有限责任公司股权质押问题研究

发布时间：2018-07-21 09:16

【摘要】：股权是股东在公司中享有的各项权利的总称,具有财产的性质,作为适格的担保标的,已被各国法律所普遍认可,并应用于质押制度之中。随着市场经济的发展,当代股权质押制度应运而生。股权质押为债务人或第三人以其享有处分权的股权为担保,将股权证明转移为债权人占有,或以法律规定的方式予以公示,将股权质押于债权人以保证其自己或他人债务得以履行,当债权的全部或部分无法实现时,债权人得将债务人用以担保的股权折价或拍卖,并就所得价款优先受偿的制度。我国《公司法》将公司的类别规定为股份有限公司和有限责任公司两大类,本文重点介绍有限责任公司的股权质押制度。全文约三万字,共分为四个部分：第一部分：股权质押及其特殊性。这一部分从股权质押的概念着手,并将股权质押与动产质押、权利抵押、让与担保三个容易与股权质押混淆的概念进行辨析,将股份有限公司和有限责任公司的股权质押制度作为一个整体进行介绍,引出股权质押的风险性、权利性、效益性三个特征,并强调股权质押之所以特殊,是因为其特殊的标的——股权。然后论述股权的法律价值追求,包括安全价值、效率价值和公平价值。在本部分的最后一节,将有限责任公司的股权质押制度与股份有限公司的股权质押制度在总体上的不同进行对比,抽离有限责任公司股权质押的特征,并明确有限责任公司的股权质押按时间的顺序分为设立、存续、实现三个阶段。第二部分：有限责任公司股权质押的设立。从这一部分开始,正式论述有限责任公司股权质押中的问题,介绍的同时将其与股份有限公司的股权质押制度进行对比。有限责任公司股权质押的设立包括合同的签订与股权质押的公示两方面内容。由于《担保法》混淆了股权质押的生效与股权质押合同的生效,因此在本部分将对这一问题作以分析。有限责任公司在股权质押设立时对出质股东做了特别的限制,限制的力度等同于股权转让,笔者认为这是不尽合理的,因此在本部分将会提出自己对这一问题的看法。有限责任公司股权质押的公示方式是登记,但登记的同时意味着股权的占有由出质股东转移给了质权人,这是由股权的特殊性决定的。第三部分：有限责任公司股权质押的存续。股权质押的存续期间指股权质押设立之后,实现之前的这一段期间。在此期间内,当事人各方行使权利履行义务的主要依据是股权质押合同。依据合同的约定及法律的规定,质权人享有股权质权的保全权、物上代位权、转质权、知情权、查阅权、获得通知权等权利,并承担对出质人行使相应股权的容忍、股权保管等相应义务。出质人享有出质股权的表决权、新股优先认购权,同时也承担了不得处分股权、保值增值、股权价值下跌通知等义务。从整体上来讲,出质人与质权人的权利义务是相互补充的,这是因为在这一阶段,保障股权质押关系的稳定与安全是最为重要的,所以当事人之间的权利义务需要相互制衡。第四部分：有限责任公司股权质押的实现。股权质押之所以能够起到担保主债权的功能,其根本原因在于若主债权到期得不到履行,质权人可将所质押股权实现,并就其价款优先受偿。虽然不能说股权质押制度的目的就是股权质押的实现,但股权质押的实现无疑是股权质押制度的灵魂,这也是法律在股权质押的设立及存续期间对当事人各方作出诸多约束的原因所在。股权质押的实现需要具备一定的条件,首先,股权质押必须合法有效存在。其次,主债权清偿期届满而未获得清偿或未获得完全清偿。再次,到期债权未受清偿不可归因于质权人。以上三个条件必须同时满足。在股权质押实现的三种方式中,变卖更适用于有限责任公司。股权质押实现的同时,也是债权人优先受偿权的实现,而针对有限责任公司,股权转让时股东的优先购买权是其区别于股份有限公司的重要特征,也是其人合性的体现,笔者将在这一部分将股权质押实现中的“两个优先权”单独作以介绍。最后,将论述股权质押实现中的一个特殊问题,公司破产对股权质押实现的影响。
[Abstract]:With the development of the market economy , the creditor has to transfer the stock right into the creditor ' s possession , or in the manner prescribed by law , to convert the stock right into the creditor ' s possession , or to make public announcement in the manner prescribed by law . When the whole or part of the creditor ' s rights cannot be realized , the creditor shall convert the stock right into the creditor ' s possession , or make the auction of the stock right which is guaranteed by the debtor , and give priority to the resulting price .

The full text of about 30,000 words is divided into four parts :

In the last section of this part , we discuss the equity pledge system of the limited liability company and the equity pledge system of the limited liability company as a whole , draw out the characteristics of the equity pledge of the limited liability company and make clear that the stock pledge of the limited liability company is divided into three stages according to the order of time .

Part Two : The establishment of the equity pledge of the limited liability company . From this part , it formally discusses the problems in the stock pledge of the limited liability company , and compares it with the equity pledge system of the stock limited company . The establishment of the limited liability company ' s equity pledge includes the signing of the contract and the effect of the equity pledge contract .

The third part : The stock rights pledge of the limited liability company is continued . During this period , the principal basis for the realization of the rights of the parties is the equity pledge contract . According to the agreement and the law of the contract , the pledgee has the right to the right to pledge , the right to change , the right to change , the right to know , the value of the stock right and the notice of decline of equity value .

Fourth part : The realization of the equity pledge of limited liability company . The reason lies in that if the principal creditor ' s creditor ' s rights are not fulfilled , the quality right person can realize the pledged stock right , and it is the soul of the creditor ' s priority .
【学位授予单位】：吉林大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91

【引证文献】