有限責(zé)任公司股權(quán)對(duì)外轉(zhuǎn)讓若干問(wèn)題研究
發(fā)布時(shí)間：2018-09-06 14:38
【摘要】：有限責(zé)任公司具有規(guī)模小、人數(shù)少、股東承擔(dān)有限責(zé)任的特點(diǎn),是當(dāng)今世界采用最多的公司類型。股權(quán)對(duì)外轉(zhuǎn)讓制度是有限責(zé)任公司制度的重要組成部分。有限責(zé)任公司兼具人合性與資合性的特點(diǎn),決定了其股權(quán)轉(zhuǎn)讓必須受到一定限制。因此,有限責(zé)任公司股權(quán)對(duì)外轉(zhuǎn)讓中,既要保障股東股權(quán)自由轉(zhuǎn)讓的權(quán)利得以實(shí)現(xiàn),又不能破壞有限責(zé)任公司的人合基礎(chǔ)。此外,在股權(quán)對(duì)外轉(zhuǎn)讓實(shí)踐中產(chǎn)生了許多疑難問(wèn)題,如何對(duì)其加以解決,成為各國(guó)立法者不斷思考的課題。目前,我國(guó)關(guān)于有限責(zé)任公司股權(quán)對(duì)外轉(zhuǎn)讓的法學(xué)理論和立法實(shí)踐都還不夠成熟,這與有限責(zé)任公司在我國(guó)經(jīng)濟(jì)生活中的地位顯然是不相適應(yīng)的。如何解決股權(quán)轉(zhuǎn)讓過(guò)程中發(fā)生的這些疑難問(wèn)題,具有特別重要的實(shí)踐意義,對(duì)有限責(zé)任公司乃至我國(guó)經(jīng)濟(jì)的發(fā)展都將產(chǎn)生積極的影響。 全文除緒論外共分六章。筆者從股權(quán)理論的闡述開(kāi)始,對(duì)股權(quán)及股權(quán)對(duì)外轉(zhuǎn)讓基本理論做了介紹和分析。在此基礎(chǔ)上,對(duì)理論和實(shí)踐中的幾個(gè)重要問(wèn)題逐一進(jìn)行了分析。 首先,本文運(yùn)用比較分析的方法,從有限責(zé)任公司和股權(quán)的概念和性質(zhì)入手,分析歸納股權(quán)對(duì)外轉(zhuǎn)讓的理論基礎(chǔ)和法律特征。筆者認(rèn)為股權(quán)是一種社員權(quán),社員權(quán)不同于物權(quán)和債權(quán),是一種獨(dú)立的、兼有人身性和財(cái)產(chǎn)性的綜合性權(quán)利。股權(quán)的財(cái)產(chǎn)屬性決定股權(quán)具有可轉(zhuǎn)讓性。股權(quán)對(duì)外轉(zhuǎn)讓包含債權(quán)行為和準(zhǔn)物權(quán)行為。股權(quán)對(duì)外轉(zhuǎn)讓合同的簽訂是股權(quán)對(duì)外轉(zhuǎn)讓中的債權(quán)行為,而以股權(quán)變動(dòng)為目的的股權(quán)對(duì)外轉(zhuǎn)讓的交付行為則是準(zhǔn)物權(quán)行為。同時(shí),由于有限責(zé)任公司具有人合屬性,并且需要對(duì)其他股東的期待利益予以保護(hù),有限責(zé)任公司股東對(duì)外轉(zhuǎn)讓股權(quán)具有其特殊性。其基本原則是：維持有限責(zé)任公司的人合性、保護(hù)股東的期待利益、適應(yīng)有限責(zé)任公司的經(jīng)營(yíng)模式、符合公平正義的理念。 本文在對(duì)基本理論進(jìn)行介紹和分析的基礎(chǔ)上,結(jié)合我國(guó)修訂后的《公司法》的相關(guān)規(guī)定,借鑒國(guó)外立法規(guī)定以及學(xué)術(shù)觀點(diǎn),對(duì)我國(guó)有限責(zé)任公司股權(quán)對(duì)外轉(zhuǎn)讓理論和實(shí)踐中的出現(xiàn)的疑難問(wèn)題進(jìn)行了重點(diǎn)分析。具體問(wèn)題主要分為四部分：第一部分主要分析股權(quán)對(duì)外轉(zhuǎn)讓合同問(wèn)題,對(duì)有限責(zé)任公司股權(quán)對(duì)外轉(zhuǎn)讓合同的有效要件和特殊情形下股權(quán)對(duì)外轉(zhuǎn)讓合同的效力等做出了分析。指出股權(quán)轉(zhuǎn)讓合同成立,并不必然導(dǎo)致股權(quán)轉(zhuǎn)讓合同生效和股權(quán)權(quán)屬變更,對(duì)特殊情形下股權(quán)轉(zhuǎn)讓合同的效力還應(yīng)根據(jù)具體情況進(jìn)行判定。第二部分結(jié)合境內(nèi)外對(duì)有限責(zé)任公司股權(quán)對(duì)外轉(zhuǎn)讓的規(guī)定,分析了我國(guó)公司法對(duì)于優(yōu)先購(gòu)買權(quán)主體的相關(guān)規(guī)定,討論了未經(jīng)其他股東過(guò)半數(shù)同意的股權(quán)對(duì)外轉(zhuǎn)讓行為的效力,并進(jìn)一步提出該種轉(zhuǎn)讓行為應(yīng)該界定為可撤銷的行為。本部分還對(duì)股東優(yōu)先購(gòu)買權(quán)的行使條件和股東優(yōu)先購(gòu)買權(quán)能否部分行使問(wèn)題進(jìn)行了分析。認(rèn)為一般應(yīng)允許優(yōu)先權(quán)的部分行使,并提出了相關(guān)立法建議。第三部分主要分析強(qiáng)制執(zhí)行引起的股權(quán)對(duì)外轉(zhuǎn)讓問(wèn)題,其中包括,股權(quán)強(qiáng)制執(zhí)行引起的股權(quán)對(duì)外轉(zhuǎn)讓條件、強(qiáng)制執(zhí)行股權(quán)對(duì)外轉(zhuǎn)讓與股東優(yōu)先購(gòu)買權(quán)的沖突以及《拍賣法》和《公司法》的矛盾協(xié)調(diào)。