我国股权质押法律风险问题探析

发布时间：2018-06-26 23:55

本文选题：股票 + 股权　；参考：《西南财经大学》2010年硕士论文

【摘要】：股权质押作为一种随着现代公司制度发展而兴起的一种新型的权利质押方式,随着市场经济的完善和金融流通的发展,股市也逐渐发达起来,以股权、股票为质押标的物的担保活动日渐增多。同时,股权质押因反映了当代物权法以利用为中心的价值取向,在现代经济社会中越来越凸显其重要作用。股权质押制度是担保制度中的一个问题,它内容涉及广泛,包括经济学、法学两个基础法学学科领域,具体覆盖了物权法、债权法、公司法、证券法等多个分支领域,是一个极具综合性和发展性的现实课题。我国现行的有关股权质押制度的法律规范还不尽完善,因为市场和金融交易的复杂多变特点,相关法律条文在制度设计上也存在诸多亟待解决现实缺陷。本文通过对比国内外相关法律规定及法学理论的基础上,系统地研究了以上诸问题,对法律规定过于宽泛,在实际操作中有分歧的问题进行系统的理论分析,并力图从促进经济交往安全性的角度提出可行性建议。本文对股权质押法律制度的研究集中在满足基础理论研究诉求和迎合时代现实需要两个基本点上,第一部分通过系统的阐释和解析我国股权质押法律规范的理论起始概念、法律价值取向,对关于股权质押的相关法律理论基础做一个明确的理论梳理。第二部分通过对股权质押制度、股权质押的设立、股权质押效力的理论分析,进而阐明股权质押相关制度设计的法理基础。第三部分对股权质押实现条件和实现方法的现实操作行进行论证,找出股权质押在现实操作程序上的价值诉求。第四部分针对现实需要,即结合后危机时代的风险规避需要,尝试讨论和探析我国股权质押可能存在金融和信用风险。第五部分对相关法律规范做出简要分析,并从几个不同的角度对股权质押制度的完善提出可行性对策和建议。
[Abstract]:As a new type of pledge of rights developed with the development of modern company system, with the improvement of market economy and the development of financial circulation, the stock market is gradually developed. The security activity of stocks as the subject matter of pledge is increasing day by day. At the same time, equity pledge reflects the value orientation of contemporary property law, which is more and more important in modern economic society. The system of equity pledge is one of the problems in the security system. It involves a wide range of subjects, including economics and law. It covers many branches such as property law, creditor's right law, company law, securities law and so on. Is a very comprehensive and developmental reality of the subject. Because of the complex and changeable characteristics of the market and financial transactions, there are many practical defects in the system design of the relevant legal provisions. On the basis of comparing the relevant laws and regulations at home and abroad and the theory of law, this paper systematically studies the above problems, and makes a systematic theoretical analysis of the legal provisions which are too broad and diverging in practice. And try to promote the safety of economic exchanges from the point of view of the feasibility of suggestions. The research on the legal system of equity pledge in this paper focuses on two basic points: satisfying the basic theoretical research demands and catering to the needs of the times. The first part explains and analyzes the theoretical starting concept of the legal norms of equity pledge in China through systematic explanation and analysis. Legal value orientation, the relevant legal theoretical basis of equity pledge to do a clear theoretical comb. In the second part, through the theoretical analysis of the system of equity pledge, the establishment of equity pledge and the validity of equity pledge, the legal basis of the design of the relevant system of equity pledge is expounded. The third part demonstrates the realization conditions and methods of equity pledge, and finds out the value demand of equity pledge in practical operation procedure. The fourth part tries to discuss and analyze the possible financial and credit risk of stock pledge in China according to the need of risk aversion in the post-crisis era. The fifth part makes a brief analysis of the relevant legal norms, and puts forward feasible countermeasures and suggestions for the perfection of equity pledge system from several different angles.
【学位授予单位】：西南财经大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91;D923

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