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| Notice of the Supreme People's Court on Issuing the Summary of Minutes of the Symposium on the Trial of Cases of Compulsory Liquidation of Companies | | 最高人民法院印发《关于审理公司强制清算案件工作座谈会纪要》的通知 |
(No. 52 [2009] of the Supreme People's Court) | |
（法发〔2009〕52号） |
The higher people's courts of all provinces, autonomous regions and municipalities directly under the Central Government, the Military Court of the PLA, and Xinjiang Production and Construction Corps Branch of the Higher People's Court of Xinjiang Uigur Autonomous Region, | |
各省、自治区、直辖市高级人民法院，解放军军事法院，新疆维吾尔自治区高级人民法院生产建设兵团分院： |
The Summary of Minutes of the Symposium on the Trial of Cases of Compulsory Liquidation of Companies is hereby printed and distributed to you. Please comply with it by taking into account the actualities in the trial work. | |
现将最高人民法院《关于审理公司强制清算案件工作座谈会纪要》印发给你们，请结合审判工作实际，遵照执行。 |
November 4, 2009 | |
二○○九年十一月四日 |
Summary of Minutes of the Symposium on the Trial of Cases of Compulsory Liquidation of Companies | |
关于审理公司强制清算案件工作座谈会纪要 |
At present, due to the impact of the international financial crisis and the downturn of world economy, we are seeing a sharp increase of cases of compulsory liquidation of companies triggered by business difficulties of companies.The Company Law of the People's Republic of China and the Provisions of the Supreme People's Court on Some Issues about the Application of the Company Law of the People's Republic of China (II) (hereinafter referred to as the Judicial Interpretation (II) on the Company Law) have set forth provisions on relevant issues concerning the trial of cases of compulsory liquidation of companies. However, considering that the procedures for such cases are non-contentious and the liquidation procedures and regulations at present are imperfect, it is necessary to further clarify the principle of the trial of such cases, detail the relevant procedural and substantive provisions, better regulate the companies' exiting from the market, maintain the market operation order, properly try the cases of compulsory liquidation of companies and maintain and promote the economic and social harmony and stability. For this end, the Supreme People's Court, on the basis of a wide range of investigation and research, held a symposium on the trial of cases of compulsory liquidation of companies in Shaoxing, Zejiang Province with the participation of some courts from different places of the country from September 15 to 16, 2009. Upon earnest discussions, the comrades who attended the symposium reached consensus on the major issues involved in the trial of cases of compulsory liquidation of companies. The minutes of the symposium are hereby summarized as follows: | |
当前，因受国际金融危机和世界经济衰退影响，公司经营困难引发的公司强制清算案件大幅度增加。《中华人民共和国公司法》和最高人民法院《关于适用〈中华人民共和国公司法〉若干问题的规定（二）》（以下简称公司法司法解释二）对于公司强制清算案件审理中的有关问题已作出规定，但鉴于该类案件非讼程序的特点和目前清算程序规范的不完善，有必要进一步明确该类案件审理原则，细化有关程序和实体规定，更好地规范公司退出市场行为，维护市场运行秩序，依法妥善审理公司强制清算案件，维护和促进经济社会和谐稳定。为此，最高人民法院在广泛调研的基础上，于2009年9月15日至16日在浙江省绍兴市召开了全国部分法院审理公司强制清算案件工作座谈会。与会同志通过认真讨论，就有关审理公司强制清算案件中涉及的主要问题达成了共识。现纪要如下： |
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| I. About the principles that shall be followed in the trial of cases of compulsory liquidation of companies | | 一、关于审理公司强制清算案件应当遵循的原则 |
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| 1. At the symposium, all participants were of the opinion that as the major type of modern enterprises, companies shall not only strictly abide by market entry rules and but also strictly abide by the market exit rules when participating in the market competition. As one of the important channels for companies to exit from the market mechanism, the compulsory liquidation of companies is a significant integral part of the legal system for companies. The people's courts shall stick to the following principles when trying such cases: | | 1.会议认为，公司作为现代企业的主要类型，在参与市场竞争时，不仅要严格遵循市场准入规则，也要严格遵循市场退出规则。公司强制清算作为公司退出市场机制的重要途径之一，是公司法律制度的重要组成部分。人民法院在审理此类案件时，应坚持以下原则： |
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| First, sticking to the principle of impartial liquidation procedures. The purpose of compulsory liquidation of a company is to terminate all business relationships of the company in its continuous existence in an orderly manner, reasonably adjust the interests of the great number of legal subjects and maintain the normal economic order. When trying a case of compulsory liquidation of a company, the people's court shall strictly follow the statutory procedures and realize the impartiality of the liquidation results on the basis of adhering to the justice of procedures. | | 第一，坚持清算程序公正原则。公司强制清算的目的在于有序结束公司存续期间的各种商事关系，合理调整众多法律主体的利益，维护正常的经济秩序。人民法院审理公司强制清算案件，应当严格依照法定程序进行，坚持在程序正义的基础上实现清算结果的公正。 |
