公司法下上市公司关联交易法律问题研究

发布时间：2018-02-13 20:06

本文关键词： 上市公司关联交易控股股东中小股东　出处：《大连海事大学》2011年硕士论文　论文类型：学位论文

【摘要】：随着我国市场经济的发展,公司经营形式呈现多元化的趋势,关联交易也日益频繁。在近几年深沪两所的数据统计中,上市公司关联交易所占的比例不断攀升,上市公司关联交易除具备非上市公司关联交易的共性外还具有其独特性,因此不论是规模还是效益其都具有代表性,而且其相关资料也易于获得,所以本文针对我国上市公司关联交易展开研究。《公司法》是调整、规范、治理公司交易行为最直接、有效的成文法。但我国《公司法》中,关于上市公司关联交易的法律规范还存在很多不足,给司法实践带来很多阻碍。因此,为维护正常的市场经营秩序保证关联交易的公平、正当,《公司法》有必要对上市公司关联交易进行充分的规制,以保护公司、债权人、其它中小股东的利益不受非正当关联交易的损害。因此,本文重点讨论公司法下上市公司关联交易存在的问题,并对完善我国公司法的相关规定提出了立法建议。全文共分为四大部分。第一部分对上市公司关联交易的一般法学理论进行了概述。根据相关法律规范及法律文件对关联交易的范围进行了界定,同时对上市公司关联交易的类型、特点及所应遵循的原则等基本情况逐一进行了介绍和探讨。第二部分介绍国外法律规范对上市公司关联交易的规制。通过大陆法系和英美法系国家,对上市公司关联交易中控制公司和公司管理人员责任的承担,以及对关联报告和股东申请权等方面的介绍,说明国外法对上市公司关联交易规制的完善及对我国的借鉴意义。第三部分介绍我国规制上市公司关联交易的立法现状。逐一介绍了我国证券法及相关法律文件对上市公司关联交易是如何规定的,以及我国公司法对上市公司关联交易的规定。第四部分是对我国公司法规制上市公司关联交易提出立法完善的建议。通过对我国公司法规制上市公司关联交易方面所存在问题的说明,同时在借鉴国外立法成果的基础上提出立法完善的建议,包括事前预防和事后救济两个方面。
[Abstract]:With the development of market economy in China, the business forms of companies are becoming diversified, and related party transactions are becoming more and more frequent. In recent years, the proportion of affiliated exchanges of listed companies has been increasing in the statistics of Shenzhen and Shanghai. In addition to the commonality of affiliated transactions of non-listed companies, affiliated transactions of listed companies are unique, so they are representative both in terms of scale and benefits, and the relevant information is also easy to obtain. Therefore, this paper focuses on the related transactions of listed companies in China. The Company Law is the most direct and effective statutory law to regulate, standardize and govern the transaction behavior of the company. However, in the Company Law of China, there are still many deficiencies in the legal norms concerning the related party transactions of listed companies. Therefore, in order to maintain the normal market management order to ensure the fairness of related party transactions, it is necessary for the Company Law to regulate the related party transactions of listed companies to protect the companies and creditors. The interests of other minority shareholders are not damaged by improper related party transactions. Therefore, this paper focuses on the problems existing in the related transactions of listed companies under the Company Law, and puts forward legislative suggestions to improve the relevant provisions of the Company Law of our country. The thesis is divided into four parts. The first part summarizes the general legal theory of related party transactions of listed companies and defines the scope of related party transactions according to relevant legal norms and legal documents. At the same time, regarding the types of related party transactions of listed companies, The second part introduces the regulation of foreign legal norms on related transactions of listed companies through the continental law system and the common law system countries. An introduction to the responsibilities of control companies and company managers in related party transactions of listed companies, as well as related reports and shareholders' application rights, The third part introduces the legislative status of the regulation of related party transactions of listed companies in China, and introduces the securities law and related legal documents one by one. How to regulate the related party transactions of listed companies, The 4th part is to put forward the suggestion to perfect the legislation on the related party transaction of listed company in our country. Through the regulation of the related party of listed company in our country's company law, we put forward some suggestions on how to regulate the related party of listed company in our country. A description of the problems existing in the. At the same time, on the basis of drawing lessons from foreign legislative achievements, the author puts forward some suggestions for legislative perfection, including two aspects: prevention beforehand and relief afterwards.
【学位授予单位】：大连海事大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291

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