未成年人股东制度研究

发布时间：2018-02-02 18:58

本文关键词： 未成年人股东法定代理人监护　出处：《大连海事大学》2017年硕士论文　论文类型：学位论文

【摘要】：2007年9月19日,中国资产规模最大的城市商业银行北京银行在上海上市。不久,就有网友在其股东名册中发现了一些"娃娃股东",甚至"婴儿股东",这些"婴儿股东"引起了社会普遍关注。对此,北京银行发布公告,承认该行2007年9月IPO前的股东中未成年自然人股东共有84人。但是,该行律师和保荐人均认为,相关法律、法规、规章及其他规范性文件均未对未成年人持股进行限制或禁止,故称未成年人持有该行股份不存在违法情形,无需进行特别处理。由此引发的未成年人股东与股权的评论和研究曾热极一时。同年,国家工商行政管理总局《关于未成年人能否成为公司股东问题的答复》出台,答复称:《公司法》对未成年人能否成为公司股东没有作出限制性规定。因此,未成年人可以成为公司股东,其股东权利可以由法定代理人代为行使。2015年低龄股东频频套现,再次引发人们对未成年人股东问题的关注。因此,为了维护经济金融秩序的稳定,保护公司、股东、投资人甚至未成年人的利益,必须对一些深层法律问题进行民法、公司法理论研究的纵深探讨。例如,未成年人持股的效力及客观原因,未成年人股东代理人的资格及代理权限的认定,如何协调和解决未成年人股东的信息披露与公民投资隐私权保护的冲突,如何处理未成年人股东持股所产生的各种复杂的争议或纠纷,如何对未成年人股东法定代理人进行有效监管等。本文除引言和结论外,共分为四部分。第一部分论述了未成年人股东的概念及未成年人股东持股的两种形式。通过论述未成年人股东的概念及其持股的形式来引出我国需要着重看待未成年人股东的问题,不能任由其自由发展而忽略了其特殊性。第二部分阐述了未成年人取得股份的方式,肯定了未成年人持股的合法性。第三部分则重点论述了现行法律对未成年人股东制度方面存在的立法不足。例如,缺乏相应的信息披露制度以及未成年人股东法定代理人的相关监督制度。第四部分结合上三部分得出的结论做出完善现行立法,保护未成年人利益,维护广大投资者权益的具体立法设想。从保护未成年人利益和维护商事安全的角度,分别阐述了未成年人法定代理人代行股东权利时应该遵循的原则,实现肯定未成年人持股的同时,维护金融市场的稳定,实现微观与宏观双赢的目标。
[Abstract]:In September 19th 2007, Beijing Bank, China's largest commercial bank by assets, was listed in Shanghai. Soon after, some "doll shareholders" were found on its list of shareholders. "even" baby shareholders ", these" baby shareholders "caused widespread social concern, the Bank of Beijing issued a statement. Admitted that the bank before September 2007 IPO shareholders of 84 minor natural persons. However, the bank's lawyers and sponsors believe that the relevant laws, regulations. The regulations and other normative documents do not restrict or prohibit the ownership of minors, so it is said that there is no illegal situation for minors to hold shares in the bank. There is no need for special treatment. The comments and studies of minor shareholders and equity have been very popular for a while. The same year. The State Administration for Industry and Commerce issued an answer on whether minors can become shareholders of a company, stating that the Company Law has no restrictive provisions on whether minors can become shareholders of a company. Minors can become shareholders of the company, and their shareholders' rights can be exercised by legal representatives. In 2015, young shareholders frequently cash in, which once again aroused people's concern about the problem of minor shareholders. In order to maintain the stability of economic and financial order and protect the interests of companies, shareholders, investors and even minors, it is necessary to discuss some deep legal issues in depth, such as the theory of civil law and company law. The effectiveness and objective reasons of the minor's stock holding, the qualification of the minor shareholder's agent and the determination of the agency's authority, how to coordinate and solve the conflict between the minor shareholder's information disclosure and the protection of citizen's right to investment privacy. In addition to the introduction and conclusion, how to deal with the various complex disputes or disputes arising from the ownership of minor shareholders, and how to effectively supervise the legal representatives of minor shareholders, etc. It is divided into four parts. The first part discusses the concept of minor shareholder and the two forms of minor shareholder shareholding. Adult shareholders. We can't let them develop freely and ignore their particularity. The second part expounds the way of obtaining shares by minors. The third part focuses on the existing legislation of the minor shareholder system. For example. Lack of the corresponding information disclosure system and the relevant supervision system of the legal representative of minor shareholders. Part 4th combined with the conclusions reached in the first three parts to improve the current legislation to protect the interests of minors. From the point of view of protecting the interests of minors and maintaining the security of commercial affairs, this paper expounds separately the principles that should be followed when the legal representatives of minors exercise the rights of shareholders on their behalf. At the same time, we can maintain the stability of financial market and realize the goal of micro and macro win-win.
【学位授予单位】：大连海事大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.291.91

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