我国有限责任公司股东资格认定标准之探析

发布时间：2018-04-30 10:18

本文选题：有限责任公司 + 股东资格　；参考：《中国政法大学》2009年硕士论文

【摘要】： 随着我国市场经济的迅速发展,公司得到了长足的发展,其数量不断增加,规模也在扩大,而有关我国有限责任公司股东资格的纠纷的数量也日益增多,种类呈现多样化,法律关系日益错综复杂,增加了法院处理的难度。而我国公司法对此又没有直接明确的规定,理论界对该选题的研究也不够透彻,众说不一,法院在处理这类案件时往往缺乏确定的标准,法官的自由裁量权较大。同样的股东资格纠纷,采用不同的标准就会造成不同的处理结果,从而造成司法不统一,不利于维护当事人的合法权益,有碍公平和正义的实现。可以说确立一个明确统一的有限责任公司股东资格的认定标准,意义非常重大。本文拟在研究有关我国有限责任公司股东资格认定标准的相关理论和法律规定的基础上,通过对我国理论界和实务界对有限责任公司股东资格不同的认定标准进行分析,确定一个明确统一的认定标准,以期使这方面的理论更加完善,为司法实践中的股东资格纠纷的解决提供一点参考。本文共分六大部分,其内容如下: 本文第一部分分析了我国有限责任公司股东资格认定标准的一般理论,首先对股东、股东资格、股权、股东资格认定标准等基本概念进行了界定,认为取得股权的人即享有股东资格,而享有股东资格的人就是股东,股东资格认定标准,顾名思义,就是认定股东资格时依据的标准,即看行为人的行为是否符合相关的实质要件和形式要件;其次分析了我国有限责任公司股东资格认定标准的理论基础,现代经济社会的发展,公司制度的发展势必受到商法的基本原则和现代公司的社会责任理论和利益平衡理论的影响,我国有限责任公司股东资格的认定标准,作为一个商法上的问题,作为公司制度的一部分,理应以商法的基本原则和现代公司法的社会责任理论和利益平衡理论为理论基础进行确定。由此,赞同以下观点:应当在考虑各利害关系人间的利益平衡基础上,结合争议的法律关系的性质,对股东资格作出正确认定。本文第二部分分析了我国有限责任公司股东资格认定标准的种类,有关有限责任公司股东资格的纠纷产生之后,对其认定标准理论界和实务界都开始了探讨,截至今日,主要形成了三种认定标准:实质要件的认定标准、形式要件的认定标准和实质要件与形式要件兼顾的认定标准。在此基础上提出了本文确定的认定标准,即认定我国有限责任公司股东资格,应以行为人是否有成为股东的意思表示并且是否符合我国有限责任公司人合性要求作为认定我国有限责任公司股东资格的实质要件,以公司章程、股东名册、工商登记、实际享有股权的证明、出资证明书、实际出资为认定我国有限责任公司股东资格的形式要件,应综合考虑各种因素。同时,强调应优先考虑行为人是否有成为股东的意思表示并且是否符合我国有限责任公司人合性要求,综合考虑各种因素。因为形式要件实质上是实质要件的具体表现形式,在认定我国有限责任公司股东资格时,实质要件在一定程度上起着指导作用。之所以以行为人是否有成为股东的意思表示并且是否符合我国有限责任公司人合性要求作为认定我国有限责任公司股东资格的实质要件,理由如下:(1)其体现了股东资格取得的民事法律行为性质。股东资格的取得从本质上来说是一种民事法律行为,成为股东的意思表示是必需的,是核心的要素。(2)其体现了我国有限责任公司的人合性特征,显示了我国有限责任公司股东之间的相互信任的重要性。(3)其能弥补出资等作为实质要件的不足,与现行法律规定相协调。(4)其概括性强,基本上可适用于股东资格取得丧失的各种情形,对实践有较强的指导性,有较强的实用性。本文第三部分分析了我国有限责任公司股东资格的实质要件。在对我国有限责任公司股东资格取得和丧失情形进行全面、综合分析的基础上,可以认定我国有限责任公司股东资格的实质要件应为行为人是否有成为股东的意思表示并且是否符合我国有限责任公司人合性要求。对股东资格取得和丧失的具体分析也有助于我们对实质要件有一个比较直观和深刻的理解,在实践中可以做到举一反三。本文第四部分分析了我国有限责任公司股东资格认定的形式要件。其主要包括我国有限责任公司的公司章程、股东名册、工商登记、实际享有股权的证明、出资证明书、实际出资,本部分结合相关法条和理论对其进行具体分析,得出如下结论:在不涉及外部第三人的情形下,我国有限责任公司股东资格认定的形式要件在认定行为人是否有股东资格问题上基本上有同等的效力,在认定中任何一个都不具有绝对的决定性的效力,要根据具体情况结合实质要件进行综合认定。在涉及外部第三人的情形下,根据外观主义和公示主义原则,要保护其对工商登记的信赖利益,因而工商登记是外部第三人认定股东资格的首要依据,在认定其是否有股东资格时有优先的效力。本文第五部分分析了实践中出现的几种股东资格认定的情形。结合本文确定的我国有限责任公司股东资格的认定标准,对实践中出现的几种股东资格认定的情形——冒名股东、隐名股东、干股股东、职工持股会与职工关系中股东资格的认定进行具体的分析。本文第六部分主要结合几个外国的相关立法考察分析其有限责任公司股东资格认定标准,并在此基础上提出几点完善我国相关立法的建议。
[Abstract]:With the rapid development of China's market economy, the company has been developing rapidly, its number is increasing and the scale is expanding, and the number of disputes about the shareholders' qualification of our limited liability company is increasing, the variety is present, the legal relationship is increasingly complex and the difficulty of the court is increased. There is no direct and explicit stipulation, and the research of this topic is not thorough enough in the theoretical circle. The court is often lack of the standard in dealing with this kind of case, and the judge's discretion is large. The same shareholder qualification disputes will result in different treatment results, resulting in the disunity of the judicature and disadvantageous. Maintaining the legitimate rights and interests of the parties hinders the realization of fairness and justice. It can be said that establishing a clear and unified identification standard for the shareholders of a limited liability company is of great significance. On the basis of relevant theories and legal provisions concerning the criteria for identifying the qualification of shareholders of our limited liability company, this article is to pass the theory of our country. The boundary and practice circles analyze the identification standards of the different qualifications of the shareholders of the limited liability company, and determine a clear and unified identification standard, in order to make the theory more perfect in this respect, and provide a reference for the settlement of the shareholders' qualification disputes in the judicial practice.
