本文選題：章程自治 + 股權(quán)轉(zhuǎn)讓　； 參考：《遼寧大學》2017年碩士論文

【摘要】：有限責任公司因其自身獨有的特點,在經(jīng)濟迅速發(fā)展的市場經(jīng)濟體制下,受到越來越多投資者的青睞。為維護公司的穩(wěn)定,不破壞有限責任公司的人合性,公司章程往往對股權(quán)轉(zhuǎn)讓作出一定的限制。因此有限責任公司章程與股東利益密切相關(guān)。我國2005年對《公司法》修改,從理念上由股權(quán)轉(zhuǎn)讓法定限制轉(zhuǎn)變?yōu)檎鲁套灾?但理論爭議及司法實踐中的困境依然存在。本文從我國立法現(xiàn)狀出發(fā),結(jié)合理論和實踐,進一步深入分析我國有限責任公司章程限制股權(quán)轉(zhuǎn)讓存在的法律問題;并分析借鑒國外的立法經(jīng)驗,運用比較分析法和實證分析法,對完善我國有限責任公司章程限制股權(quán)轉(zhuǎn)讓提出幾點法律建議。本文分為四部分。第一部分分析有限責任公司章程限制股權(quán)轉(zhuǎn)讓的正當性。從法律基礎(chǔ)、理論基礎(chǔ)和現(xiàn)實需要三方面進行闡述。我國公司法的發(fā)展從法定限制模式向章程限制模式進行了轉(zhuǎn)變,為章程限制股權(quán)轉(zhuǎn)讓奠定了堅實的法律基礎(chǔ)。公司的契約理論、有限責任公司的人合性和公司章程的自治性理論,都體現(xiàn)了有限公司非常注重股東之間的合作關(guān)系與信賴關(guān)系,加上平衡股東利益與公司利益的現(xiàn)實需要,都充分證明了章程限制股權(quán)轉(zhuǎn)讓的正當性。第二部分是對國外有限責任公司章程限制股權(quán)轉(zhuǎn)讓的立法進行簡單介紹,并對國外國家的立法規(guī)定結(jié)合我國的立法現(xiàn)狀和司法實踐進行分析,提煉出應(yīng)為我國所借鑒的優(yōu)秀經(jīng)驗。第三部分介紹我國有限責任公司章程限制股權(quán)轉(zhuǎn)讓的立法現(xiàn)狀,重點是揭示我國仍然存在的法律問題。通過實踐中的案例引出公司章程條款限制股權(quán)轉(zhuǎn)讓的不同情況如離職強制轉(zhuǎn)讓股權(quán)、禁止轉(zhuǎn)讓股權(quán)等;并指出章程條款限制股權(quán)轉(zhuǎn)讓給股權(quán)轉(zhuǎn)讓糾紛帶來的審判困境。不難發(fā)現(xiàn),我國有限責任公司章程限制股權(quán)轉(zhuǎn)讓存在的法律問題可以概括為:章程限制股權(quán)轉(zhuǎn)讓的自治邊界不明、各地各級法院也尚未確立統(tǒng)一的司法審查標準、章程限制股權(quán)轉(zhuǎn)讓導致股東退出公司的途徑缺失、限制股權(quán)轉(zhuǎn)讓的章程修改規(guī)則對異議股東的保護不足。第四部分即結(jié)合前文的分析研究,對發(fā)現(xiàn)的法律問題一一對應(yīng)提出完善建議。構(gòu)建章程限制股權(quán)轉(zhuǎn)讓的自治邊界應(yīng)在基本原則指導下,“內(nèi)轉(zhuǎn)外轉(zhuǎn)明確定,大綱細則兩相分。”為解決司法實踐中的裁判困境,就需要建立審查制度,確立審查理念、確定審查標準。為確保股東退出公司有途徑,可引入國外的指定受讓制度。而通過修改章程限制股權(quán)轉(zhuǎn)讓的不應(yīng)再被忽視,對章程的修改規(guī)則要作出更嚴格的要求,要么需經(jīng)全體股東一致同意,要么采取“一人一票”的決議方式。
[Abstract]:Limited liability company is favored by more and more investors under the market economy system with rapid economic development because of its own unique characteristics. In order to maintain the stability of the company and not destroy the human nature of the limited liability company, the articles of association often restrict the transfer of shares. Therefore, the articles of association of a limited liability company are closely related to the interests of shareholders. In 2005, the amendment of Company Law in China changed from legal limitation of equity transfer to autonomy of articles of association, but the theoretical controversy and the dilemma in judicial practice still existed. Based on the current situation of our country's legislation, combined with the theory and practice, this paper further analyzes the legal problems existing in restricting the transfer of shares in the articles of association of limited liability companies in our country, and analyzes the legislative experience of foreign countries. By means of comparative analysis and empirical analysis, this paper puts forward some legal suggestions on perfecting the articles of association of limited liability companies in China to restrict the transfer of shares. This paper is divided into four parts. The first part analyzes the legitimacy of limited liability company articles of association to restrict the transfer of shares. From the legal basis, theoretical basis and practical needs of three aspects. The development of company law in our country has changed from the mode of statutory restriction to the mode of restriction of articles of association, which has laid a solid legal foundation for restricting the transfer of shares by articles of association. The theory of contract, the autonomy of the articles of association of the limited liability company and the contract theory of the limited liability company all reflect that the limited company attaches great importance to the cooperative relationship and the trust relationship between the shareholders, plus the realistic need to balance the interests of the shareholders with the interests of the company. All fully proved the legitimacy of the articles of association to restrict the transfer of shares. The second part is a brief introduction to the foreign limited liability company articles of association restrictions on the transfer of equity legislation, and foreign countries' legislative provisions combined with China's legislative status and judicial practice are analyzed. Abstract the excellent experience that should be used for reference by our country. The third part introduces the legislation status of the limited liability company's articles of association restricting the transfer of equity in our country, with the emphasis on revealing the legal problems that still exist in our country. Through the practical cases, this paper draws the conclusion that the articles of association restrict the transfer of shares in different situations, such as mandatory transfer of shares from employment, prohibition of transfer of shares, and points out that the articles of association restrict the transfer of equity to the dispute of equity transfer brought about by the trial dilemma. It is not difficult to find that the legal problems existing in the articles of association of our limited liability companies restricting the transfer of equity can be summarized as follows: the autonomous boundary of the articles of association to restrict the transfer of equity is not clear, and the courts at all levels have not yet established a unified standard of judicial review. Articles of association restrict the transfer of shares and lead to the lack of ways for shareholders to withdraw from the company, and the rules of amendment of articles of association which restrict the transfer of shares do not protect the dissenting shareholders. The fourth part is based on the analysis and research above, and puts forward some perfect suggestions to the legal problems found one-to-one. The autonomous boundary of constitution restricting the transfer of equity should be guided by the basic principles, "the internal transfer and the outward transfer shall be clearly determined, and the outline and bylaws shall be divided into two parts." In order to solve the dilemma of adjudication in judicial practice, it is necessary to establish the system of examination, establish the concept of examination and determine the standard of examination. In order to ensure that shareholders exit the company, the foreign designated transfer system can be introduced. However, it should not be neglected to limit the transfer of stock rights by modifying articles of association, and the rules of amendment of articles of association should be more strictly required, either with the unanimous consent of all shareholders or with the method of "one person, one vote".
【學位授予單位】：遼寧大學
【學位級別】：碩士
【學位授予年份】：2017
【分類號】：D922.291.91

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