發(fā)布時間：2018-02-13 20:06

  本文關(guān)鍵詞： 上市公司 關(guān)聯(lián)交易 控股股東 中小股東　出處：《大連海事大學(xué)》2011年碩士論文　論文類型：學(xué)位論文

【摘要】：隨著我國市場經(jīng)濟的發(fā)展,公司經(jīng)營形式呈現(xiàn)多元化的趨勢,關(guān)聯(lián)交易也日益頻繁。在近幾年深滬兩所的數(shù)據(jù)統(tǒng)計中,上市公司關(guān)聯(lián)交易所占的比例不斷攀升,上市公司關(guān)聯(lián)交易除具備非上市公司關(guān)聯(lián)交易的共性外還具有其獨特性,因此不論是規(guī)模還是效益其都具有代表性,而且其相關(guān)資料也易于獲得,所以本文針對我國上市公司關(guān)聯(lián)交易展開研究。 《公司法》是調(diào)整、規(guī)范、治理公司交易行為最直接、有效的成文法。但我國《公司法》中,關(guān)于上市公司關(guān)聯(lián)交易的法律規(guī)范還存在很多不足,給司法實踐帶來很多阻礙。因此,為維護正常的市場經(jīng)營秩序保證關(guān)聯(lián)交易的公平、正當(dāng),《公司法》有必要對上市公司關(guān)聯(lián)交易進行充分的規(guī)制,以保護公司、債權(quán)人、其它中小股東的利益不受非正當(dāng)關(guān)聯(lián)交易的損害。因此,本文重點討論公司法下上市公司關(guān)聯(lián)交易存在的問題,并對完善我國公司法的相關(guān)規(guī)定提出了立法建議。 全文共分為四大部分。第一部分對上市公司關(guān)聯(lián)交易的一般法學(xué)理論進行了概述。根據(jù)相關(guān)法律規(guī)范及法律文件對關(guān)聯(lián)交易的范圍進行了界定,同時對上市公司關(guān)聯(lián)交易的類型、特點及所應(yīng)遵循的原則等基本情況逐一進行了介紹和探討。第二部分介紹國外法律規(guī)范對上市公司關(guān)聯(lián)交易的規(guī)制。通過大陸法系和英美法系國家,對上市公司關(guān)聯(lián)交易中控制公司和公司管理人員責(zé)任的承擔(dān),以及對關(guān)聯(lián)報告和股東申請權(quán)等方面的介紹,說明國外法對上市公司關(guān)聯(lián)交易規(guī)制的完善及對我國的借鑒意義。第三部分介紹我國規(guī)制上市公司關(guān)聯(lián)交易的立法現(xiàn)狀。逐一介紹了我國證券法及相關(guān)法律文件對上市公司關(guān)聯(lián)交易是如何規(guī)定的,以及我國公司法對上市公司關(guān)聯(lián)交易的規(guī)定。第四部分是對我國公司法規(guī)制上市公司關(guān)聯(lián)交易提出立法完善的建議。通過對我國公司法規(guī)制上市公司關(guān)聯(lián)交易方面所存在問題的說明,同時在借鑒國外立法成果的基礎(chǔ)上提出立法完善的建議,包括事前預(yù)防和事后救濟兩個方面。
[Abstract]:With the development of market economy in China, the business forms of companies are becoming diversified, and related party transactions are becoming more and more frequent. In recent years, the proportion of affiliated exchanges of listed companies has been increasing in the statistics of Shenzhen and Shanghai. In addition to the commonality of affiliated transactions of non-listed companies, affiliated transactions of listed companies are unique, so they are representative both in terms of scale and benefits, and the relevant information is also easy to obtain. Therefore, this paper focuses on the related transactions of listed companies in China. The Company Law is the most direct and effective statutory law to regulate, standardize and govern the transaction behavior of the company. However, in the Company Law of China, there are still many deficiencies in the legal norms concerning the related party transactions of listed companies. Therefore, in order to maintain the normal market management order to ensure the fairness of related party transactions, it is necessary for the Company Law to regulate the related party transactions of listed companies to protect the companies and creditors. The interests of other minority shareholders are not damaged by improper related party transactions. Therefore, this paper focuses on the problems existing in the related transactions of listed companies under the Company Law, and puts forward legislative suggestions to improve the relevant provisions of the Company Law of our country. The thesis is divided into four parts. The first part summarizes the general legal theory of related party transactions of listed companies and defines the scope of related party transactions according to relevant legal norms and legal documents. At the same time, regarding the types of related party transactions of listed companies, The second part introduces the regulation of foreign legal norms on related transactions of listed companies through the continental law system and the common law system countries. An introduction to the responsibilities of control companies and company managers in related party transactions of listed companies, as well as related reports and shareholders' application rights, The third part introduces the legislative status of the regulation of related party transactions of listed companies in China, and introduces the securities law and related legal documents one by one. How to regulate the related party transactions of listed companies, The 4th part is to put forward the suggestion to perfect the legislation on the related party transaction of listed company in our country. Through the regulation of the related party of listed company in our country's company law, we put forward some suggestions on how to regulate the related party of listed company in our country. A description of the problems existing in the. At the same time, on the basis of drawing lessons from foreign legislative achievements, the author puts forward some suggestions for legislative perfection, including two aspects: prevention beforehand and relief afterwards.
【學(xué)位授予單位】：大連海事大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2011
【分類號】：D922.291

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本文編號：1508991