股权转让合同效力认定的商法规则——以《公司法》修改为视角  

The Rule of Commercial Law on the Validity of Contract to Transfer Shareholder’ Right——From the Perspective of the Revise of the Company Law

作　　者：肖海军[1,2] Xiao Haijun

机构地区：[1]湖南大学法学院 [2]湖南大学商事法与投资法研究中心

出　　处：《上海政法学院学报（法治论丛）》2022年第3期29-45,共17页Journal of Shanghai University of Political Science & Law(The Rule of Law Forum)

基　　金：2020年度国家社会科学基金重点项目“优化营商环境视角下营业权利保护研究”的阶段性研究成果,项目编号:20AFX018。

摘　　要：鉴于学界、业界在股权属性与物权属性、合同法思维与公司法思维、民法泛公平规则与商法推定真实规则、合同效力与登记效力、合同效力与限制性条件、合同效力与股权变动等诸问题尚存在不应有混淆或常识性误读;无疑,值此《公司法》大修之际,区分合同行为与公司行为,引入商法思维与商事惯例,在股权转让合同效力认定上构建一套统一的商法规则,推动同案同判,对治理股权转让类案裁判中的司法乱象,意义重大!此类商法规则,就一般而言,包括合同成立即生效、意思真实文义判断、权利认定外观主义、合同履行最大诚信等规则;具体而言,应本着合同成立与合同不成立、合同生效与合同履行、合同效力与股权归属、合同责任与公司责任相分离原则,对未依照法定程序、出名股东处分、冒名转让、瑕疵出资、一股多卖、国有股权等特殊类股权转让的合同效力及股权归属作出妥当认定和处理。In view of the problems that in the academic and judicial practice circles there are improper confusions or commonsensical misunderstandings about the differences between shareholder’ right and real right, thinking of contract law and company law, general fair rule in civil law and presumptive truth rule in commercial law, the validity of contract and registration, the validity of contract and restrictive conditions to transfer, the validity of contract and change of shareholder’ right, etc.. Undoubtedly, at the time of the overhaul of the Company Law of the People’s Republic of China, it is of great significance to differentiate contractual behavior and corporate behavior, to introduce thinking of commercial law and commercial convention, to construct a set of uniform commercial rules on the validity identification of contract to transfer shareholder’ right, and to accord consistent judgments to similar cases in order to solve the judicial disorder in the judgment of cases to transfer shareholder’ right. Generally speaking, these kinds of commercial rules include rules like contract takes effect upon its formation, judging by literary meaning,identifying right by external record, and the utmost sincerity in contract performance. Specifically, it should be properly identified or settled the validity of contract and the ownership of shareholder’ right about special types of equity transfer, such as failure to comply with legal procedures, transaction by nominal shareholder,transfer under false names, share of defective capital, one share sold to many subject, and sale of state-owned shares, etc., based on separation principles to make a distinction between contract formation and contract non-formation, contract effectiveness and contract performance, contract effectiveness and ownership of shareholder’ right, and contract liability and company responsibility.

关 键 词：股权转让合同 法律约束力 意思文义主义 权利外观主义 成立生效 

分 类 号：DF411.91[政治法律—经济法学]