Please use this identifier to cite or link to this item:https://hdl.handle.net/20.500.12259/36550
Type of publication: master thesis
Field of Science: Teisė / Law (S001)
Author(s): Stankus, Karolis
Supervisor: Spaičienė, Jurgita
Title: Ar įmonės de facto vadovo atsakomybė prilygintina de jure vadovo atsakomybei?
Other Title: Whether the liability of corporate de facto director can be equated with the liability of de jure director?
Extent: 34 p.
Date: 7-Jun-2018
Event: Vytauto Didžiojo universitetas. Teisės fakultetas
Keywords: De facto;Vadovai;Atsakomybė;Corporate;Directors;Liability
Abstract: Juridinių asmenų vadovams priskiriamų funkcijų bei atsakomybės taikymo kompleksiškumas lemia, jog teisiniai aspektai, susiję su bendrovių valdymu nepraranda savo aktualumo. Šiame darbe analizuojama de facto vadovų, t. y. formaliai nepaskirtų vadovauti įmonėms asmenų, teisinės atsakomybės standarto santykis su de jure vadovų teisinės atsakomybės taikymo galimybėmis. Pirmajame darbo skyriuje bus apžvelgiama bendrovės vadovo samprata, įtvirtinta Lietuvos Respublikos įstatyminėje bazėje, taip pat bus aptariamos esminės vadovo elgesį apibrėžiančios – fiduciarinės – pareigos ir jų santykis su rizikingų verslo sprendimų priėmimu, pateikiant verslo sprendimų priėmimo taisyklės turinį. Antrajame skyriuje trumpai apžvelgiamas bendrovės vadovo civilinės atsakomybės reglamentavimas, pateikiamos atsakomybės taikymo sąlygos taip pat atsižvelgiant ir į naujos redakcijos darbo kodeksą, kurio pagrindu panaikinta materialinė vadovų atsakomybė, o tai sąlygojo ir tam tikrus ilgai galiojusius vadovų skirtingos rūšies atsakomybės atribojimo standartus. Trečiajame darbo skyriuje, analizuojant de facto vadovo sampratą, nustatyta, jog faktiniu bendrovės vadovu laikytinas asmuo, nors formaliai nepaskirtas vadovauti įmonei, tačiau faktiškai vykdantis valdymo funkcijas. Analizuojant Lietuvos Aukščiausiojo Teismo praktiką nustatyta, jog sprendžiant, ar asmuo atitinka de facto vadovo sampratą, būtina atsižvelgti į dvi esmines aplinkybes - vadovavimo funkcijos vykdymą (arba instrukcijų de jure vadovams teikimą) bei sistemingą veiksmų, priskirtinų vadovo funkcijoms, atlikimą, t. y. būtina nustatyti, jog tokie veiksmai yra nuolatinio pobūdžio. Ketvirtajame, penktajame ir šeštajame skyriuose aptariami de facto vadovais pripažintų asmenų civilinės, baudžiamosios atsakomybės klausimai bei atsakomybės klausimai įmonių bankroto procese. Išanalizavus teismų plėtojamą praktiką bei teisinę literatūrą buvo pasiektas magistrinio darbo tikslas – patvirtinta darbe iškelta hipotezė bei nustatyta, jog pripažinus asmenį bendrovės de facto vadovu, jam taikytina atsakomybė prilygintina de jure vadovui taikytinai atsakomybei.
The complexibility of directors‘ functions in processes of management of companies supposes that some aspects regarding corporate directors‘ liabilities in Lithuanian legal basis are still unclear and unsettled while figuring questions regarding directors‘ liabilities in Lithuanian courts. Considering that some of corporate directors‘ decisions may cause some negative consequences on economic growth or recession in both microeconomic and macroeconomic levels, corporate directors‘ liabilies are still a very relevant legal field. The directors‘ influence and uncertainties that were mentioned above prompted to analyze some aspects of de facto directors‘ liabilities regulation in Lithuanian legal basis. The fact that cunstitutional principle of justice inter alia means that damages must normally be reimbursed by the person who caused it, it is necessary to determine the liable person, who, in case of de facto directorship, is factual director. In the first section of the thesis, the concept of corporate director in Lithuanian law will be revealed. In Lithuanian law, there are two-stacked levels while talking about company management. It was ascertained that every company must have company manager (who must be a natural person) and the general meeting. Under Lithuanian Law of Companies, company manager is responsible for everyday economic activities of the company and has the right to solely (with some statutory exeptions) proceed on behalf of company in relations with other entities. Also, corporate directors have binding fiduciary obligations which mean that while performing their duties, direcors must operate in best interests of a company. Although directors have fiduciary duties, business judgement rule must be taken into consideration. Business judgement rule allows to guard a corporate directors from frivolous liability for riskful decisions. Having that in mind, the distinction between this rule and fiduciary duties must be drawn when investigating directors‘ liability. In the second section of the thesis, there are shortly mentioned main principles of corporate directors‘ civil liabilities. Supreme Court of Lithuania has named three seperate causes for directors liability to rise: violation of mandatory provisions of law, breach of fiduciary duties or execution of harmful business decision. Lithuanian Civil Code constitutes that the director may be held liable for the breach of fiduciary duties if the following conditions are met: wrongful acts, damage, causality between unlawful actions and fault (it is important to note that fault is presumed and director must deny this presumption). Third section consists of a concept of de facto directors, also, conditions that are necessary for individual to be held a de facto director are revealed. Research showed that Lithuanian courts have developed practise that in order to name an individual a de facto director, two main criterias have to be met: (1) de facto director‘s implement of managing functions in company (or giving dirctions to de jure directors) (2) these actions have to be systematic, of a consistant nature. Also, the distinction between de facto and shadow directors have been explained. Content of sections four, five and six includes aspects of civil, criminal liabilities of de facto directors and also liabilities in process of company bankruptcy. In the process of research, conclusion was made that in the context of civil liability, not only formally appointed person shall be named as a company director, but also different person that does not appear in the formal structure in governance, i. e. de facto director. When the situation of de facto directorship is identified, liability for de facto director is equated with the liability of de jure director. It is important to note that the de facto directorship does not eliminate de jure directors‘ liabilities, as both de jure and de facto directors maintain fiduciary duties towards company. Company shareholder can also be recognized as de facto director. In order to prove that shareholder proceeds as de facto director, it is important to prove that shareholder actually takes over management functions by abandoning passive investor status, i. e. if it is decided that shareholder proceeded functions of director, his liability is equated with de jure directors’ liability. However, there are some exceptions where even if de facto directorship is identified, it does not necessarily mean that de facto director shall be liable equally as de jure director. For instance, Supreme Court of Lithuania constituted that de facto director cannot be held liable for a breach of duty to file for bankruptcy as this duty is only associated with de jure directorship. Summing up the aspects of criminal liability when de facto directorship is identified, there are still some uncertainty about de jure directors liabilities. Considering that it is held that criminal liability is ultima ratio, which means that criminalization should be used as a last remedy, Lithuanian case law concerning de facto directors liabilities is not very abundant. Despite that, in some analyzed cases with similar factual circumstances, courts decided differently – in some cases de jure directors were held liable for unlawfull actions against company, in other cases the liability was denied. Considering that there is thin line between different decisions, some legal uncertainty may arise.
Internet: https://hdl.handle.net/20.500.12259/36550
Appears in Collections:2018 m. (TF mag.)

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