我国有限责任公司股东资格认定研究

发布时间：2018-02-11 10:34

本文关键词： 股东资格股权有限公司实务问题　出处：《四川省社会科学院》2013年硕士论文　论文类型：学位论文

【摘要】：股东资格是判断投资人是否享有股东权利、承担股东义务的最重要的前提。股东资格的认定问题主要发生于有限责任公司，股份有限公司股东资格通常是以发行的股票为认定标准，一般不存疑义。对于有限责任公司的股东资格认定问题，公司法理论并未给予足够关注，，而且各国公司立法关于股东资格认定标准的专门规定也少见。随着我国社会经济的发展，人民法院受理的公司纠纷案件大幅度上升。其中，涉及股东资格认定的案件数量占有较大比例。但是，我国《公司法》对于股东资格认定没有明确规定，相关司法解释也尚未制定。目前公司法理论界研究热点多集中于股东权保护、公司法人治理结构或国有企业改制等领域，对股东资格认定问题的具体研究成果似乎并不多见。立法与学理的双重缺位，导致审判实践中产生诸多问题，各地法院和法官的认识不同，导致相同案件裁判结果的差异，影响了国家司法的统一与权威，不利于股东权保护和经济发展。因此，本文旨在总结相关理论研究成果，探讨我国有限责任公司股东认定常见的实务问题，旨在促进公司法理论与公司司法实践在股东资格认定问题上的交流与契合。本文共分为四个部分，约为两万字。本文的第一章是对股东资格认定的概述。分为三个部分：首先，是对股东资格认定涵义的界定；其次，分析了股东资格与股东、股权之间的关系；最后，阐述了股东资格认定的法律意义。本文的第二章对股东资格认定的原则进行了论述。笔者认为，在股东资格认定方面应当适用的原则应当不仅包括商法的特有原则，也应包括民法原则。商法特有的原则的主要内容包括：公司维持原则、利益均衡原则、利益性与强制性相结合的原则、商法的公示主义和外观主义原则。民法的原则主要包括：意思自治的原则、制裁规避法律行为原则。本文的第三章明确了我国有限责任公司股东资格认定的标准及证据。认定股东的股东资格，主要有形式要件的标准和实质要件的标准。形式要件标准下股东资格认定的证据包括：公司章程、出资证明书、股东名册、工商登记。实质要件标准下的股东资格认定的证据包括：出资和实际享有股权。本文的第四章是在前三章的基础上，探讨了关于股东资格认定常见的实务问题。股东资格认定常见的实务问题主要有四种情形：一是，出资瑕疵情形中的股东资格认定；二是，瑕疵股权转让中的股东资格认定；三是，形式要件存在瑕疵情形中的股东资格认定；四是，存在隐名出资人情形中的股东资格认定。
[Abstract]:Shareholder qualification is the most important prerequisite to judge whether the investor enjoys the shareholder's rights and undertake the shareholder's obligations. Generally speaking, the shareholder qualification of a limited company is based on the issued stock, but there is no doubt about it. The theory of company law has not paid enough attention to the problem of shareholder qualification in a limited liability company. Moreover, the special provisions of the company legislation of various countries on the criteria for the qualification of shareholders are also rare. With the development of China's social economy, the number of cases of company disputes accepted by the people's courts has increased by a large margin. Among them, The number of cases involving shareholder qualification is relatively large. However, the Company Law of our country has no clear provisions on shareholder qualification, Relevant judicial explanations have not yet been formulated. At present, the focus of research in the field of company law theory is mainly focused on the protection of shareholders' rights, corporate corporate governance structure or the restructuring of state-owned enterprises, and so on. The double absence of legislation and theory leads to a lot of problems in trial practice, and the understanding of courts and judges in various places is different, which leads to the difference of adjudication results in the same cases. It affects the unity and authority of the national judicature, and is not conducive to the protection of shareholders' rights and the development of economy. Therefore, this paper aims to summarize the relevant theoretical research results and discuss the common practical problems of shareholders' identification in China's limited liability companies. The purpose of this paper is to promote the communication and agreement between the theory of company law and the judicial practice of the company on the issue of shareholder qualification. This article is divided into four parts, about 20,000 words. The first chapter is an overview of shareholder qualification. It is divided into three parts: first, the definition of shareholder qualification; secondly, the analysis of the relationship between shareholder qualification and shareholder, equity; finally, This paper expounds the legal significance of shareholder qualification. The second chapter discusses the principle of shareholder qualification. The author thinks that the principle that should be applied in shareholder qualification should include not only the special principles of commercial law, but also the specific principles of commercial law. It should also include the principles of civil law. The main contents of the specific principles of commercial law include: the principle of company maintenance, the principle of balance of interests, the principle of the combination of interest and compulsion, The principles of civil law include the principle of autonomy of will and the principle of sanction and circumvention of law. The third chapter clarifies the standard and evidence of shareholder qualification of limited liability company in China. The main criteria for formal and substantive requirements are: articles of association, capital contribution certificates, register of shareholders, evidence of shareholders' qualification under formal requirements, Industrial and commercial registration. The evidence of shareholder qualification under the standard of substantive requirements includes: capital contribution and actual ownership. The 4th chapter is based on the first three chapters, and discusses the common practical problems about shareholder qualification. There are four kinds of common practical problems in shareholder qualification: first, shareholder qualification in the case of defective capital contribution; The second is the shareholder qualification in the transfer of defective shares; the third is the shareholder qualification determination in the case of defects in the formal elements; the fourth is the shareholder qualification determination in the case of anonymous investors.
【学位授予单位】：四川省社会科学院
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.291.91

【参考文献】