本文選題：有限公司　切入點(diǎn)：股權(quán)對(duì)外轉(zhuǎn)讓　出處：《中國(guó)政法大學(xué)》2011年碩士論文　論文類型：學(xué)位論文

【摘要】：有限責(zé)任公司的股東向非股東第三人轉(zhuǎn)讓股權(quán)的自由及其限制,是法律在平衡資合屬性與人合屬性的一個(gè)典型個(gè)案。股權(quán)的財(cái)產(chǎn)價(jià)值需要得到體現(xiàn),有限公司的人合格局又需要得到保護(hù),完全的否定一方當(dāng)然不是良法的選擇。對(duì)股權(quán)自由轉(zhuǎn)讓加以限制是平衡二者的一種途徑,但是確定一個(gè)合適的限制界限,也并非易事。本文即在利益平衡的視角下,集中探討有限責(zé)任公司股權(quán)對(duì)外轉(zhuǎn)讓的限制問(wèn)題。 引言部分主要介紹論文的主題、分析論證的立場(chǎng)以及研究方法。 第一部分“有限公司股權(quán)對(duì)外轉(zhuǎn)讓限制概說(shuō)”主要作前提性的界定,包括股權(quán)及股權(quán)轉(zhuǎn)讓的含義與分類、有限公司股權(quán)對(duì)外轉(zhuǎn)讓的特殊性以及對(duì)其予以限制的理論基礎(chǔ)。股權(quán)的性質(zhì)基本上屬于理論上的界定,就本文主題的實(shí)踐而言,主要在于明確股權(quán)轉(zhuǎn)讓的含義及體系定位,以助于更合理地展開(kāi)對(duì)應(yīng)分析。有限公司股權(quán)對(duì)外轉(zhuǎn)讓特殊性的根源在于有限責(zé)任公司既有資合性特征,也有人合性特征,前者賦予了自由對(duì)外轉(zhuǎn)讓股權(quán)以正當(dāng)性,后者又要求對(duì)股權(quán)的對(duì)外轉(zhuǎn)讓作必要的限制,各個(gè)國(guó)家或地區(qū)的公司法,都需要作出一個(gè)經(jīng)過(guò)權(quán)衡的制度回應(yīng)。其間的利益衡量即構(gòu)成限制有限公司股權(quán)對(duì)外轉(zhuǎn)讓的理論基礎(chǔ)。 第二部分“有限公司股權(quán)對(duì)外轉(zhuǎn)讓的法定限制”主要探討《公司法》第72條第2、3款所設(shè)置的法定限制。通過(guò)對(duì)比較立法例的整理和評(píng)述,可以看出《公司法》第72條第2、3款采取了與境外立法例不同的兼具同意規(guī)則和優(yōu)先購(gòu)買權(quán)規(guī)則的法定限制模式。在厘清該法定限制模式結(jié)構(gòu)的基礎(chǔ)上,分析了“半數(shù)”的計(jì)算規(guī)則、優(yōu)先購(gòu)買權(quán)的適用前提、“同等條件”的把握、部分行使優(yōu)先購(gòu)買權(quán)等問(wèn)題。 第三部分“有限公司股權(quán)對(duì)外轉(zhuǎn)讓的意定限制”主要研究《公司法》第72條第4款所確立的意定限制條款。本部分的核心問(wèn)題在于第72條第4款與第2、3款的關(guān)系如何,實(shí)質(zhì)在于通過(guò)解釋和分析厘清第72條第4款的規(guī)范屬性。從價(jià)值判斷和可行性方面,論證第72條第4款應(yīng)屬于任意性規(guī)范,而非半強(qiáng)制性規(guī)范。 第四部分“有限公司股權(quán)對(duì)外轉(zhuǎn)讓限制的界限”是在前兩個(gè)部分的基礎(chǔ)上,就《公司法》第72條在適用中需要補(bǔ)充的處理方案展開(kāi)探討。其中,美國(guó)法上的“合理限制規(guī)則”具有很好的借鑒意義。在處理個(gè)案時(shí),公司的規(guī)模、公司的目的及出讓股東在人合格局中的地位、轉(zhuǎn)讓限制的時(shí)間效力、意定限制條款的形成、轉(zhuǎn)讓價(jià)格問(wèn)題,而且諸多因素在個(gè)案中往往需要綜合起來(lái)加以分析和判斷。此外,本部分還分析了禁止或變相禁止對(duì)外轉(zhuǎn)讓股權(quán)的意定限制的效力。 結(jié)論部分重申本文的核心觀點(diǎn),即有限責(zé)任公司股權(quán)對(duì)外轉(zhuǎn)讓的限制問(wèn)題是平衡資合屬性和人合屬性的一個(gè)具體表現(xiàn),并就我國(guó)司法實(shí)踐在處理有限公司股權(quán)對(duì)外轉(zhuǎn)讓問(wèn)題所應(yīng)注意和明確的問(wèn)題作觀點(diǎn)性的整理。
[Abstract]:The freedom and limitation of shareholders of limited liability companies to transfer equity to the third party of non-shareholders is a typical case in which the law balances the attributes of capital and property, and the property value of equity needs to be reflected. The limited company's personnel qualification bureau also needs to be protected. A complete negation is of course not a good law option. Restricting the free transfer of shares is one way to balance the two, but to determine a suitable limit limit. This paper focuses on the restriction of foreign equity transfer in limited liability companies from the perspective of balance of interests. The introduction mainly introduces the theme of the thesis, the position of analysis and demonstration and the research method. The first part, "introduction to the limitation of Foreign Equity transfer of Limited Company", mainly defines the definition of equity and equity transfer, including the meaning and classification of equity and equity transfer. The particularity of limited company equity transfer and the theoretical basis of restricting it. The nature of stock right basically belongs to the definition of theory. As far as the practice of this paper is