论公司章程自治下的股东优先购买权

发布时间：2018-03-03 01:15

本文选题：股权转让　切入点：优先购买权　出处：《中国政法大学》2011年硕士论文　论文类型：学位论文

【摘要】：我国在首部《公司法》(1993年)中就规定了有限责任公司股东的优先购买权制度。优先购买权制度在建立之初存在诸多问题和不足。随着2005年《公司法》的修订,以及后续《公司法》系列司法解释的发布,该项制度的相关规定逐步走向完善。但是该项制度的完美演绎还需要投资者自治权利的行使。我国公司法在多年发展过程中,也从强制性规范为主,任意性规范为辅的格局逐步向为任意性规范为主,强制性规范为辅的格局过渡,给予了有限责任公司以及其股东广阔的自治空间。有限责任公司作为国家经济中重要的自治主体,应当充分行使自身的自治权利。公司章程的制定作为投资者自治的主要方式,应当引起投资者的充分重视。公司章程不应再是一纸空文,而应当是投资者争取投资利益,规范公司管理秩序的战场。笔者在论述优先购买权制度相关问题的同时,坚持充分利用公司章程进行自治管理的理念,引导投资者发现自身自治需求,以自治性管理的方式解决诸多法律未明确规定的问题。本论文的研究范围为有限责任公司的股东优先购买权问题(含法定和意定),而对于有限责任公司股东之间通过股东协议设定的优先购买权不在此论文研究范围之列。本文分为引言、正文和结论三个部分：在引言中,简单叙述了有限责任公司的发展历史,以及我国公司法制度下的优先购买权制度的现状。在2005年公司法修订给予有限责任公司巨大的自治空间的情况下,提出投资者利用公司章程对优先购买权制度进行完善的现实需要。正文部分分为五章。第一章,对我国股东优先购买权的定义及权利属性予以分析。同时说明了有限责任公司股东优先购买权的历史渊源,主要对德国、法国、我国台湾及大陆的公司法制度关于有限责任股权转让的限制性规定进行对比性分析,给予我国优先购买权制度现状提出宝贵意见,为该制度的未来发展方向提供审慎的建议。第二章,对于我国优先购买权制度实践中发生诸多争议的根源进行分析,为解决股东优先购买权争议多发的问题,笔者提出了遵循以法律强制性规则为出发点,以公司章程为基础,以股东协议为补充的原则,主要论述了利用公司章程弥补优先购买权制度的不足与缺陷,有效防范法律风险的理论。第三章,以利用公司章程充分行使自治权利的角度,对股权对外转让通知、同等条件的确定、股东优先购权的部分行使以及股东优先购买权适用除外情形、股权强制拍卖股东权益保护等问题进行详细的分析,并提出建设性解决方案。实际出资人的股东资格认定同样会造成有限责任公司人合性的损害,笔者认为原则上,其他股东有权行使优先购买权。笔者对于实际出资人利益与股东优先购买权保护利益进行平衡分析,认为我国公司法制度未作此相关规定同样具有合理性。但股东可以通过公司章程的特殊规定保护自身利益。第四章,对于股东优先购买权的保障与救济予以论述,与优先购买权受到侵害的救济途径紧密关联的问题是侵犯其他股东优先购买权的股权转让协议的效力认定,笔者认为生效说最大限度平衡保护了各方利益,且最高人民法院在终审判决中也认可了该观点。但是在我国司法实践中,各个法院对此问题的判决却不甚统一。结合我国《公司法》司法解释四(草案)的规定,股东只要在诉讼时效内通过诉讼行使优先购买权即可,并不需要对股权对外转让协议的效力进行判定。我国《公司法》司法解释四的颁布生效将有利于统一法院关于股东优先购买权争议处理的司法实践。在结论中,对于我国公司法关于优先购买权制度的逐步完善予以肯定,并结合公司章程的自治机制,引导投资人顺应公司法发展趋势,充分行使自治权利,防范相关法律风险。
[Abstract]:China in the first "Company Law > (1993) in respect of the provisions of the limited liability company shareholder's preemptive right system. Preemption system in the beginning of the establishment of the existence of many problems and shortcomings. With the revision of company law in 2005, < >, < > series of company law and the subsequent judicial interpretation of the relevant provisions of the release the system was gradually improved. But the system perfect interpretation of the exercise of the right of autonomy. Investors also need the company law of our country in the years of the development process, from the mandatory norm based, supplemented by the pattern of arbitrary norms gradually into arbitrary norms as the main pattern of transition, supplemented by the mandatory norms, given the limited liability company and the shareholders of broad autonomy space. Limited liability company as an important national economy in the autonomous body, should fully exercise its autonomy rights. As investors autonomy owners to develop the company's articles of Association To the way, we should pay more attention to by investors. The company's articles of association shall not be a mere scrap of paper, and should be investors for investment interests, standardize the management of the company. The order of battle preemptive right system in the discussion of related issues at the same time, to make full use of the articles of association of the company autonomous management concept, guide the investor to find their own autonomous needs to autonomous management solutions are not clearly defined many legal problems. The research scope of this thesis is a limited liability company the preemptive right of the shareholders (including statutory and discretionary), and between the shareholders of a limited liability company set by the shareholders' agreement purchase priority in the research scope of the column.
This article is divided into three parts: introduction, text and conclusion.
