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1、西北政法大学硕士学位论文有限责任公司股权转让合同效力研究一个实证分析的视角作者姓名：吉 睆专 业：法律硕士（非法学）研究方向：民 商 法指导教师：张 晓 飞 副教授培养单位：法律硕士教育学院西北政法大学硕士学位论文独立完成与诚信声明本人郑重声明：所呈交的硕士学位论文，是本人在指导教师的指导下，独立进行研究工作所取得的成果。除文中已经注明引用的内容外，本论文不包含任何其他个人或者集体已经发表或撰写过的作品成果。对本文的研究做出重要贡献的个人和集体，均已在文中以明确方式标明。本人完全意识到本声明的法律结果由本人承担。 学位论文作者签名： 日期： 年 月 日摘要随着现代市场经济的发展，股权已经逐步成
2、为社会财富的重要法律表现形式。由于股权转让仅限于公司股权归属的流转，并不导致公司正常经营的中断，同时有利于受让方以低成本和高效率的方式进入公司等特性，正日益受到投资者的青睐。在实践中，有限责任公司的股东主要以转让股权的方式选择退出，由此而产生的股权转让纠纷也变得越来越多。尽管我国原公司法对有限责任公司的股权转让已有规定，但因过于原则和简陋，导致在司法实践中问题频生。有鉴于此，新公司法较为完整地确立了有限责任公司股权转让的制度框架，并对原有的条文作出了细化规定。但由于市场经济的快速发展，现行立法的规定又属于较为原则的层面，在实务运用上乃至司法实践中仍有不少疑难问题困扰着法官和学者，法学界和司法实
3、务界对这些问题的解决倾注了极大的热情，进行了不懈的研究。本文将采用实证分析的方法，结合已经搜集的判例，运用合同法和公司法的制度与原理，对与有限责任公司股权转让合同效力有关的几个重要问题做一专题研究。本文共分五个部分：第一部分讨论有限责任公司股权转让合同效力判断的基本理论问题。笔者主要从股权转让合同的概念与特征、股权转让合同效力判断的基本原则的角度论述。第二部分讨论公司章程的规定对股权转让合同效力的影响。笔者认为如果章程规定是无效的，那么违反它们而产生的股权转让合同就是有效的；反之，违反它们产生的股权转让合同就是无效的。第三部分讨论股东优先购买权对股权转让合同效力的影响。笔者认为对于没有满足股东
4、优先购买权的股权转让合同的效力判断不可一概而论，而应具体考察受让人的善意状态。如果受让人主观上是善意的，在合同具备其他生效要件的情况下，应认定合同为有效。如果受让人主观上是恶意的，则股权转让合同应认定为无效。第四部分讨论瑕疵出资对股权转让合同效力的影响。笔者认为，对于瑕疵股权转让合同的效力，应区分情况予以认定：如果公司登记材料明确记载股东瑕疵出资事实的，应该基于公示公信原则，将此类瑕疵股权转让合同认定为有效；如果公司登记材料无法反映出股东出资瑕疵的事实的，则要根据是否存在欺诈情形来确定该合同是否有效。如果出让人未如实告知受让人其瑕疵出资情况，那么该种合同应当界定为可撤销合同；反之，只要受让人承
5、担补足出资的责任，双方签订的股权转让合同就还是合法有效的。第五部分讨论隐名投资行为对股权转让合同效力的影响。笔者认为隐名投资者股东资格的判断，应当以公司法司法解释三第二十五的规定为原则，同时，对于隐名投资者签订的股权转让合同，如果该股权转让是隐名投资者的真实意思表示，整个股权转让程序符合法律的规定，则应认定为合法有效。关键词：有限责任公司；股权转让合同；效力；公司章程；瑕疵出资；股东优先购买权；隐名投资Limited liability company equity transfer contract effectivenessan empirical analysis of the rese
6、arch angle of viewAbstractWith the development of modern market economy, equity has gradually become an important legal forms of social wealth. Since the transfer of shares is limited to the transfer of company ownership transfer, does not cause the interruption of normal business company, also is a
7、dvantageous to the assignee at low cost and high efficiency features such as the way into the company, are increasingly favored by investors. In practice, limited liability company shareholders opt out mainly by the transfer of equity, the equity transfer and dispute is also becoming more and more.
8、Although the original company law in our country for equity transfer of limited liability company has regulation, but because too principle and simple, frequency leads to problems in the judicial practice. Relatively intact because of this, the new company law established a limited liability company
9、 shares transfer system framework, made detailed provisions and provisions of the original. But due to the rapid development of market economy, the current legislative provisions and belong to a level, the principle of on practice and is still plagued by many problems in judicial practice, judges an
10、d scholars of law and judicial practice has poured into great enthusiasm to solve these problems, has carried on the unremitting research. This paper will adopt the method of empirical analysis, combining with already collected cases, use of contract law and company law system and principle, with th
11、e limited liability company equity transfer contract effectiveness a monographic study on several important matters to do. This paper is divided into five parts: The first part discuss the basic theory of equity transfer contract effectiveness judgment problem. The author mainly from the concept and
12、 characteristics of equity transfer contract, the basic principles of equity transfer contract effectiveness judgment point of view in this paper. The second part discuss the provisions of the companys articles of association of the equity transfer contract effectiveness. The author thinks that if t
13、he articles of association is invalid, so violate them and the equity transfer contract is effective; Conversely, produced by the violation of their equity transfer contract is invalid. The third part discuss the shareholders right of first refusal on the influence of the equity transfer contract ef
14、fectiveness. I dont think to satisfy the shareholders right of first refusal of the equity transfer contract effectiveness judgment not to generalize, but detailed study state of the assignee of goodwill. If the assignee subjective is well-intentioned, under the condition of the contract shall take
15、effect with other elements, shall be deemed to be valid. If the transferee is subjectively malicious, the equity transfer contract shall be deemed to be null. The fourth part discuss the effects of defective capital contribution to the equity transfer contract effectiveness. The author thinks that, regarding the defective equity transfer of the effectiveness of the contract, shall be identified to distinguish the situation: if the company registration material history of shareholders defective capital contribution fa
