有限责任公司隐名股东股权信托制度探析

发布时间：2018-01-22 06:30

本文关键词： 有限责任公司隐名股东股权信托股权信托登记　出处：《中国政法大学》2011年硕士论文　论文类型：学位论文

【摘要】：投资主体隐名投资于有限责任公司作为公司隐名股东的现象,在公司实务中比较常见,法律对此问题没有明确规定,理论界尚未形成一致认识,导致实务中极易发生纠纷。本文运用比较法学和法律价值的分析方法,从实用主义的角度出发,在分析、探讨有限责任公司隐名股东的实务样态和立法现状后,针对投资主体隐名投资于有限责任公司的问题,在我国现行的法律框架下提出具体的操作模式,即以股权信托制度来实现相关主体的利益诉求。通过本文论述,笔者对解决有限责任公司隐名股东法律问题提出了一些浅薄的认识。本文共分为五章,外加引言和结论。第一章阐述了有限责任公司隐名股东的基本问题。本章从隐名股东的一般概念谈起,提出本文关于隐名股东的观点。隐名股东是指以享有公司股东权益为目的,在公司成立时对公司实际出资或在公司存续期间出资购买股权,但在公司章程、股东名册或工商登记材料中记载的投资人却为他人的人。然后,重点分析了隐名股东的法律特征,指出因各种原因导致股东被漏记于公司登记材料而客观形成的隐名股东和冒名股东不属于隐名股东的范畴。最后,笔者以隐名股东知情人的范围为标准,将隐名股东分为完全隐名股东和不完全隐名股东。完全隐名股东是指对该隐名股东的存在,只有与之签订隐名投资协议的名义股东知情,公司、公司其它股东及第三人均不知情。不完全隐名股东是指对隐名股东的存在,名义股东、公司、公司其它股东均知情,只有公司以外的第三人不知情。此分类为下文具体的股权信托制度设计奠定了基础。第二章探讨了隐名股东的立法现状和当前立法的缺陷。首先论述了司法实践中隐名股东纠纷所涉及的几种典型样态,总结出需要处理的几类法律关系：即隐名股东与名义股东之间；隐名股东与公司及其他股东之间；隐名股东与公司以外的第三人之间的法律关系,并用实务中的几个案例来进一步说明隐名股东问题的复杂性和多样性。其次,对我国当前处理隐名股东纠纷的法律规范进行梳理和简单分析,指出当前法律规范之不足主要在于没有明确隐名股东与名义股东之间的法律关系性质或者判断该法律关系性质的具体标准,造成无法从整体上把握涉及隐名股东的全部法律问题。通过本章,作者意在表明将隐名股东法律问题纳入现行法律制度规范。第三章论述用信托制度规范隐名股东问题的优势和法理基础。首先,介绍与评析了学界探讨较多的关于隐名股东与名义股东间法律关系性质的主要观点——代理规范说与信托规范说,提出用信托法律制度规范隐名股东问题的可能性。其次,从信托与隐名股东现象的契合点出发,结合我国《信托法》的具体规定,论述用股权信托制度规范隐名股东法律问题的优势。第三,具体分析股权信托框架下各主体间的法律关系,包括委托人与受托人、委托人与公司、委托人与第三人、受托人与公司之间的法律关系,为隐名股东股权信托制度设计作出铺垫。第四章主要阐述了在我国现行有效的法律框架下,隐名股东股权信托的具体操作模式及制度设计。本章以股权信托的设立、运行和终止为主线展开。首先分析股权信托合同的成立与生效,再分析股权信托的成立与生效,总结出股权信托生效的具体条件。完全隐名股东可选择信托合同公证的方式最大程度保护自己的合法权益。不完全隐名股东可将股权信托事项记入公司章程,间接公示于众,以代替信托登记的公示功能,弥补我国没有信托财产登记制度的缺憾(公示内容不包括隐名股东的姓名和名称)。第二,指出股权信托运行的重点是信托合同履行问题。主要讨论了信托合同当事人法定和约定的权利义务,最后简要分析了公司在股权信托运行中的法律地位。第三,说明股权信托终止的条件,重点论述信托终止后信托股权的处理。在公司存续期间,信托关系终止时,隐名股东收回投资或者显名成为公司的正式股东既要符合信托合同和信托法的要求,又要符合公司法和相关司法解释的规定。第五章提出笔者对完善隐名股东股权信托制度的建议。笔者从微观和宏观两个方面提出了关于完善股权信托制度的一点思考。第一,要加快健全股权信托登记方面的法律、法规,从制度层面解决扼制我国股权信托发展的瓶颈。第二,加强信托法律制度的宣传与应用,培养社会各阶层的信托意识,为信托制度发挥功能创造良好的社会氛围。
[Abstract]:In this paper , the author puts forward a specific operation model under the current legal framework of our country , which is based on the analysis and analysis of the actual sample state and the legislation status of the dormant shareholders of the limited liability company , and puts forward the specific operation mode under the current legal framework of our country . This article is divided into five chapters , plus introduction and conclusion . The first chapter expounds the basic problems of the secret shareholders of the limited liability company . This chapter begins with the general concept of the hidden shareholder , and puts forward the view of the hidden shareholder . The secret shareholder refers to the person who is actually invested in the company or invested in the company during the company ' s existence , but the company , the other shareholder and the third person of the company in the company ' s articles of association , the shareholder register or the business registration material are not the secret shareholders . At last , the author points out that the existence of the secret shareholder , the nominal shareholder , the company and other shareholders of the company are familiar , and only the third person outside the company is unknown . The classification provides the basis for the design of the specific equity trust system below . The second chapter discusses the status quo of the legislation and the defects of the current legislation . Firstly , the author discusses several typical sample states involved in the dispute of secret shareholders in judicial practice , summarizes the legal relationship between the secret shareholder and the nominal shareholder , the legal relationship between the secret shareholder and the third person other than the company , and points out that the deficiency of the current legal norm lies in the lack of clear legal relation between the shareholder and the nominal shareholder or the specific standard of judging the nature of the legal relationship . The third chapter discusses the advantages and the legal basis of using the trust system to regulate the issue of hidden shareholders . Firstly , the author introduces and analyzes the main points of view on the nature of legal relations between the anonymous shareholders and the nominal shareholders , and puts forward the possibility of using the trust law system to regulate the legal problems of the hidden shareholders . The fourth chapter mainly expounds the concrete operation mode and the system design of the hidden shareholder ' s equity trust under the current effective legal framework of our country . This chapter begins with the establishment , operation and termination of the equity trust . Firstly , it analyzes the establishment and entry into force of the equity trust contract , then analyzes the specific conditions of the validity of the trust contract . The fifth chapter puts forward the author ' s suggestion to perfect the shareholder ' s equity trust system . First , we should speed up the laws and regulations of the trust registration of the stock right and solve the bottleneck of the development of the stock trust in our country from the system level . Secondly , we should strengthen the publicity and application of the trust law system , train the trust consciousness of all strata of society , and create a good social atmosphere for the function of the trust system .

【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91;D922.282

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