有限责任公司章程限制股权转让的法律问题研究

发布时间：2018-06-02 03:30

本文选题：章程自治 + 股权转让　；参考：《辽宁大学》2017年硕士论文

【摘要】：有限责任公司因其自身独有的特点,在经济迅速发展的市场经济体制下,受到越来越多投资者的青睐。为维护公司的稳定,不破坏有限责任公司的人合性,公司章程往往对股权转让作出一定的限制。因此有限责任公司章程与股东利益密切相关。我国2005年对《公司法》修改,从理念上由股权转让法定限制转变为章程自治,但理论争议及司法实践中的困境依然存在。本文从我国立法现状出发,结合理论和实践,进一步深入分析我国有限责任公司章程限制股权转让存在的法律问题;并分析借鉴国外的立法经验,运用比较分析法和实证分析法,对完善我国有限责任公司章程限制股权转让提出几点法律建议。本文分为四部分。第一部分分析有限责任公司章程限制股权转让的正当性。从法律基础、理论基础和现实需要三方面进行阐述。我国公司法的发展从法定限制模式向章程限制模式进行了转变,为章程限制股权转让奠定了坚实的法律基础。公司的契约理论、有限责任公司的人合性和公司章程的自治性理论,都体现了有限公司非常注重股东之间的合作关系与信赖关系,加上平衡股东利益与公司利益的现实需要,都充分证明了章程限制股权转让的正当性。第二部分是对国外有限责任公司章程限制股权转让的立法进行简单介绍,并对国外国家的立法规定结合我国的立法现状和司法实践进行分析,提炼出应为我国所借鉴的优秀经验。第三部分介绍我国有限责任公司章程限制股权转让的立法现状,重点是揭示我国仍然存在的法律问题。通过实践中的案例引出公司章程条款限制股权转让的不同情况如离职强制转让股权、禁止转让股权等;并指出章程条款限制股权转让给股权转让纠纷带来的审判困境。不难发现,我国有限责任公司章程限制股权转让存在的法律问题可以概括为:章程限制股权转让的自治边界不明、各地各级法院也尚未确立统一的司法审查标准、章程限制股权转让导致股东退出公司的途径缺失、限制股权转让的章程修改规则对异议股东的保护不足。第四部分即结合前文的分析研究,对发现的法律问题一一对应提出完善建议。构建章程限制股权转让的自治边界应在基本原则指导下,“内转外转明确定,大纲细则两相分。”为解决司法实践中的裁判困境,就需要建立审查制度,确立审查理念、确定审查标准。为确保股东退出公司有途径,可引入国外的指定受让制度。而通过修改章程限制股权转让的不应再被忽视,对章程的修改规则要作出更严格的要求,要么需经全体股东一致同意,要么采取“一人一票”的决议方式。
[Abstract]:Limited liability company is favored by more and more investors under the market economy system with rapid economic development because of its own unique characteristics. In order to maintain the stability of the company and not destroy the human nature of the limited liability company, the articles of association often restrict the transfer of shares. Therefore, the articles of association of a limited liability company are closely related to the interests of shareholders. In 2005, the amendment of Company Law in China changed from legal limitation of equity transfer to autonomy of articles of association, but the theoretical controversy and the dilemma in judicial practice still existed. Based on the current situation of our country's legislation, combined with the theory and practice, this paper further analyzes the legal problems existing in restricting the transfer of shares in the articles of association of limited liability companies in our country, and analyzes the legislative experience of foreign countries. By means of comparative analysis and empirical analysis, this paper puts forward some legal suggestions on perfecting the articles of association of limited liability companies in China to restrict the transfer of shares. This paper is divided into four parts. The first part analyzes the legitimacy of limited liability company articles of association to restrict the transfer of shares. From the legal basis, theoretical basis and practical needs of three aspects. The development of company law in our country has changed from the mode of statutory restriction to the mode of restriction of articles of association, which has laid a solid legal foundation for restricting the transfer of shares by articles of association. The theory of contract, the autonomy of the articles of association of the limited liability company and the contract theory of the limited liability company all reflect that the limited company attaches great importance to the cooperative relationship and the trust relationship between the shareholders, plus the realistic need to balance the interests of the shareholders with the interests of the company. All fully proved the legitimacy of the articles of association to restrict the transfer of shares. The second part is a brief introduction to the foreign limited liability company articles of association restrictions on the transfer of equity legislation, and foreign countries' legislative provisions combined with China's legislative status and judicial practice are analyzed. Abstract the excellent experience that should be used for reference by our country. The third part introduces the legislation status of the limited liability company's articles of association restricting the transfer of equity in our country, with the emphasis on revealing the legal problems that still exist in our country. Through the practical cases, this paper draws the conclusion that the articles of association restrict the transfer of shares in different situations, such as mandatory transfer of shares from employment, prohibition of transfer of shares, and points out that the articles of association restrict the transfer of equity to the dispute of equity transfer brought about by the trial dilemma. It is not difficult to find that the legal problems existing in the articles of association of our limited liability companies restricting the transfer of equity can be summarized as follows: the autonomous boundary of the articles of association to restrict the transfer of equity is not clear, and the courts at all levels have not yet established a unified standard of judicial review. Articles of association restrict the transfer of shares and lead to the lack of ways for shareholders to withdraw from the company, and the rules of amendment of articles of association which restrict the transfer of shares do not protect the dissenting shareholders. The fourth part is based on the analysis and research above, and puts forward some perfect suggestions to the legal problems found one-to-one. The autonomous boundary of constitution restricting the transfer of equity should be guided by the basic principles, "the internal transfer and the outward transfer shall be clearly determined, and the outline and bylaws shall be divided into two parts." In order to solve the dilemma of adjudication in judicial practice, it is necessary to establish the system of examination, establish the concept of examination and determine the standard of examination. In order to ensure that shareholders exit the company, the foreign designated transfer system can be introduced. However, it should not be neglected to limit the transfer of stock rights by modifying articles of association, and the rules of amendment of articles of association should be more strictly required, either with the unanimous consent of all shareholders or with the method of "one person, one vote".
【学位授予单位】：辽宁大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.291.91

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