隐名投资法律效力研究

发布时间：2018-05-05 15:09

本文选题：隐名投资 + 股东资格　；参考：《西北师范大学》2010年硕士论文

【摘要】：隐名投资作为市场经济发展到一定阶段的产物,在《公司法》修订之前就有所存在,随着市场经济持续高速的发展,由隐名投资现象引起的各种纠纷更是屡见不鲜。现实生活中,很多投资者为了追求自身利益最大化,采取隐名投资的方式和他人签订隐名投资协议进行经济活动。从积极方面看,隐名投资推动了经济的发展,充分发挥了资本的优势,有利于财富的增加和积累。然而,其对市场的负面影响亦不能忽视。由于隐名投资本身的复杂性以及相应的法律规则的缺失,导致在司法实践中法官对个案的裁判上法律适用不统一,立场时有冲突,使得一些案情相似、诉求相近的纠纷往往会得到不同的处理结果,极大地影响了司法的权威性和公正性,给法院在处理隐名投资纠纷案件带来了很大的困惑。因此,将隐名投资上升到法律层面进行深入分析具有可行性和必要性。本文旨在总结出一套认定隐名投资行为效力的方法,为实践中处理此类纠纷提出了一些建议。论文分为四章。导论以一则真实的案例作引提出了本文的焦点:隐名投资行为的效力问题。指出在司法实践中,面对复杂的隐名投资纠纷案件,法官裁判时往往适用不同的法律原则,使同一案件往往得到不同的处理结果。实践中的问题呼唤着理论的指导,随之产生了实质说和形式说两种代表性的观点。实质说以意思主义为理论基础,在于保护真实的投资人利益,而不以外在表示行为作为评判股东资格的标准,因此认定隐名投资行为有效。形式说以表示主义为理论基础,认为在隐名投资中应该以公司章程、股东名册、工商登记等外在表现形式来认定行为的效力,遵循商事外观主义和公示公信原则,以维护交易安全和提高交易效率。第一章旨在对隐名投资作一基础性的阐述。通过对隐名投资的历史考察,探究就产生的源头,从而更加明确的界定隐名投资内涵。传统隐名合伙随着经济的发展逐渐演进为公司中的隐名投资,故隐名投资的定义有广义和狭义之分。本文仅研究狭义的隐名投资。第二章论述了隐名投资有效认定的法理依据,可以将隐名投资法律关系认定为信托关系、代理关系、合伙关系。第三章分析了隐名投资法律效力认定的三个原则和三个方法。其中,“有效认定”的优先原则是统领全文的核心原则,此原则的精神在于对隐名投资行为应尽可能的作有效认定。在解决隐名投资相关法律问题时还要遵循“双重标准、内外有别”的原则,要区分开公司内部法律关系和公司外部法律关系。对于规避法律的隐名投资行为不应一律认定为有效或无效,亦或是效力待定,应根据法律行为欠缺要件所涉及的法益性质为考量行为效力的实质性判断标准。此部分分别以相关法律规定、法律行为理论、商法的内在价值为依托总结出隐名投资效力认定的方法。第四章进行了对“效力待定说”的辩驳。引入一则案例,说明在评判规避法律的隐名投资行为效力时完全认定为效力待定是不正确、不合理的,还是应当以“法律行为欠缺要件涉及的法益性质”为认定原则。
[Abstract]:As the product of the development of market economy to a certain stage, the invisible investment has existed before the revision of the company law. With the rapid development of the market economy, various disputes caused by the phenomenon of invisible investment are more common. In real life, many investors take the way of private investment in order to maximize their own interests. On the positive side, the invisible investment has promoted economic development, fully exerts the advantage of capital and is beneficial to the increase and accumulation of wealth. However, its negative impact on the market can not be ignored. Due to the complexity of the invisible investment itself and the lack of the corresponding legal rules, it leads to the lack of the corresponding legal rules. In judicial practice, the judicial application of the judge on the case is not uniform and the position conflicts. It makes some cases similar and the disputes with similar appeals often get different results, which greatly affect the authority and impartiality of the judicature, and bring great confusion to the court in dealing with the cases of hidden Investment Disputes. Therefore, it will be hidden. It is feasible and necessary to carry out an in-depth analysis of the name investment to the legal level. This paper aims to summarize a set of methods to determine the effectiveness of the infamous investment behavior, and put forward some suggestions for dealing with such disputes in practice.
The thesis is divided into four chapters. The introduction, with a real case, puts forward the focus of this article: the validity of the incognito investment behavior. It is pointed out that in the judicial practice, the judges often apply different legal principles in the face of complicated private investment disputes, so that the same case will get different treatment results. On the basis of the guidance of the theory, the two representative views of the substantive and the form are produced. In essence, the theoretical basis of the meaning doctrine is to protect the real investor's interests, but not to express the behavior as the standard of judging the shareholders' qualification, so that the behavior of the invisible investment is valid. It is believed that in the invisible investment, the validity of the behavior should be identified in the form of the articles of association, the register of the shareholders, the business registration and so on in the form of expression, following the principles of commercial appearance and public credit in order to safeguard the safety of the transaction and improve the efficiency of the transaction.
The first chapter is to make a basic exposition of the invisible investment. Through the historical investigation of the invisible investment, the source is explored and the connotation of the hidden investment is more clearly defined. The traditional anonymous partnership gradually evolves into the invisible investment in the company with the development of the economy. Therefore, the definition of hidden name investment is divided into a broad and narrow sense. Only study the secret investment in the narrow sense.
The second chapter discusses the legal basis for the effective identification of dormant investment, and identifies the legal relationship of the dormant investment as a trust relationship, an agency relationship, and a partnership.
The third chapter analyzes the three principles and three methods for the identification of the legal effect of invisible investment. Among them, the priority principle of "effective identification" is the core principle to command the full text. The spirit of this principle lies in the effective identification of the hidden investment behavior. The principle of "outside" is to separate the internal legal relations of the company and the external legal relationship of the company. Do not rely on the relevant legal provisions, the theory of juristic act and the intrinsic value of commercial law to summarize the method of determining the effectiveness of dormant investment.
In the fourth chapter, a refutation of the "validity to be determined" is carried out. A case is introduced to show that it is not correct and unreasonable to determine that the validity of the incognito investment behavior is not correct and unreasonable when it is judged to avoid the effect of the law.

【学位授予单位】：西北师范大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.291.91

【相似文献】