我国跨境股权质押投融资法律问题研究

发布时间：2018-04-09 03:16

本文选题：股权质押　切入点：跨境担保　出处：《华东政法大学》2016年硕士论文

【摘要】：上海自贸试验区设立后,国务院颁布了诸多鼓励金融改革的意见,为自贸区施行改革措施提供了良好的法律与政策条件。自2014年6月跨境担保新规的出台,至12月自贸区第三批金融改革创新案例的公布,跨境股权质押业务在法律政策以及案例示范的支持与铺垫之下,已经具备了进一步开展与推广的条件。且纵观国际金融投资大环境,其投资形式日趋多元化,国内跨境投融资业务探索热度高涨,投资主体对于境内外产业的互相融通与利用出现了新一轮的需求,具备政策支持与先例示范的跨境股权质押业务,必然在这新一轮的跨境投融资热潮中受到青睐。然而我国目前对于跨境投融资业务的具体法律规定细则,实施流程方式等方面都缺乏详致的规定,虽有自贸区案例指导鼓励相关业务展开,但无程序与注意事项指导,且我国学术研究领域对于跨境股权质押的内容尚无系统的探索与研究可供参考,使得这一新型模式虽有现实基础,但无具体文件详述以供融资者参阅。本文即在此背景下对于跨境股权质押问题进行了系统研究,望能为跨境股权质押的业务开展提供框架性的参考。本文共分四章。第一章为股权质押制度的概述,主要以传统股权质押的内容为基础,详述了股权质押与跨境股权质押的相关概念、分类与在投融资领域的表现,对跨境股权质押进行了初步的了解与定义。本章基于股权质押概念、法律性质的研究,加深了对跨境股权质押基础法律概念的理解,并通过对相关融资方式的对比,突出了跨境股权质押的特点,并为后文跨境股权质押制度风险完善的内容打下了基础。第二、三章主要以股权质押与跨境担保的相关内容为基础,对跨境股权质押的设立及其内容做了进一步的梳理。这部分主要涉及到跨境股权质押法律环境的规定与设立流程的情况,对现有环境做了分析,对于跨境股权质押中股权价值的变化、股权出资限制、出质股东与质权人的权利义务进行了明确,以此为内容引出风险点并通过对该部分内容的明确为风险防范建议做了铺垫。本文最后一章提出了对跨境股权质押风险的防范建议,基于文章对于跨境股权质押业务开展中的内容梳理总结了制度不足之处以及风险所在,并参考对比境外对于股权质押业务的规定态度,提出了对跨境股权质押风险防范的建议,并对具体的尽调内容做了探索。
[Abstract]:After the establishment of Shanghai Free Trade Test Zone, the State Council has promulgated many suggestions to encourage financial reform, which provides good legal and policy conditions for the implementation of reform measures in the Free Trade Zone.From the introduction of new cross-border guarantee rules in June 2014 to the publication of the third batch of financial reform and innovation cases in the Free Trade area in December, cross-border equity pledge business has been supported and paved with legal policies and case models.Has already had the condition that further develops and popularizes.And looking at the international financial investment environment, its investment forms are becoming more and more diversified, the domestic cross-border investment and financing business exploration heat is rising, and the investors have a new round of demand for domestic and foreign industries' mutual integration and utilization.Cross-border equity pledge business with policy support and precedent demonstration is bound to be favored in this new wave of cross-border investment and financing.However, at present, there is a lack of detailed regulations on the specific legal rules and regulations of cross-border investment and financing business, the way of implementing the process, and so on. Although there are free trade area case guidance to encourage the relevant business to start, there is no procedure and attention guidance.Moreover, there is no systematic exploration and research on the content of cross-border equity pledge in the academic research field of our country, which makes this new model have a realistic foundation, but there are no detailed documents for the financiers to refer to.In this context, this paper makes a systematic study on cross-border equity pledge, hoping to provide a frame of reference for cross-border equity pledge business.This paper is divided into four chapters.The first chapter is an overview of the system of equity pledge, mainly based on the content of traditional equity pledge, in detail the concept of equity pledge and cross-border equity pledge, classification and performance in the field of investment and financing.A preliminary understanding and definition of cross-border equity pledge is given.Based on the concept of equity pledge and the study of legal nature, this chapter deepens the understanding of the basic legal concept of cross-border equity pledge, and highlights the characteristics of cross-border equity pledge through the comparison of related financing methods.It also lays a foundation for the risk improvement of cross-border equity pledge system.Second, the third chapter mainly based on the content of equity pledge and cross-border guarantee, the establishment and content of cross-border equity pledge is further combed.This part mainly relates to the legal environment of cross-border equity pledge and the establishment process. It analyzes the existing environment, and limits the equity contribution to the change of equity value in cross-border equity pledge.The rights and obligations of the pledge shareholder and the mortgagee are clarified, which leads to the risk point and paves the way for the risk prevention suggestion through the clear content of this part.In the last chapter of this paper, some suggestions are put forward to prevent the risk of cross-border equity pledge. Based on the content of the cross-border equity pledge business, the paper summarizes the deficiencies of the system and the risk.With reference to the foreign regulatory attitude towards equity pledge business, this paper puts forward some suggestions to prevent the risk of cross-border equity pledge, and probes into the specific contents of the regulation.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2016
【分类号】：D922.28

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