【摘要】：公司應(yīng)當(dāng)配置股東名冊是世界各國公司法對于公司的強制性要求。股東名冊是公司的內(nèi)部文件,主要記載股東及其出資或者其股份的信息。股東名冊對公司、股東、債權(quán)人以及社會公眾具有非常重要的意義。對公司來說,股東名冊可以幫助公司確定某個時點上公司的股東資格,從而有利于公司送達(dá)股東會決議通知、分配股息等;對股東來說,股東名冊作為確定股東資格的一個重要證據(jù),有利于股東保護自己合法的權(quán)益,同時,股東可以通過將自己所持有的股權(quán)質(zhì)押獲得融資,而股權(quán)質(zhì)押必須經(jīng)過股東名冊的登記方可有效;對債權(quán)人以及社會公眾來說,當(dāng)公司有違法行為需要追究其股東的法律責(zé)任時,股東名冊有利于確定法律責(zé)任的主體,同時,債權(quán)人以及社會公眾通過查閱股東名冊能夠確定公司的股權(quán)是否已經(jīng)質(zhì)押,從而保護了交易安全。所以,股東名冊不僅在《公司法》中具有重要的作用,也涉及到股權(quán)質(zhì)押的成立與否,從而也在《擔(dān)保法》中扮演了很重要的角色。 本文主要論述了股東名冊的若干法律問題。這些法律問題包括股東名冊的法律性質(zhì)、股東名冊的配置、股東名冊的記載事項以及股東名冊的效力問題。 按照傳統(tǒng)公司法的觀點,股東名冊是公司的一種書面文件,所以股東名冊是一種要式的法律文件。但是隨著公司IT化的發(fā)展,股東名冊也可以采取電子形式加以保存,所以筆者以為股東名冊的形式包括書面形式以及電子形式。對于股東名冊的法律性質(zhì),很少有學(xué)者對此加以總結(jié)。筆者認(rèn)為,股東名冊的法律性質(zhì)是具有商法技術(shù)性特征的記載法定股東信息的一種要式的簿冊。 股東名冊的配置問題主要包括配置主體、配置時間、配置地點和查閱問題。公司是股東名冊的配置的義務(wù)主體,公司董事會是股東名冊的配置的義務(wù)機關(guān),董事會是公司的代表機關(guān),當(dāng)董事會沒有履行股東名冊的配置義務(wù)時,應(yīng)當(dāng)首先由公司來承擔(dān)責(zé)任,公司可以向有關(guān)的董事進行追償。股東名冊作為公司的要式法律文件,應(yīng)當(dāng)允許包括債權(quán)人在內(nèi)的社會公眾的查閱。其中查閱權(quán)當(dāng)然包括復(fù)印權(quán),但是為了保證查閱權(quán)的行使不影響公司的合法權(quán)益,世界上許多國家公司法對復(fù)印權(quán)或者查閱權(quán)設(shè)定了一定的限制,筆者認(rèn)為我國公司法應(yīng)當(dāng)借鑒這些比較成熟的立法,對查閱權(quán)的具體行使設(shè)定一定的限制。 筆者主張將股東名冊的記載事項分為絕對記載事項、相對記載事項、任意記載事項。并提出了構(gòu)成股東名冊的最基本要素:一、股東姓名或者名稱;二、
[Abstract]:It is a mandatory requirement of company law of all countries in the world that a company should set up a register of shareholders. The register of shareholders is the internal document of the company, which mainly records the information of the shareholders and their contribution or their shares. The register of shareholders is of great importance to the company, shareholders, creditors and the public. For a company, the stockholder register can help the company determine the company's shareholder qualifications at a certain point in time, thereby helping the company to serve notice of shareholders' meeting resolution, distribute dividends, etc.; for shareholders, As an important evidence for determining the qualifications of shareholders, the register of shareholders is conducive to the protection of their legitimate rights and interests. At the same time, shareholders can obtain financing by pledging their equity holdings. However, stock pledge must be registered with the register of shareholders. For creditors and the public, when a company needs to investigate the legal liability of its shareholders in case of illegal acts, the register of shareholders is conducive to determining the subject of legal liability, and at the same time, Creditors, as well as the public, are able to secure transactions by checking the register of shareholders to determine whether the company's shares have been pledged. Therefore, the stockholder roster not only plays an important role in Company Law, but also involves the establishment of equity pledge, thus playing an important role in the Law of Guaranty. This paper mainly discusses some legal problems of stockholder register. These legal issues include the legal nature of the stockholders' register, the allocation of the stockholder's register, the record of the stockholder's register, and the validity of the stockholder's register. According to the traditional company law, the stockholder's register is a kind of written document of the company, so the stockholder's register is a kind of important legal document. However, with the development of IT, the register of shareholders can also be preserved in electronic form, so the author thinks that the form of the register of shareholders includes written form and electronic form. Few scholars summarize the legal nature of the stockholder register. The author holds that the legal nature of the register of shareholders is a kind of important book which records the information of legal shareholders with the technical characteristics of commercial law. The allocation of the stockholder roster mainly includes the main body, the allocation time, the allocation place and the access problem. The company is the obligatory subject of the allocation of the shareholders' register, the board of directors is the compulsory organ for the allocation of the shareholders' register, and the board of directors is the representative organ of the company. When the board of directors fails to fulfill the allocation obligation of the register of shareholders, The liability should first be borne by the company, which may recover compensation from the directors concerned. The stockholder register, as the company's essential legal document, should be accessible to the public, including creditors. Of course, the right of inspection includes the right to copy, but in order to ensure that the exercise of the right of inspection does not affect the legitimate rights and interests of the company, many countries in the world have set certain restrictions on the right to copy or the right to inspect in the company law. The author believes that China's company law should draw lessons from these mature legislation and set certain restrictions on the specific exercise of the right of inspection. The author advocates that the record items of the stockholder register can be divided into absolute record item, relative record item and arbitrary record item. And put forward the most basic elements of the shareholders' register: first, the name or name of the shareholders; second,
【學(xué)位授予單位】：上海海事大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2005
【分類號】：D912.29

【引證文獻】

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相關(guān)博士學(xué)位論文 前2條

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相關(guān)碩士學(xué)位論文 前4條

1 鄭麗平;論我國有限責(zé)任公司股東資格的認(rèn)定[D];中國政法大學(xué);2011年

2 張洪光;權(quán)利質(zhì)押研究[D];山東大學(xué);2006年

3 於昀;論有限責(zé)任公司股權(quán)質(zhì)押之當(dāng)事人權(quán)利平衡[D];復(fù)旦大學(xué);2008年

4 付雪萍;股份有限公司股東查閱權(quán)研究[D];北方工業(yè)大學(xué);2009年

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本文編號：2250271