非公众股份有限公司章程限制股权转让条款的效力

发布时间：2018-04-11 01:01

本文选题：非公众股份有限公司 + 公司章程　；参考：《西南政法大学》2014年硕士论文

【摘要】：随着市场经济的不断发展，公司章程在公司治理过程的地位和作用不断凸显。但在实务当中公司章程与公司法规范之间的冲突也层出不穷，如何认定章程限制股权转让条款的效力是目前一个较为突出的问题。在公司成立之初，全体股东一致通过公司章程中有关限制股权转让的条款，但该限制条款却与公司法“股权自由转让”的规定相冲突。在司法实践中，司法者往往对于公司的类型不加区分，特别是在处理股份有限公司股权纠纷时，直接以股份有限公司的股权自由转让作为判断标准，否定章程限制股权转让条款的效力。经济迅猛发展，滞后的法律条文已经无法适应司法实务的需要。赋予章程更多的自治空间，不仅能维护非公众股份有限公司的人合性也有助于维护股东间的信义义务。为了实现公司与股东整体利益的最大化，我们有必要借鉴国外的立法经验，对我国立法和司法进行适当的调整，以适应经济发展的需要。本文以常州百货大楼股份有限公司股权转让纠纷案为例，借助有关理论对实务中的问题进行分析。本文主要分为以下几个部分：第一部分，案情基本情况介绍。本文选取常州百货大楼股份有限公司股权转让纠纷一案对章程限制股权转让问题进行讨论分析，并归纳出本案的争议焦点。第二部分，分析非公众股份有限公司章程限制股权转让条款的效力。从现行立法的逻辑为出发点，阐述非公众股份有限公司与有限责任公司的相似性。以非公众股份有限公司的人合性与章程的契约性解释章程限制股权转让的对内效力。第三部分，章程限制股权转让的边界。允许章程对股权转让进行限制，虽然一方面可以使公司的人合性免受侵害，但另一方面会使股东权利受到侵害。所以，为使公司与股东利益得到平衡。章程对股权的限制应具有合理的边界。第四部分，股权转让协议的效力。股权转让协议虽然是股东与第三人之间的契约，但是股权不是传统的物权或是债权，股权应属社员权具有人身性。所以，对于股权转让协议的效力还应结合具体情况加以分析。第五部分，对章程限制股权转让的法经济学分析。传统的以人合性或资合性为基础的分析思路，都有各自的局限性。以法经济学的分析方法则可以解释章程限制股权转让的实质。第六部分，，研究结论和建议。通过全文的分析得出一个合理可行的研究结论。并针对有关问题提出修改建议。
[Abstract]:With the continuous development of market economy, the articles of association of the company continue to highlight the status and role in the process of corporate governance. However, in the practice of conflict between standard charter and company law also emerge in an endless stream, how to determine the effect of the articles of association limited equity transfer clauses is a prominent problem at present. At the inception of the company, all shareholders unanimously the transfer of the ownership restrictions in the articles of association provisions, but the provisions of the company law and the restrictions are "equity free transfer" of the conflict. In judicial practice, the judiciary often for the type of company without distinction, especially in the treatment of Limited by Share Ltd ownership disputes, directly to the Limited by Share Ltd's equity free transfer as the judging standard. Deny the effectiveness of constitution limit equity transfer clauses. The rapid development of economy, legal provisions lag has been unable to adapt to the needs of judicial practice. Give the constitution more autonomous space, not only can maintain the non public Limited by Share Ltd people together also helps maintain the shareholders the fiduciary duty. In order to maximize the overall interests of the company and shareholders, we need to learn from foreign legislative experience, make appropriate adjustments to the legislation and law, in order to meet the needs of the economy development.
Taking the case of Limited by Share Ltd equity transfer dispute in Changzhou department store as an example, this paper analyzes the problems in practice with the help of relevant theories.
The first part introduces the basic situation of the case. This article selects the case of Limited by Share Ltd's equity transfer dispute in Changzhou department store to discuss and analyze the issue of the restriction on the transfer of shares, and sums up the controversial focus of the case.
The second part, analysis of non public Limited by Share Ltd effect statute limits the equity transfer clauses. From the logic of legislation as a starting point, this similarity is not a public Limited by Share Ltd with limited liability company. In a non public Limited by Share Ltd who combined with the articles of association of the contract interpretation of the statute of limitations on equity transfer effect.
The third part, the articles of association of the transfer of restricted shares boundaries. Allow the articles of association of the equity transfer restrictions, although the one hand can make the companyco from abuse, but on the other hand, the shareholder rights were infringed. Therefore, in order to make the interests of the company and the shareholders balance. Charter restrictions on stock rights should have reasonable boundary.
The fourth part, the effectiveness of the equity transfer agreement. Although the equity transfer agreement between the shareholder and the third party contract, but not the traditional real right equity or debt, equity should be the right of members with the person. So, the effectiveness of the equity transfer agreement should be combined with the specific situation of analysis.
The fifth part is the law and economics analysis of the limitation of stock transfer by statutes. The traditional analysis methods based on the theory of human nature or capital integration have their respective limitations. The analysis method of law and economics can explain the essence of stock rights transfer restricted by articles of association.
The sixth part, research conclusions and suggestions. Through the full text of the analysis to get a reasonable and feasible research conclusions, and put forward suggestions for the revision of the related issues.

【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.291.91

【参考文献】