有限责任公司股权转让章程自治的界限研究

发布时间：2018-03-28 13:45

本文选题：有限责任公司　切入点：股权转让　出处：《西南政法大学》2015年硕士论文

【摘要】：有限责任公司股权转让问题涉及股东的根本利益,在公司实践中容易引发纠纷,也一直是理论界常谈的话题。在此问题上现行《公司法》第71条作了规定,其中第四款规定了“公司章程对股权转让另有规定的,从其规定。”即赋予章程对股权转让的自治权利。然而章程的自治需要一个最低界限,其自治内容也并不必然有效。本文从理论和实践的角度对有限责任公司股权转让的章程自治问题进行了分析和论述。首先,在理论上从股权的性质、章程的性质以及有限责任公司的特征方面入手,分析了有限责任公司股权转让应该是自由的还是受限制的。然后从具体实践出发,分析了章程对股权转让进行特别约定的基本要求及约定的效力。具体来说,论文分为四个部分,外加引言和结语,主要内容如下:第一部分探讨了有限责任公司章程对股权转让进行自治的理论依据。通过对股权性质、有限责任公司性质、章程性质的分析,确定了股权转让原则上是自由的,而章程有权对股权转让做出另外规定。第二部分论述了章程在股权内部转让方面的自治效力及界限。笔者首先分析了国内外公司法对内部转让的规定,然后界定了股权内部转让的基本要求,即以自由为原则,尊重章程限制,股东平等,保证股东退出公司的权利,以此作为股权内部转让章程自治的界限。在此基础上,运用比较分析法和案例分析法,比较我国理论及实务界与国外的不同做法,具体分析了章程禁止内部转让、强制股权转让的效力。笔者认为完全禁止内部转让是无效的,但可以附期限的禁止内部转让;强制股权转让原则上是有效的,但强制转让的条件需是合理的。第三部分论述了章程在股权外部转让方面的自治效力及界限。笔者首先分析了国内外公司法对外部转让的规定,接着分析了我国现行公司法关于股权转让条款的性质,确定了章程可以就股权外部转让做出与法律不相同的规定。然后界定了股权外部转让章程自治的基本要求是要遵循合理性原则。最后综合运用理论和实践分析了章程禁止股权外部转让的效力,以及章程对股权外部转让程序进行变更的效力。笔者认为,章程可以禁止股权外部转让,但必须保证股东退出公司的渠道畅通,同时该禁止需要有合理的理由和条件。第四部分是章程对股权转让程序、转让价格、转让期限的自治,笔者认为在章程自治的范围内,其可以对法律没有规定的内容做出具体约定,但所有的具体约定都必须是合理的。
[Abstract]:The transfer of shares in limited liability companies involves the fundamental interests of shareholders, which is apt to lead to disputes in the practice of companies, and has always been a topic of common discussion in theoretical circles. Article 71 of the current Company Law provides for this issue. The fourth paragraph provides that "where the articles of association provide otherwise for the transfer of shares, from the provisions of the articles of association, the autonomous rights of the articles of association shall be conferred on the transfer of shares." however, the autonomy of the articles of association requires a minimum limit, This paper analyzes and discusses the autonomy of the constitution of limited liability company from the angle of theory and practice. Starting with the nature of the articles of association and the characteristics of the limited liability company, this paper analyzes whether the transfer of the shares of the limited liability company should be free or restricted. This paper analyzes the basic requirements of the articles of association for special agreement on the transfer of shares and the effectiveness of the agreement. Specifically, the paper is divided into four parts, plus introduction and conclusion. The main contents are as follows: the first part discusses the theoretical basis for autonomy of equity transfer in the articles of association of limited liability companies. Through the analysis of the nature of equity, the nature of limited liability companies and the nature of articles of association, it is determined that the transfer of shares is free in principle. The articles of association have the right to make separate provisions on the transfer of shares. The second part discusses the autonomous effect and limits of the articles of association in the internal transfer of equity. Firstly, the author analyzes the provisions of the domestic and foreign company law on internal transfer. Then it defines the basic requirements of the internal transfer of equity, that is, the principle of freedom, respect for the restriction of articles of association, equality of shareholders, and guarantee the right of shareholders to withdraw from the company, which is regarded as the limit of autonomy of the articles of association of internal transfer of equity. By means of comparative analysis and case analysis, the author compares the different practices between China's theoretical and practical circles and foreign countries, and analyzes the effectiveness of articles of association prohibiting internal transfer and compulsory transfer of shares. The author thinks that the complete prohibition of internal transfer is invalid. However, an internal transfer may be prohibited for an additional period of time; in principle, the mandatory transfer of equity is effective, But the conditions of compulsory transfer should be reasonable. The third part discusses the autonomous effect and limits of the articles of association in the external transfer of equity. Firstly, the author analyzes the provisions of the domestic and foreign company law on external transfer. Then it analyzes the nature of the provisions on the transfer of shares in the current company law of our country. It is determined that the articles of association can be different from the law on the external transfer of equity. Then, the basic requirement of autonomy of the articles of association of external transfer of equity is to follow the principle of reasonableness. Finally, it is analyzed synthetically with the theory and practice. The validity of the articles of association prohibiting the external transfer of equity, The author believes that the articles of association can prohibit the external transfer of equity, but must ensure that the channels for shareholders to withdraw from the company are open. At the same time, the prohibition needs reasonable reasons and conditions. The fourth part is the autonomy of articles of association for the transfer of shares, transfer price, transfer period, the author believes that within the scope of autonomy of articles of association, It can make specific agreement on the content not stipulated by law, but all specific agreement must be reasonable.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D922.291.91

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