有限公司股权对外转让情形下第三人利益保护

发布时间：2018-07-01 10:41

  本文选题：股权对外转让 + 第三人　； 参考：《宁波大学》2010年硕士论文

【摘要】：随着现代公司法的发展,公司法上的制度设计理念逐渐从股东利益至上,转化为平衡公司各参与方利益。在公司对外转让股权的过程中,由于股东优先购买权的存在,极大程度上损害了第三人的利益。因此需要对第三人的利益进行特别保护,这样才能够提高交易安全度,保证市场经济的顺利运行。 第一部分,首先,从制度价值的角度论证第三人利益保护的正当性,其次,从理论和实证两个不同的层面,证明第三人利益保护制度的必要性。对第三人利益进行保护,既能够体现交易安全,又能够增进经济运行效率,而且能够弥补有限责任公司股权缺乏二级流动市场的缺憾。最后,通过对大陆法系和英美法系一些国家关于第三人利益保护制度考察,从侧面证明第三人利益保护制度的正当性。 第二部分,研究一股二卖情形下,第三人利益如何保护。首先,分析违反股东优先购买权条款而订立的股权转让合同的效力,结论为此类合同是相对无效合同。其次,由此股权变动有其自身的效力层次,因此,在不同的层次,第三人利益保护的实现途径也不同。如果是要在一股二卖的情形下,保证第三人的利益,那么就应当对我国公司法上优先购买权条款作一定的完善,如将条款性质设定为“授权性”,以及借鉴英美关于“第一拒绝权”和“第一选择权”的做法。 第三部分,分析质押股权情形下,第三人利益如何保护。探讨股东优先购买权的性质,它属于债权性质的优先购买权,与其他民法上的优先权购买权都存在差别。因此,在股权质押设定和实行的过程中,对第三人的利益都应当有特殊的保护。 第四部分,探讨竞价方式转让股权的情形下,第三人利益如何保护。通过解决《公司法》和《拍卖法》上的法律冲突,来保护通过拍卖途径受让股权的第三人利益。由于国有股权也存在竞价转让的问题,本部分通过案例分析的方式,来对国有股权转让过程中第三人利益保护予以分析。
[Abstract]:With the development of modern company law, the system design idea of company law gradually changes from shareholder benefit to balance the interests of all parties involved in the company. In the process of transferring shares to foreign companies, the interests of the third party are greatly damaged because of the existence of shareholders' preemptive right. Therefore, it is necessary to protect the interests of the third party in order to improve the transaction security and ensure the smooth operation of the market economy. The first part, firstly, demonstrates the legitimacy of the protection of the interests of the third party from the perspective of institutional value. Secondly, it proves the necessity of the system of the protection of the interests of the third party from two different levels: theoretical and empirical. To protect the interests of the third party can not only reflect the transaction security, but also improve the efficiency of economic operation, and can make up for the deficiency of the lack of secondary current market in the limited liability company. Finally, by investigating the protection system of the interests of the third party in some countries of the continental law system and the common law system, the legitimacy of the protection system of the third party's interests is proved from the side. The second part studies how to protect the interests of the third party under the situation of one-share and two-sale. First of all, it analyzes the validity of the equity transfer contract concluded in violation of the clause of shareholders' preemption right, and concludes that this kind of contract is relatively invalid. Secondly, the change of equity has its own level of effectiveness, therefore, in different levels, the third party's interest protection approaches are also different. If we want to guarantee the interests of the third party in the case of one share and two sales, then we should perfect the preemptive right clause in our company law, such as setting the nature of the clause as "authorized". And draw lessons from Britain and the United States on the "first right of refusal" and "first option" approach. The third part analyzes how to protect the interests of the third party in the case of pledge equity. This paper probes into the nature of shareholders' preemption right, which belongs to the preemptive right of creditor's rights and is different from other civil law's. Therefore, the interest of the third party should be protected in the course of the establishment and implementation of equity pledge. The fourth part discusses how to protect the interests of the third party in the case of the transfer of equity by bidding. By resolving the conflicts of laws in Company Law and auction Law, we can protect the interests of the third party who are granted shares by auction. Due to the problem of bidding for the transfer of state-owned equity, this part analyzes the protection of the interests of the third party in the process of the transfer of state-owned equity by way of case study.
【学位授予单位】：宁波大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91

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