【摘要】：由于立法對股東配偶在股權(quán)轉(zhuǎn)讓中享有的權(quán)利并沒有詳細(xì)的規(guī)定,導(dǎo)致了法官在審理這種類型的案件中無所適從。股東配偶享有權(quán)利存在法律基礎(chǔ),即我國2005年《公司法》就有限責(zé)任公司的股權(quán)轉(zhuǎn)讓增設(shè)的“公司章程對股權(quán)轉(zhuǎn)讓另有規(guī)定的,從其規(guī)定”的授權(quán)性條款；同時,股東在行使股權(quán)自由轉(zhuǎn)讓的權(quán)利時,不僅要符合公司法的規(guī)定,也要合理,不能侵犯配偶的利益,否則極易影響到夫妻共有財產(chǎn)的增減。在適當(dāng)?shù)臈l件下賦予轉(zhuǎn)讓股權(quán)的股東配偶適當(dāng)?shù)臋?quán)利存在合理性基礎(chǔ)。 借鑒大陸法系代表國家的立法,可賦予股東配偶同意權(quán)、優(yōu)先購買權(quán)和撤銷權(quán)等權(quán)利對股權(quán)轉(zhuǎn)讓進(jìn)行限制。同時,為避免賦予股東配偶權(quán)利后造成權(quán)利的濫用,有必要給行使權(quán)利的股東配偶以限制,應(yīng)堅持三項基本原則：不得禁止股權(quán)流通；不得為不合理限制；不得強(qiáng)制轉(zhuǎn)讓股權(quán)。 筆者以有限責(zé)任公司股權(quán)轉(zhuǎn)讓中因股東遵循自由轉(zhuǎn)讓原則而侵犯股東配偶的利益的案例入手,探討股東轉(zhuǎn)讓股權(quán)應(yīng)受到配偶限制的法律基礎(chǔ),并結(jié)合股權(quán)轉(zhuǎn)讓的相關(guān)理論、主要國家的相關(guān)規(guī)定及我國的立法態(tài)度,分析股權(quán)轉(zhuǎn)讓中股東配偶應(yīng)享有的權(quán)利及其保障問題,比較深入全面地對股權(quán)轉(zhuǎn)讓中股東配偶的權(quán)利保障進(jìn)行了研究,主要內(nèi)容如下： 第一部分為股權(quán)轉(zhuǎn)讓中股東配偶權(quán)利保護(hù)問題的提出。 筆者在司法實務(wù)中遇到了兩個關(guān)于股權(quán)轉(zhuǎn)讓的典型案例,該案例在適用法律的過程中,遭遇了婚姻法和公司法的博弈,對股權(quán)自由轉(zhuǎn)讓原則提出了挑戰(zhàn),從司法實務(wù)上提出應(yīng)對股權(quán)轉(zhuǎn)讓中股東配偶權(quán)利進(jìn)行保護(hù)。 第二部分為股東配偶享有權(quán)利的法律基礎(chǔ)。筆者認(rèn)為股東在行使股權(quán)自由轉(zhuǎn)讓的權(quán)利時,不僅要符合公司法的規(guī)定,也要符合物權(quán)法、婚姻法的規(guī)定,否則極易影響到夫妻共有財產(chǎn)的增減。同時,股東配偶權(quán)利保障與股權(quán)自由原則并不違背。 第三部分為股權(quán)轉(zhuǎn)讓中股東配偶權(quán)利保護(hù)的適度性。認(rèn)識到有限責(zé)任公司股權(quán)轉(zhuǎn)讓中股東配偶權(quán)利保護(hù)的合理性,同時深刻把握保護(hù)的適度性,這是本文上述部分研究的指導(dǎo)原則。本章是在第二章適度限制的理念的指導(dǎo)上,從股東配偶享有權(quán)利應(yīng)遵守的最基本層面研究了怎樣把握有限責(zé)任公司股權(quán)轉(zhuǎn)讓限制的“度”和邊界,避免賦予股東配偶權(quán)利后造成權(quán)利的濫用,因此,股東配偶行使權(quán)利時應(yīng)遵守不得禁止股權(quán)流通、不得為不合理限制、不得強(qiáng)制轉(zhuǎn)讓股權(quán)三項基本原則。 第四部分為股權(quán)轉(zhuǎn)讓中股東配偶權(quán)利保障制度構(gòu)建。筆者根據(jù)主要國家和地區(qū)股權(quán)轉(zhuǎn)讓限制的立法例,并結(jié)合相關(guān)部分中國《公司法》的規(guī)定進(jìn)行了比較,構(gòu)建出有限責(zé)任公司股權(quán)轉(zhuǎn)讓中股東配偶權(quán)利內(nèi)容、行使條件,并對股東配偶權(quán)利保障的途徑提出自己的見解。 第五部分為本文的結(jié)語部分。
[Abstract]:Because there is no detailed stipulation on the rights enjoyed by the shareholder's spouse in the transfer of shares, the judge is at a loss as to what to do in this kind of case. There is a legal basis for the enjoyment of the rights of the spouse of shareholders, that is, if the articles of association for the transfer of shares of a limited liability company are otherwise stipulated in the articles of association of a limited liability company in 2005, the authorization clause of the articles of association of the company shall be governed by the provisions of the articles of association of the limited liability company. At the same time, when exercising the right of free transfer of equity, shareholders should not only comply with the provisions of the company law, but also reasonable, can not infringe on the interests of the spouse, otherwise it is easy to affect the increase or decrease of the joint property of the husband and wife. Under appropriate conditions, there is a reasonable basis for giving appropriate rights to the spouse of shareholders who transfer shares. Drawing lessons from the legislation of the civil law system on behalf of the country, we can give shareholders the right of consent, preemptive and cancellation to restrict the transfer of equity. At the same time, in order to avoid the abuse of the rights caused by the rights of the spouse of the shareholders, it is necessary to restrict the spouse of the shareholders who exercise the rights, and we should adhere to three basic principles: no prohibition of the circulation of