隐名投资立法研究

发布时间：2018-08-17 15:46

【摘要】： 在现实的经济生活中有大量的隐名投资现象。隐名投资具有投资关系复杂性和隐蔽性的特点,近年来隐名投资引起的法律纠纷日益增多,但我国民商立法对其直接规范却很少,导致基本相同的案子,司法处理结果不统一甚至相互矛盾,严重影响了我国司法的统一性和权威性。论文总结归纳了隐名投资的法律特征并与冒名股东、空股股东、干股股东等概念进行了比较,以便准确理解隐名股东的概念。又进一步分析了隐名投资人与显名股东的法律关系、隐名投资人与公司的法律关系、隐名投资人与第三人的法律关系。总结了涉及隐名投资纠纷的不同类型及法律责任,并着重研究对应的司法救济原则以及处理方法,为涉及隐名投资的司法实践提供了理论和现实指导,为进一步规制隐名投资提供了参考。在现实的公司经营过程中,有大量的隐名投资现象,主要是在我国由计划经济转型为市场经济的过程中出现的现象。在国有企业改制的过程中,每个职工都持有公司股份,如果都成为公司股东,将超过有限责任公司股东人数的上限,这是《公司法》所不允许的。这样就出现了代持股现象,这是形成隐名投资的原因之一；还有的人不符合《公司法》规定的股东条件,但还想投资公司赚取利润,也会出现隐名投资问题；另外,在股权转让的过程中,受让股东没有及时变更股权登记,还有的人不想露富等等原因都会出现隐名投资问题。特别是法律或政策对投资主体规定有差别待遇时,投资主体欲享受更多的优惠条件,就可能以隐名投资人的身份出现。本文通过讨论隐名投资现象并分析其利弊,论述了立法规制隐名投资的必要性和可行性。首先,在第一章论述了隐名投资的概念及与相关概念的比较,并分析了隐名投资的特征。第二章笔者揭示了隐名投资产生的社会、经济和法律方面的原因。第三章论述了隐名投资纠纷的类型及司法处理这些纠纷的无法可依。第四章论述了立法规范隐名投资的必要性。第五章具体提出了立法规制隐名投资的建议,包括立法的宗旨和价值取向；立法的内容；立法的形式。笔者希望通过此文为立法规范隐名投资行为提供一些有益的思考,起到抛砖引玉的作用。
[Abstract]:In the real economic life, there is a large number of hidden investment phenomenon. Anonymous investment has the characteristics of complexity and concealment of investment relationship. In recent years, the legal disputes caused by anonymous investment are increasing day by day, but there are few direct regulations on it in China's civil and commercial legislation, which leads to the basic same cases. The result of judicial treatment is not uniform or even contradictory, which seriously affects the unity and authority of our country's judicature. This paper summarizes and summarizes the legal characteristics of anonymous investment and compares it with the concepts of false shareholder, short stock shareholder, dry stock shareholder and so on, in order to understand the concept of hidden shareholder accurately. Furthermore, the legal relationship between the dormant investor and the explicit shareholder, the legal relationship between the dormant investor and the company, and the legal relationship between the dormant investor and the third party is further analyzed. This paper summarizes the different types and legal responsibilities of hidden investment disputes, and focuses on the corresponding judicial relief principles and handling methods, which provides theoretical and practical guidance for the judicial practice involving anonymous investment. It provides a reference for further regulation of anonymous investment. In the process of real company operation, there is a large number of hidden investment phenomena, mainly in the process of transition from planned economy to market economy in China. In the process of reform of state-owned enterprises, every employee holds shares in the company. If they become shareholders of the company, they will exceed the upper limit of the number of shareholders in a limited liability company, which is not permitted by the Company Law. In this way, there is the phenomenon of proxy shareholding, which is one of the reasons for the formation of anonymous investments. There are also people who do not meet the requirements of shareholders stipulated in the Company Law, but still want to invest in companies to earn profits. In addition, there is also the problem of anonymous investment. In the process of equity transfer, transfer shareholders do not change the registration of shares in time, and others do not want to reveal the rich and other reasons will lead to hidden investment problems. Especially when laws or policies provide differential treatment for investors, investors who want to enjoy more favorable conditions may appear as anonymous investors. By discussing the phenomenon of anonymous investment and analyzing its advantages and disadvantages, this paper discusses the necessity and feasibility of legislating to regulate anonymous investment. First, in the first chapter, we discuss the concept of anonymous investment and its comparison with related concepts, and analyze the characteristics of anonymous investment. In the second chapter, the author reveals the social, economic and legal reasons of anonymous investment. The third chapter discusses the types of anonymous investment disputes and how to deal with these disputes. The fourth chapter discusses the necessity of legislation to regulate anonymous investment. In the fifth chapter, the author puts forward some suggestions on the regulation of anonymous investment, including the purpose and value orientation of legislation, the content of legislation and the form of legislation. The author hopes to provide some beneficial thinking for legislation to regulate anonymous investment behavior, and play the role of a brick.
【学位授予单位】：郑州大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91

【引证文献】