挂名股东资格的法律认定

发布时间：2018-07-25 17:32

【摘要】： 在中国,伴随着公司法人制度的建立,公司的独立责任与股东的有限责任原则在成为现代社会物质文明飞速发展的助推器的同时,却也往往成为一些人为追逐利益而规避法律的选择。一些人出于种种目的,采取挂名股东的形式以规避公司法对公司的设立主体以及股东资格等做的必要限制,从而获取股东权益。由于我国公司法只是规定了股东享有的权利和承担的义务,对于股东身份资格取得的条件并没有明确的规定,各司法机关在审判实践中对挂名股东资格的认定往往采用不同的标准,再加上对于处理纠纷中的各种证据的功能的认识也并不统一,从而导致同一案件事实在不同法院之间的不同判决,不仅不利于纠纷的解决,还损害了司法的权威。因此,很有必要对挂名股东资格的法律认定问题进行研究。本文共分四部分: 第一部分:案情介绍与问题提出。在本部分中,首先介绍了因海力公司作为挂名股东代北广集团持有北广科技公司股份而导致的股东资格认定纠纷案件,提出当挂名股东与实际出资人之间因股东资格认定问题发生争议时应当如何处理的问题,并简要介绍了案件审理中存在的对于挂名股东能否被认定为公司股东的两种不同观点。第二部分:挂名股东的含义及表现形式。在本部分中,笔者首先提出了挂名股东的概念,并结合我国公司法实务,将挂名股东区分为因借名出资而挂名和因约定而挂名两种。第三部分:挂名股东资格认定的标准问题。在本部分中,笔者结合本文案件指出规范的公司股东应当具有实质要件和形式要件,并且不违反法律的强制性规定。但在挂名股东资格的法律认定实践中,挂名股东和实际出资人并不完全具备上述条件。本文列举了目前理论界就挂名股东资格认定的标准的两种不同观点并予以了评述,指出在挂名股东资格的法律认定中应当坚持的原则,以便为下文分析挂名股东资格法律认定的标准的确定提供参照依据。笔者通过重点分析挂名股东资格的法律认定过程中的两种模式,主张在处理挂名股东资格的法律认定纠纷中应当区分当事人之间的关系是属于内部关系还是外部关系而适用不同的标准,并结合本文案件进行了论述。第四部分:挂名股东资格的证据认定与具体规则。本部分中,笔者结合本文案件将挂名股东资格法律认定中的各种证据分为实质性证据和形式性证据两种,并重点讨论了各种形式性证据与股东资格取得之间的法律关系,以及当各种形式性证据发生冲突时应当如何处理的问题。最后,结合本文案例对挂名股东资格的法律认定的具体规则进行了论述。
[Abstract]:In China, with the establishment of the corporate system, the principle of independent liability and limited liability of shareholders has become a booster for the rapid development of material civilization in modern society. However, it is often the choice of some people to evade the law in pursuit of interest. For various purposes, some people take the form of registered shareholders in order to avoid the necessary restrictions on the establishment of the main body of the company and the qualification of shareholders, so as to obtain shareholders' rights and interests. Since the Company Law of our country only stipulates the rights and obligations of shareholders, there is no clear stipulation on the conditions for obtaining the qualification of shareholders. In judicial practice, the judicial organs often adopt different standards for determining the qualifications of registered shareholders, and the understanding of the functions of various kinds of evidence in handling disputes is also not uniform. Thus, the fact of the same case in different judgments between different courts, not only is not conducive to the settlement of disputes, but also damages the authority of the judiciary. Therefore, it is necessary to study the legal cognizance of registered shareholders' qualification. This article is divided into four parts: the first part: the introduction of the case and questions raised. In this part, first of all, it introduces the case of shareholder qualification dispute caused by the holding of shares of Beiguang Corporation by Haili Company as a registered shareholder on behalf of Beiguang Group. This paper puts forward how to deal with the dispute between registered shareholders and actual investors about the qualification of shareholders, and briefly introduces two different views on whether registered shareholders can be recognized as shareholders of the company. The second part: the meaning and manifestation of registered shareholders. In this part, I first put forward the concept of registered shareholders, and combined with the practice of our company law, the registered shareholders can be divided into two types: the registered shareholders because of the name of the capital contribution and the registered name because of the agreement. The third part: the standard of qualification of registered shareholders. In this part, the author points out that the standard shareholders should have substantive and formal elements, and not violate the mandatory provisions of the law. However, in the practice of legal recognition of registered shareholders' qualification, the registered shareholders and actual investors do not fully meet the above conditions. This paper enumerates two different views and comments on the standards of qualification of registered shareholders in the theoretical circle at present, and points out the principles to be adhered to in the legal determination of the qualification of registered shareholders. In order to provide the reference basis for the following analysis of the qualification of registered shareholders legal standards. Through the analysis of the two models in the process of legal confirmation of registered shareholders' qualifications, It is advocated that different standards should be applied in the legal identification dispute of the registered shareholders' qualification whether the relationship between the parties belongs to the internal relationship or the external relationship, and the case is discussed in this paper. The fourth part: the identification of the registered shareholder qualification and the specific rules. In this part, the author divides all kinds of evidence in the legal recognition of registered shareholders' qualification into two kinds: substantive evidence and formal evidence, and discusses the legal relationship between all kinds of formal evidence and shareholder qualification. And how to deal with the conflict of various forms of evidence. Finally, combined with the case of this paper, the specific rules of legal recognition of registered shareholder qualification are discussed.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91

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