有限责任公司股东资格确认思路的反思与重构

发布时间：2018-08-03 09:15

【摘要】：公司是市场经济中主要的商事主体,构建现代化企业制度的关键节点就是公司制度设计合理和规范遵循。公司制度建设的质量如何,不仅影响着一个地区,甚至一个国家经济社会发展的活动与潜力。当前,我国正处在经济社会重要战略转型期,经济体制的改革浪潮中,首当其冲的就是对公司制度的变革。而公司制度的主要价值取向,是调整好公司、股东与第三人等各种利益主体的关系,其中又以股东与公司的关系最为重要、最为根本。但我国公司制度的现实运作过程中,囿于立法层面的不完善和现实运作的不规范,使得多种类型的公司诉讼案件都不同程度地关联到了股东资格的确认问题,甚至股东资格确认问题成为处理许多诉讼案件的前置性问题。因此,研究探讨股东资格确认中的各种法律问题具有很大现实价值。本文共分为四部分对有限责任公司股东资格确认中的若干法律问题进行了探讨。第一部分：有限责任公司股东及股东资格的基本理论。重点介绍了有限责任公司股东、股权、股东资格的概念及其三者之间相互关系,股东资格的原始取得和继受取得方式。第二部分：股东资格确认的基本规则和法律环节。其中重点分析了认定股东资格应当始终秉持的六大规则,并对认定股东资格的六个主要环节分别阐述了各自的性质和意义。公司章程对于公司外部与内部股东资格纠纷具有一定证据意义,但对章程的决定性地位,需要综合商榷。实际出资是影响股东资格认定的重要因素,在处理公司内部法律关系时具有较大意义,但是它不是作为确认股东资格的唯一标准,也不是取得股东资格的必要条件和充分条件。出资证明书只是出资行为的表现形式和载体,其功效应依附于实际出资,且证明力应该等于至少不能超过实际出资的证明力。股东名册只是一个证权性的文件,其本身并不具有创设股东资格的效力,对于公司与股东之间的纠纷具有较强的证据效力,但是对于股东与股东之间的纠纷,股东与第三人之间的纠纷证明力则比较薄弱。公司的工商登记是用以证明股东资格并对抗第三人的表面证据,属于宣示性证据,具有相对优先的证权效力。实际享有和行使股东权利的并不是股东资格取得的条件,其对于股东资格确认只是一个重要事实证据,但并是不股东资格确认的充分条件,更不是必要条件。第三部分：我国股东资格确认思路的反思和重构。首先针对现实中对股东资格确认思路的进行了认真反思,其次在此基础上,重点阐述了对股东资格确认思路的重构设想。认为由于我国公司法并没有对股东资格的取得基准点作出强制性规定,司法实践中不应当,也不可能去通过确定一个一成不变的客观标准来对股东资格进行机械认定。在认定股东资格时,应当从基本的民事法律关系出发进行分析。认定民事主体是否具有股东资格,实质是认定当事人之间是否形成了有效的股权关系。而股权关系作为平等主体之间的民事法律关系,实践中多是基于法律行为而创设,因此股东资格的确认应当着重围绕着民事法律行为三个有效要件：主体必须具有民事权利能力和行为能力；意思表示真实；标的合法存在予以考虑。第四部分：我国司法实践中股东资格确认问题之分析。首先针对司法实践中,股东资格确认纠纷在诉讼程序中遇到的案件受理、案由确定、管辖以及诉讼费用收取等方面问题进行分析,认为股东资格确认纠纷实质就是股权确认纠纷,是民事主体要求确认与目标公司之间是否存在投资与被投资的股权关系的纠纷。其次结合实际案例对发起人的股东资格、公司增资中的股东资格、股权转让时的股东资格、隐名出资人的股东资格四种司法实践中经常遇到的股东资格确认诉讼中需要重点把握的问题进行分析。最后,针对公司的形式变更义务履行不及时导致的执行问题,提出了对策建议。
[Abstract]:The company is the main business subject in the market economy. The key node of building a modern enterprise system is the rational design and standard compliance of the company system. The quality of the construction of the company system not only affects the activities and potential of a region, even a country's economic and social development. At present, our country is in an important economic and social strategy. In the transition period, in the tide of the reform of the economic system, the most important thing is to change the company system. The main value orientation of the company system is to adjust the relationship between the company, the shareholders and the third people, among which the relationship between the shareholders and the company is the most important and the most fundamental. But in the actual operation of the company system in China, the company system is in the process of operation. Owing to the imperfection of the legislative level and the nonstandard operation of the actual operation, many kinds of litigation cases are related to the confirmation of the shareholders' qualifications to varying degrees. Even the problem of shareholder qualification has become a prepositional problem in dealing with many cases. It is of great practical value.
This article is divided into four parts to discuss some legal problems in the confirmation of shareholder qualification of limited liability company.
The first part: the basic theory of shareholders and shareholder qualifications of a limited liability company. It focuses on the concept of shareholders, equity and shareholder qualifications of the limited liability company, the relationship between the three parties, the original acquisition of the shareholders' qualification and the way of acquiring the shareholder's qualifications.
