论有限责任公司股权转让之限制

发布时间：2018-05-29 20:14

本文选题：有限责任公司 + 股权转让　；参考：《中国政法大学》2011年硕士论文

【摘要】：有限责任公司,以其较低的设立门槛和相对灵活的组织结构,自被创设以来,逐渐在包括我国在内的各国发展为一种极受青睐的企业组织形式。随着投资形式的多样化和资本流动的日趋频繁,使得我国有限责任公司股权转让,尤其是协议股权转让问题大量出现。2005年我国《公司法》修订之后,对有限责任公司股权转让设立专章规定,对旧《公司法》就此过于抽象和原则性的规定进行了诸多改进和细化。但现行《公司法》之规定,在逻辑性和可操作性方面仍存在一些不足。本文将以现行《公司法》第72条为基础,对股权转让基本理论进行梳理的同时,结合其他部分国家和地区协议转让之相关立法例,尝试对我国现行有限责任公司股权转让中协议转让的限制规定提供一些具可操作性之建议。本文分为四部分: 第一章为股权转让基本理论。首先,讨论了股权的概念,明确股权是一种不同于传统物权、债权和人身权的独立的新型民事权利。其次,明确股权转让概念,并论述有限责任公司在股权转让制度设计上面临的资合与人合、法治与自治以及公平与效率三对价值冲突,明确了一个合理而愿意被人们遵守的股权转让制度,须在各项价值之间取得最大平衡。第二章阐述股权内部转让规范。首先,列举部分主要国家和地区有关股权内部转让限制的立法例。其次,评析了我国就股权内部转让从绝对自由模式到章程自治模式的立法选择,论证我国现阶段仍有必要通过立法设置任意性规范,以对公司章程有关规定的设立进行一定引导。进而从保护公司“人合性”、股东期待权以及股东平等原则角度,阐述股权内部转让限制的必要性,对我国有限责任公司股权内部转让限制提出相应立法建议。最后,探讨了我国对股权内部转让导致的一人公司问题应有的立法态度。第三章讨论了股权外部转让。其中重点讨论股权外部转让的同意制度和股东优先购买权制度。首先,列举部分主要国家和地区立法例。其次,以学界争议集中的同意主体、表决规则、推定同意制度的适用以及转让同意制度之救济为切入点,就现有股权转让同意制度展开讨论,并提出相应立法建议。最后,阐述了股东优先购买权的概念、性质、理论基础,并从行使主体、“同等条件”的确定、部分行使优先购买权以及行使期限等方面讨论了优先购买权的行使问题。第四章有限责任公司股权转让限制制度设计之建议分别从有限责任公司股权内部转让和外部转让角度综合阐述了本文对我国股权转让制度的若干立法建议。
[Abstract]:Limited liability company, with its low threshold of establishment and relatively flexible organizational structure, has gradually developed into a very popular form of enterprise organization in various countries, including China. With the diversification of investment forms and the increasing frequency of capital flow, the issue of equity transfer of limited liability companies in China, especially the transfer of agreed shares, appears in large numbers. The establishment of a special chapter on the transfer of shares in a limited liability company has made many improvements and refinements to the provisions of the old Company Law which are too abstract and principled. However, the current provisions of Company Law still have some shortcomings in logic and maneuverability. Based on Article 72 of the current Company Law, this paper will comb the basic theory of equity transfer, and combine with other parts of the countries and regions of the relevant legislation on the transfer of agreements. This paper attempts to provide some operable suggestions on the restrictions on the transfer of shares of limited liability companies in China. This paper is divided into four parts: The first chapter is the basic theory of equity transfer. Firstly, the concept of equity is discussed. It is clear that equity is a new kind of independent civil right which is different from traditional real right, creditor's right and personal right. Secondly, it clarifies the concept of equity transfer, and discusses three pairs of value conflicts faced by limited liability companies in the design of equity transfer system, including the combination of capital and person, the rule of law and autonomy, and fairness and efficiency. It is clear that a reasonable and willing share transfer system should strike the best balance among the values. The second chapter describes the internal transfer of equity norms. First of all, list some major countries and regions on the internal transfer of equity transfer legislation. Secondly, it analyzes the legislative choice of the internal transfer of equity from absolute freedom to the autonomy of articles of association, and proves that it is still necessary to set up arbitrary norms through legislation in our country at the present stage. To guide the establishment of the articles of association. From the point of view of protecting the "human nature" of the company, the right of expectation of shareholders and the principle of equality of shareholders, this paper expounds the necessity of the restriction on the internal transfer of equity, and puts forward corresponding legislative suggestions on the restriction of the internal transfer of equity in the limited liability company of our country. Finally, the author discusses the legislative attitude of our country to the problem of one-man company caused by internal transfer of equity. The third chapter discusses the external transfer of equity. It focuses on the consent system of external transfer of equity and the system of shareholders' preemptive right. First of all, some major countries and regions are listed as examples of legislation. Secondly, with the consent subject, voting rules, the application of the presumption consent system and the relief of the transfer consent system as the starting point, this paper discusses the existing consent system of the transfer of shares and puts forward the corresponding legislative proposals. At last, this paper expounds the concept, nature and theoretical basis of the prior purchase right of shareholders, and discusses the exercise of the preemptive right from the aspects of the exercise subject, the determination of "equal conditions", the partial exercise of the preemptive right and the duration of the exercise of the preemptive right. The fourth chapter of the limited liability company equity transfer restriction system design recommendations from the limited liability company equity transfer internal and external transfer perspective of the comprehensive elaboration of this article on the stock transfer system of some legislative suggestions.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91

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