外商投资企业股权转让问题研究

发布时间：2018-03-19 19:19

本文选题：外商投资企业　切入点：股权转让　出处：《西南政法大学》2011年硕士论文　论文类型：学位论文

【摘要】：q由于外商投资企业是一种不成熟的公司形式,其以合同而非公司章程为存在基础,且其设立、变更、终止等皆须经行政审批,由此导致外商投资企业领域发生的纠纷(股权转让纠纷、隐名投资纠纷、并购纠纷、清算纠纷等)所涉及的法律问题错综复杂。笔者选取其中的一个问题——股权转让纠纷,作为研究对象,旨在为股权转让所涉各方如何防范股权转让风险,法院如何适用与解释法律以解决与股权转让纠纷有关的问题,提供些许有价值的建议或意见。笔者从解决实践中的具体问题出发,基于现行法律、行政法规以及司法解释等对外商投资企业股权转让的明确规定,主要运用解释论兼采立法论的方法,探讨分析外商投资企业股权转让中发生的争议问题。除引言和结语外,全文共分四部分: 第一部分在对批准证书的效力现状及对其质疑的论述基础上,得出应该依实质要件作为确认外商投资企业股东资格依据的结论。第二部分首先论述外商投资企业股权转让中其他股东同意权和优先购买权的存在基础。其次,论述未经其他股东同意以及侵犯其他股东优先购买权的合同性质。最后,得出笔者的结论:如果其他股东否决股权转让,则该股权转让合同宜认定为完全无效合同,并不得救治。如果股权转让合同当事人未将股权转让事宜通知其他股东,征询其意见,则该股权转让合同宜认定为部分无效合同,具体是指股权交付无效,可得以补正,且该补正具有溯及力。第三部分在论述股权转让合同效力演变以及对效力现状评价的基础上,得出关于未经批准的股权转让合同效力的结论:经当事人报批而行政审批机构不予批准的合同,系完全无效合同。由于,属于行政机构审批范围的是合同的部分条款,因此,当事人未办理报批手续的合同并非是全部无效,而是指需要报批的合同部分无效,具体是指股权交付无效。第四部分论述其他股东行使同意权和优先购买权对股权转让效力的影响。首先,论述外资法与公司法的适用关系;其次,论述同意的法律适用以及其他股东行使同意权和优先购买权的效力。最后,得出结论:外商投资企业的股权转让,应该优先适用外商投资企业法的规定。未经其他股东同意的股权转让合同已具有“预先效力”,但是,尚无“履行合同之效力”。其他股东行使优先购买权将与转让方形成强制缔约股权转让合同的效力。在结语部分对相关问题做了简要介绍和展望。
[Abstract]:Q since an enterprise with foreign investment is an immature corporate form, its existence is based on contracts rather than articles of association, and its establishment, modification, termination, etc., are subject to administrative examination and approval, As a result, the legal problems involved in disputes in the field of foreign-invested enterprises (equity transfer disputes, anonymous investment disputes, merger disputes, liquidation disputes, etc.) are complicated. As the object of study, the purpose of this study is to provide some valuable suggestions or opinions on how to prevent the risk of equity transfer and how the court applies and interprets the law to solve the problems related to the equity transfer dispute. In order to solve the specific problems in practice, based on the clear provisions of the current laws, administrative regulations and judicial interpretations on the transfer of foreign invested enterprises' equity, the author mainly uses the interpretation theory and the legislative method. This paper discusses and analyzes the disputes arising in the transfer of foreign-funded enterprises' shares. In addition to the introduction and conclusion, the full text is divided into four parts:. In the first part, on the basis of discussing the validity of the approval certificate and questioning it, the author draws the conclusion that the shareholder qualification of the foreign-invested enterprise should be confirmed according to the essential elements. The second part first discusses the existence basis of other shareholders' consent right and preemptive right in the transfer of foreign invested enterprises' shares. Secondly, it discusses the contractual nature of the prior purchase right of other shareholders without the consent of other shareholders and the infringement of other shareholders' preemptive right. The author concludes that if other shareholders reject the transfer of equity, the contract should be deemed to be null and void and not to be treated. If the parties to the contract do not notify the other shareholders of the transfer, In consultation with them, the equity transfer contract should be regarded as partially invalid contract, specifically refers to the invalid delivery of equity, can be corrected, and the correction has retroactive effect. The third part, on the basis of discussing the evolution of the validity of the equity transfer contract and the evaluation of the effectiveness of the contract, draws the conclusion about the validity of the unapproved equity transfer contract: the contract that has been approved by the parties but not approved by the administrative examination and approval authority. The contract is null and void. Because it is a part of the contract that belongs to the scope of examination and approval of the administrative organ, the contract that the parties did not go through the formalities of submitting for approval is not all invalid, but refers to the partial invalidity of the contract that needs to be submitted for approval. Specifically refers to the delivery of equity invalid. Part 4th discusses the influence of other shareholders' right of consent and preemption on the effectiveness of equity transfer. First, it discusses the relationship between foreign capital law and company law; secondly, This paper discusses the application of the law of consent and the effectiveness of other shareholders' right of consent and preemption. Finally, the conclusion is drawn: the transfer of shares of foreign-invested enterprises, The provisions of the Law on Enterprises with Foreign Investment should be applied as a matter of priority. An equity transfer contract without the consent of other shareholders has "pre-effect", but, There is no "effect of performance contract". The other shareholders' preemptive right will form the validity of the contract of transfer of shares with the transferor. In the conclusion part of the related issues made a brief introduction and prospects.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D923;D922.291.91

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