有限责任公司股东资格法律制度研究

发布时间：2018-05-16 01:38

本文选题：股东资格 + 意思自治　；参考：《武汉大学》2010年博士论文

【摘要】： 本文以尊重股东的意思自治为核心价值取向,围绕确立一个公平而有效的有限责任公司股东资格法律制度而展开,试图解决以下三方面的问题：(1)有限责任公司股东资格法律制度价值取向问题；(2)有限责任公司股东资格法律制度构建问题；(3)有限责任公司股东资格相关的法律热点问题。本文以意思自治之立法理念为纲,以股东资格制度之法律规制为目,试图遵循这样的思路：在立足“契约自由”可实现有限责任公司股东资格制度功能的基础上,检讨有限责任公司股东资格原始取得和继受取得的理论依据与实践基础,进而探讨意思自治的维度及其法律限定,论证丧失股东资格法律制度中意思自治与公司法规范之间的联系,最后就股东资格有关热点问题进行探索。本文除引言外,共分六章,各章节安排如下：第一章“有限责任公司股东资格立法之价值取向：以自由为主体价值”,从有限责任公司股东及其股东资格概念入手,说明股东资格与权利能力、法人人格、股东权、股权等一组概念的差异,廓清股东资格概念的内涵及外延,进而点明股东资格法律制度在公司法中的功能定位。紧接着,反思股东资格立法的各项原则,主张在公司中的私人秩序中应崇尚自由,同时为自治注入反思理性将是股东资格法律制度的价值取向。并以此为本,从法经济学、法社会学两大方法论中寻找理论解释力,结合股东资格制度本身进一步阐述确立该种价值取向的进步性。第二章“有限责任公司股东资格之原始取得”,逐项讨论原始取得时认定有限责任公司股东资格的各项依据及其法律意义,展开对此认定标准的理论争鸣,认为应将公司章程作为认定公司与股东双方就取得股东资格这一事项达成合意的核心证据,同时在制度配置上应合理定位公司章程登记制度的公示效力。并认为股东名册仅具有保护股东一方意思表示的效力,股东名册对于股东资格的取得仅有推定效力而无确定效力。第三章“有限责任公司股东资格之继受取得”,公司成立后公司章程成为公司中的宪章,在继受取得领域中因其制约迅捷变动股权的目的,其成为股权变动中股东资格核心确认要件的正当性受到拷问。在继受取得过程中,以股权转让合意作为股东资格变动的生效要件,其它股东同意或记载于股东名册作为股东资格变动对抗公司的要件,变更工商登记作为股东资格变动对抗第三人的要件。此外,探讨外资企业、国有企业股权变动时确定股东资格的特殊规则,并在股东资格继承领域指明公司章程能够起到保护被继承人意愿并协调公司人合性的重要作用。离婚案件中,应确认夫妻对于股东资格共有股东资格,并确立离婚时股东资格确认的一般规则。第四章“有限责任公司股东资格之丧失”,在股东资格丧失领域,契约自由仍是异议股东股份回购请求权、公司解散请求权等制度得以存在的法哲学基础,但人合性和资本信用的要求促使法律更多插手此阶段的股东与公司之间的意思自治过程。试图从行使权利的主体、程序、事由等方面寻找自由与强制之间的维度,选择对契约自由进行合理的限制。第五章“有限责任公司股东资格相关问题讨论：对热点问题的探索”,在隐名出资人问题上,构建确认隐名出资人股东资格的前提条件、生效要件、对抗公司要件及对抗第三人要件的证据体系,一旦确认隐名出资人的股东资格后应认定其与显名出资人之间成立共有关系,同时不可忽视工商登记的重要作用。将瑕疵出资行为区分为严重和一般两种情形,并认为一般瑕疵出资人能够在符合其他条件时取得股东资格。以德国法上职工持股制度之立法理念与程序设计为线索,探讨职工持股会与股东资格之间的法律联系,重申构建生效、对抗公司和对抗第三人这一证据体系的积极意义。
[Abstract]:This article, taking the autonomy of the shareholders as the core value orientation, starts with the establishment of a fair and effective legal system for the shareholders' qualification of limited liability companies, and tries to solve the following three problems: (1) the value orientation of the legal system of the shareholders' qualification of the limited liability company; (2) the legal system of the shareholders' qualification of the limited liability company Construction problems; (3) the legal hot issues related to the shareholders' qualification of the limited liability company. This article takes the legislative idea of the autonomy of meaning as the outline and aims at the legal regulation of the shareholder qualification system, trying to follow this idea: on the basis of the "freedom of contract" to realize the function of the limited liability company's East qualification system, the limited liability is reviewed. The theoretical basis and practice basis of the original acquisition and acceptance of the shareholders' qualification of the company, and then the dimension of the autonomy of the meaning and its legal limitation, and the connection between the autonomy of the shareholders and the standard of the company law in the legal system of the loss of shareholders' qualification, and finally the exploration of the hot issues related to the qualification of shareholders.
In addition to the preface, the paper is divided into six chapters. The chapters are arranged as follows:
The first chapter "the value orientation of the shareholders' qualification legislation of the limited liability company: taking freedom as the main value", starting with the concept of shareholders and shareholders' qualification of the limited liability company, explains the differences in the concept of shareholders' qualification and rights, legal personality, shareholder's right and equity, outlines the connotation and extension of the concept of shareholders' qualification, and then points out the shares. The functional orientation of the eastern qualification law system in the company law is followed by rethinking the principles of the shareholders' qualification legislation, advocating freedom in the private order in the company and the value orientation of the shareholder qualification legal system for self-government injection. To find out the theoretical explanation power, combined with the shareholder qualification system, it further expounds the progress of establishing the value orientation.