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| Second, sticking to the principle of liquidation efficiency. To improve the overall efficiency of the social economy is one of the targets of the system of compulsory liquidation of companies. We shall strictly and rapidly make the companies in which the dissolution cause has occurred exit from the market and lower the possible losses to each interested party to the minimum. When trying a case of compulsory liquidation of a company, the people's court shall timely and effectively complete the liquidation in strict accordance with law, ensure the timely realization of the interests of the creditors, shareholders and other interested parties, avoid the unnecessary losses to the relevant interested parties due to the long-term delay of liquidation, and safeguard the effective use of social resources. | | 第二，坚持清算效率原则。提高社会经济的整体效率，是公司强制清算制度追求的目标之一，要严格而不失快捷地使已经出现解散事由的公司退出市场，将其可能给各方利益主体造成的损失降至最低。人民法院审理强制清算案件，要严格按照法律规定及时有效地完成清算，保障债权人、股东等利害关系人的利益及时得到实现，避免因长期拖延清算给相关利害关系人造成不必要的损失，保障社会资源的有效利用。 |
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| Third, sticking to the principle of equilibrium protection of interests. During the compulsory liquidation of a company, the equilibrium protection of interests of all parties to the company shall be taken as the principle so as to realize the fairness and impartiality in the link of the company's exit. When trying a case of compulsory liquidation of a company, the people's court shall fully protect the interests of the creditors and take into consideration the interests of the employees, shareholders and society, properly deal with the interest conflicts between all parties and realize the organic unity of the legal effects and social effects. | | 第三，坚持利益均衡保护原则。公司强制清算中应当以维护公司各方主体利益平衡为原则，实现公司退出环节中的公平公正。人民法院在审理公司强制清算案件时，既要充分保护债权人利益，又要兼顾职工利益、股东利益和社会利益，妥善处理各方利益冲突，实现法律效果和社会效果的有机统一。 |
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| II. About the jurisdiction over compulsory liquidation cases | | 二、关于强制清算案件的管辖 |
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| 2. The jurisdiction over a case of compulsory liquidation of a company shall be determined from two aspects, namely, the territorial jurisdiction and grade jurisdiction. The court of territorial jurisdictional shall be the people's court of the place where the company's domicile is located, namely, the court of the place where the primary working body of the company is located; if the primary working body of the company is unclear or disputed, the case shall fall under the jurisdiction of the people's court of the company's registration place. The grade jurisdiction shall be determined on the basis of the levels of the company registration organs, that is to say, the grassroots people's court shall have the jurisdiction over cases of compulsory liquidation of companies approved and registered by the company registration organs of counties, cities at the county level or districts; the intermediate people's courts shall have the jurisdiction over the cases of compulsory liquidation of companies approved and registered by company registration organs of prefectures and cities at or above the prefecture level. For any special reason, the court for the trial of a case of compulsory liquidation of a company shall be determined by reference to Article 4 of the Enterprise Bankruptcy Law of the People's Republic of China and Articles 37 and 39 of the Civil Procedure Law of the People's Republic of China. | | 2.对于公司强制清算案件的管辖应当分别从地域管辖和级别管辖两个角度确定。地域管辖法院应为公司住所地的人民法院，即公司主要办事机构所在地法院；公司主要办事机构所在地不明确、存在争议的，由公司注册登记地人民法院管辖。级别管辖应当按照公司登记机关的级别予以确定，即基层人民法院管辖县、县级市或者区的公司登记机关核准登记公司的公司强制清算案件；中级人民法院管辖地区、地级市以上的公司登记机关核准登记公司的公司强制清算案件。存在特殊原因的，也可参照适用《中华人民共和国企业破产法》第四条、《中华人民共和国民事诉讼法》第三十七条和第三十九条的规定，确定公司强制清算案件的审理法院。 |
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| III. About the management of the file number of cases of compulsory liquidation of companies | | 三、关于强制清算案件的案号管理 |
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| 3. After the case-filing division of the people's court receives an applicant's application for the compulsory liquidation of a company, it shall timely complete the filing and give the case a file number going like this: ( _________ ) Liquidation (Pre-liquidation) No. ____ of (name of the court ). After doing so, it shall submit the application and other relevant materials furnished by the applicant to the tribunal which is responsible for the trial of compulsory liquidation cases and the said tribunal shall make a ruling on whether to accept the compulsory liquidation application. | | 3.人民法院立案庭收到申请人提交的对公司进行强制清算的申请后，应当及时以“（××××）××法×清（预）字第×号”立案。立案庭立案后，应当将申请人提交的申请等有关材料移交审理强制清算案件的审判庭审查，并由审判庭依法作出是否受理强制清算申请的裁定。 |
