破產(chǎn)重整制度的建立和有效性研究

前言

破產(chǎn)制度萌芽于古羅馬《十二銅表法》中的“債法”。隨著商品經(jīng)濟的不斷發(fā)展，地中海沿岸和西歐國家紛紛開始進行破產(chǎn)立法，以達到公平清理債權債務為目的，并兼顧社會公共利益。進入19世紀后，隨著法人破產(chǎn)制度的建立，破產(chǎn)法的立法模式也漸從單一清算型向清算與和解并重的二元化結構轉變。20世紀70年代爆發(fā)的石油危機，使西歐國家每年都有數(shù)萬家企業(yè)陷入破產(chǎn)清算程序，原有的和解程序無論從立法思想上還是制度設計上都無法滿足拯救困境企業(yè)的目的。企業(yè)破產(chǎn)引發(fā)的連鎖反應，諸如職工失業(yè)和銀行壞賬的劇增等，使立法者必須思考如何在清算與和解程序之外設計一套制度，以企業(yè)復興為目的，通過設立自動凍結等制度，使債務人在一定的保護期內(nèi)不被債權人追討，并由破產(chǎn)執(zhí)業(yè)者主持或協(xié)助起草企業(yè)重整方案，交付債權人會議討論和通過。重整結果約束各利益集團，以利企業(yè)重生。美國1978年《聯(lián)邦破產(chǎn)法典》（2005年修訂）第11章（“重整”）為世界各國破產(chǎn)重整立法提供了一個很好的范本，確立了以債務人為中心的重整模式。不久前的美國次貸危機使眾多大企業(yè)陷入困境，如2009年通用汽車進入了破產(chǎn)保護，第11章為企業(yè)恢復生機發(fā)揮著重要作用。英國于上世紀70年代末成立了柯克委員會（Cork Committee），審查當時的破產(chǎn)立法和實踐，為1986年“破產(chǎn)法案”提供了兩個有代表性的程序：公司自愿安排程序（CVAs）和管理程序（administration）。進入21世紀后，英國重整程序也進行了一系列改革，建立了與美國相對應的以破產(chǎn)管理人為中心的重整模式。

內(nèi)容概要

本書以破產(chǎn)重整制度為主題，比較分析了英國、美國和中國的制度。本書首先通過借鑒英、美學者的觀點，重點解釋“重整”的概念、特征等根本性問題。在進入具體的實體和程序論述前，作者探究了三個國家的破產(chǎn)立法制度的根本差異，包括人的思想觀念、企業(yè)的運轉模式等，其中特別突出介紹了中國經(jīng)濟體制的轉軌、國有企業(yè)改革、銀行業(yè)改革和社保制度的不斷完善。在論述實體和程序性內(nèi)容時，作者結合立法背景闡述法律條文背后的含義，并結合英美法的判例加以適當?shù)淖糇C。在全方位比較的基礎上，指出了中國重整程序中存在的不足，并提出了借鑒英、美相關制度的理由。

作者簡介

張海征，2004年畢業(yè)于中國政法大學國際法學院，獲法學學士學位；2005年9月畢業(yè)于英國萊特斯大學法學院，獲法學碩士學位；2008年10月畢業(yè)于英國菜特斯大學法學院，獲法學博士學位；2008年10月至2008年12月在英國諾丁漢特倫特大學法學院擔任客座講師；2009年5月至今在北京

書籍目錄

Part One  Introduction  I.Research aims and the need for this analysis  II.Research methodology    A.Is it appropriate to carry out a comparative research on the topic of corporate rescue?    B.Main features of research objects  Concluding remarksPart Two  Theoretical and functional issues of corporate rescue  Introduction  I.Identification of two fundamental concepts central to corporate rescue    A.Property rights    B.Corporate failure  II.Basic theory of corporate rescue    A.Definition and ideology    B.Crucial elements to a corporate rescue activity  III.Functional transformation of corporate insolvency law    A.Historical evolution of rescue-oriented mechanisms    B.Origin and development of modern corporate    rescue culture  Concluding remarksPart Three  Identifying the contextual factors and historical development of the UK, the US and China  46  Introduction  I.Different cultures and ideologies    A.Legal cultures and ideologies regarding the role of law     B.Entrepreneurial cultures and ideologies  II.Historical developments of bankruptcy and corporate rescue laws in England, America and China    A.England:consistent reforms towards a modern rescue culture in the past three decades    B.America:formulation of the most influential corporate rescue scheme in the world-Chapter 11    C.China:long march towards an entirely new bankruptcy and corporate rescue system  Concluding remarksPart Four  A critical assessment of the Chinese corporate rescue laws and policies on the basis of the English and American models  Introduction  I.England : company voluntary arrangements （CVAs）    and administration    A.CVAs    B.Administration proceedings  II.America : Chapter 11 Reorganization    A.An overview of the US Chapter 11    B.Detailed procedure    C.Main reforms  III.China: the modified reorganization procedure    A.Initiation of the proceedings     B.Moratorium    C.Administrator's roles in reorganization    D.Creditors' meeting and creditors' committee    E.Reorganization proposal: voting, approval and implementation    F.Corporate control and management in reorganization: PIP or DIP?     G.A notable feature of China' s reorganization: shareholders' rights of involvement in the rescue process    H.Court' s involvement    I.Potential problems, solutions and prospects  Concliading remarksPart Five  Balance of power and control of each interested group in the network of rescuing companies  Introduction  I.Banks and secured financiers    A.In England    B.The Chinese banking sector :in bankruptcy legal framework-improving a weak position  II.Creditors in the weak bargaining position    A.In England    B.Inadequate protection to the weak interested groups in ChinaIII.Directors    A.Regulating directors by sticks and carrots approach in England and America    B.Directors in China' s two-tie1 board system: how to generate the right incentives?  IV.Labour    A.In England    B.The labour' s position in: China' s bankruptcy legal framework  V.State    A.In England    B.Strong position of the state in China' s bankruptcy legal frameworkConcluding remarksPart Six  ConclusionAppendix  I.List of abbreviations  II.The Chinese Enterprise Bankruptcy Law 2006  III.The Statistics of Enterprise Bankruptcy Cases in China（1989-2009）  IV.Table of Cases  V.Useful Vocabularies and TerminologiesBibliographyAcknowledgement

章節(jié)摘錄

Corporate rescue has become increasingly a fashionable topic, which has long been asubject of global interest. The most notable formal corporate rescue regime wasestablished by Chapter 11 of the US Bankruptcy Code in 1978, which has had far-reaching influence on the bankruptcy law reforms of other countries.  During thepast thirty years, a series of reforms to domestic corporate bankruptcy~ and rescuelaws have been scheduled into the legislative agenda of many countries, and aimed atbuilding up a well-tailored and efficacious corporate rescue system by way ofsummarizing the experiences and lessons from other countries and taking fullconsideration of their own unique domestic situations. In the present decade, a widerange of jurisdictions in different legal systems have considered the reformulation oftheir bankruptcy legal frameworks towards a rescue culture. Conceptually,corporate rescue is a well-functioning method which can provide a ground forfinancially distressed but potentially still viable companies to take a breath from thedeadly enforcement of individual creditors, to negotiate with all the stakeholders andeventually to rehabilitate to its former healthy operation. Even where the attempt torescue is not successful, the business of the insolvent company can be sold as a goingconcern, and this may enable the creditors' claims to be satisfied to a greater extentthan would be possible in an immediate liquidation in which the assets of the debtorare usually disposed by a piecemeal sale for the purpose of a quick realization tocreditors.

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