本文選題：上市公司　切入點(diǎn)：關(guān)聯(lián)擔(dān)保　出處：《南昌大學(xué)》2011年碩士論文　論文類型：學(xué)位論文

【摘要】：通過研讀上市公司關(guān)聯(lián)擔(dān)保的相關(guān)法律法規(guī)及行政規(guī)章、分析典型案例,發(fā)現(xiàn)存在以下問題：第一,相關(guān)概念法律界定不完善；第二,法規(guī)與法規(guī)之間以及法規(guī)和部門規(guī)章之間存在沖突；第三,沖突的存在使法律適用和司法權(quán)衡存在困難。針對以上問題,本文立足我國立法與司法實(shí)踐,主要站在保護(hù)中小股東利益與債權(quán)人利益的角度,對立法及司法實(shí)踐中有關(guān)關(guān)聯(lián)擔(dān)保的爭議問題進(jìn)行了具體分析,并且對如何規(guī)范關(guān)聯(lián)擔(dān)保行為提出了自己的見解。 全文共分為五個部分：第一部分分析了關(guān)聯(lián)擔(dān)保的相關(guān)概念,通過對該部分的分析,發(fā)現(xiàn)部分概念的法律界定有待完善；第二部分對比分析關(guān)聯(lián)擔(dān)保的利與弊,得出上市公司關(guān)聯(lián)擔(dān)保行為是把“雙刃劍”的結(jié)論,不應(yīng)強(qiáng)行禁止,但卻需要法律、行政法規(guī)、公司章程進(jìn)行規(guī)范；第三部分對比分析了立法發(fā)達(dá)國家、地區(qū)的立法及我國的立法制度,發(fā)現(xiàn)我國的部分立法制度雖吸取了前者的先進(jìn)經(jīng)驗(yàn),但是還需要進(jìn)一步的完善。在分析我國的立法制度時,本文選擇了《公司法》、《擔(dān)保法》、《證券法》及證監(jiān)會發(fā)布的部分行政規(guī)章進(jìn)行具體分析,通過分析發(fā)現(xiàn)法規(guī)與法規(guī)之間、法規(guī)與部門規(guī)章之間存在沖突,正是這種沖突的存在,造成司法權(quán)衡的困難；第四部分對比分析“中福實(shí)業(yè)擔(dān)保案”以及“彩虹集團(tuán)擔(dān)保案”兩個案例及最高人民法院的判決結(jié)果,發(fā)現(xiàn)了我國司法實(shí)踐中的一些問題,并對如何解決這些問題提出了自己的見解；第五部分既是對以上章節(jié)的總結(jié)也是補(bǔ)充,在前四章分析的基礎(chǔ)上,得出對我國上市公司關(guān)聯(lián)擔(dān)保行為法律制度的完善,不能只局限在立法層面,還要完善公司內(nèi)部結(jié)構(gòu)以及整個社會監(jiān)管環(huán)境的結(jié)論。
[Abstract]:By studying the relevant laws, regulations and administrative rules of the related guarantee of listed companies, this paper analyzes the typical cases and finds the following problems: first, the definition of related concepts is not perfect; second, There are conflicts between laws and regulations, laws and regulations and departmental regulations. Thirdly, the existence of conflicts makes the application of laws and judicial balance difficult. In view of the above problems, this paper bases on the legislation and judicial practice of our country. From the point of view of protecting the interests of minority shareholders and creditors, this paper makes a concrete analysis of the related security disputes in legislation and judicial practice, and puts forward some opinions on how to regulate the related security behavior. The paper is divided into five parts: the first part analyzes the related concepts of the related guarantee, through the analysis of this part, we find that the legal definition of some concepts need to be improved; the second part of the comparative analysis of the advantages and disadvantages of the associated guarantee, The conclusion that the related guarantee behavior of listed companies is a "double-edged sword" should not be prohibited by force, but it needs to be regulated by laws, administrative regulations and articles of association. The regional legislation and the legislative system of our country have found that although some of the legislative systems of our country have absorbed the advanced experience of the former, they still need to be further consummated. This paper chooses the Company Law, the guarantee Law, the Securities Law and some administrative regulations issued by the Securities Regulatory Commission for specific analysis. Through the analysis, it is found that there are conflicts between the laws and regulations, between the laws and regulations and between the regulations and the departmental regulations, which is precisely the existence of such conflicts. The 4th part compares and analyzes two cases of "Zhongfu Industrial guarantee case" and "Rainbow Group guarantee case" and the judgment results of the Supreme people's Court, and finds some problems in the judicial practice of our country. The 5th part is not only a summary of the above chapters, but also a supplement, on the basis of the analysis of the previous four chapters, the author concludes the perfection of the legal system of the related guarantee behavior of the listed companies in our country. Not only in the legislative level, but also to improve the internal structure of the company and the entire social regulatory environment.
【學(xué)位授予單位】：南昌大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2011
【分類號】：D922.291.91;D923;D922.287

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本文編號：1602822