The second part: the basic rules and legal links of the qualification confirmation of shareholders, which focuses on the analysis of the six rules that the qualification of shareholders should always be held, and the respective nature and significance of the six main links of the qualification of shareholders. The articles of association have certain evidence for the disputes between the external and internal shareholders of the company. Meaning, but the decisive position of the articles of association requires a comprehensive discussion. The actual capital contribution is an important factor affecting the qualification of the shareholders. It is of great significance in dealing with the internal legal relations of the company. But it is not the only standard to confirm the qualification of the shareholders, nor is it the necessary condition and sufficient condition to obtain the qualification of the shareholders. It is the form and carrier of the investment behavior, its effectiveness should be attached to the actual capital contribution, and the proof should be equal to at least the proof of the actual capital contribution. The list of shareholders is only a certificate authority document, which itself does not have the effect of creating the shareholder's qualification, and has strong evidence effect for the disputes between the company and the shareholders. But for the dispute between shareholders and shareholders, the dispute between the shareholders and the third party is relatively weak. The business registration of the company is used to prove the qualification of the shareholders and against the surface evidence of the third party. It belongs to the declarative evidence and has a relative priority of the right of proof. The condition obtained is only an important factual evidence for the confirmation of shareholder qualification, but it is not a sufficient condition for the confirmation of shareholder qualification, let alone a necessary condition.
The third part: Rethinking and reconstructing the thinking of shareholder qualification confirmation in our country. Firstly, this paper makes a serious reflection on the thinking of shareholder qualification in reality. On the basis of this, it focuses on the reconstruction idea of the thinking of shareholder qualification. It is not necessary for the judicial practice to determine the qualification of shareholders by determining an immutable objective standard. In determining the qualification of the shareholders, it should be analyzed from the basic civil legal relationship. It is found that whether the civil subject has the shareholders' qualification, the essence is to determine whether the parties are formed or not. The equity relationship is the civil legal relationship between the equal subjects. In practice, most of the practice is created on the basis of legal behavior. Therefore, the confirmation of the shareholder's qualification should focus on three effective elements of civil legal behavior: the subject must have the power of civil rights and the ability to act; the meaning is true and the subject is the subject. Legal existence is considered.
The fourth part: the analysis of the confirmation of shareholder qualification in judicial practice in our country. First, in the case of judicial practice, the case is accepted, the case is confirmed, the jurisdiction and the charge of the lawsuit are collected. It is considered that the essence of the dispute of shareholder qualification is the dispute of equity confirmation. The civil subject requires the confirmation of the dispute between the existence of the investment and the equity relationship between the Target Corp and the Target Corp. Secondly, the shareholder qualification of the shareholder, the shareholder qualification in the company's increase, the shareholders' qualification in the equity transfer, the shareholders' qualification of the private investor, and the shareholder qualification of the invisible investor are confirmed by the actual case. Finally, the paper puts forward some countermeasures and suggestions to solve the problem of execution caused by the delay in fulfilling the obligation of changing the form of the company.
【学位授予单位】：山东大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91

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