【摘要】： 非上市公司控制權轉讓過程中,控制股東往往為了獲得控制權溢價,只考慮個人利益,置中小股東的利益于不顧,將公司轉讓給一個意在掠奪公司資產的人,或者在轉讓過程中利用控制權優(yōu)勢侵占公司財產或公司發(fā)展機會,因此在非上市公司控制權轉讓過程中中小股東的利益經常受到損害。美國公司法法律制度中確立了控制股東在控制權轉讓過程中的信義義務來保護中小股東的利益。我國目前非上市公司控制權轉讓市場頗為繁榮,也出現了多起控制權轉讓法律糾紛,但我國還缺少與非上市公司控制權轉讓相關的法律制度,因此筆者以回應現實需要為目的,綜合運用實證分析法、歷史分析法、比較分析法等研究方法對非上市公司控制權轉讓中控制股東信義義務法律制度進行較為深入的研究,希望能夠構建出我國的非上市公司控制權轉讓中控制股東的信義義務法律制度。 本文分為引言、正文和結論三個部分: 在引言中,筆者提出了我國建立非上市公司控制權轉讓中控制股東的信義義務法律制度是現實的需要,研究該問題對于在控制權轉讓過程中保護中小股東具有重要意義,并提出了自己的研究方法和研究目標。 正文分為五章。 第一章,筆者從兩個控制權轉讓案例出發(fā),研究了我國目前公司控制權轉讓法律規(guī)制的概況,認為相對于我國繁榮的非上市公司控制權轉讓市場,非上市公司控制權轉讓的相關法律制度缺失,亟待完善。 第二章,筆者通過分析“控制”、“控制股東”和“控制權轉讓”等法律概念,指出所謂“控制”是指對一個公司經營管理權的支配。 第三章,筆者討論了控制股東承擔信義義務的理論基礎,然后從控制權轉讓角度分析了控制權轉讓過程中控制股東的信義義務,認為控制股東在控制權轉讓過程中,應該做一個“合格的退出者”,在控制權轉讓過程中應該盡到保護中小股東利益的義務。 第四章,筆者對美國法上控制權轉讓中控制股東信義義務理論進行了梳理和評析,重點分析了控制股東在控制權轉讓過程中的謹慎調查義務和控制權溢價分享責任,最后認為美國法對控制權轉讓過程中控制股東課以信義義務,既保護了小股東又保證了控制股東應有的利益,同時亦不影響善意的控制權轉讓,對我國有一定的借鑒意義。 第五章,筆者提出了如何在我國目前的公司法上構建我國非上市公司控制權轉讓中控制股東的信義義務制度。筆者認為我國應該盡快在我國公司法上明確“控制”和“控制股東”的概念,進而構建我國公司法上,非上市公司控制股東在控制權轉讓中的“謹慎調查義務”和“控制權溢價分享責任”,以達到保護中小股東的目的。 最后,結論部分,筆者再次對全文內容進行總結,梳理了自己的理論脈絡,認為我國法律應該回應現實的需要,盡快就非上市公司控制權轉讓過程中控制股東的信義義務進行相關立法,以應對公司法實踐的需要。
[Abstract]:In the process of transfer of control right of non-listed companies, the control shareholders tend to take the interests of the interests of small and medium-sized shareholders regardless of the interests of the small and medium-sized shareholders in order to obtain the control power premium, and transfer the company to a person who intends to rob the company's assets, The interests of small and medium-sized shareholders are often damaged during the transfer of non-listed companies by using the advantage of control right to encroach on the company's property or the company's development chances. The legal system of the United States Company Law establishes the obligation of controlling shareholders to protect the interests of small and medium shareholders during the transfer of control. At present, the transfer of control right of non-listed companies in our country is rather prosperous, and there are many legal disputes over control. However, China lacks the legal system related to the transfer of control right of non-listed companies. Therefore, the author uses the empirical analysis method in response to the realistic needs. The research methods of historical analysis, comparative analysis and so on have deeply studied the legal system of controlling shareholder's fiduciary duty in the transfer of control right of non-listed companies, hoping to construct the legal system of controlling shareholders' fiduciary duty in the transfer of control right of non-listed companies. This paper is divided into three parts: introduction, text and conclusion. In the introduction, the author puts forward the legal system of controlling shareholder's fiduciary duty in the transfer of control right of non-listed company. The study of the problem is of great significance to the protection of small and medium-sized shareholders during the transfer of control right, and puts forward his own research. Methods and Objectives The text is divided into three chapters. In chapter one, the author starts from the transfer case of two control rights, studies the general situation of the legal regulation of control right transfer of our country, and thinks that the control right of non-listed company is transferred to the market of control right of non-listed company prosperous in our country. The author analyzes the legal concepts such as 鈥淐ontrol鈥，

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