股权让与担保纠纷裁判逻辑的实证研究  

An Empirical Study on the Logic of Equity Transfer Guarantee Disputes

作　　者：蔡立东[1] 

机构地区：[1]吉林大学法学院

出　　处：《中国法学》2018年第6期239-257,共19页China Legal Science

基　　金：2016年度教育部人文社会科学重点研究基地重大项目“大数据时代的司法理论与实践研究”(项目批准号:16JJD820004)的阶段性成果

摘　　要：对中国裁判文书网公布的判决书进行的量化实证研究表明,股权让与担保纠纷呈逐年上升之势,相关裁判规则处于不完备状态。法院多立基于“综合说”的裁判逻辑,承认股权转让合同的效力。但在债权人与担保人的内部关系上,通常仅认可债权人为名义股东,否认其真实股东地位,由此限制其股权行使;在债权人与第三人的外部关系上,藉由信赖保护的法理,实现对善意第三人的保护。股权让与担保纠纷的既有裁判逻辑难以促生统一的裁判尺度,也冲撞了既成的民法逻辑。司法裁判应确立宽容股权让与担保的立场和形式推理居先的政策,采意思表示的动机和内容相区分的逻辑,以厘定股权转让合同的效力;采权利享有和权利行使相区分的逻辑,以厘清股权让与的对内和对外效力,并发布相关指导性案例,贡献制度秩序建设的实践智慧。The quantitative empirical study on the judgments published by the China Judgments Online shows that the volume of equity transfer guarantee disputes are increasing year by year,whereas the relevant judicial rules remain incomplete. The courts tend to recognize the effectiveness of the equity transfer contract based on a judicial logic of"comprehensiveness theory". However,as for the internal relationship between the creditor and the guarantor,the courts usually treat the creditor as a nominal shareholder and restrict the exercise of his right as an actual shareholder. At the same time,by way of applying the principle of legitimate expectation protection,the courts protect the bona fide third parties regard to the external relationship between the creditor and the third party. The existing judicial logic involved in equity transfer guarantee disputes fails to promote the unified referee standard and contradicts with the established civil law logic as well. The judicial adjudication shall adopt a tolerant standing towards equity transfer guarantee and emphasize formal reasoning in the determination of the effectiveness of equity transfer contracts which distinguishes the motive and the content of the parties’ expressed intentions. And distinguish the ownership and exercise of right in clarifying the internal and external effectiveness of equity transfer. The Supreme People’s Court shall also issue relevant guiding cases so as to form the source of practical wisdom for the construction of institutional order.

关 键 词：股权让与担保 裁判逻辑 区分原则 

分 类 号：D922.291.91[政治法律—经济法学]