有限责任公司股权对外转让若干问题研究

发布时间：2018-09-06 14:38

【摘要】：有限责任公司具有规模小、人数少、股东承担有限责任的特点,是当今世界采用最多的公司类型。股权对外转让制度是有限责任公司制度的重要组成部分。有限责任公司兼具人合性与资合性的特点,决定了其股权转让必须受到一定限制。因此,有限责任公司股权对外转让中,既要保障股东股权自由转让的权利得以实现,又不能破坏有限责任公司的人合基础。此外,在股权对外转让实践中产生了许多疑难问题,如何对其加以解决,成为各国立法者不断思考的课题。目前,我国关于有限责任公司股权对外转让的法学理论和立法实践都还不够成熟,这与有限责任公司在我国经济生活中的地位显然是不相适应的。如何解决股权转让过程中发生的这些疑难问题,具有特别重要的实践意义,对有限责任公司乃至我国经济的发展都将产生积极的影响。全文除绪论外共分六章。笔者从股权理论的阐述开始,对股权及股权对外转让基本理论做了介绍和分析。在此基础上,对理论和实践中的几个重要问题逐一进行了分析。首先,本文运用比较分析的方法,从有限责任公司和股权的概念和性质入手,分析归纳股权对外转让的理论基础和法律特征。笔者认为股权是一种社员权,社员权不同于物权和债权,是一种独立的、兼有人身性和财产性的综合性权利。股权的财产属性决定股权具有可转让性。股权对外转让包含债权行为和准物权行为。股权对外转让合同的签订是股权对外转让中的债权行为,而以股权变动为目的的股权对外转让的交付行为则是准物权行为。同时,由于有限责任公司具有人合属性,并且需要对其他股东的期待利益予以保护,有限责任公司股东对外转让股权具有其特殊性。其基本原则是：维持有限责任公司的人合性、保护股东的期待利益、适应有限责任公司的经营模式、符合公平正义的理念。本文在对基本理论进行介绍和分析的基础上,结合我国修订后的《公司法》的相关规定,借鉴国外立法规定以及学术观点,对我国有限责任公司股权对外转让理论和实践中的出现的疑难问题进行了重点分析。具体问题主要分为四部分：第一部分主要分析股权对外转让合同问题,对有限责任公司股权对外转让合同的有效要件和特殊情形下股权对外转让合同的效力等做出了分析。指出股权转让合同成立,并不必然导致股权转让合同生效和股权权属变更,对特殊情形下股权转让合同的效力还应根据具体情况进行判定。第二部分结合境内外对有限责任公司股权对外转让的规定,分析了我国公司法对于优先购买权主体的相关规定,讨论了未经其他股东过半数同意的股权对外转让行为的效力,并进一步提出该种转让行为应该界定为可撤销的行为。本部分还对股东优先购买权的行使条件和股东优先购买权能否部分行使问题进行了分析。认为一般应允许优先权的部分行使,并提出了相关立法建议。第三部分主要分析强制执行引起的股权对外转让问题,其中包括,股权强制执行引起的股权对外转让条件、强制执行股权对外转让与股东优先购买权的冲突以及《拍卖法》和《公司法》的矛盾协调。第四部分主要分析了股权对外转让变更登记问题。其中包括股东名册变更登记与股权转让效力的关系问题、工商变更登记与股权对外转让效力的关系问题。提出了股东名册变更登记与工商变更登记相互冲突时的解决办法。本文最后一章为结论部分,主要是对前五章的内容作一个简单的总结。本文力求在对有限责任公司股权对外转让理论和实践产生的问题进行梳理和研究的基础上,对我国《公司法》的立法完善提出建议,以期更好地解决有限责任公司股权对外转让中存在的问题,促使我国有限责任公司股权对外转让更加健康、协调的发展。
[Abstract]:Limited liability company has the characteristics of small scale, small number of people and limited liability of shareholders, which is the most widely used type of company in the world. Therefore, in the foreign transfer of shares of a limited liability company, the right of free transfer of shares of shareholders should be guaranteed, and the basis of human cooperation of the limited liability company should not be destroyed. China's legal theory and legislative practice on the external transfer of shares of limited liability companies are not mature enough, which is obviously incompatible with the status of limited liability companies in China's economic life. China's economic development will have a positive impact.
This paper is divided into six chapters except the introduction. Starting from the elaboration of the equity theory, the author introduces and analyzes the basic theory of equity and equity transfer. On this basis, several important issues in theory and practice are analyzed one by one.
First of all, this paper uses the method of comparative analysis, starting with the concept and nature of limited liability company and equity, analyzes and summarizes the theoretical basis and legal characteristics of equity transfer. Ownership transfer includes creditor's right behavior and quasi-real right behavior. The signing of equity transfer contract is creditor's right behavior in the process of equity transfer, while the delivery of equity transfer for the purpose of equity change is quasi-real right behavior. The basic principles of the transfer of equity by the shareholders of a limited liability company are: to maintain the human nature of the limited liability company, to protect the expected interests of the shareholders, to adapt to the operating mode of the limited liability company, in line with the concept of fairness and justice.
On the basis of introducing and analyzing the basic theories, combining with the relevant provisions of the revised Company Law of China, drawing on the foreign legislative provisions and academic viewpoints, this paper focuses on the difficult problems in the theory and practice of the foreign transfer of shares of limited liability companies in China. The first part mainly analyzes the problems of the equity transfer contract, analyzes the valid requirements of the equity transfer contract of the limited liability company and the validity of the equity transfer contract under the special circumstances. The validity of the equity transfer contract should also be judged according to the specific conditions. The second part analyzes the relevant provisions of the Company Law of China on the subject of the preemptive right, discusses the validity of the equity transfer without the consent of more than half of the other shareholders, and further discusses the validity of the equity transfer without the consent of the other shareholders. This part also analyzes the conditions for the exercise of shareholder's preemptive right and whether the shareholder's preemptive right can be partially exercised. It considers that the partial exercise of the preemptive right should be generally allowed, and puts forward relevant legislative proposals. The third part mainly analyzes the stocks caused by compulsory execution. The fourth part mainly analyzes the registration of the change of the foreign transfer of shares, including the registration of the change of the shareholder's register. The relationship between the registration of changes in industry and Commerce and the effectiveness of foreign transfer of shares is also discussed.
The last chapter is the conclusion, which is a brief summary of the contents of the first five chapters.
On the basis of sorting out and researching the problems arising from the theory and practice of the foreign transfer of shares in limited liability companies, this paper puts forward some suggestions on the perfection of the legislation of the Company Law in order to better solve the problems existing in the foreign transfer of shares in limited liability companies and promote the foreign transfer of shares in limited liability companies in China to be more healthy. Kang, coordinated development.
【学位授予单位】：东北财经大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91

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