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Under the Commercial Act amended 2011, the board of directors shall supervise the performance of duties by directors(§393(2)). Meanwhile, no director 1) shall, without the approval of the board of directors, engage in for his/her own account or for the account of a third party any transaction in the same line of business of the company(§397), 2) shall use any business opportunity of the company for his/her own account or for the account of a third party, without the approval of the board of directors(§397-2), 3) intends to engage in a transaction with the company for his/her own account or for the account of a third party, he/she shall in advance disclose material facts of the transaction concerned at the board of directors and shall obtain approval therefrom(§398). And if a director has intentionally or negligently acted in violation of any Act or subordinate statute or of articles of incorporation or has neglected to perform his/her duties, he/she shall be jointly and severally liable for damage against the company(§399(1)).
In the corporate governance, auditors shall be appointed at a general shareholders’ meeting(§409(1)), any shareholder who holds more than 3/100 of the total issued and outstanding shares shall not exercise his/her voting rights in respect of such excess shares beyond the above limit(§409(2)). Auditors shall audit directors’ performance of duties(§412(1)), may at any time demand a director to report on relevant business and may investigate the affairs and the financial conditions of a company(§412(2)). And an auditor may, if necessary, demand convocation of a meeting of the board of directors by filing with directors a written request which states the subject matter of the meeting and the reasons for which it is to be convened(§412-4(1)). Therefore, if an auditor has neglected any of his/her duties, he/she shall be jointly and severally liable for damages to the company(§414(1)).
A general shareholders’ meeting may adopt resolutions as to matters provided for by this Act or the articles of incorporation(§361). Shareholders who hold no less than 3/100 of the total number of issued and outstanding shares may demand convocation of an extraordinary general meeting of shareholders, by submitting to the board of directors a document or an electronic document stating the subject matter of and the reasons for the convocation of the meeting(§366(1)). And if the removal of a director is rejected at a general meeting of shareholders, despite the director having engaged in inappropriate activities or any grave fact in violation of an Act, subordinate statute, or the articles of incorporation in relation to the performance of his/her duties, a shareholder who holds no less than 3/100 of the total issued and outstanding shares may request the court to remove the director, within one month from the date of adoption of the above resolution by the general meeting of shareholders(§385(2)).
As mentioned above, the Commercial Act has been directly or indirectly managing compliance management by the obligations and duties of directors and board of directors, management of the general meeting of shareholders, exercise of minority shareholder’s right and monitoring exercise of auditors or audit committee. Futhermore, the Commercial Act has been forced to put one or more compliance officers responsible for the work on abiding by the compliance guidelines with respect to listed companies(§542-13(2)). There, however, are many legal problems in the provisions relating to authorities of general meeting shareholders and board of directors, duties and responsibilities of directors and auditors or audit committee under the Commercial Act. In this paper, thus, I have investigated the legal problems implicated these provisions relating to compliance management. Finally, I have proposed the reform measures for settlement of such problems.
In the corporate governance, auditors shall be appointed at a general shareholders’ meeting(§409(1)), any shareholder who holds more than 3/100 of the total issued and outstanding shares shall not exercise his/her voting rights in respect of such excess shares beyond the above limit(§409(2)). Auditors shall audit directors’ performance of duties(§412(1)), may at any time demand a director to report on relevant business and may investigate the affairs and the financial conditions of a company(§412(2)). And an auditor may, if necessary, demand convocation of a meeting of the board of directors by filing with directors a written request which states the subject matter of the meeting and the reasons for which it is to be convened(§412-4(1)). Therefore, if an auditor has neglected any of his/her duties, he/she shall be jointly and severally liable for damages to the company(§414(1)).
A general shareholders’ meeting may adopt resolutions as to matters provided for by this Act or the articles of incorporation(§361). Shareholders who hold no less than 3/100 of the total number of issued and outstanding shares may demand convocation of an extraordinary general meeting of shareholders, by submitting to the board of directors a document or an electronic document stating the subject matter of and the reasons for the convocation of the meeting(§366(1)). And if the removal of a director is rejected at a general meeting of shareholders, despite the director having engaged in inappropriate activities or any grave fact in violation of an Act, subordinate statute, or the articles of incorporation in relation to the performance of his/her duties, a shareholder who holds no less than 3/100 of the total issued and outstanding shares may request the court to remove the director, within one month from the date of adoption of the above resolution by the general meeting of shareholders(§385(2)).
As mentioned above, the Commercial Act has been directly or indirectly managing compliance management by the obligations and duties of directors and board of directors, management of the general meeting of shareholders, exercise of minority shareholder’s right and monitoring exercise of auditors or audit committee. Futhermore, the Commercial Act has been forced to put one or more compliance officers responsible for the work on abiding by the compliance guidelines with respect to listed companies(§542-13(2)). There, however, are many legal problems in the provisions relating to authorities of general meeting shareholders and board of directors, duties and responsibilities of directors and auditors or audit committee under the Commercial Act. In this paper, thus, I have investigated the legal problems implicated these provisions relating to compliance management. Finally, I have proposed the reform measures for settlement of such problems.
목차
Ⅰ. 서설
Ⅱ. 경영주체에 의한 자율적 준법경영관리와 그 문제점
Ⅲ. 감사주체에 의한 타율적 준법경영관리와 그 문제점
Ⅳ. 결론
참고문헌
Abstract
참고문헌 (65)
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UCI(KEPA) : I410-ECN-0101-2016-360-001757108