第四部分主要分析了股權(quán)對(duì)外轉(zhuǎn)讓變更登記問(wèn)題。其中包括股東名冊(cè)變更登記與股權(quán)轉(zhuǎn)讓效力的關(guān)系問(wèn)題、工商變更登記與股權(quán)對(duì)外轉(zhuǎn)讓效力的關(guān)系問(wèn)題。提出了股東名冊(cè)變更登記與工商變更登記相互沖突時(shí)的解決辦法。 本文最后一章為結(jié)論部分,主要是對(duì)前五章的內(nèi)容作一個(gè)簡(jiǎn)單的總結(jié)。 本文力求在對(duì)有限責(zé)任公司股權(quán)對(duì)外轉(zhuǎn)讓理論和實(shí)踐產(chǎn)生的問(wèn)題進(jìn)行梳理和研究的基礎(chǔ)上,對(duì)我國(guó)《公司法》的立法完善提出建議,以期更好地解決有限責(zé)任公司股權(quán)對(duì)外轉(zhuǎn)讓中存在的問(wèn)題,促使我國(guó)有限責(zé)任公司股權(quán)對(duì)外轉(zhuǎn)讓更加健康、協(xié)調(diào)的發(fā)展。
[Abstract]:Limited liability company has the characteristics of small scale, small number of people and limited liability of shareholders, which is the most widely used type of company in the world. Therefore, in the foreign transfer of shares of a limited liability company, the right of free transfer of shares of shareholders should be guaranteed, and the basis of human cooperation of the limited liability company should not be destroyed. China's legal theory and legislative practice on the external transfer of shares of limited liability companies are not mature enough, which is obviously incompatible with the status of limited liability companies in China's economic life. China's economic development will have a positive impact.
This paper is divided into six chapters except the introduction. Starting from the elaboration of the equity theory, the author introduces and analyzes the basic theory of equity and equity transfer. On this basis, several important issues in theory and practice are analyzed one by one.
First of all, this paper uses the method of comparative analysis, starting with the concept and nature of limited liability company and equity, analyzes and summarizes the theoretical basis and legal characteristics of equity transfer. Ownership transfer includes creditor's right behavior and quasi-real right behavior. The signing of equity transfer contract is creditor's right behavior in the process of equity transfer, while the delivery of equity transfer for the purpose of equity change is quasi-real right behavior. The basic principles of the transfer of equity by the shareholders of a limited liability company are: to maintain the human nature of the limited liability company, to protect the expected interests of the shareholders, to adapt to the operating mode of the limited liability company, in line with the concept of fairness and justice.
