股权让与担保纠纷效力的实证研究——基于238份裁判文书  

An Empirical Study on the Effectiveness of Equity Transfer Guarantee Disputes:Based on 238 Judgment Documents

作　　者：王明阳 余永祥[1] WANG Mingyang;YU Yongxiang

机构地区：[1]杭州师范大学,杭州311121

出　　处：《上海市经济管理干部学院学报》2025年第2期43-53,共11页Journal of Shanghai Economic Management College

摘　　要：自《民法典》及相关司法解释承认股权让与担保之后,股权让与担保已为司法实践所接受,但关于其效力的精细化研究尚待深入。究其原因,在是保护第三人还是保护股权让与担保合同当事人的观念上产生了差异。《民法典担保制度解释》之所以引入功能主义这一舶来品,或是出于平衡担保权人与第三人之间的风险分配,但并未形成完整的理论体系,由此带来了理论与实践中的观点对立。依照对风险可预见程度的不同,还是应当坚持内部采用意思自治,外部则采用商事外观的效力体系构造。而《民法典担保制度解释》对功能主义的引入,则是对商事外观原则的必要限缩,以兼顾担保权人的利益。Since the recognition of equity transfer guarantee in the Civil Code and relevant judicial interpretations,equity transfer guarantee has been accepted in judicial practice,but further research on its effectiveness is still needed.The reason for this is that there is a difference in the concept of protecting third parties or protecting the parties to the equity transfer guarantee contract.The reason why the“Interpretation of the Civil Code Guarantee System”introduces functionalism as an imported product may be to balance the risk allocation between the secured party and the third party,but it has not formed a complete theoretical system,which has brought about opposition between theoretical and practical perspectives.Therefore,according to the different levels of predictability of risks,the traditional internal respect for autonomy of will should be adopted,while the external system should be constructed using commercial appearance.The introduction of functionalism in the“Interpretation of the Civil Code Guarantee System”is a necessary limitation of the principle of commercial appearance to balance the interests of the secured party.

关 键 词：股权让与担保 意思自治 商事外观 功能主义 效力认定 

分 类 号：D922.291.91[政治法律—经济法学]