论有限责任公司股东资格之认定

发布时间：2018-04-26 00:13

本文选题：股东资格 + 股东　；参考：《中央民族大学》2010年硕士论文

【摘要】：股东权的保护水平是检验一国公司法治是否成熟、公正的试金石。而保护股东权的首要前提就是对公司股东资格的认定,明辨谁是公司的股东。公司股东资格的认定关系到投资人在以公司为连接点的法律关系体系运作过程中的权利配置与责任负担,在公司法实践中是存在颇多争议的炙手可热的话题。公司股东资格的认定主要发生在有限责任公司,股东资格认定是诸如股东表决权、知情权、利润分配请求权等一系列纠纷案件的先决问题。然而,由于立法漏洞的存在,在近年来的公司法实践中争夺股权的现象较为普遍,新《公司法》的实施也未能有效的解决这一问题,实践中,公司设立和股权转让过程中种种不规范行为大量存在。例如有的股东实际出资,却没有在公司章程上签名；有的股东没有实际出资却在公司章程上签名；有的股东在股东名册上有记载在工商登记上却没有登记；有的股东转让股权却没有变更工商登记和股东名册记载。对股东资格进行认定时究竟采取何种标准,及认定股东资格的证据五花八门,使得股东资格长期真假难分、扑朔迷离。本文拟从“权利路径和救济路径”入手、运用“价值关怀和规范关怀”的分析方法、站在“法解释论”的立场,对有限责任公司的股东资格及其取得、股东资格认定的基本原则、股东资格认定的证据、股东资格认定的具体规则、股东资格认定制度的完善等问题进行探讨。本文提出股东资格的认定与其说是个法律技术操作的问题,还不如说是一个法律理念支配的问题的观点,这种法律理念,表现在对违法行为的矫正上,表现在对实质特征和形式特征效力的优劣安排上,表现在对以公司法为中心的各方主体利益的平衡上,应当充分考虑公司法的团体法和交易法的双重属性,坚持“重形式、轻实体”的理念,坚持“形式化证据一般优先适用,而实质性证据个别例外适用”的原则,就是在涉及有限责任公司股东资格纠纷时,应从着重维护公司内部稳定关系的角度出发,积极遵行商示外观主义和保护善意第三人利.益的指导规则,正确区分公司内外部的法律关系,积极协调公司内部股东和与公司相关利益第三人的利益,保持各方主体的利益平衡。如果不涉及公司及公司股东以外的第三人情况下,则应认定为公司内部法律关系。应着重分析当事人的真实意思表示、有无实际履行出资义务等股东资格认定的实质要件。如果纠纷涉及公司及公司股东以外的第三人,则属于公司外部法律关系,此时相对人有理由信赖通过工商登记、公司章程等外观表象来判断公司及股东的资信情况,为了维护交易的安全和秩序,在认定公司股东资格涉及第三人、公司之间以及股东之间的利益冲突时,应当优先考虑第三人的利益。
[Abstract]:The level of protection of shareholders' rights is the touchstone to test whether the rule of law in a country is mature and fair. The primary premise of protecting shareholders' rights is to identify the shareholders of the company and identify who is the shareholders of the company. The qualification of shareholders is related to the rights allocation and liability burden of the investors in the operation of the legal relationship system with the company as the connecting point. It is a hot topic in the practice of company law. The qualification of shareholders of a company mainly occurs in a limited liability company. The qualification of shareholders is the pre-determination of a series of dispute cases such as the voting rights of shareholders, the right to know, the right to claim for profit distribution, and so on. However, due to the existence of legislative loopholes, in recent years in the practice of corporate law, the phenomenon of competing for equity rights is relatively common, the implementation of the new "Company Law" can not effectively solve this problem, in practice, There are a lot of irregular behaviors in the process of company establishment and equity transfer. For example, some shareholders actually contributed, but did not sign on the articles of association; some shareholders did not actually contribute but signed on the articles of association; some shareholders recorded in the register of shareholders but did not register on the industrial and commercial register; Some shareholders transfer equity has not changed the industrial and commercial registration and the register of shareholders. What kind of standard should be adopted in the determination of shareholder's qualification, and the evidence of shareholder's qualification is various, which makes it difficult to distinguish between true and false shareholder's qualification for a long time. This paper begins with "right path and remedy path", applies the analytical method of "value solicitude and normative concern", stands on the standpoint of "law explanation theory", and gives the shareholder qualification of limited liability company and its acquisition. The basic principles of shareholder qualification, the evidence of shareholder qualification, the concrete rules of shareholder qualification, and the perfection of shareholder qualification system are discussed. This paper points out that the determination of shareholders' qualification is not so much a question of legal technical operation as a question of the domination of legal ideas, which is manifested in the correction of illegal acts. It is manifested in the arrangement of the effectiveness of substantive and formal features, and in the balance of the interests of all parties with the company law as the center. We should fully consider the dual attributes of the corporate law and the transaction law, and insist on "emphasizing the form". The concept of "light entity" insists on the principle that "formal evidence is generally applied first, while substantive evidence is applied with individual exceptions", that is, when it comes to shareholder qualification disputes in a limited liability company, From the angle of maintaining the stable relations within the company, we should actively follow the principle of commercial appearance and protect the interests of bona fide third parties. Benefit guidance rules, correct regional branch internal and external legal relations, actively coordinate the interests of the company's internal shareholders and related interests of the third party, to maintain the interests of the main interests of the balance. If it does not involve the company and a third party other than the shareholders, it shall be deemed to be an internal legal relationship of the company. It is necessary to analyze the real intention of the parties and whether there are the essential requirements of shareholders' qualification determination, such as the actual performance of the obligation of capital contribution. If the dispute involves a third person other than the company and its shareholders, then it belongs to the external legal relationship of the company. At this time, the relative party has reason to rely on judging the credit standing of the company and its shareholders through the appearance of industrial and commercial registration, articles of association, etc. In order to maintain the security and order of the transaction, the interests of the third party should be given priority when the shareholder qualification of the company involves the third person, the conflict of interests between the company and the shareholders.
【学位授予单位】：中央民族大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91

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