伴随着现代公司集团化的发展趋势,通过设立子公司、孙公司等方式扩大规模形成的集团公司成为常见的公司形态,这也是日本公司形式变化的一个重要方向。按照2014年修改之前《日本公司法》的规定,在子公司董事、监事、高级管理人员等损害公司利益给子公司和母公司造成损害时,母公司的股东无法跨越两个独立法人对子公司的董事、监事、高级管理人员等提起股东代表诉讼。为解决这一问题,日本在2014年修改《公司法》时,在第847条引入了多重股东代表诉讼制度。本文首先从日本学者近20年对设立多重股东代表诉讼制度支持和反对的争论入手,总结日本学者以及国内学者对其引入的不同看法,便于更全面的看待问题。其次,对设立多重股东代表诉讼制度的立法演进和《日本公司法》的修改过程进行分析,可以发现,该制度的导入不是某一时刻的立法决定,而是司法实践的需求和立法进步共同作用下的结果,三井矿山案引发了学届和实务界对于母子公司间能否适用股东代表诉讼制度的关注,之后的纯粹持股公司的解禁、导入股份交换和股份转移制度等都对日本设立多重股东代表诉讼制度有重要的推动作用。再对日本设立该制度的现实需求和法理基础进行整理分析,阐释其建立的必要性和理论依据。引入该制度之前,根据当时的法律规定,在母子公司间出现纠纷时,无法对母公司股东的权利给予充分保障,并且该制度对于维护母公司小股东利益和企业集团法律制度的构建都具有重要作用。这都体现了日本引入该制度的必要性。母公司股东和子公司董事间的委托代理关系和股东权萎缩理论是引入该制度的理论依据。之后,对日本多重股东代表诉讼制度的内容进行分析,包括适格原告、被告的条件,诉讼程序以及现有规定中仍存在的不足之处,重点是对将原告限定于最终全资母公司的股东、原告股东的持股时间和持股比例的限制、重要子公司、责任原因事实发生之日等内容的解读和不合理之处的分析,希望为今后的改进提供建议。并且,通过对日本多重股东代表诉讼制度的分析,为我国引入该制度的可能性和结构进行构想。最后,对文章进行总结。本文希望通过对日本多重股东代表诉讼制度的研究,发现其制度设计的背景、意义、优势和缺陷,并为我国导入该制度提供借鉴.
With the developing trend of modern company group management, the group companies formed by the expansion of scale by establishing subsidiary companies have become common corporate forms in the current capital market, which is also an important direction for the changes in the form of Japanese companies. According to the provisions of the Company Law of Japan before the revision of 2014, when the director, supervisor, senior management personnel, etc. of the subsidiary damage the interests of the company and cause damage to the subsidiary and the parent company, the shareholder of the parent company cannot file a shareholder representative lawsuit against related personnel of the subsidiary company through two independent legal persons. In order to solve the problems in these judicial practice, Japan borrowed the experience of the United States and introduced the multiple derivative action of shareholder in Article 847 when the “Company Law” was amended in 2014.This thesis begins with the debates on the support and opposition of Japanese scholars in setting up multiple derivative action in the past 20 years, and summarizes the different views of Japanese scholars and Chinese scholars on its introduction, and facilitates a more comprehensive view of multiple derivative action.Secondly, the legislative evolution of the establishment of multiple derivative action of shareholder and the revision process of the Company Law of Japan is analyzed. It can be found that the introduction of multiple derivative action is not a legislative decision at a certain moment, but a combination of judicial practice needs and legislative progress. The Mitsui Mine Case has aroused the concern of Japanese scholars about whether the shareholder’s representative litigation system can be applied between parent and subsidiary companies. Besides, the lifting of the ban on the purely holding company, the share exchange and the share transfer system have all played important roles in promoting the establishment of multiple derivative action of shareholder in Japan.Then, the thesis analyzes the actual needs and legal basis of the establishment of multiple derivative action in Japan , and explains the necessity and theoretical basis of its establishment. Before the introduction of the system, according to the legal provisions at that time, when disputes between parent and subsidiary companies occur, the rights of shareholders of parent company can not be fully guaranteed, and the system plays an important role in safeguarding the interests of minority shareholders of parent company and building the legal system of enterprise group. All these reflect the necessity of introducing the system in Japan. Principal-agent relationship between shareholders of parent company and directors of subsidiary company and the theory of shareholder right atrophy are the theoretical basis for introducing the system.After that, the thesis analyzes the contents of multiple derivative action of shareholder of Japan, including the requirement of the plaintiff, the defendant, the litigation procedure and the deficiencies in the existing regulations. Emphasis is laid on the analysis of the content of restricting the plaintiff to the shareholders of the ultimate wholly-owned parent company, the limitation of the holding time and shareholding ratio, the important subsidiaries and the date on which the facts of the cause of liability occurred, and hope to provide suggestions for future improvement. Moreover, through the analysis of the multiple derivative action of shareholder, the possibility and structure of introducing it into China is conceived.Finally, the thesis is summarized. This thesis researches the background, significance, advantages and defects of the system design of multiple derivative action of shareholder of Japan, and provides reference for its introduction into China.