On the basis of introducing and analyzing the basic theories, combining with the relevant provisions of the revised Company Law of China, drawing on the foreign legislative provisions and academic viewpoints, this paper focuses on the difficult problems in the theory and practice of the foreign transfer of shares of limited liability companies in China. The first part mainly analyzes the problems of the equity transfer contract, analyzes the valid requirements of the equity transfer contract of the limited liability company and the validity of the equity transfer contract under the special circumstances. The validity of the equity transfer contract should also be judged according to the specific conditions. The second part analyzes the relevant provisions of the Company Law of China on the subject of the preemptive right, discusses the validity of the equity transfer without the consent of more than half of the other shareholders, and further discusses the validity of the equity transfer without the consent of the other shareholders. This part also analyzes the conditions for the exercise of shareholder's preemptive right and whether the shareholder's preemptive right can be partially exercised. It considers that the partial exercise of the preemptive right should be generally allowed, and puts forward relevant legislative proposals. The third part mainly analyzes the stocks caused by compulsory execution. The fourth part mainly analyzes the registration of the change of the foreign transfer of shares, including the registration of the change of the shareholder's register. The relationship between the registration of changes in industry and Commerce and the effectiveness of foreign transfer of shares is also discussed.
The last chapter is the conclusion, which is a brief summary of the contents of the first five chapters.
On the basis of sorting out and researching the problems arising from the theory and practice of the foreign transfer of shares in limited liability companies, this paper puts forward some suggestions on the perfection of the legislation of the Company Law in order to better solve the problems existing in the foreign transfer of shares in limited liability companies and promote the foreign transfer of shares in limited liability companies in China to be more healthy. Kang, coordinated development.
【學(xué)位授予單位】：東北財(cái)經(jīng)大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2010
【分類號(hào)】：D922.291.91
本文編號(hào)：2226663
[Abstract]:Limited liability company has the characteristics of small scale, small number of people and limited liability of shareholders, which is the most widely used type of company in the world. Therefore, in the foreign transfer of shares of a limited liability company, the right of free transfer of shares of shareholders should be guaranteed, and the basis of human cooperation of the limited liability company should not be destroyed. China's legal theory and legislative practice on the external transfer of shares of limited liability companies are not mature enough, which is obviously incompatible with the status of limited liability companies in China's economic life. China's economic development will have a positive impact.
This paper is divided into six chapters except the introduction. Starting from the elaboration of the equity theory, the author introduces and analyzes the basic theory of equity and equity transfer. On this basis, several important issues in theory and practice are analyzed one by one.
First of all, this paper uses the method of comparative analysis, starting with the concept and nature of limited liability company and equity, analyzes and summarizes the theoretical basis and legal characteristics of equity transfer. Ownership transfer includes creditor's right behavior and quasi-real right behavior. The signing of equity transfer contract is creditor's right behavior in the process of equity transfer, while the delivery of equity transfer for the purpose of equity change is quasi-real right behavior. The basic principles of the transfer of equity by the shareholders of a limited liability company are: to maintain the human nature of the limited liability company, to protect the expected interests of the shareholders, to adapt to the operating mode of the limited liability company, in line with the concept of fairness and justice.
On the basis of introducing and analyzing the basic theories, combining with the relevant provisions of the revised Company Law of China, drawing on the foreign legislative provisions and academic viewpoints, this paper focuses on the difficult problems in the theory and practice of the foreign transfer of shares of limited liability companies in China. The first part mainly analyzes the problems of the equity transfer contract, analyzes the valid requirements of the equity transfer contract of the limited liability company and the validity of the equity transfer contract under the special circumstances. The validity of the equity transfer contract should also be judged according to the specific conditions. The second part analyzes the relevant provisions of the Company Law of China on the subject of the preemptive right, discusses the validity of the equity transfer without the consent of more than half of the other shareholders, and further discusses the validity of the equity transfer without the consent of the other shareholders. This part also analyzes the conditions for the exercise of shareholder's preemptive right and whether the shareholder's preemptive right can be partially exercised. It considers that the partial exercise of the preemptive right should be generally allowed, and puts forward relevant legislative proposals. The third part mainly analyzes the stocks caused by compulsory execution. The fourth part mainly analyzes the registration of the change of the foreign transfer of shares, including the registration of the change of the shareholder's register. The relationship between the registration of changes in industry and Commerce and the effectiveness of foreign transfer of shares is also discussed.
The last chapter is the conclusion, which is a brief summary of the contents of the first five chapters.
On the basis of sorting out and researching the problems arising from the theory and practice of the foreign transfer of shares in limited liability companies, this paper puts forward some suggestions on the perfection of the legislation of the Company Law in order to better solve the problems existing in the foreign transfer of shares in limited liability companies and promote the foreign transfer of shares in limited liability companies in China to be more healthy. Kang, coordinated development.
【學(xué)位授予單位】：東北財(cái)經(jīng)大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2010
【分類號(hào)】：D922.291.91
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