股权担保行为研究

发布时间：2018-08-16 17:40

【摘要】： 担保指的就是债的担保，债的担保或称债的担保方式可以从两个角度来理解：从债权来看，就是为了确保债权的顺利实现，从债务来看，就是为了督促债务人自觉履行债务。恩格斯曾在其《家庭、私有制和国家起源》中论述了古希腊氏族制度的债的担保现象。他写到：“阿提卡的田地上到处都竖着抵押柱，上面写着这块地已经以多少钱抵押给某某人了。1”他还指出“土地现在可以成为出卖和抵押的商品了。土地所有权刚一确定，抵押制度就被发明出来了2。”由这些经典论述可知，担保从一开始就同商品经济联系，与私人所有制、商品贸易和货币经济息息相关。最早的担保是在“商品生产者社会第一个世界性法律”罗马法中予以规定的，罗马法对于担保债务履行设定了许多的担保方式，诸如违约金、定金、保证契约、抵押权和质权。近世债权担保的法律原理很大程度上是从罗马法的原理中发展而来的。与金融衍生工具的大量出现一样，随着现代信用经济的高速发展，各种新型的担保债权实现的方式也越来越多，从传统法律体系的角度确实无法将这些新型的保障债权实现的方式归入适当的位置，而且各个国家法律对于担保范围的规定也差别很大。可以说，担保法是民法体系中最为复杂的学科。用股权来设定的担保是一种物的担保，随着股权经济的出现，股权成为了担保制度中可以用作设定、保障且效益显著的一种“财产”。一般而言，股权的含义应当包括股东权利，，资本和股票三方面，股权具有金额性、责任性、转让性、证券性和权利性的特征。这些特征为股权可提供的担保方式的具体操作与实施提供了可能。但是，众所周知，担保制度的产生要远远早于股权的出现，为此，各个国家对于股权担保的相应规定仍是处于一个不断实践与摸索的阶段。作为民商法学的课题之一，本文对各国股权同担保方式的结合进行了研究。在大陆法国家里，股权担保方式基本上仅仅是限于权利质权的应用，但是，在英美法国家，股权的担保方式却同他们的担保制度一样，种类繁多，不一而足。通过对股权担保课题的学术地位的了解，我们知道，我国学者对于股权担保的研究WP=4仅仅限定于大陆法的股权质押，而对于英美法有关的内容却几乎没有涉及，尚属空白。但事实上，股权在英美法国家担保制度中的应用却同现代经济需求紧密联系，二者的结合又进一步巩固和推动了相关法律制度的传统和发展，例如信托制度和电子商务。正是基于这样的学术意义，本文就股权担保的课题，以大陆法的权利质权为主线，结合英美法的有关立法及实践，通过对于相关案例和成文法的研究，对股权担保的性质的划分、适格股权的探讨、股权担保的法律效力、实现以及我国股权担保的现状和立法问题作出了详细的阐述并提出了自己的观点。本人认为，对于股权担保课题的探讨涵盖了民法、公司法、证券法以及相关的融资方面的法律，这将成为民商法学习和研究中的一个很好的总结与归纳。目前，正值我国《物权法》紧锣密鼓即将出台之际，本人认为对股权担保这种担保物权的研究将使自己对法律的理解、对于法律在实践工作中的应用起到重要的作用。
[Abstract]:Guarantee refers to the guarantee of debt, which can be understood from two perspectives: from the point of view of creditor's rights, it is to ensure the smooth realization of creditor's rights, from the point of view of debt, it is to urge the debtor to fulfill his obligations voluntarily. He wrote: "The land in Attica is covered with pillars of collateral that say how much the land has been mortgaged to somebody. 1" He also pointed out that "land can now be sold and mortgaged. The mortgage system was invented as soon as the ownership of the land was established. From the beginning, guarantees were linked to the commodity economy, private ownership, commodity trade and monetary economy. The earliest guarantees were stipulated in the Roman law, the first universal law in the society of commodity producers. The Roman law established many ways of guaranteeing the performance of guaranteed obligations, such as liquidated damages. Money, bond, mortgage, and pledge. The legal principles of modern creditor's rights guarantees developed largely from the principles of Roman law.
Like the emergence of a large number of financial derivatives, with the rapid development of modern credit economy, a variety of new forms of secured creditor's rights are realized in more and more ways. From the perspective of traditional legal system, these new forms of secured creditor's rights can not be put into an appropriate position, and the laws of various countries regulate the scope of security. It can be said that the guarantee law is the most complex subject in the civil law system.
With the emergence of equity economy, equity has become a kind of "property" in the security system which can be used to set up, protect and benefit significantly. Generally speaking, the meaning of equity should include shareholder's rights, capital and stock. Equity has the nature of amount, responsibility, transfer and securities. These characteristics provide the possibility for the concrete operation and implementation of the securities that equity can provide. However, as we all know, the emergence of the security system is much earlier than the emergence of equity. Therefore, the corresponding provisions of various countries for equity guarantee are still in a stage of constant practice and exploration.
As one of the subjects of civil and commercial law, this paper studies the combination of equity and guarantee in different countries. In Continental France, equity guarantee is basically limited to the application of pledge of rights. However, in Anglo-American countries, the security of equity is the same as their guarantee system, and there are many different types. Understanding of the academic status of the subject of equity guarantee, we know that the study of equity guarantee by Chinese scholars is limited to the pledge of equity in continental law, but it is still a blank space for the content of Anglo-American law, but in fact, the application of equity in Anglo-American national security system is closely related to modern economic needs. The combination of the two further consolidates and promotes the tradition and development of relevant legal systems, such as trust system and e-commerce. It is precisely because of this academic significance that this paper takes the pledge of rights in continental law as the main line, and combines the relevant legislation and practice of Anglo-American law, through the relevant cases and articles. The study of the law, the division of the nature of the equity guarantee, the discussion of the eligible equity, the legal effect of the equity guarantee, the realization of the equity guarantee, the present situation of the equity guarantee in our country and the legislative issues are elaborated in detail and put forward my own views. Financing laws will be a good summary and induction in the study and research of civil and commercial law.
At present, when the Property Law of China is coming out, I think that the study of the real right of security of stock right will make me understand the law and play an important role in the application of law in practice.
【学位授予单位】：对外经济贸易大学
【学位级别】：硕士
【学位授予年份】：2002
【分类号】：D912.28

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