闽发证券破产案例分析

发布时间：2018-03-12 21:58

本文选题：破产　切入点：实质合并原则　出处：《西南政法大学》2015年硕士论文　论文类型：学位论文

【摘要】：破产我们并不陌生,公司的合并破产研究却并不多。尤其是证券公司破产一般都十分复杂的,往往会涉及关联公司与证券公司关系的认定、破产之前的经营过程中出现法人人格否认的情形、实质合并原则的适用、相关客户资产的保护等等问题,而其中最为关键的就是实质合并破产。本文通过闽发证券破产案件的相关问题来分析证券公司破产存在的相关法律争议点。通过分析闽发破产案件来探讨股东资格的认定、法人人格的适用条件、实质合并原则的适用条件以及法人人格否认与实质合并制度的衔接等相关问题,进一步提出笔者的个人见解,进而对实质合并原则相关问题做出思考。除去摘要和小结,本文主要分为四个部分:第一部分主要对闽发证券破产案做一个介绍,详细介绍案件情况包括闽发证券与四家公司存在的混同情形的具体情况,以及法院的裁定以及相关依据。最后提出了本案的几个争议焦点。第二部分主要对闽发证券与四家关联公司的关系做一个评析。分析是否应该认定闽发证券为四家公司的实际股东,为后续的分析提供前提和条件。第三部分主要对实质合并原则的适用条件加以评析,分析应该普遍适用还是例外适用,适用实质合并原则应该满足的相关条件,得出本案符合实质合并原则的适用条件的结论。进而为下一步实质合并原则与法人人格否认的衔接做铺垫。第四部分主要对法人人格否认制度的适用条件加以评析,得出本案中的闽发证券与四家关联公司在经营过程中存在符合法人人格否认的适用条件的情形。之后进一步分析实质合并原则与法人人格否认的异同,论证两种制度衔接的可能,进一步论述两种制度要衔接应该具备的条件,以及本案中两种制度衔接。
[Abstract]:Bankruptcy is no stranger to us, but there are not many studies on the merger and bankruptcy of companies. In particular, the bankruptcy of securities companies is usually very complicated, and often involves the identification of the relationship between affiliated companies and securities companies. Problems such as the denial of legal personality, the application of the principle of substantive merger, the protection of relevant customer assets, etc., occurred in the course of operation before bankruptcy, Among them, the most important one is the substantial merger bankruptcy. This paper analyzes the relevant legal disputes of the bankruptcy of the securities company through the related issues of the bankruptcy case of Minfa Securities. Through the analysis of the bankruptcy case of Minfa, the author discusses the determination of the shareholder's qualification. The author puts forward the author's personal opinions on the applicable conditions of the personality of legal persons, the applicable conditions of the principle of substantive merger, and the connection between the denial of the personality of legal persons and the system of substantive merger. Besides the summary and summary, this paper is divided into four parts: the first part mainly introduces the bankruptcy case of Minfa Securities. The details of the case include the specific circumstances of the mixed situation between Minfa Securities and the four companies. And the court's ruling and relevant basis. Finally, the author puts forward several controversial focus of the case. The second part mainly analyzes the relationship between Minfa Securities and four affiliated companies. The actual shareholders of a company, The third part mainly analyzes the applicable conditions of the principle of substantive merger, the analysis should be universal or exceptional, the application of the principle of substantive merger should meet the relevant conditions. Draw the conclusion that the case accords with the applicable conditions of the principle of substantive merger, and further pave the way for the link between the principle of substantive merger and the denial of legal personality in the next step. Part 4th mainly evaluates the applicable conditions of the system of denial of the personality of legal persons. It is concluded that the Minfa Securities and the four affiliated companies in this case are in line with the applicable conditions of the denial of the legal personality in the course of operation. Then the similarities and differences between the principle of substantive merger and the denial of the personality of the legal person are further analyzed. To demonstrate the possibility of the two systems to join, to further discuss the two systems should have the conditions of convergence, and the case of the two systems of convergence.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D922.291.92

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