有限责任公司股权外部转让合同效力研究

发布时间：2018-07-21 10:41

【摘要】：我国的有限责任公司兼有人合性和资合性的特点,其特性就决定了有限责任公司的股东不能随意退股而丧失股东资格,也不能像上市公司那样能在证券交易所自由交易自己的股权,因此,股份有限责任公司的股东要退出公司就要通过股权转让来实现。在有限责任公司的股权转让过程中,我国《公司法》对股权转让做出了限制性的规定,股东的优先购买权,全体股东过半数同意权等。而且在股权外部转让中签订的股权外部转让合同要涉及到股东、公司、受让人三方的利益,这三方的利益如何能够得到均衡,使各方利益都能得到全面的保护是一个比较复杂的问题。本文主要从《合同法》、《公司法》两方面入手运用比较分析的方法探讨有限责任公司股权外部转让合同的效力问题,以及对国内外不同观点和司法实践中的问题进行研究,从而提出自己的观点。本文主要分为五个部分。第一部分主要阐述有限责任公司股权转让基本理论,通过对股权转让的内涵分析,得出我国有限责任股权转让分为外部转让和内部转让,本文主要研究有限责任公司股权的外部转让。本部分还对股权转让的特征和原则进行了一定的介绍,股权转让的原则主要包括转让自由原则和限制原则。第二部分主要是对我国《公司法》对有限责任公司股权转让的限制性规定作出了分析,有限责任公司股权转让的限制性规定主要是由我国的有限责任公司具有人合性和资合性的特定决定的。公司为了维护本公司和其他股东的利益,在外部转让时作出了限制,限制性的规定主要是在股权外部转让时同意权和优先购买权两个方面。第三部分主要是对有限责任公司股权外部转让的比较法研究,从国外国内两方面比较分析股权转让时各国的不同的法律规定。在大陆法系中,公司股东对外转让股权必须要经过同意权和优先购买权;在英美法系中,也对优先购买权和同意权作出了相应的规定。我国公司法以及《公司法》司法解释(三)对有限责任公司股权外部转让时的同意权虽然作出了规定,但是存在一定的问题,文中笔者对这些问题提出自己的一点看法。第四部分主要是对股权外部转让合同效力的争议问题进行研究,即对股权外部转让的不同观点进行比较分析,主要有无效说、可撤销说、附条件说、效力待定说和未生效说。第五部分对股权外部转让合同的法定因素和约定因素分析进行分析,同时对于股权外部转让合同的效力认定是本部分的重点,对《公司法》中两种特殊的外部转让合同的效力怎样确定问题进行分析。股权外部转让合同的效力的确定进行研究,结合上面的股权外部转让合同的四种不同观点,最后得出笔者比较认同的观点。在文中对股权登记与股权外部转让合同的效力的关系,以及瑕疵股权外部转让时,股权外部转让合同的效力怎样确定也作出了一定的分析。对股权转让合同效力的认定到底是适用《合同法》或者是《公司法》得出了两种不同的结论,即效力待定合同和无效合同,其中在无效合的确定过程中,提出了两种理论即共同行为和组织合同,通过研究笔者认为股权外部转让合同的认定应当适用《公司法》的规定,认定其应当是一个无效的合同。
[Abstract]:The limited liability company of our country has the characteristics of concurrently and capital, its characteristic determines that the shareholders of the limited liability company can not lose the shareholder's qualification at will, and can not deal freely with the stock exchange like the listed company. Therefore, the shareholders of the company who have the limited liability companies want to exit the company. In the process of equity transfer of a limited liability company, the company law of China has made a restrictive regulation on the transfer of shares, the right of preemption of the shareholders, the majority of the shareholders' right to consent, and the interest of the three party of the shareholders, the company and the assignee involved in the transfer of equity in the external transfer of shares. How to balance the interests of the three parties and to protect the interests of all parties is a complex problem.
This paper, starting with the two aspects of the contract law and the company law, discusses the effectiveness of the external transfer contract of the limited liability company by comparative analysis, and studies the problems in different views and judicial practice at home and abroad, and then puts forward his own views. This paper is divided into five parts.
The first part mainly expounds the basic theory of the share transfer of the limited liability company. Through the analysis of the connotation of the equity transfer, we can draw the conclusion that the transfer of limited liability shares is divided into external transfer and internal transfer. This article mainly studies the external transfer of the shares of the limited liability company. The principle of transfer of shares mainly includes the principle of freedom of transfer and the principle of restriction.
The second part mainly analyzes the restrictive provisions of the company law on the transfer of shares of the limited liability company. The limited liability for the transfer of the limited liability company is mainly determined by the specific decision of the limited liability company of our country. The company has the interests of the company and other shareholders in order to maintain the interests of the company and other shareholders. The restriction was made in two parts: the right of consent and the right of preemption when the shares were transferred externally.
The third part is the comparative study of the external transfer of the shares of the limited liability company. In the continental law system, the shareholders of the company must pass the right of consent and the right of preemption in the continental law system. In the common law system, the right of preemption and the same are also the same. There are some problems in the company law of our country and the judicial interpretation of the company law (three), but there are some problems. In this paper, the author puts forward some opinions on these problems.
The fourth part is mainly to study the dispute on the validity of the external transfer contract, that is, to compare and analyze the different views of the external transfer of the stock right.
The fifth part analyses the legal factors and the agreed factors of the external transfer contract. At the same time, the determination of the effectiveness of the external transfer contract is the focus of this part. The analysis of how to determine the effectiveness of the two special external transfer contracts in the company law. The study, combined with the above four different views on the external transfer contract, finally draws the opinion that I agree with. In this paper, the relationship between the equity registration and the effectiveness of the external transfer contract, and the external transfer of the defective shares, how to determine the effectiveness of the external transfer contract of the stock right have also been analyzed. The determination of the validity of the contract is to apply the contract law or the company law to two different conclusions, that is, the validity of the contract and the invalid contract. In the process of determining the ineffectiveness, two theories are put forward, namely, the common behavior and the organization contract. The company law stipulates that it should be an invalid contract.
【学位授予单位】：河南大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D923

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