The second chapter, "the original acquisition of the shareholders' qualification of the limited liability company", discusses each basis and legal significance of the identification of the shareholders of the limited liability company at the time of original acquisition, and argues the theoretical contention of this standard. It is believed that the articles of association should be considered as the agreement between the company and the shareholders to obtain the shareholders' qualification. The core evidence of Italy, at the same time, should reasonably locate the publicity effect of the registration system of the company's articles of association in the system configuration, and think that the register of shareholders only has the effect of protecting the meaning of the shareholder's party, and the register of shareholders has only the presumption effect and no definite effect on the acquisition of the shareholder's qualification.
The third chapter, "the successor of the shareholders of the limited liability company", the company constitution becomes the Charter in the company after the establishment of the company. In the field of acquisition, the legitimacy of the core confirmation of the shareholder's qualification in the change of equity is tortured. As an important element of the change of the shareholder's qualification, the other shareholders agree or record the requirements of the shareholders' list as the elements of the shareholder's qualification change against the company, and change the requirements for the change of the business registration as a shareholder's qualification change against the third party. In addition, the special rules for determining the shareholders' qualification when the ownership of the state-owned enterprises are changed and in the shareholders are discussed. The field of qualification and inheritance indicates that the articles of association of the company can play an important role in protecting the wishes of the successor and coordinating the joint nature of the company. In the case of divorce, the general rule of the shareholders' qualification of the shareholders and the confirmation of the qualification of the shareholders in the divorce shall be confirmed.
The fourth chapter "the loss of shareholder qualification of limited liability company", in the field of shareholders' loss of qualification, the freedom of contract is still the legal philosophy foundation of the system of dissenting shareholders' share repurchase request and company disbandage right of request, but the requirements of human and capital credit urge the law to interfere more with the meaning between shareholders and companies in this stage. In the process of autonomy, we try to find the dimension between freedom and coercion from the subjects, procedures and causes of exercising rights, and choose reasonable restrictions on freedom of contract.
The fifth chapter, "Discussion on the shareholders qualification of limited liability company: the exploration of hot issues", on the issue of anonymous contributors, construction of the prerequisite conditions for confirming the qualification of shareholders of the invisible investor, the effective elements, the antagonism of the company elements and the evidence system against the third elements of the investor, once the qualification of the shareholders of the invisible investor should be confirmed, should be identified. It has a common relationship with the famous investor. At the same time, it can not ignore the important role of industry and commerce registration. It divides the behavior of defective capital contribution into two cases of serious and general conditions, and thinks that the general defective contributor can obtain the shareholders' qualification when it meets the other conditions. To explore the legal relationship between ESOP and shareholder qualification, and reiterate the positive significance of establishing the evidence system against the company and against the third party.

【学位授予单位】：武汉大学
【学位级别】：博士
【学位授予年份】：2010
【分类号】：D922.291.91

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