外商隐名投资者股东资格确认及其相关法律问题研究

【作者】 郭兵；

【导师】 杜涛；

【作者基本信息】 复旦大学 ， 法律（专业学位）， 2013， 硕士

【副题名】以台商在大陆投资设立内资公司案例为视角

【摘要】 外商隐名投资者在中国改革开放之初由于多种原因以隐名投资的方式进入中国大陆境内,其为中国经济社会的发展做出了巨大贡献。但外商隐名投资的投资方式在投资之初就与我国对外商审批的制度之间存在冲突,这成为现行司法实践中出现外商隐名投资者确认股东资格案件的原因之一。本文以笔者亲身经历的案例为背景,以现行法律法规为依据,总结出实践中确认外商隐名投资者股东资格的要件,并对案件的管辖及审批与审判的关系做了一定的论述,以期对实践有所帮助。本文第一章介绍外商隐名投资大陆的现状问题,讲述了笔者亲身经历的案例及案例背景。在案例部分,笔者讲述了当事人从公司成立到发生纠纷及立案受阻的现状,接着分析了出现上述状况的原因,在第三节总结出案件争议的焦点及与案例有关的管辖及审批问题,为后文的论述做了铺垫。第二章总结外商隐名投资股东资格确认的要件。笔者从现有的外商隐名投资的实践学说开始介绍,指出现有的“谁投资谁受益”、“以外商投资企业审批确认的股东为准”、“实际投资者只有通过确权之诉才能行使股东权”及“区分内外关系说”四种学说。接着论述了委托投资协议、公司的人合性特征以及现行审批制度对审理外商隐名投资者股东资格确认案件的影响,最后总结出审理外商隐名投资案件应当遵守的基本原则及股东资格确认的要件。第三章介绍了与外商隐名投资有关的管辖及审批制度对审判实践的影响问题,通过分析得出外商隐名投资案件应由中级人民法院管辖。同时,本文提出应对我国现行的审批制度进行适当的改革,保留立项审批权并将权限移交给工商局,取消广义的合同审批制度及外商投资公司重大事项的变更审批制度,将与合同有关的争议交由人民法院解决,通过这样的改革,来削弱审批制度与审判的影响。第四章对本文的论述进行总结,得出确认外商隐名投资者股东资格案件的要件为(一)外商隐名投资者所投资的公司应为外资企业；(二)外商隐名投资者已实际投资；(三)外商隐名投资公司的其他股东同意隐名投资者为公司股东；(四)在现行审批制度下,确认隐名股东资格还需征得审批机关同意；(五)外商隐名投资者请求显名的诉讼请求不违反委托隐名投资协议的约定及《合同法》等法律法规的规定。同时指出外商隐名投资的案件应由中级人民法院管辖,保留外商审批的立项审批权,并取消广义的合同审批及现行的公司重大事项变更的审批。通过总结,以期对实践能有所帮助。更多还原

【Abstract】 Implicit foreign investor in China’s reform and opening up to a variety of reasons dormant investment way into China’s mainland, which is China’s economic and social development has made tremendous contributions. But foreign investment dormant investment and China beginning in the investment approval system for foreign conflict between the existing judicial practice which became dormant foreign investors appear shareholders eligibility cases confirmed one of the reasons. In this paper, the author experienced a case as the background to existing laws and regulations as the basis, summed up the practice of anonymous investors, shareholders are recognized foreign qualification requirements, and the case of the jurisdiction and approval of the relationship with the judge made some exposition to for practical help.The first chapter introduces foreign investment in the mainland dormant status of the problem, about the author’s personal experience of cases and case background. In some cases, the author tells the story of the parties to the dispute from the company was founded and blocked filing status, and then analyze the reasons for the above situation, summed up the case in the third quarter and the focus of controversy and case-related issues under the jurisdiction and approval for discussion later to do the groundwork.The second chapter Summary dormant investment foreign qualifications recognized in shareholders’ requirements. Author from existing foreign dormant investment began to introduce the practice of the doctrine, pointing out that the existing "investor will benefit" and "foreign-invested enterprises subject to shareholders approval and confirmation,""real investors only through ownership affirmation to exercise of shareholders’ rights "and" distinguish between internal and external relations, said "four kinds of doctrine. Then discusses the discretionary investment agreement, the company’s co-author of the characteristics and the existing implicit approval system for foreign investor hearing confirmed cases of qualification as a shareholder, and finally concluded that foreign dormant investment case hearing shall comply with the basic principles and qualifications recognized in shareholders’ elements.The third chapter introduces dormant investment with foreign jurisdictions and approval system relevant practical implications of the trial, obtained by analyzing the case of dormant investment by foreign-Intermediate People’s Court of jurisdiction. Meanwhile, this paper deal with China’s current approval system reform appropriate to retain rights to the examination and approval authority over to the Trade and Industry Bureau, the abolition of the generalized system of approval of contracts and foreign investment companies significant events change approval system, the dispute relating to the contract handed over to the People’s Court resolved through such reforms to weaken the influence of the trial examination and approval system with.Chapter IV of this paper to summarize results confirm dormant foreign investors as shareholders of the elements eligible cases (a) anonymous foreign investors invest in companies should be foreign;(two) anonymous foreign investors have actual investment;(three) foreign dormant investment company’s other shareholders agreed anonymous investor for the company shareholders;(four) in the existing approval system, the qualifications needed to confirm the consent of dormant shareholders approving authority consent;(five) Foreign hidden investor requesting an explicit name does not violate the claims of dormant investment commissioned by the agreement and the "Contract Law" and other laws and regulations. Also pointed out that foreign investment in case of dormant Intermediate People’s Court jurisdiction should retain the right to examination and approval of foreign approval, and cancel the contract approval and generalized major issues the company to change the existing approval. By summing up a view of the practice can be helpful.更多还原