论有限责任公司隐名股东的股东资格认定及相关纠纷的处理

发布时间：2018-09-13 11:29

【摘要】：随着市场经济的日益发展,我国投资日渐繁荣,投资方式也呈现出多样化的趋势。隐名投资就是我国经济生活中出现的一种较为常见的投资方式。隐名投资现象的大量出现,使得与隐名股东相关的纠纷层出不穷;如何认定和处理隐名股东所引发的各种纠纷,已经成为我国理论界和司法实务界不可回避的一个问题。在我国,理论界虽然对隐名股东问题的研究较多,但大多数研究是在《最高人民法院关于适用中华人民共和国公司法若干问题的规定(三)》(以下简称“《公司法司法解释(三)》”)出台之前所进行的;《公司法司法解释(三)》出台之后,理论界对隐名股东问题的研究虽有一定的进展,但缘于研究时间不长等原因,一些问题并未因相关司法解释的出台而得到解决,尤其是对于隐名股东的股东资格认定,目前还没有形成统一的意见。在司法界,我国现行《公司法》没有对隐名股东问题作出规定,最高人民法院发布的《公司法司法解释(三)》也仅有几个条文涉及到了隐名股东问题,因此,在隐名股东资格认定及相关纠纷的处理上,司法的态度和意见不尽统一,一些问题仍需廓清。正是基于以上背景,本文对有限责任公司隐名股东的股东资格认定及相关纠纷的处理作出关注。通过对法院相关审判案例的统计,本文分析了司法实践中有关隐名股东纠纷案件的认定和处理所面临的问题,并结合相关理论和前人的研究成果,就其中的一些争议点提出自己的主张。本文分为五个部分,分别如下:第一部分,结合统计案例,对有限责任公司隐名股东的基本问题进行分析。首先,围绕“隐名股东”在司法实践中的使用情况,隐名股东的定义、特征、类型及其与实际出资人的关系,对“隐名股东”作出界定。其次,研究隐名股东出现的原因,剖析其产生的根源。最后,对隐名股东存在的合法性作出分析。第二部分,对与隐名股东相关的案件的司法状况作出评析。隐名股东问题由来已久,为了全面把握隐名股东的司法状况,本部分一方面对《公司法司法解释(三)》出台之前司法界审理、裁判隐名股东纠纷案件的依据作了展示和分析;另一方面,本部分还重点分析了《公司法司法解释(三)》涉及隐名股东的规定,运用相关法律理论就这些规定作了解读和评价,揭示了其合理性,并尝试提出了其不足。第三部分,对隐名股东的股东资格认定的相关问题进行了研究。首先,对隐名股东的股东资格认定标准作了探讨。其次,从隐名股东涉及的法律关系入手,对隐名股东的股东资格认定作了分析。最后,总结出了笔者在隐名股东的股东资格认定上的意见。第四部分,对与隐名股东的股东资格认定相关的纠纷类型进行了总结。隐名股东涉及的纠纷类型主要有股权转让纠纷、股东资格确认纠纷、出资纠纷以及执行异议纠纷,本部分结合具体的案例,分别对这几种纠纷的认定和处理作了探讨。第五部分,总结和提出了解决隐名股东纠纷的具体建议。首先,提出了隐名股东纠纷认定和处理的原则,维护商法严格的外观主义原则、有限保护第三人利益原则、坚持利益平衡原则及不得违反法律法规的强制性规定原则。其次,提出了认定和处理隐名股东纠纷的具体意见和建议,确立隐名股东的法律概念、明确代持股协议的性质、完善隐名股东显名的条件及程序、确立隐名股东显名不成功时的处理规则、取消善意取得制度在司法解释中的规定,并对处理隐名股东的新途径作出探索。
[Abstract]:With the development of market economy, China's investment is becoming more and more prosperous and diversified. Hidden investment is a relatively common investment method in China's economic life. All kinds of disputes caused by the East have become an unavoidable problem in China's theoretical circles and judicial practice circles. Although there are many studies on the problem of dormant shareholders in the theoretical circles, most of the studies are in the "Provisions of the Supreme People's Court on the Application of the Company Law of the People's Republic of China (3)" (hereinafter referred to as "Company"). Judicial Interpretation of Law (III)>"was carried out before the promulgation of"Judicial Interpretation of Company Law (III)", although there has been some progress in the study of the problem of dormant shareholders in the theoretical circles, some problems have not been solved because of the introduction of relevant judicial interpretations, especially the recognition of the qualifications of dormant shareholders. In the judicial circle, there is no stipulation on the problem of dormant shareholders in the current Company Law of China, and only a few articles of Judicial Interpretation of the Company Law issued by the Supreme People's Court involve the problem of dormant shareholders. Therefore, in the determination of the qualifications of dormant shareholders and the handling of related disputes, the judicial attitude is taken. Based on the above background, this paper pays attention to the identification of dormant shareholders'qualifications and the handling of related disputes in limited liability companies. Through the statistics of relevant court cases, this paper analyzes the identification and handling of dormant shareholders' disputes in judicial practice. This paper is divided into five parts as follows: The first part, combined with statistical cases, analyzes the basic problems of the dormant shareholders of limited liability companies. First, around the use of "dormant shareholders" in judicial practice. The definition, characteristics, types of dormant shareholders and the relationship between dormant shareholders and actual investors are defined. Secondly, the reasons for the emergence of dormant shareholders are studied, and the causes of their emergence are analyzed. Finally, the legitimacy of the existence of dormant shareholders is analyzed. The problem of dormant shareholders has a long history. In order to fully grasp the judicial situation of dormant shareholders, this part, on the one hand, demonstrates and analyzes the basis of judging the cases of dormant shareholders'disputes before the introduction of the Judicial Interpretation of Company Law (3), and on the other hand, focuses on the analysis that the Judicial Interpretation of Company Law (3) involves dormant names. The provisions of shareholders are interpreted and evaluated by using relevant legal theories, revealing their rationality and trying to put forward their shortcomings. The third part studies the related issues of the shareholder qualification of dormant shareholders. Firstly, the criteria of the shareholder qualification of dormant shareholders are discussed. Finally, the author summarizes the author's opinions on the identification of the shareholder qualification of the dormant shareholder. The fourth part summarizes the types of disputes related to the identification of the shareholder qualification of the dormant shareholder. This part discusses the identification and handling of these disputes in combination with specific cases. The fifth part summarizes and puts forward specific suggestions for resolving the disputes of dormant shareholders. Firstly, it puts forward the principles for identifying and dealing with the disputes of dormant shareholders so as to safeguard the strictness of commercial law. Secondly, it puts forward the concrete opinions and suggestions on identifying and handling the disputes between dormant shareholders, establishes the legal concept of dormant shareholders, clarifies the nature of the agreement on behalf of shareholders, and perfects the conditions for dormant shareholders to be famous. And procedures, establish the rules of dealing with the unsuccessful appearing of dormant shareholders, abolish the provisions of bona fide acquisition system in judicial interpretation, and explore new ways to deal with dormant shareholders.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2016
【分类号】：D922.291.91

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