有限責任公司董事，自我交易制度建構與司法適用

Institutional Construction and Judicial Application of Director’s Self-dealing of the Company with Limited Liability

股份公司的董事不得實施自我交易，應由監事會代理公司與董事進行交易，因此《公司法》第148條第1款第4項的規定僅可適用于有限責任公司。《公司法》第148條第1款第4項的主體適用范圍為公司董事和高級管理人員，客體適用范圍包括董事以本公司名義與自己或自己所代理的第三方訂立合同或進行交易的行為。《公司法》第148條第1款第4項的立法目的在于防范利益沖突的抽象風險，其適用不以利益沖突的實際存在為前提。公司通過章程授權或股東會以事先批準或事后追認的方式同意的董事自我交易即為有效，不宜采納英美法上的實質公平審查制度允許法院對符合法律規定的董事自我交易的公平性進行二次審查。董事違反法律規定實施的自我交易屬于無權代理行為，其效力待定，公司可予以追認。

"The directors of a joint-stock company shall not conduct self-dealings, and the supervisory board shall conduct transactions with the directors on the company’s behalf. Therefore, the provisions of Paragraph 1, IV of Article 148 of the Company Law may only apply to limited liability companies. The above regulation applies for entering into contracts or conducting transactions by the directors and senior management personnel with themselves or third parties they represent in the name of the company. The purpose of Paragraph 1, IV of Article 148 of the Company Law is to prevent the abstract risk of conflict of interest. The actual existence of the conflict of interest is not one of the preconditions for its application. Therefore, self-dealings by directors authorized by the Articles of Association or approved by the shareholder meetings before or after the selfdealings are effective. The institute of substantive fairness review from Anglo-American law which allows the court to conduct judicial review on the fairness of the self-dealing shall not be adopted in Chinese Company Law. The effectiveness of the self-dealing conducted by the directors against law is suspending and the company has the choice to make it effective by retrospective approval."