In the introduction, briefly describes the historical development of a limited liability company, as well as the status quo of China's company law system of preemptive right in the limited liability company. Given the huge autonomous space in 2005 to amend the company law case, put forward to investors using the articles of association of the preemptive right system needs to improve the reality.
The text is divided into five chapters. The first chapter, the definition and property rights of the shareholders'pre-emptive rights were analyzed. And the explanation of the historical origins of the priority right of shareholders, mainly in Germany, France, Taiwan and Mainland China company law about the limited liability of equity transfer restriction provisions the comparative analysis, give our country the right of preemption of valuable advice, to provide suggestions for the prudent development direction of the system. In the second chapter, the root of many disputes in China preemption system in practice is analyzed, in order to solve the shareholder's preemptive right dispute multiple problems, the author puts forward to follow the law of mandatory rules of law as the starting point, to the company's articles of association as the basis, to the shareholders' agreement to supplement the principles, mainly discusses the use of the articles of association of the company to make up for lack of preemptive right system With the defect, effective prevention of legal risk theory. In the third chapter, by using the articles of association of the company to fully exercise the right of autonomy, notice on the transfer of foreign equity, determine the same conditions, the part of the exercise of preemptive right of the shareholders and shareholder's preemptive right exception, stock rights forced auctions equity protection are analyzed in detail, and put forward constructive solutions. The actual contribution of shareholder qualification of people that will cause the same company of limited liability of damages, the author thinks that in principle, the other shareholders shall have the right to exercise the priority purchase right. A for the actual interests of investors and the preemptive right of the shareholders to protect the interests of balance analysis, found that China's company law this is not the relevant provisions of the same degree of rationality. But shareholders can protect their own interests through the special provisions of the articles of association of the company. In the fourth chapter, the pre emptive rights of shareholders The protection and relief to be discussed, close relief ways and preemptive right infringement related problem is the validity of other violations of preemptive rights of shareholders equity transfer agreement, the author said that the entry into force of the maximum protection of the interests of all parties, and the Supreme People's court in the final judgment also endorsed the view. But in in the judicial practice of our country, the court judgment this problem but not very uniform. According to our country's company law > < four judicial interpretation of the provisions (Draft), as long as the shareholders within the limitation of action through litigation to exercise the preemptive right can be, does not need the effectiveness of external equity transfer agreement is judged. Our company "the judicial interpretation of law > four enacted will be conducive to the unified Court on judicial practice of shareholder's preemption dispute.
In conclusion, we should affirm the gradual improvement of the preemptive right system in our company law, and guide the investors to comply with the development trend of the company law, fully exercise the right to autonomy and prevent related legal risks, combined with the autonomy mechanism of the company's articles of association.

【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

【相似文献】