公司章程限制股权转让的可行性探析

发布时间：2018-05-27 01:27

本文选题：公司章程 + 股权转让　；参考：《南京大学》2011年硕士论文

【摘要】：公司章程是公司在治理过程中不可或缺的制度,是公司的“灵魂”。公司章程在公司治理过程中的地位随着社会经济的不断发展而日益凸显,但是实际过程中出现的有关章程与公司法原则性规定的冲突也层出不穷,如何解决冲突和章程限制股权转让的认定问题是目前学者讨论颇多的话题。章程限制股权转让的规定在章程成立之初经过全体股东的一致认可,但却与公司法“股东自由转让股权”的规定相矛盾。目前中国法官关于公司章程限制股权转让的效力判案依据上总是一概而论,直接适用公司法中关于股份有限公司的股权自由转让的原则性规定,其未深入探讨具体案例的公司类型和原则性规定的适用环境以及原则性规定与公司法基本原则的不同之处。经济的自由发展已经日新月异,公司法的诞生有其特殊的时代政治背景,一些僵硬的法律条文已经与司法实务格格不入,突破法律的原则性规定而制定出更符合现代社会的法律则是正道,赋予章程更多的公司自治权也是对封闭式公司人合性的保障和对股东信义义务的维护。此篇论文阐述的对象为封闭式股份公司,对有限责任公司则不加讨论。封闭式股份公司以人合性特征为主,充分尊重股东之间的合意,因此封闭式股份公司与有限责任公司如出一辙,其章程限制股权转让可以参考有限责任公司,股东自由转让股权的原则性规定在此就要适当做出变通。尊重股东的意思自治也是充分尊重自由市场的表现之一,法律作为权利救济的最后屏障有其强制性和公平性,给予相关主体平等的权利义务,明确法律责任,那么权利义务主体也就会进行健康有序的经济活动。因此目前出现的公司章程限制股权转让效力问题要具体问题具体分析,在封闭式股份公司中章程只要不违反公司法的基本原则,以股东和公司利益为主,则章程限制股权转让也无绝对禁止的正当理由。我们要充分借鉴外国司法经验,充分发挥公司章程和公司法律体系各自的功效。只有通过不断的实践积累,公司章程和公司法基本原则互相融合的时机也会越来越快,公司自身利益的最大化和国家利益的健康发展才会持续进行。本文第一章概括讲述了目前司法理论实务的现状以及产生误区的三个原因,一是司法实务对公司类型不加区分,误认为所有的股份公司都适用公司法有关股份公司的法律规定：二是混淆了原则性规定和基本原则,两者的效力位阶是不同的；三是轻视公司章程在公司治理中的地位。本文第二章根据第一章提出的三个原因对封闭式股份公司章程限制股权转让的可行性进行了分析,从对封闭式股份公司的探讨看章程限制股权转让的可能性,从对原则性规定和基本原则的阐述看章程限制股权转让的法律依据,从章程在封闭式股份公司所处的地位看章程限制股权转让的制度保障。本文第三章则从国家立法建议、公司治理和司法实务三个角度提出了封闭式股份公司章程限制股权转让的制度完善,并给予法官今后一个清晰的判案思路。
[Abstract]:The articles of association of a company are an indispensable system in the process of governance and the "soul" of the company. The status of the articles of association in the process of corporate governance is becoming increasingly prominent with the continuous development of the social and economic development. However, the conflict of regulations and the principles of the company law emerged in the actual process, and how to solve the conflict and the chapter. The problem of determining the transfer of equity transfer is a considerable topic that scholars have discussed at present. The regulations to restrict the transfer of shares are approved by all the shareholders at the beginning of the constitution, but they are inconsistent with the provisions of the "free transfer of stockholders" by the company law. At present, a judge on the effectiveness of the Chinese judge on the limitation of the transfer of shares in the articles of association of the company According to the general rule, the principle of the free transfer of equity in the company law is directly applied to the company law. It does not thoroughly discuss the applicable environment of the type of company and the principle of the principle of the specific case and the difference between the principle and the basic principles of the company law. The free development of the economy has changed with each passing day. The birth of the judiciary has its special political background. Some rigid legal provisions have been incompatible with the judicial practice. It is the right way to make out the law which is more in line with the modern society. It is also the right way to make the law more consistent with the modern society. In this paper, the object of this paper is closed joint-stock company and the limited liability company is not discussed. The closed joint-stock company is based on the characteristics of human nature and fully respects the agreement between the shareholders. Therefore, the closed stock company is similar to the limited liability company, and the limited liability transfer can be referred to the limited liability company. The principle of the shareholders' free transfer of stock right should be properly adjusted here. Respect for the autonomy of the shareholders is also one of the manifestations of the full respect for the free market. The law, as the final barrier of right relief, has its mandatory and fair nature, giving the relevant subjects equal rights and meaning, clear legal responsibility, and then the subject of rights and obligations also Therefore, a healthy and orderly economic activity will be carried out. Therefore, the current regulations of the company's articles of incorporation restrict the validity of the transfer of shares to specific analysis. As long as the articles of association of the closed stock company do not violate the basic principles of the company law and the interests of the shareholders and the company are mainly in the interests of the shareholders, there is no justification for the absolute prohibition of the transfer of Zhang Chengxian's ownership. We should make full use of foreign judicial experience and give full play to the respective functions of the company's articles of association and the legal system of the company. Only through continuous practice, the timing of the integration of the basic principles of the company's constitution and the company law will become faster and faster. The maximization of the company's own interests and the healthy development of the national interests will continue.
The first chapter of this article summarizes the present situation of the judicial practice and the three reasons for the misunderstanding. One is that the judicial practice does not distinguish the type of the company, and mistaken that all the joint-stock companies apply the legal provisions of the company law on the company law: two, the principle and the basic principles are confused. Different; the three is to disregard the status of the articles of association in corporate governance. The second chapter analyzes the feasibility of restricting the transfer of shares by the articles of association of the closed stock company according to the three reasons of the first chapter. From the discussion of the closed stock company, the possibility of restricting the transfer of the shares by the articles of association is seen from the principle and the basic. The third chapter of the article puts forward the system perfection of the restricted stock transfer from the three angles of the national legislative proposal, the corporate governance and the judicial practice, from the three angles of the national legislative proposal, the corporate governance and the judicial practice. And give the judge a clear thinking of the case in the future.
【学位授予单位】：南京大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91

【引证文献】