论有限公司章程对股权转让的限制

发布时间：2018-05-07 14:29

本文选题：股权转让自由 + 资本多数决　；参考：《北京交通大学》2017年硕士论文

【摘要】：有限公司章程限制股权转让并非是一个新鲜的议题,自2005《公司法》规定“章程另有规定的除外”将股东权利转让的法律规范转变为任意性规范后,司法实践中便开始出现一系列基于章程限制股权转让的纠纷。法官基于股东权利保护或者公司治理的不同角度对相似甚至是相同的章程规定作出不同的效力认定,这种不确定性严重的影响司法权威,也给公司、股东的交易带来了不稳定因素。而司法裁判陷入僵局的根源在于裁判说理局限于权利对峙表面,没有深入挖掘权利背后的各种制度基础。本文通过梳理有限公司章程限制股权转让背后的各种理论,论证有限公司章程限制股权转让的实定法基础、正当性及其边界,并通过进一步对违章股权转让效力认定进行讨论,为厘清司法实践各种复杂的章程自治的效力提供思路,将公司章程、公司运营和公司法有效地衔接。本文第一部分通过对股权转让限制的分类,划定本文讨论范围限于有限公司章程对股权转让的限制,并通过对于株洲市建筑设计院这一典型案例的案情及争议焦点的整理指出本文讨论核心:章程限制股权转让的效力及违章股权转让的效力。文章第二部分首先通过对股权、股权转让自由原则的讨论,从民商法基础理论层面为下文讨论奠定正当性基础。接下来通过对公司法引入的公司自治理念以及对“另有规定除外”这一法律条文的解读,从实定法层面证成有限公司章程限制股权转让的效力。文章第三部分通过人合性VS资合性、意思自治VS资本多数决、大股东VS小股东的制度分析,对公司独立人格和股东权利保护这一公司内部矛盾进行平衡。深入公司治理机制内部进行分析,从权利配置层面扎实其正当性基础。公司资本主义发生了实定法的修改,司法实践中股份公司股权转让绝对自由主义的退让以及公司自治理念要求的司法裁判柔性干预,公司外部环境的种种变化都要求公司制度积极做出响应。文章第四部分则强调从限制之限度这一维度划定股权转让限制的正当性边界。从基于公司利益目的做出的限制把握其合理目的标准,尤其是要考虑我国特有的公司改制时代背景。基于意思表示自由、价格公正等标准考量相关限制的公正度,至此完成对于章程限制规定的效力认证。文章第五部分是对于如何有效处理现实中违章转让股权效力认证的讨论。跳出章程股权转让限制和股权转让合同捆绑的思维范式,考虑到此问题所具有的公司法属性。将违章股权转让的效力划分为公司和转让股东的关系、转让方与受让方的关系两个层次。将违章股权转让合同的效力交由合同法进行效力评价,但是其效力对公司及其他股东不产生约束力,也并不会发生股权变动的效果。并提供权利救济机制,赋予异议小股东以异议回购权之退出机制,指出股权受让方基于合同法享有的救济措施。最后,采用问题回答的方式进行本文的总结,对有限公司章程限制股权转让效力及违章股权转让效力认证的思路进行阐述。
[Abstract]:It is not a new issue to restrict the transfer of stock rights in the articles of incorporation of the limited company. The legal norms of the transfer of shareholders' rights are changed into arbitrariness of the legal norms of the transfer of shareholders' rights from the provisions of the 2005< company law and the provisions of the articles of Association. In judicial practice, a series of disputes based on the restriction of the transfer of stock rights based on the articles of association are found. The judges are based on the protection of the rights of shareholders. Or the different angles of corporate governance make different validity cognizance to similar and even the same regulations. This uncertainty seriously affects the judicial authority, and brings unstable factors to the transaction of the company and the shareholders. The root of the impasse of the judiciary is that the referee's reasoning is limited to the surface of the right confrontation and has not been deeply excavated. By combing the various theories behind the statute of the limited company, this paper discusses the various theories behind the transfer of stock rights, and demonstrates the fact that the limited company's articles of association restrict the foundation of the stock transfer, the legitimacy and its boundary, and further discuss the validity of the transfer of the equity transfer to clarify the various complicated statutes of the judicial practice. The first part of this paper, through the classification of the restrictions on the transfer of equity, delineated that the scope of this article was limited to the limitation of the transfer of shares by the articles of association of the limited company, and through the case of this typical case and the focus of the dispute of the Zhuzhou municipal Building Planning Institute. The second part of the article first discusses the principle of the freedom of equity transfer through the discussion of the principle of equity transfer and the freedom of equity transfer, and lays a proper foundation for the discussion from the basic theory of civil and commercial law. The third part of the article, in the third part of the article, makes an analysis of the internal contradictions of the company's independent personality and the protection of the shareholders' rights by the third part of the article. An analysis is carried out inside the corporate governance mechanism, a solid basis for the right allocation, the revision of the firm capitalism, the reversion of the absolute liberalism in the equity transfer in the judicial practice, the flexible intervention of the judicial referee required by the concept of corporate autonomy, and the changes in the external environment of the company. The fourth part emphasizes the justification of the limitation of the transfer of equity from the limit limit. The fifth part of the article is about how to effectively deal with the authentication of the validity of the equity transfer in reality. The thinking paradigm of the limitation of the transfer of the shares and the binding of the equity transfer contract is taken into consideration. The effect of the company law is divided into two levels: the relationship between the company and the transferee, the relationship between the transferee and the transferee. The validity of the contract is evaluated by the contract law, but the effect does not produce a force on the company and other shareholders, and the effect of the ownership change will not occur. And provide the right relief mechanism, endow the objection small shareholders with the withdrawal mechanism of the right of dissenting repurchase, and point out the relief measures of the transferee based on the contract law. Finally, the paper sums up the question in the way of the question answer, and expounds the idea of restricting the validity of the transfer of shares and the validity of the transfer of the equity transfer.

【学位授予单位】：北京交通大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.291.91

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