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| 4. If the tribunal rules on rejecting the compulsory liquidation application, the case of compulsory liquidation of the company shall, as ( _________ ) Liquidation (Pre-liquidation) No. ____ of (name of the court ), be concluded after the ruling's entry into force. If the tribunal rules on accepting the compulsory liquidation case, the case-filing division shall give it a file number going like this: ( _________ ) Liquidation No. ____ of (name of the court ). | | 4.审判庭裁定不予受理强制清算申请的，裁定生效后，公司强制清算案件应当以“（××××）××法×清（预）字第×号”结案。审判庭裁定受理强制清算申请的，立案庭应当以“（××××）××法×清（算）字第×号”立案。 |
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| 5. After the tribunal rules on accepting the compulsory liquidation application, it shall, after the ( _________ ) Liquidation No. ____ of (name of the court ), give a sequential number to the civil ruling, decision, etc. made during the trial of the compulsory liquidation case, such as, ( _________ ) Liquidation No. ____ of (name of the court ) –Civil Ruling No. 1 and ( _________ ) Liquidation No. ____ of (name of the court ) –Civil Ruling No. 2, or( _________ ) Liquidation No. ____ of (name of the court ) –Decision No. 1 and ( _________ ) Liquidation No. ____ of (name of the court ) –Decision No. 2. | | 5.审判庭裁定受理强制清算申请后，在审理强制清算案件中制作的民事裁定书、决定书等，应当在“（××××）××法×清（算）字第×号”后依次编号，如“（××××）××法×清（算）字第×－1号民事裁定书”、“（××××）××法×清（算）字第×－2号民事裁定书”等，或者“（××××）××法×清（算）字第×－1号决定书”、“（××××）××法×清（算）字第×－2号决定书”等。 |
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| IV. About the trial organizations of compulsory liquidation cases | | 四、关于强制清算案件的审判组织 |
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| 6. The cases of compulsory liquidation of companies are similar to enterprise bankruptcy cases in essence, so the tribunal responsible for the trial of enterprise bankruptcy cases shall be responsible for the trial of compulsory liquidation cases. The people court may designate a tribunal or collegiate bench to try the cases of compulsory liquidation of companies and enterprise bankruptcy cases if it can. A collegiate bench shall be formed to try the case of compulsory liquidation of a company. | | 6.因公司强制清算案件在案件性质上类似于企业破产案件，因此强制清算案件应当由负责审理企业破产案件的审判庭审理。有条件的人民法院，可由专门的审判庭或者指定专门的合议庭审理公司强制清算案件和企业破产案件。公司强制清算案件应当组成合议庭进行审理。 |
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| V. About the compulsory liquidation applications | | 五、关于强制清算的申请 |
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| 7. To apply to the people's court for compulsory liquidation of a company, the creditor or shareholder of the company shall submit a liquidation application. The application shall state the basic information about the applicant and the party against which the application is filed, and the facts and reasons for application. At the same time, the applicant shall submit to the people's court the relevant evidence which can prove the occurrence of the dissolution cause of the party against which the application is filed as well as the creditor's rights or equities which the applicant enjoys. If a liquidation team has already been formed by a company itself after dissolution, but the creditor or shareholder applies to the people's court for compulsory liquidation on the ground that the company intentionally delays the liquidation or that the existence of any other illegal liquidation act may seriously impair the creditor's or shareholder's interests, the applicant shall submit to people's court the corresponding evidential materials which can prove that the said company intentionally delays the liquidation or that the existence of other illegal liquidation acts may seriously impair the creditor's or shareholder's interests. | | 7.公司债权人或者股东向人民法院申请强制清算应当提交清算申请书。申请书应当载明申请人、被申请人的基本情况和申请的事实和理由。同时，申请人应当向人民法院提交被申请人已经发生解散事由以及申请人对被申请人享有债权或者股权的有关证据。公司解散后已经自行成立清算组进行清算，但债权人或者股东以其故意拖延清算，或者存在其他违法清算可能严重损害债权人或者股东利益为由，申请人民法院强制清算的，申请人还应当向人民法院提交公司故意拖延清算，或者存在其他违法清算行为可能严重损害其利益的相应证据材料。 |
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| 8. If it is necessary for the applicant to make corrections or supplements to the materials it (he) has submitted, the people's court shall order it (him) to make corrections or supplements within 7 days. If the applicant is unable to do so for any objective reason, it (he) shall make a written explanation and file an application for extension to the people's court for a decision about whether to extend the time limit. | | 8.申请人提交的材料需要更正、补充的，人民法院应当责令申请人于七日内予以更正、补充。申请人由于客观原因无法按时更正、补充的，应当向人民法院予以书面说明并提出延期申请，由人民法院决定是否延长期限。 |