shares; no unreasonable restrictions; and no compulsory transfer of shares. Starting with the case that shareholders infringe the interests of shareholders' spouse because shareholders follow the principle of free transfer in the transfer of shares of limited liability companies, the author probes into the legal basis that shareholders should be restricted by their spouses in the transfer of shares, and combines the relevant theories of equity transfer. The relevant provisions of the main countries and the legislative attitude of our country, this paper analyzes the rights and their protection of the shareholder's spouse in the equity transfer, and makes a more in-depth and comprehensive study on the protection of the rights of the shareholder's spouse in the equity transfer. The main contents are as follows: the first part is the protection of shareholders' spouse rights in equity transfer. In judicial practice, the author encountered two typical cases of equity transfer. In the process of applying the law, the case encountered the game between marriage law and company law, which challenged the principle of free transfer of equity. From the judicial practice, it is put forward that the rights of shareholders' spouse should be protected in the transfer of shares. The second part is the legal basis for the rights of the spouse of shareholders. The author believes that when shareholders exercise the right of free transfer of equity, they should not only comply with the provisions of the company law, but also with the provisions of the property law and the marriage law, otherwise it will easily affect the increase or decrease of the joint property of husband and wife. At the same time, the protection of shareholders' spouse rights and the principle of equity freedom are not contrary to. The third part is the appropriateness of the protection of shareholders' spouse rights in equity transfer. It is the guiding principle of this paper to recognize the rationality of the protection of shareholders' spouse rights in the transfer of shares of limited liability companies and to grasp the appropriateness of protection. Under the guidance of the concept of moderate restriction in the second chapter, this chapter studies how to grasp the "degree" and boundary of the restriction of equity transfer of limited liability company from the most basic level that shareholders' spouse should abide by. To avoid the abuse of rights caused by the granting of rights to the spouse of shareholders, therefore, when exercising the rights of shareholders, the spouse of shareholders should abide by the three basic principles that the circulation of shares shall not be prohibited, the circulation of shares shall not be unreasonably restricted, and the shares shall not be forcibly transferred. The fourth part is the construction of shareholder spouse rights protection system in equity transfer. According to the legislative examples of equity transfer restrictions in major countries and regions, and combined with the provisions of the Company Law of China, the author constructs the content and conditions of shareholders' spouse rights in equity transfer of limited liability companies. And put forward their own views on the way to protect the rights of shareholders' spouse. The fifth part is the conclusion of this paper.
【學(xué)位授予單位】：山東大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2011
【分類號】：D922.291.91

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