concerned, it mainly lies in clarifying the meaning and system orientation of equity transfer. The root of the particularity of foreign equity transfer of limited company lies in that limited liability company not only has the characteristics of capital combination, but also has some characteristics. The former gives legitimacy to the free transfer of shares to foreign countries. The latter requires necessary restrictions on the transfer of shares to the outside world, and the company law of each country or region needs to make a balanced system response, and the balance of interests between them constitutes the theoretical basis for restricting the transfer of shares to foreign companies. The second part, "legal restriction on the transfer of shares of limited company to foreign countries", mainly discusses the statutory restrictions established in Article 72, paragraph 2, of the Company Law. It can be seen that Article 72, paragraph 2, of the Company Law adopts a statutory restriction model with both consent rules and preemptive right rules, which is different from the overseas legislation. On the basis of clarifying the structure of the statutory restriction model, This paper analyzes the calculation rules of "half", the applicable premise of preemptive right, the assurance of "equal conditions", the partial exercise of preemptive right and so on. The third part, "the restriction of the transfer of limited company's shares to foreign countries", mainly studies the article 72 (4) of the Company Law. The core problem of this part lies in the relationship between article 72 (4) and paragraph 2 (3). The essence lies in clarifying the normative attribute of article 72, paragraph 4, by means of interpretation and analysis. From the aspect of value judgment and feasibility, it is proved that article 72, paragraph 4, should belong to arbitrary norm, not semi-mandatory norm. Part 4th, "limits of Foreign transfer of Equity of Limited Company", is based on the first two parts, and discusses the solutions that need to be supplemented in the application of Article 72 of the Company Law. The "reasonable restriction rules" in American law are of great significance for reference. In dealing with cases, the size of the company, the purpose of the company and the position of the transfering shareholders in the qualification bureau, the time effect of the transfer restriction, and the formation of the intended restriction clause, The issue of transfer price, and many factors in the case often need to be integrated to be analyzed and judged. In addition, this part also analyzes the effect of the restrictions on the prohibition or disguised prohibition of foreign transfer of shares. The conclusion part reiterates the core point of this paper, that is, the restriction of foreign equity transfer of limited liability company is a concrete manifestation of balancing the property of capital and person. And the judicial practice of our country in dealing with the limited company equity transfer issues should pay attention to and make a clear point of view.
【學(xué)位授予單位】：中國(guó)政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2011
【分類號(hào)】：D922.291.91

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