本文選題：破產(chǎn)　切入點(diǎn)：實(shí)質(zhì)合并原則　出處：《西南政法大學(xué)》2015年碩士論文　論文類型：學(xué)位論文

【摘要】：破產(chǎn)我們并不陌生,公司的合并破產(chǎn)研究卻并不多。尤其是證券公司破產(chǎn)一般都十分復(fù)雜的,往往會(huì)涉及關(guān)聯(lián)公司與證券公司關(guān)系的認(rèn)定、破產(chǎn)之前的經(jīng)營(yíng)過程中出現(xiàn)法人人格否認(rèn)的情形、實(shí)質(zhì)合并原則的適用、相關(guān)客戶資產(chǎn)的保護(hù)等等問題,而其中最為關(guān)鍵的就是實(shí)質(zhì)合并破產(chǎn)。本文通過閩發(fā)證券破產(chǎn)案件的相關(guān)問題來分析證券公司破產(chǎn)存在的相關(guān)法律爭(zhēng)議點(diǎn)。通過分析閩發(fā)破產(chǎn)案件來探討股東資格的認(rèn)定、法人人格的適用條件、實(shí)質(zhì)合并原則的適用條件以及法人人格否認(rèn)與實(shí)質(zhì)合并制度的銜接等相關(guān)問題,進(jìn)一步提出筆者的個(gè)人見解,進(jìn)而對(duì)實(shí)質(zhì)合并原則相關(guān)問題做出思考。除去摘要和小結(jié),本文主要分為四個(gè)部分:第一部分主要對(duì)閩發(fā)證券破產(chǎn)案做一個(gè)介紹,詳細(xì)介紹案件情況包括閩發(fā)證券與四家公司存在的混同情形的具體情況,以及法院的裁定以及相關(guān)依據(jù)。最后提出了本案的幾個(gè)爭(zhēng)議焦點(diǎn)。第二部分主要對(duì)閩發(fā)證券與四家關(guān)聯(lián)公司的關(guān)系做一個(gè)評(píng)析。分析是否應(yīng)該認(rèn)定閩發(fā)證券為四家公司的實(shí)際股東,為后續(xù)的分析提供前提和條件。第三部分主要對(duì)實(shí)質(zhì)合并原則的適用條件加以評(píng)析,分析應(yīng)該普遍適用還是例外適用,適用實(shí)質(zhì)合并原則應(yīng)該滿足的相關(guān)條件,得出本案符合實(shí)質(zhì)合并原則的適用條件的結(jié)論。進(jìn)而為下一步實(shí)質(zhì)合并原則與法人人格否認(rèn)的銜接做鋪墊。第四部分主要對(duì)法人人格否認(rèn)制度的適用條件加以評(píng)析,得出本案中的閩發(fā)證券與四家關(guān)聯(lián)公司在經(jīng)營(yíng)過程中存在符合法人人格否認(rèn)的適用條件的情形。之后進(jìn)一步分析實(shí)質(zhì)合并原則與法人人格否認(rèn)的異同,論證兩種制度銜接的可能,進(jìn)一步論述兩種制度要銜接應(yīng)該具備的條件,以及本案中兩種制度銜接。
[Abstract]:Bankruptcy is no stranger to us, but there are not many studies on the merger and bankruptcy of companies. In particular, the bankruptcy of securities companies is usually very complicated, and often involves the identification of the relationship between affiliated companies and securities companies. Problems such as the denial of legal personality, the application of the principle of substantive merger, the protection of relevant customer assets, etc., occurred in the course of operation before bankruptcy, Among them, the most important one is the substantial merger bankruptcy. This paper analyzes the relevant legal disputes of the bankruptcy of the securities company through the related issues of the bankruptcy case of Minfa Securities. Through the analysis of the bankruptcy case of Minfa, the author discusses the determination of the shareholder's qualification. The author puts forward the author's personal opinions on the applicable conditions of the personality of legal persons, the applicable conditions of the principle of substantive merger, and the connection between the denial of the personality of legal persons and the system of substantive merger. Besides the summary and summary, this paper is divided into four parts: the first part mainly introduces the bankruptcy case of Minfa Securities. The details of the case include the specific circumstances of the mixed situation between Minfa Securities and the four companies. And the court's ruling and relevant basis. Finally, the author puts forward several controversial focus of the case. The second part mainly analyzes the relationship between Minfa Securities and four affiliated companies. The actual shareholders of a company, The third part mainly analyzes the applicable conditions of the principle of substantive merger, the analysis should be universal or exceptional, the application of the principle of substantive merger should meet the relevant conditions. Draw the conclusion that the case accords with the applicable conditions of the principle of substantive merger, and further pave the way for the link between the principle of substantive merger and the denial of legal personality in the next step. Part 4th mainly evaluates the applicable conditions of the system of denial of the personality of legal persons. It is concluded that the Minfa Securities and the four affiliated companies in this case are in line with the applicable conditions of the denial of the legal personality in the course of operation. Then the similarities and differences between the principle of substantive merger and the denial of the personality of the legal person are further analyzed. To demonstrate the possibility of the two systems to join, to further discuss the two systems should have the conditions of convergence, and the case of the two systems of convergence.
【學(xué)位授予單位】：西南政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2015
【分類號(hào)】：D922.291.92

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