有限责任公司股东法定退出机制研究

发布时间：2018-09-05 12:13

【摘要】：当今世界有限责任公司作为一种股东人数有限,经营管理较为灵活的组织形式,被众多企业普遍采用,其数量远超股份有限公司,所以对社会经济生活的影响非常之大。由于有限责任公司兼具封闭性和人合性之特征,在缺乏股权公开交易的市场,中小股东进去容易退出难,其投资就极易被锁定在公司。许多国家为了保护中小股东的权益,实现股东之间的公平正义,在公司陷入僵局,或者控股股东违反了诚信义务出现压制情况,中小股东的合理期待落空,公司经营管理发生重大困难等情况下,规定了专门适用于有限责任公司的股东法定退出机制。我国2005年修订的《中华人民共和国公司法》也首次对有限责任公司的股东法定退出作出了规定,但存在救济情形不全面、程序规定过于简单等问题。所以,有必要对我国有限责任公司股东法定退出机制作进一步的研究,以期更加完善。本文除前言和结语外,共分四章：第一章,有限责任公司股东法定退出机制的概论。笔者首先介绍了有限责任公司的产生及其特征,进而对股东法定退出机制的含义进行界定：指法律赋予有限责任公司股东的,出于法定事由,以通过司法解散公司、或行使异议股东股权回购请求权等方式来退出公司,股东丧失股权同时失去股东资格并得到相应合理价款的退出制度。其次,结合有限责任公司封闭性、人合性等特点,笔者详细阐述了设立有限责任公司股东退出机制的必要性,再次,分析了有限责任公司股东退出机制的法理基础：公司契约理论下的股东合理期待权,控股股东的诚信义务理论,利益衡平理论。最后分析了在有限责任公司股东法定退出的情况下对各相关主体的影响。第二章,两大法系代表国家股东法定退出机制的比较研究。具体分析了英美法系代表国家—美国、英国和大陆法系代表国家—德国、日本对有限责任公司的股东法定退出机制的法律规定或判例,在此基础上,将两大法系代表国家在这项制度上的异同点进行了比较评析。两大法系具代表性的美国的法定退出方式有：异议股东股权回购请求权、公司司法解散以及解散替代性措施；德国的法定退出方式有：退股权、除名权以及公司司法解散。第三章,我国有限责任公司股东法定退出机制的演变和现状评析。笔者以历史分析和实证研究的方法,同时从立法理念和司法实践两个方面对我国有限责任公司股东法定退出机制的历史演变和现状进行了具体评析,指出新《公司法》确立股东法定退出机制后其积极的一面,并在此基础上指出新《公司法》在退出机制方面的不足之处。第四章,我国有限责任公司股东法定退出机制的完善建议。在借鉴国外比较成熟的股东法定退出机制的基础上,结合我国经济社会实际情况,对我国新《公司法》规定的有限责任公司股东法定退出机制提出了适用原则：公平和效率原则、商主体优化原则和利益平衡原则,并进一步对异议股东股权回购请求权和司法解散制度提出了完善建议。
[Abstract]:As a kind of organization form with Limited shareholders and flexible management, limited liability company is widely adopted by many enterprises in the world. Its quantity is far more than that of limited liability company, so it has great influence on social and economic life. In order to protect the rights and interests of the minority shareholders and achieve fairness and justice among the shareholders, many countries fall into a deadlock in the company, or the controlling shareholders violate the obligation of good faith and suppress the situation, the reasonable expectations of the minority shareholders are frustrated, and the management of the company is issued. In the case of serious difficulties, the statutory withdrawal mechanism for shareholders specially applicable to limited liability companies has been stipulated. The Company Law of the People's Republic of China, revised in 2005, also provides for the statutory withdrawal of shareholders of limited liability companies for the first time, but there are some problems such as incomplete relief and too simple procedural provisions. We should further study the legal withdrawal mechanism of shareholders in China's limited liability companies in order to improve them.
In addition to the preface and conclusion, the paper is divided into four chapters.
The first chapter is an introduction to the legal withdrawal mechanism of the shareholders of a limited liability company. The author first introduces the emergence and characteristics of the limited liability company, and then defines the meaning of the legal withdrawal mechanism of the shareholders: refers to the legal provisions given to the shareholders of a limited liability company, for legal reasons, through the judicial dissolution of the company, or the exercise of objection shareholders'equity. Secondly, the author elaborates the necessity of setting up a shareholder withdrawal mechanism of limited liability company, and analyzes the stock of limited liability company. The legal basis of the Eastern Exit Mechanism: the reasonable expectation right of shareholders under the company contract theory, the good faith obligation theory of controlling shareholders, the interest balance theory.
Chapter two is a comparative study of the legal withdrawal mechanism of shareholders in the two legal systems.It analyzes the legal provisions or precedents of the legal withdrawal mechanism of shareholders in the limited liability companies in the common law system-the United States, the United Kingdom and the continental law system-Germany, and Japan. The legal withdrawal methods in the United States, which are representative of the two legal systems, are as follows: the right of objecting shareholders to repurchase their shares, the judicial dissolution of the company and the alternative measures for dissolution; and the legal withdrawal methods in Germany are as follows: the withdrawal of shares, the right of delisting and the judicial dissolution of the company.
In the third chapter, the evolution and present situation of the legal withdrawal mechanism of shareholders in China's limited liability companies are reviewed. The author makes a concrete analysis of the historical evolution and present situation of the legal withdrawal mechanism of shareholders in China's limited liability companies from two aspects of legislative ideas and judicial practice by means of historical analysis and empirical research, and points out that the new Company Law is correct. On the positive side of the legal withdrawal mechanism of shareholders, this paper points out the shortcomings of the new Company Law in the withdrawal mechanism.
Chapter Four: Suggestions for perfecting the legal withdrawal mechanism of shareholders in China's limited liability companies. On the basis of drawing lessons from the relatively mature legal withdrawal mechanism of shareholders abroad and combining with the actual economic and social conditions in China, this paper puts forward the applicable principles for the legal withdrawal mechanism of shareholders in China's new Company Law: the principles of fairness and efficiency. The principle of optimizing the business subject and the principle of balancing interests are also discussed, and some suggestions are put forward to improve the system of demurrer's right of stock repurchase and judicial dissolution.
【学位授予单位】：复旦大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91

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