么限制的边界在哪?这需要从大量的实践案例中去探索、归纳。本文以执行调查在公司股权处置中的限制边界问题为研究重点,通过探讨执行调查在这一特定程序中的作用、目的,深挖调查的本质后,找到执行调查在此环节中行使受限的边界,探索在执行调查受限的条件下股权处置的新路径,以突破股权处置瓶颈,提高执行效率。本文主要分六个部分展开叙述:第一部分,引言。主要对本文的研究目的及意义、研究的背景、研究的现状、研究的方法及创新性等方面进行简要的阐述。第二部分,执行调查的法律概述及受限的必要。从执行调查的概括性法律规定及确定财产处置参考价中的特别规定出发,归纳总结出执行调查的功能及目的,以及从权力本质出发得出的限制结论,引出探索调查权受限边界的研究主题。第三部分,执行调查在股权处置程序中的运用。以C市中院股权处置为视角,通过个案探讨到处置概况的简述,简述执行调查在股权处置中的运用,分析股权处置的困境即执行调查与商业秘密保护所引发的冲突,并对现有的操作进行利害分析,找到股权处置面临的难点。第四部分,执行调查在股权处置中的限制边界。要想找到执行调查的行使边界,必须得从调查与当事人权利行使之间的关系、对目标公司权利保护的影响等方面着手,得出在确定股权处置参考价这一特定的环节中,调查的权力本质是在被执行人作为股东所享有的知情权权利行使不能或者受限的条件下,代替其行使即基于被执行人权利保障而行使的执行调查范围也应当受到股东权利行使范围的限制,不得以公权侵害商业秘密,以商业秘密为行使的限制边界。第五部分,执行调查受限后股权处置的路径。充分运用举证证明责任来弥补执行调查受限所产生的处置障碍,在此基础上提出以当事人意思自治来解决股权处置困境的新路径。第六部分,执行调查的理性反思及其他阻却事由。基于权利保障目的而行使的执行调查,应当起到权利平衡的作用。当其保护的私有权利与案外人的私有权利产生冲突时,应充分认识到其实质上是一种私权之间的冲突,应当平等地对待,绝不能因公权的介入而使私权行使范围被扩大。因而需要从执行调查行使合法性、必要性、适当性进行考量。同时举一反三,受限的边界对象还包括国家秘密、公共利益、基本人权等。更多还原

【Abstract】 The balance of interests between public power and private power has always been concerned at home and abroad,not only on the theoretical level,but also throughout the practice of the whole legal system.Execution proceedings as an important component,is both to public rights protect private rights to realize the means and ways,and public rights and private rights the most intense collision "zone",especially since the special operation to carry out the "basic solve difficult to execute",execution phase by the unprecedented attention,all kinds of operation norm and linkage measures emerge in endlessly,Li is embarking on a new journey of "earnestly resolving difficulties in execution" with maximum action and coercion.In this context,as an important measure of searching for persons and objects,the scope and methods of investigation are further expanded.It seems that as long as the power is exercised for the purpose of identifying the property of persons subjected to execution,it can be unrestricted,even if such power may cause infringement of the legitimate rights and interests of the parties and outsiders.In fact,from the point of view of the purpose of initiating the execution procedure,it is to help the realization of private rights through the intervention of public rights when private rights cannot be guaranteed.The "argument" that one private right infringes another private right in order to realize one private right seems to lack the support of "argument".Therefore,the author believes that the implementation of the investigation should be subject to the necessary restrictions,then where is the boundary of the restrictions? This needs to be explored and summarized from a large number of practical cases.This paper focuses on the application,function and purpose of the execution investigation in the company’s equity disposal.After digging into the nature of the investigation,it finds out the boundary of the restriction of the execution investigation in this link,and explores a new path of equity disposal under the condition of the restriction of the execution investigation,so as to break through the bottleneck of equity disposal and improve the efficiency of the execution.This paper is mainly divided into six parts:The first part,introduction.The purpose and significance of the research,the background,the status quo,the methods and innovations of the research are briefly described.The second part,the legal overview of the investigation and the necessity of restrictions.Starting from the general legal provisions of carrying out investigation and the special provisions in determining the reference price of property disposal,this paper summarizes the function and purpose of carrying out investigation,and draws the limitation conclusion from the nature of power,and leads to the research topic of exploring the limitation boundary of investigation power.The third part is the application of the execution investigation in the equity disposal procedure.From the perspective of the equity disposal of C Municipal Intermediate People’s Court,this paper discusses the brief description of the general situation of the disposal through a case,analyzes the dilemma of the equity disposal,that is,the conflict caused by the implementation of investigation and the protection of trade secrets,and carries out the interest analysis of the operation after the existing investigation is limited to find the difficulties of the equity disposal.The fourth part,the restriction boundary of the execution investigation in the equity disposal.If you want to find out investigation to exercise boundary,must from investigating the relationship between the parties right to exercise the rights protection,the target company and other aspects,the influence of draw on the disposal of equity be determined reference price in this specific joints,investigation power is the essence of the person subjected to execution right right exercise can’t or limited conditions,The scope of the enforcement investigation that is based on the protection of the rights of the person subject to enforcement should also be limited by the scope of the exercise of the rights of shareholders,and the commercial secrets should not be infringed on by public rights,and the commercial secrets should be the boundary of the exercise.The fifth part is the path of equity disposal after the investigation is limited.On the basis of making full use of the burden of proof to make up for the disposal obstacles caused by the limited execution of investigation,a new way to solve the dilemma of equity disposal by means of the autonomy of parties’ will is proposed.Part Six,Reasonable reflection on the implementation of the investigation and other obstacles.The investigation of execution based on the purpose of safeguarding rights should play the role of balancing rights.When there is a conflict between the private right protected by the private right and the private right of an outsider,we should fully realize that it is a conflict between private rights in essence,which should be treated equally,and the scope of the exercise of private rights should not be expanded because of the intervention of public rights.Therefore,it is necessary to consider the legitimacy,necessity and appropriateness of the investigation.At the same time,restricted boundary objects also include state secrets,public interests,basic human rights and so on.更多还原