有限责任公司股权让与担保效力问题研究

【作者】 林升；

【导师】 林德木；

【作者基本信息】 福州大学 ， 民商法（专业学位）， 2022， 硕士

【摘要】 股权让与担保近年作为新型的市场融资的主要方式之一,其以便捷高效低成本的优势获得市场主体广泛的青睐,为市场主体不断注入新鲜的资金血液,维续企业不断茁壮发展,在实践中的应用日益广泛,亦由此产生诸多法律纠纷。近来颁布的《全国法院民商事审判工作会议纪要》(以下简称“《九民纪要》”)、《中华人民共和国民法典》(以下简称“《民法典》”)、以及《关于适用<中华人民共和国民法典>担保部分的解释》(以下简称“《民法典担保制度解释》”)中对让与担保仅作了简单规定,如让与担保合同的效力、受让人的优先受偿权等一些基础性规定,但仍未见关于股权让与担保的规定。有限责任公司股权让与担保除了涉及双方当事人,还涉及到目标公司及当事人以外的第三人,法律关系更为复杂,如何兼顾平衡乃至取舍各方之间的利益值得系统性研究。本文分四个部分,前三部分兼采各学者理论观点,结合司法实践相关案例,在现有的法律体系框架之下对股权让与担保的效力进行分析。第一部分梳理归纳我国关于股权让与担保的立法沿革、法律规范的变迁及司法实践中各法院对股权让与担保所持的态度,提炼出实务中最具有争议性的热议焦点,并大致概括分为股权让与担保的内部效力及外部效力进行研析。第二部分是对公司股权让与担保的内在效力的分析,首先,对股权让与担保的效力进行了论证,并在此基础上,更深入一步探讨股权让与担保对当事人以及对公司及公司的其他股东的效力,例如股东身份的确定,股东的权利的行使,公司的其他股东是否享有优先购买权等。第三部分为股权让与担保的外部各方当事人之间的权利义务关系,包括但不限于设定人与担保权人与公司的债权人、当事人的一般债权人之间的权利义务关系,公司的债权人能否要求设定人或担保权人承担瑕疵出资责任,当事人对对方之一般债权人就标的股权申请强制执行能否提出异议,当事人擅自处分股权的效力及法律后果。第四部分基于以上分析,以法院最新最权威的裁判作为精神引领,重点围绕“股权让与担保制度的构建与完善”提出具有可行性,可操作性的具体内容设想,意在为我国股权让与担保法律制度的构建提供可行方案,填补法律制度的缺位。更多还原

【Abstract】 Due to the financing needs of enterprises,equity transfer and guarantee,as an atypical guarantee method,is favored by market subjects due to its advantages of convenience,efficiency and low cost,and is increasingly widely used in practice,resulting in many legal disputes.Recently issued "the national work conference on court in civil and commercial trial summary",the law of the People’s Republic of China civil code,and the Supreme People’s Court on the applicable law of the People’s Republic of China civil code guarantee part of the interpretation of guarantee in the contract effectiveness,and the assignee of the priority of compensation made some basic rules,but still has not made detailed provisions guarantee for equity.The equity transfer and guarantee of a limited liability company not only involve both parties,but also involve the target company and a third party other than the parties.The legal relationship is more complicated,so how to balance and even choose the interests of all parties is worth systematic study.This paper is divided into four parts.The first three parts analyze the effectiveness of equity transfer and guarantee based on scholars’ theoretical views and judicial practice cases,as well as relevant legal provisions.The first part summarizes the legislative evolution of equity transfer and guarantee in China,the changes of legal norms and the attitude of various courts to equity transfer and guarantee in judicial practice,extracts the main focus of disputes in practice,and then analyzes the internal and external effectiveness of equity transfer and guarantee.The second part analyzes the internal effectiveness of the equity transfer and guarantee of the limited liability company.Firstly,it demonstrates the validity of the equity transfer and guarantee contract,and then analyzes the effectiveness of the equity transfer and guarantee to the company and other shareholders of the company,such as the confirmation of shareholders’ qualification and the exercise of shareholders’ rights.Whether other shareholders of the company can exercise the preemptive right and other issues to discuss.Third part for equity guarantee external effect,mainly for the setting and security right and the company’s creditors,the rights and duties in the relationship between the general creditors of the parties,the company’s creditors would require setting or security right person liable for defective capital contribution,the party to the other party of the general creditors equity can apply for compulsory execution objection is target,The effectiveness and legal consequences of the party’s unauthorized disposal of equity.Based on the above analysis,the fourth part focuses on "the construction of equity transfer and guarantee system" and puts forward the main ideas,aiming to provide a feasible plan for the construction of legal system of equity transfer and guarantee in China.更多还原