本文選題：股權(quán)對外轉(zhuǎn)讓 + 第三人��； 參考：《寧波大學(xué)》2010年碩士論文

【摘要】：隨著現(xiàn)代公司法的發(fā)展,公司法上的制度設(shè)計理念逐漸從股東利益至上,轉(zhuǎn)化為平衡公司各參與方利益。在公司對外轉(zhuǎn)讓股權(quán)的過程中,由于股東優(yōu)先購買權(quán)的存在,極大程度上損害了第三人的利益。因此需要對第三人的利益進(jìn)行特別保護(hù),這樣才能夠提高交易安全度,保證市場經(jīng)濟(jì)的順利運行。 第一部分,首先,從制度價值的角度論證第三人利益保護(hù)的正當(dāng)性,其次,從理論和實證兩個不同的層面,證明第三人利益保護(hù)制度的必要性。對第三人利益進(jìn)行保護(hù),既能夠體現(xiàn)交易安全,又能夠增進(jìn)經(jīng)濟(jì)運行效率,而且能夠彌補(bǔ)有限責(zé)任公司股權(quán)缺乏二級流動市場的缺憾。最后,通過對大陸法系和英美法系一些國家關(guān)于第三人利益保護(hù)制度考察,從側(cè)面證明第三人利益保護(hù)制度的正當(dāng)性。 第二部分,研究一股二賣情形下,第三人利益如何保護(hù)。首先,分析違反股東優(yōu)先購買權(quán)條款而訂立的股權(quán)轉(zhuǎn)讓合同的效力,結(jié)論為此類合同是相對無效合同。其次,由此股權(quán)變動有其自身的效力層次,因此,在不同的層次,第三人利益保護(hù)的實現(xiàn)途徑也不同。如果是要在一股二賣的情形下,保證第三人的利益,那么就應(yīng)當(dāng)對我國公司法上優(yōu)先購買權(quán)條款作一定的完善,如將條款性質(zhì)設(shè)定為“授權(quán)性”,以及借鑒英美關(guān)于“第一拒絕權(quán)”和“第一選擇權(quán)”的做法。 第三部分,分析質(zhì)押股權(quán)情形下,第三人利益如何保護(hù)。探討股東優(yōu)先購買權(quán)的性質(zhì),它屬于債權(quán)性質(zhì)的優(yōu)先購買權(quán),與其他民法上的優(yōu)先權(quán)購買權(quán)都存在差別。因此,在股權(quán)質(zhì)押設(shè)定和實行的過程中,對第三人的利益都應(yīng)當(dāng)有特殊的保護(hù)。 第四部分,探討競價方式轉(zhuǎn)讓股權(quán)的情形下,第三人利益如何保護(hù)。通過解決《公司法》和《拍賣法》上的法律沖突,來保護(hù)通過拍賣途徑受讓股權(quán)的第三人利益。由于國有股權(quán)也存在競價轉(zhuǎn)讓的問題,本部分通過案例分析的方式,來對國有股權(quán)轉(zhuǎn)讓過程中第三人利益保護(hù)予以分析。
[Abstract]:With the development of modern company law, the system design idea of company law gradually changes from shareholder benefit to balance the interests of all parties involved in the company. In the process of transferring shares to foreign companies, the interests of the third party are greatly damaged because of the existence of shareholders' preemptive right. Therefore, it is necessary to protect the interests of the third party in order to improve the transaction security and ensure the smooth operation of the market economy. The first part, firstly, demonstrates the legitimacy of the protection of the interests of the third party from the perspective of institutional value. Secondly, it proves the necessity of the system of the protection of the interests of the third party from two different levels: theoretical and empirical. To protect the interests of the third party can not only reflect the transaction security, but also improve the efficiency of economic operation, and can make up for the deficiency of the lack of secondary current market in the limited liability company. Finally, by investigating the protection system of the interests of the third party in some countries of the continental law system and the common law system, the legitimacy of the protection system of the third party's interests is proved from the side. The second part studies how to protect the interests of the third party under the situation of one-share and two-sale. First of all, it analyzes the validity of the equity transfer contract concluded in violation of the clause of shareholders' preemption right, and concludes that this kind of contract is relatively invalid. Secondly, the change of equity has its own level of effectiveness, therefore, in different levels, the third party's interest protection approaches are also different. If we want to guarantee the interests of the third party in the case of one share and two sales, then we should perfect the preemptive right clause in our company law, such as setting the nature of the clause as "authorized". And draw lessons from Britain and the United States on the "first right of refusal" and "first option" approach. The third part analyzes how to protect the interests of the third party in the case of pledge equity. This paper probes into the nature of shareholders' preemption right, which belongs to the preemptive right of creditor's rights and is different from other civil law's. Therefore, the interest of the third party should be protected in the course of the establishment and implementation of equity pledge. The fourth part discusses how to protect the interests of the third party in the case of the transfer of equity by bidding. By resolving the conflicts of laws in Company Law and auction Law, we can protect the interests of the third party who are granted shares by auction. Due to the problem of bidding for the transfer of state-owned equity, this part analyzes the protection of the interests of the third party in the process of the transfer of state-owned equity by way of case study.
【學(xué)位授予單位】：寧波大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2010
【分類號】：D922.291.91

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