This article is divided into six parts, and the contents are as follows:
The first part of this paper analyzes the general theory of the standard of identifying the shareholders' qualification of the limited liability company in our country. First, it defines the basic concepts of shareholders, shareholders' qualification, equity, and the qualification of shareholders. It is considered that the person who has obtained the equity is entitled to the shareholder's qualification, and the holder of the shareholder's qualification is the shareholder, the standard of the qualification of the shareholders, and the name of the shareholder. It is the criterion to identify the qualification of shareholders, that is to see whether the behavior of the person is in line with the relevant substantive and formal requirements; secondly, it analyzes the theoretical basis of the standards for the identification of the shareholders of the limited liability company in our country, the development of the modern economic society, the development of the company system is bound to be the basic principle of the commercial law and the modern company. With the influence of the theory of social responsibility and the theory of interest balance, as a part of the corporate system, the criteria for the identification of the shareholders of the limited liability company, as a part of the company system, should be determined on the basis of the basic principles of the commercial law and the theory of social responsibility and Li Yiping's theory of the modern company law. The following points should be taken into account: considering the balance of interests of the interests of all stakeholders and the nature of the legal relationship of disputes, we should correctly identify the qualification of shareholders.
The second part of this paper analyzes the types of the standards for the identification of the shareholders' qualification of the limited liability company in China. After the disputes arising from the shareholders' qualification of the limited liability company, the theoretical and practical circles of its identification have been discussed. As of today, three kinds of identification standards are mainly formed: the identification standard of the essential elements and the identification of the form elements. The criteria for determining standards and substantive elements and formal requirements.
On the basis of this, we put forward the determination standard of this article, that is, to identify the shareholders' qualification of our limited liability company. It should be taken as the substance of whether the person has the meaning of becoming a shareholder and whether it meets the requirements of the person's compliance of our limited liability company as the essential element of the shareholders' qualification of the limited liability company of our country, with the articles of association and the list of shareholders. Industry and commerce registration, the actual ownership of the certificate, the investment certificate, the actual contribution to determine the form of the qualification of our limited liability company, should consider all kinds of factors. At the same time, we should give priority to the consideration of whether the actor has the meaning of becoming a shareholder and whether it meets the requirements of the human compliance of our limited liability company. Because the form elements are essentially the concrete manifestations of the essential elements, the essential elements play a guiding role in the identification of the shareholders' qualification of the limited liability company in China. The essential elements of the shareholder qualification of the limited liability company of our country are as follows: (1) it embodies the nature of the civil legal behavior obtained by the