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| IV. About the examination of compulsory liquidation applications | | 六、关于对强制清算申请的审查 |
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| 9. When the tribunal which is responsible for the trial of a compulsory liquidation case examines and decides whether to accept the compulsory liquidation application, generally it shall hold a hearing. If the facts of the case are clear, the legal relationships are definite and the proofs are exact and adequate, and if the party against which the application is filed raises no objection to the manner of examination of written materials of the case as notified about in writing by the tribunal, the tribunal may decide to examine the written materials instead of holding a hearing. | | 9.审理强制清算案件的审判庭审查决定是否受理强制清算申请时，一般应当召开听证会。对于事实清楚、法律关系明确、证据确实充分的案件，经书面通知被申请人，其对书面审查方式无异议的，也可决定不召开听证会，而采用书面方式进行审查。 |
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| 10. If the people's court decides to hold a hearing, it shall, 5 days prior to the hearing, notify the applicant and the party against which the application is filed and serve the relevant application materials on them. If the shareholders, actual controllers and other interested parties of the company apply for participating in the hearing, the people's court shall grant permission to them. During the process of hearing, the people's court shall organize the relevant interested parties to hear whether the applicant meets the eligibility criteria, whether the cause for the dissolution of the party against which the application is filed has occurred, and whether the compulsory liquidation application conforms to the provisions of law. If it is necessary to hold another hearing due to supplementing evidence or otherwise, the hearing shall be held within 10 days after the expiration of the time limit for making supplements. | | 10.人民法院决定召开听证会的，应当于听证会召开五日前通知申请人、被申请人，并送达相关申请材料。公司股东、实际控制人等利害关系人申请参加听证的，人民法院应予准许。听证会中，人民法院应当组织有关利害关系人对申请人是否具备申请资格、被申请人是否已经发生解散事由、强制清算申请是否符合法律规定等内容进行听证。因补充证据等原因需要再次召开听证会的，应在补充期限届满后十日内进行。 |
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| 11. If the people's court decides not to hold a hearing, it shall timely notify the applicant and the party against which the application is filed, and serve the relevant application materials on the party against which the application is filed and simultaneously notify it (him) that if it (he) has any objection to the application of the applicant, it (he) may raise the objection in writing to the people's court within 7 days after receiving the notice of the people's court. | | 11.人民法院决定不召开听证会的，应当及时通知申请人和被申请人，并向被申请人送达有关申请材料，同时告知被申请人若对申请人的申请有异议，应当自收到人民法院通知之日起七日内向人民法院书面提出。 |
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| VII. About the acceptance of the compulsory liquidation applications | | 七、关于对强制清算申请的受理 |
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| 12. The people's court shall, within 10 days as of the date of hearing or as of the date of expiration of the time limit for raising objections, make a ruling on whether to accept the compulsory liquidation application. | | 12.人民法院应当在听证会召开之日或者自异议期满之日起十日内，依法作出是否受理强制清算申请的裁定。 |
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13. If the party against which the application is filed raises any objection to whether the applicant enjoys the creditor's rights or equities or whether the cause for the dissolution of the party against which the application is filed has occurred, the people's court shall reject the compulsory liquidation application filed by the applicant. After a separate lawsuit or arbitration based on the relevant dispute has been confirmed, the applicant may file a new compulsory liquidation application to the people's court, unless an effective legal document confirms the aforesaid matter to which an objection is raised, or there are express and sufficient proofs which can support the occurrence of such dissolution causes as having the enterprise legal business license revoked, being ordered to close down or being revoked.
．．．．．． | | 13.被申请人就申请人对其是否享有债权或者股权，或者对被申请人是否发生解散事由提出异议的，人民法院对申请人提出的强制清算申请应不予受理。申请人可就有关争议单独提起诉讼或者仲裁予以确认后，另行向人民法院提起强制清算申请。但对上述异议事项已有生效法律文书予以确认，以及发生被吊销企业法人营业执照、责令关闭或者被撤销等解散事由有明确、充分证据的除外。
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