隐名投资法律关系分析

发布时间：2018-08-08 15:23

【摘要】：隐名投资诞生于当今不断发展的市场经济和我国现行政治、经济、法律制度的夹缝之间，其产生有着复杂深层的社会原因，其存在的意义也是在迎合市场实际的需求，甚至在一定程度上鼓励了投资行为并促进了经济增长。但是从根本上来讲，隐名投资“隐蔽”的运作模式直接与我国公司法制外观主义、公示公信的基本原则相抵触，在实践中产生大量法律纠纷，不利于法律有效保障投资人和第三人的利益，不利于维护经济秩序和交易安全，也直接对社会和市场的和谐稳定造成不良的影响。本文就隐名投资这一当今社会频繁发生的法律现象展开论述。全文共分三章，第一章就隐名投资概念、特征、成因、类型及纠纷种类的划分进行总结和阐述，明确界定了隐名投资行为。第二章是全文核心章节，主要结合现行《合同法》、《公司法》及最新颁布的公司法司法解释的相关规定以及理论界通行的相关学说，对隐名投资中隐名投资人、显名投资人、公司以及第三人之间错综复杂的的法律关系进行系统性梳理。笔者将隐名投资中法律关系问题划分为三种类型进行研究：第一类是隐名投资人和显名投资人之间的法律关系，这两者间基本法律关系为合同关系，现有代理模式和信托模式虽形式上类似，但实质上存在一定问题不能直接套用；第二类是隐名投资人、显名投资人和公司之间的法律关系，其中结合案例重点探讨了股东资格认定的问题，明确了认定的要件及标准；第三类是隐名投资人、显名投资人和第三人之间关系，结合案例着重分析了出资不实的债务责任承担和显名投资人股权转让效力问题。第三章主要对于隐名投资的风险控制提出一些实际可操作措施及建议。实践中隐名投资引发的法律纠纷成因复杂、种类繁多，投资人与其在遭遇风险时被动的寻求法律的保护，不如预先采取主动地风险控制措施。同时笔者也注意到《公司法》乃至新颁布的司法解释并不足以充分应对隐名投资这一复杂问题，故而试图借由拟制信托理论来梳理错综复杂的隐名投资法律关系，将隐名投资问题有机的与信托法和公司法的法律框架相对接，并提出在现有信托法框架内引入拟制信托理论的初步方案。
[Abstract]:Anonymous investment was born in the current developing market economy and our country's current political, economic, legal system between the gap, its emergence has complex and deep social reasons, its existence significance is also to meet the actual needs of the market. It even encourages investment and promotes economic growth to some extent. But fundamentally speaking, the operation mode of "hidden" investment directly conflicts with the basic principles of the legal system of appearance and publicity of public information in our country, resulting in a large number of legal disputes in practice. It is not conducive to the law to effectively protect the interests of investors and third parties, is not conducive to the maintenance of economic order and transaction security, but also directly to the social and market harmony and stability has a negative impact. This paper discusses the legal phenomenon of anonymous investment, which occurs frequently in today's society. This paper is divided into three chapters. The first chapter summarizes and expounds the concept, characteristics, causes, types and dispute types of anonymous investment, and clearly defines the anonymous investment behavior. The second chapter is the core chapter of the full text, which mainly combines the current contract Law, Company Law and the relevant provisions of the newly promulgated interpretation of the Company Law, as well as the relevant theories prevailing in the theoretical circle, to the dormant investors and the explicit investors in the anonymous investment. The complex legal relationship between the company and the third party is systematically combed. The author divides the legal relationship in anonymous investment into three types: the first is the legal relationship between the dormant investor and the explicit investor, and the basic legal relationship between them is the contractual relationship. Although the existing agency model and trust mode are similar in form, there are some problems that can not be directly applied. The second kind is the legal relationship between the dormant investor and the company. Combined with the case, the paper mainly discusses the problem of shareholder qualification, and clarifies the requirements and criteria of the determination. The third category is the relationship between the dormant investor, the obvious investor and the third party. Combined with the case, the paper analyzes the debt liability and the equity transfer effectiveness of the investors. The third chapter puts forward some practical operational measures and suggestions for risk control of hidden investment. In practice, the causes of legal disputes caused by anonymous investment are complex and varied. Instead of seeking legal protection passively, investors should take proactive risk control measures in advance. At the same time, the author also notes that the Company Law and even the newly promulgated judicial explanation are not sufficient to deal with the complex problem of anonymous investment. Therefore, the author tries to comb the complicated legal relationship of anonymous investment with the theory of fictitious trust. The problem of anonymous investment is organically connected with the legal framework of trust law and company law, and the preliminary scheme of introducing the theory of fictitious trust into the framework of existing trust law is put forward.
【学位授予单位】：吉林大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.291.91;D923.6

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