shareholder's qualification. The acquisition of the shareholder's qualification is a civil legal act in essence, the meaning of the shareholders is necessary and the core element. (2) it embodies the limited liability company of our country. The character of human compatibility shows the importance of mutual trust between the shareholders of the limited liability company of our country. (3) it can make up the deficiency of the capital contribution as the essential element, and coordinate with the current legal provisions. (4) its generality is strong, and it is basically applicable to the various situations of the loss of the shareholder's qualification, which has strong guidance to practice and strong in practice. Practicability.
The third part of this paper analyzes the essential elements of the shareholders' qualification of the limited liability company in our country. On the basis of comprehensive and comprehensive analysis of the acquisition and loss of the shareholders' qualification of the limited liability company in China, the essential elements of the shareholders' qualification of the limited liability company of our country should be expressed as to whether the actor has the meaning of becoming a shareholder or not. The specific analysis of the acquisition and loss of the shareholders' qualification also helps us to have a more intuitive and profound understanding of the essential elements, and can do the same in practice.
The fourth part analyses the formality requirements of the shareholders' qualification of our limited liability company, which mainly includes the articles of association of the limited liability company of China, the list of shareholders, the registration of industry and commerce, the proof of the actual ownership of the stock, the certificate of capital contribution, the actual contribution, and the concrete analysis of this part in combination with the relevant laws and theories, and the following conclusion is made. In the case of no external third persons, the form elements of the identification of the shareholders' qualification of the limited liability company in our country have the same effect on determining whether the perpetrator has the shareholders' qualification, and no one of them has absolute decisive effect in the determination. It should be comprehensively identified according to the concrete conditions and the essential elements. In the case of the external third people, according to the principle of externalism and publicity, it is necessary to protect the trust interests of the industrial and commercial registration, so the registration of industry and commerce is the first basis for the third people to identify the shareholder's qualification, and it has the priority effect in determining whether it has the shareholders' qualification.
The fifth part of this paper analyzes the situation of several shareholders' qualification that appears in the practice. Combining with the identification standard of the shareholders' qualification of the limited liability company of our country, the status of several shareholders' qualification appears in practice - the name of the shareholder, the invisible shareholder, the stock share East, the employee shareholding meeting and the shareholders' qualification in the relationship between the workers and the workers. Make a specific analysis.
The sixth part of this article mainly combines the relevant legislation of several foreign countries to analyze the standards for the identification of the shareholders' qualification of the limited liability company, and puts forward some suggestions to improve the relevant legislation in China on this basis.

【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2009
【分类号】：D922.291.91

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