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硕士学位论文试论有限责任公司股东资格的确认DiscussestheconfirmationoftheLimitedliabilitycompany’sshareholderqualifications作者姓名：黄彩云指导教师：李燕副教授西南政法大学SouthwestUniversityofPoliticalScienceandLaw1中文摘要有限股东资格的确认是公司纠纷案件审理中常涉及的一个司法实务问题，如在审理股权转让纠纷、股东权益诉讼纠纷、出资不足股东向债权人承担民事责任纠纷等具体类型的案件中，都直接或间接涉及股东资格的认定，正确认定股东资格是正确地解决这类纠纷的前提和基础，因而研究股东资格的确认对于解决公司纠纷案件具有重要的现实意义。对股东资格进行确认，首先要明白的问题必然是何为股东及股东资格。进而，所要考虑的是，股东资格这一具有重要法律意义的产物何以“得丧变更”，这属于股东的进入、退出的途径问题。对该问题的了解，有助于我们从中寻找涉及股东资格确认的有益要素。在对股东资格的法律意义进行分析的基础上，结合司法实践，归纳出确认有限责任公司股东资格可能涉及的诸多要素，并对这些要素作出实质要素和形式要素的区分。对这些要素的分析，有利于我们对股东资格的确认有一个整体的认识，便于从中梳理出有规律的适用思路。文章进而分析探讨了有限责任公司股东资格的认定理念，认为公司内部法律关系背后所蕴藏的理念主要包括交易简便、迅捷原则，意思自治原则，权利义务对等原则，禁止规避法律原则和维护社团性法律关系的稳定性原则；公司外部法律关系背后蕴藏的理念则主要为，在保持各方主体利益平衡的前提下，严格遵循商法的公示主义与外观主义原则，优先保护善意第三人的利益，以维护交易秩序的安全与稳定。秉持这些基本理念，在处理股东资格确认案件时，应区分公司内、外部纠纷，根据争议法律关系所蕴藏的理念，在平衡各利害关系人之间的利益基础上，优先选择适用相应的证据，对股东资格作出正确的认定。即对于公司内部纠纷，以交易简便、迅捷原则为基础，在体现维护社团性法律关系稳定性原则和禁止规避法律原则的同时，按照意思自治原则、权利义务对等原则，优先根据投资者与公司之间的权利义务状况、投资者的真实意思表示等反映股东资格实质要素的证据来对股东资格作出认定。对于公司外部纠纷，则应主要根据反映股东资格形式要素的证据尤其是工商登记来确定争议股东的股东资格。当公司内部纠纷与外部纠纷并存时，在程序方面，应首先处理外部关系，然后再处理内2部关系；在实体方面，则应分别按上述规则对相应的纠纷进行处理。最后，文章对几种司法实务中常遇到的具体案件类型做了针对性的分析，并提出了解决的思路。关键词：有限责任公司；股东资格；确认1AbstractThelimitedshareholderqualifications'confirmationisajudicialpracticequestionwhichthecompanydisputecasetriesoftentoinvolve,like,inthetryingstockholder'srightstransferdispute,theshareholderrightsandinterestslawsuitdispute,theinvestmentinsufficientshareholderundertakethecivilliabilitydisputetothecreditorandsoontheconcretetypecase,directorinvolvestheshareholderqualificationsindirectlyrecognizing,recognizedcorrectlytheshareholderqualificationsaresolvethiskindofdispute'spremiseandthefoundationcorrectly,thusstudiestheshareholderqualificationstheconfirmationtohavethevitalpracticalsignificanceregardingthesolutioncompanydisputecase.Theabstractcarriesontheconfirmationtotheshareholderqualifications,mustfirstunderstandthequestionisinevitablywhatfortheshareholderandtheshareholderqualifications.Then,whatmustconsider,howtheshareholderqualificationsthisdoeshavetheimportantlegalsignificanceproduct“tolosethechange”,thisbelongstotheshareholdertoenter,thewithdrawalwayquestion.Tothisquestion'sunderstanding,ishelpfultousseeksinvolvestheshareholderqualificationsconfirmationthebeneficialessentialfactor.Incarriesontheanalysistotheshareholderqualifications'legalsignificanceinthefoundation,theunionjudicaturepractice,inducesmanyessentialfactorswhichtheconfirmationLimitedliabilitycompanyshareholderqualificationspossiblyinvolve,andmakesthesubstantiveessentialfactorandtheformessentialfactordiscriminationtotheseessentialfactors.Totheseessentialfactor'sanalysis,isadvantageousinushasanoverallunderstandingtotheshareholderqualificationsconfirmation,isadvantageouscombstheorderlysuitablementality.ThearticlethenanalysisdiscussedtheLimitedliabilitycompanyshareholderqualificationstorecognizetheidea,thoughtbehindthecompanyinteriorlegalrelationshipcontainedtheideamainlyincludedthetransactioneasily,thefastprinciple,themeaningautonomousprinciple,therightsandobligationscoordinatedprinciple,forbadetododgetheprincipleoflegalityandthemaintenancemassorganizationlegalrelationshipstableprinciple;Behindthecompanyexteriorlegalrelationshipcontainstheideaismainly,atmaintainsunderallquartersmainbodybenefitbalancedpremise,followsthecommerciallawstrictlythepublicannouncementprincipleandtheoutwardappearanceprincipleprinciple,firstprotectsthegoodintentionsthirdpersonofbenefit,maintainsthetransactionorderthesecurityandthestability.Grasps2thesebasicideas,whenhandlestheshareholderqualificationsconfirmationcase,shoulddifferentiateinthecompany,theexteriordispute,containstheideaaccordingtothedisputelegalrelationship,inisbalancedbetweeneachformidablesponsorinthebenefitfoundation,thepriorityselectionissuitablethecorrespondingevidence,makescorrectrecognizingtotheshareholderqualifications.Namelyregardingthecompanyinteriordispute,taketrades,thefastprincipleeasilyasthefoundation,whilemanifeststhemaintenancemassorganizationlegalrelationshipstableprincipleandforbidstododgetheprincipleoflegality,accordingtothemeaningautonomousprinciple,therightsandobligationscoordinatedprinciple,firstaccordingtobetweentheinvestorandcompany'srightsandobligationscondition,investor'srealmeaningexpressedthatandsoonreflectedtheshareholderqualificationsessenceessentialfactortheevidencecomestotheshareholderqualificationstomakerecognized.Regardingthecompanyexteriordispute,shouldmainlyactaccordingtoreflectedthattheshareholderqualificationsformessentialfactortheevidenceindustryandcommerceregistrationdeterminedparticularlydisputesshareholder'sshareholderqualifications.Whencompanyinteriordisputewiththeexteriordisputecoexisting,intheprocedureaspect,shouldfirstdealwiththeexternalrelation,thenreprocessinginternalrelations;Intheentityaspect,shouldpresstheaboveruletocarryonprocessingseparatelytothecorrespondingdispute.Finally,thearticletheconcretecasetypewhichoftenmettoseveralkindofjudicialpracticesinhasmadethepointedanalysis,andproposedthesolutionmentality.Keywords:Limitedliabilitycompany;Share