本文選題：股權(quán)信托 + 股權(quán)轉(zhuǎn)讓�。� 參考：《湘潭大學(xué)》2013年碩士論文

【摘要】：股權(quán)信托是一種基于信賴而將股權(quán)交由他人管理的信托法律關(guān)系，是股權(quán)與信托的結(jié)合�，F(xiàn)階段我國(guó)的股權(quán)信托正蓬勃發(fā)展，在商事活動(dòng)中發(fā)揮著重要作用。股權(quán)信托公示制度作為股權(quán)信托運(yùn)行的配套制度，是股權(quán)信托有效運(yùn)行的必要條件，一方面股權(quán)信托公示能夠確認(rèn)信托股權(quán)的獨(dú)立性；另一方面，股權(quán)信托公示能夠避免信托股權(quán)的有限責(zé)任性帶給交易第三人的風(fēng)險(xiǎn)，，保障交易安全。然而在我國(guó)信托立法上，僅有《信托法》第10條規(guī)定了信托登記制度，對(duì)股權(quán)信托公示沒(méi)有作出具體的規(guī)范。我國(guó)信托法律制度對(duì)股權(quán)信托的分類、不同股權(quán)信托的公示機(jī)關(guān)、公示程序、公示申請(qǐng)人、公示方式、公示事項(xiàng)、公示效力等具體公示制度都沒(méi)有明確的規(guī)定。因此，有必要對(duì)股權(quán)信托公示進(jìn)行深入研究，并借鑒域外法律制度，立足我國(guó)國(guó)情，完善我國(guó)股權(quán)信托公示制度，促進(jìn)股權(quán)信托的發(fā)展。 當(dāng)前，我國(guó)理論界對(duì)股權(quán)信托沒(méi)有明確的界定，實(shí)踐中存在不同品種“股權(quán)信托”。分析各類“股權(quán)信托”，準(zhǔn)確界定股權(quán)信托的外延，認(rèn)為以出售收益權(quán)加回購(gòu)模式運(yùn)作的股權(quán)收益權(quán)信托品種并非真正的股權(quán)信托。股權(quán)信托僅指以表決權(quán)或整體股權(quán)為信托財(cái)產(chǎn)的信托法律關(guān)系，股權(quán)信托公示的對(duì)象應(yīng)該是股權(quán)的具體表現(xiàn)形式。兩大法系對(duì)股權(quán)信托公示制度有不同的規(guī)定，我國(guó)股權(quán)信托公示應(yīng)該借鑒各自優(yōu)點(diǎn)。在構(gòu)建股權(quán)信托公示制度時(shí)，認(rèn)識(shí)到股權(quán)信托公示具有二重性特征，明確股權(quán)信托公示區(qū)別于股權(quán)轉(zhuǎn)讓過(guò)程中的公示。在公示機(jī)關(guān)的選擇上，目前宜采“分散模式”，以上市股份有限公司的股權(quán)為信托財(cái)產(chǎn)者由證券登記結(jié)算機(jī)構(gòu)負(fù)責(zé)，以非上市股份有限公司及有限責(zé)任公司的股權(quán)為信托財(cái)產(chǎn)者由工商行政管理部門負(fù)責(zé)。在公示方式上，上市股份有限公司股票由證券登記結(jié)算機(jī)構(gòu)開(kāi)設(shè)獨(dú)立賬戶辦理公示，非上市有限公司記名股票、不記名股票及有限責(zé)任公司出資額分別由工商行政管理部門登記公示，同時(shí)對(duì)不記名股票在交付時(shí)標(biāo)明“信托股票”，對(duì)記名股票進(jìn)行背書并標(biāo)明“信托股票”及在股東名冊(cè)上注明“股權(quán)信托”的方式告知交易第三方。由受托人按照公示程序履行公示義務(wù)，委托人有協(xié)助受托人的義務(wù)。此種股權(quán)信托公示是對(duì)抗要件，而非股權(quán)信托的生效要件。公示事項(xiàng)上須對(duì)股權(quán)信托名稱、股權(quán)信托目的、股權(quán)信托當(dāng)事人狀況及其權(quán)限、股權(quán)信托標(biāo)的、股權(quán)信托期限進(jìn)行公示。對(duì)股權(quán)信托公示機(jī)關(guān)、公示義務(wù)人、公示方式、公示程序和公示事項(xiàng)加以細(xì)化，以完善的股權(quán)信托公示制度推動(dòng)股權(quán)信托發(fā)展。
[Abstract]:Equity trust is a kind of trust legal relationship, which is based on trust, and it is the combination of equity and trust.At present, equity trust is developing vigorously in our country and plays an important role in commercial activities.As a supporting system for the operation of equity trusts, the publicity system of equity trusts is a necessary condition for the effective operation of equity trusts. On the one hand, the publicity of equity trusts can confirm the independence of the equity of the trust; on the other hand,The public announcement of equity trust can avoid the risk of the limited liability of the trust equity to the third party of the transaction and ensure the security of the transaction.However, in our trust legislation, only Article 10 of the Trust Law provides for the trust registration system, and there is no specific regulation on the publicity of equity trust.The legal system of trust in our country has no clear regulations on the classification of equity trust, the public organ of different equity trust, the procedure of public announcement, the applicant of public notice, the way of public announcement, the matter of publicity, the effect of public announcement, etc.Therefore, it is necessary to make a thorough study on the publicity of equity trust, draw lessons from the extraterritorial legal system, base on the national conditions of our country, perfect the publicity system of equity trust in our country, and promote the development of equity trust.At present, there is no clear definition of equity trust in our country, and there are different kinds of equity trust in practice.This paper analyzes all kinds of "equity trusts", defines the extension of equity trusts accurately, and considers that the types of equity right trusts operated by the mode of sale of income plus repurchase are not real equity trusts.Equity trust only refers to the trust legal relationship in which the voting right or the whole equity is the trust property, and the object of public announcement of equity trust should be the concrete form of the equity.The two legal systems have different regulations on the publicity system of equity trust, and our country should draw lessons from their respective advantages.In the process of establishing the public announcement system of equity trust, we recognize that the public announcement of equity trust has dual characteristics, and make clear the difference between public announcement of equity trust and public announcement in the course of equity transfer.In the selection of public organizations, it is advisable to adopt a "decentralized model" at present. The securities registration and settlement institutions shall be responsible for those whose trust property is the equity of a listed company limited by shares.The administrative department for industry and commerce shall be responsible for the trust property of non-listed companies and limited liability companies.In the form of publicity, stocks of listed companies limited by shares shall be publicly advertised by independent accounts opened by securities registration and settlement institutions, and registered shares of non-listed limited companies,The registered shares and the capital contributions of a limited liability company shall be separately registered and publicized by the administrative department for industry and commerce. At the same time, the bearer shares shall be marked "trust stocks" when delivered,To notify a third party of a transaction by endorsing registered shares and marking "trust shares" and marking "equity trusts" on the register of shareholders.The trustee has the obligation to assist the trustee by performing the publicity obligation in accordance with the publicity procedure.The publicity of this kind of equity trust is the element of confrontation, not the effective element of equity trust.The name of the equity trust, the purpose of the equity trust, the status of the parties to the equity trust and its authority, the subject matter of the equity trust, and the term of the equity trust should be publicized.In order to promote the development of equity trust, the public organ, the public obligor, the public way, the public procedure and the public affairs of the stock right trust should be refined in order to promote the development of the stock right trust.
【學(xué)位授予單位】：湘潭大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：D922.282

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