我国引入股东表决权信托制度研究

发布时间：2018-12-15 11:55

【摘要】：表决权是股东基于股东地位而享有的就公司决议事项作出一定意思表示的权利。它是股东最为重要的权利之一,是股东争夺公司控制权的工具。现代股份公司在一定程度上普遍存在着控制权被歪曲甚至是滥用的现象,加强对股东行使表决权的制度性保护,有助于真正发挥表决权的功能。发源于美国的股东表决权信托是保障股东表决权的一种有效制度,是将信托原理应用到表决权行使领域的法律制度和法律手段,也是公司法制孜孜以求公司治理结构优化过程中一次富于实践意义的创新。股东表决权信托在加强中小股东的权益保护,优化公司治理结构,保持公司管理的稳定和持续等方面发挥着重要的作用。近年来我国实践中已出现了股东表决权信托的案例。虽然我国没有关于股东表决权信托的制定法,但是随着信托制度的发展和应用领域的不断扩张,可以预期股东表决权信托将在我国股份公司中发挥越来越重要的作用,关注该制度的人也将越来越多。一方面是立法的缺失,一方面是实践发展的需要,因此立法有必要对实践作出回应。本文采用了综合分析法和比较分析法对股东表决权信托制度进行了论述,首先阐述了股东表决权信托制度的产生及在其他国家的发展,并对股东表决权信托的内涵和特征进行了相关分析,同时比较研究了股东表决权信托与相似制度的区别。其次就股东表决权信托制度的基本构造进行论证。其中,包括股东表决权信托的成立与生效,股东表决权信托的主体、客体、内容,股东表决权信托的权利与义务。重点针对股东表决权信托客体的争议到底是“股权”还是“表决权”笔者提出了自己的看法,认为股东表决权信托的客体是表决权。通过较为系统全面的研究,结合我国具体国情,围绕实际案例“青岛啤酒股权变更案”从法律和实践层面上阐述我国移植股东表决权信托制度的必要性和可行性。最后,笔者提出了我国引入股东表决权信托制度的建议。这些建议包括我国引入股东表决权信托制度如何进行模式选择以及创造性地提出了建立以公司法为基础,以信托法为辅助的表决权信托制度。
[Abstract]:Voting rights are the rights of shareholders based on the status of shareholders to make a certain expression of the meaning of the company's resolutions. It is one of the most important rights of shareholders and a tool for shareholders to fight for corporate control. To a certain extent, modern joint-stock companies generally have the phenomenon that the right of control is distorted or even abused. Strengthening the institutional protection of shareholders' exercise of the right to vote is helpful to give full play to the function of voting rights. The shareholder voting trust originated in the United States is an effective system to protect shareholders' voting rights. It is the legal system and means to apply the trust principle to the exercise of voting rights. It is also a practical innovation in the process of corporate governance structure optimization. Shareholder voting trust plays an important role in strengthening the protection of minority shareholders' rights and interests, optimizing the corporate governance structure, and maintaining the stability and continuity of corporate management. In recent years, the case of shareholder voting trust has appeared in the practice of our country. Although there is no law on the establishment of shareholder voting trust in China, with the development of trust system and the continuous expansion of application field, it can be expected that shareholder voting trust will play a more and more important role in the joint-stock company of our country. More and more people will pay attention to the system. On the one hand, the lack of legislation, on the other hand, it is necessary to respond to the practice. This paper discusses the system of shareholder voting trust by means of comprehensive analysis and comparative analysis. Firstly, it expounds the emergence of shareholder voting trust system and its development in other countries. The connotation and characteristics of shareholder voting trust are analyzed, and the difference between shareholder voting trust and similar system is compared. Secondly, it demonstrates the basic structure of shareholder voting trust system. It includes the establishment and effect of shareholder voting trust, the subject, object and content of shareholder voting trust, and the rights and obligations of shareholder voting trust. The author puts forward his own opinion on whether the object of shareholder voting trust is equity or voting right, and holds that the object of shareholder voting trust is voting right. Through a systematic and comprehensive study, combined with the specific conditions of our country, the necessity and feasibility of transplanting the voting trust system of shareholders in China are expounded from the legal and practical aspects around the actual case of "Tsing Tao Beer's equity change case". Finally, the author puts forward the suggestion of introducing the shareholder voting trust system in our country. These suggestions include how to choose the mode of introducing shareholder voting trust system and how to creatively propose the establishment of voting trust system based on company law and supplemented by trust law.
【学位授予单位】：中央民族大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.282

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