上市公司关联担保的法律问题研究

发布时间：2018-03-12 18:47

本文选题：上市公司　切入点：关联担保　出处：《南昌大学》2011年硕士论文　论文类型：学位论文

【摘要】：通过研读上市公司关联担保的相关法律法规及行政规章、分析典型案例,发现存在以下问题：第一,相关概念法律界定不完善；第二,法规与法规之间以及法规和部门规章之间存在冲突；第三,冲突的存在使法律适用和司法权衡存在困难。针对以上问题,本文立足我国立法与司法实践,主要站在保护中小股东利益与债权人利益的角度,对立法及司法实践中有关关联担保的争议问题进行了具体分析,并且对如何规范关联担保行为提出了自己的见解。全文共分为五个部分：第一部分分析了关联担保的相关概念,通过对该部分的分析,发现部分概念的法律界定有待完善；第二部分对比分析关联担保的利与弊,得出上市公司关联担保行为是把“双刃剑”的结论,不应强行禁止,但却需要法律、行政法规、公司章程进行规范；第三部分对比分析了立法发达国家、地区的立法及我国的立法制度,发现我国的部分立法制度虽吸取了前者的先进经验,但是还需要进一步的完善。在分析我国的立法制度时,本文选择了《公司法》、《担保法》、《证券法》及证监会发布的部分行政规章进行具体分析,通过分析发现法规与法规之间、法规与部门规章之间存在冲突,正是这种冲突的存在,造成司法权衡的困难；第四部分对比分析“中福实业担保案”以及“彩虹集团担保案”两个案例及最高人民法院的判决结果,发现了我国司法实践中的一些问题,并对如何解决这些问题提出了自己的见解；第五部分既是对以上章节的总结也是补充,在前四章分析的基础上,得出对我国上市公司关联担保行为法律制度的完善,不能只局限在立法层面,还要完善公司内部结构以及整个社会监管环境的结论。
[Abstract]:By studying the relevant laws, regulations and administrative rules of the related guarantee of listed companies, this paper analyzes the typical cases and finds the following problems: first, the definition of related concepts is not perfect; second, There are conflicts between laws and regulations, laws and regulations and departmental regulations. Thirdly, the existence of conflicts makes the application of laws and judicial balance difficult. In view of the above problems, this paper bases on the legislation and judicial practice of our country. From the point of view of protecting the interests of minority shareholders and creditors, this paper makes a concrete analysis of the related security disputes in legislation and judicial practice, and puts forward some opinions on how to regulate the related security behavior. The paper is divided into five parts: the first part analyzes the related concepts of the related guarantee, through the analysis of this part, we find that the legal definition of some concepts need to be improved; the second part of the comparative analysis of the advantages and disadvantages of the associated guarantee, The conclusion that the related guarantee behavior of listed companies is a "double-edged sword" should not be prohibited by force, but it needs to be regulated by laws, administrative regulations and articles of association. The regional legislation and the legislative system of our country have found that although some of the legislative systems of our country have absorbed the advanced experience of the former, they still need to be further consummated. This paper chooses the Company Law, the guarantee Law, the Securities Law and some administrative regulations issued by the Securities Regulatory Commission for specific analysis. Through the analysis, it is found that there are conflicts between the laws and regulations, between the laws and regulations and between the regulations and the departmental regulations, which is precisely the existence of such conflicts. The 4th part compares and analyzes two cases of "Zhongfu Industrial guarantee case" and "Rainbow Group guarantee case" and the judgment results of the Supreme people's Court, and finds some problems in the judicial practice of our country. The 5th part is not only a summary of the above chapters, but also a supplement, on the basis of the analysis of the previous four chapters, the author concludes the perfection of the legal system of the related guarantee behavior of the listed companies in our country. Not only in the legislative level, but also to improve the internal structure of the company and the entire social regulatory environment.
【学位授予单位】：南昌大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91;D923;D922.287

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