離婚訴訟中股權(quán)分割問題的研究以有限責(zé)任公司為研究對(duì)象

中國政法大學(xué)碩(博)士學(xué)位論文I離婚時(shí)夫妻共同股權(quán)分割問題研究摘 要當(dāng)前社會(huì)市場經(jīng)濟(jì)發(fā)展日漸成熟,人們創(chuàng)造財(cái)富的能力和機(jī)會(huì)也大大增強(qiáng),生活水平也有了質(zhì)的飛躍,不同層次的人群財(cái)富儲(chǔ)存形式也不盡相同,呈現(xiàn)多樣化趨勢,不單純保持原有的金錢等有形財(cái)產(chǎn)形式,還表現(xiàn)為知識(shí)產(chǎn)權(quán)、人力資本或是某種預(yù)期收益等無形財(cái)產(chǎn)形式,這種無形財(cái)產(chǎn)形式也同樣存在于家庭關(guān)系中,當(dāng)夫妻離婚進(jìn)行財(cái)產(chǎn)分割時(shí),這些不同形式的財(cái)產(chǎn),在分割時(shí)給雙方帶來了諸多困難,而又因?yàn)榉刹]有明確陳列出這些無形財(cái)產(chǎn)如何分割,使得夫妻之間共同財(cái)產(chǎn)中的無形財(cái)產(chǎn)分割成為離婚訴訟中雙方當(dāng)事人爭議最多的部分。本文擬針對(duì)離婚訴訟中的夫妻共同股權(quán)分割問題進(jìn)行分析研究,找到較為合理的分割方式,以實(shí)現(xiàn)法律的進(jìn)一步完善,同時(shí)為實(shí)踐操作提供理論依據(jù)。隨著我國社會(huì)主義市場經(jīng)濟(jì)的發(fā)展以及住房制度的改革和投資市場的逐漸成熟，夫妻共同財(cái)產(chǎn)結(jié)構(gòu)出現(xiàn)了多元化，尤其是股權(quán)和房產(chǎn)等價(jià)值較大的財(cái)產(chǎn)在夫妻共同財(cái)產(chǎn)中占有較大的比例。盡管婚姻法解釋（二）、婚姻法解釋（三）以及新公司法針對(duì)某些情況對(duì)夫妻共同股權(quán)的轉(zhuǎn)讓都作了一些規(guī)定，但是遠(yuǎn)遠(yuǎn)無法保證實(shí)際生活中產(chǎn)生糾紛后當(dāng)事人訴求的實(shí)現(xiàn)。本文以目前比較流行的法經(jīng)濟(jì)學(xué)理論為基礎(chǔ)，運(yùn)用法經(jīng)濟(jì)學(xué)分析的研究方法來分析我國關(guān)于離婚訴訟中夫妻共同股權(quán)分割問題的立法現(xiàn)狀和司法現(xiàn)狀，在此基礎(chǔ)上對(duì)目前的立法和司法進(jìn)行法經(jīng)濟(jì)學(xué)的分析，并提出對(duì)離婚中夫妻共同股權(quán)分割的規(guī)制應(yīng)以“理性經(jīng)濟(jì)人”為出發(fā)點(diǎn)，且同時(shí)具備追求法律公正與效率的特征。本文認(rèn)為，在市場經(jīng)濟(jì)發(fā)展日益迅猛的今日，作為理性主體的個(gè)人或企業(yè)，都希望盡可能提高資本的利用效率。未來立法中國政法大學(xué)碩(博)士學(xué)位論文II除了追求公平、正義之外，還應(yīng)該具有引導(dǎo)各社會(huì)主體按照資源優(yōu)化配置、利益最大化的原則來做出理性選擇的功能。本文作者將會(huì)從四個(gè)部分進(jìn)行闡述：第一部分闡述夫妻共同股權(quán)的基本理論，從夫妻共同股權(quán)的概念、本質(zhì)屬性以及財(cái)產(chǎn)基礎(chǔ)進(jìn)行闡述；第二部分本文作者將會(huì)就夫妻共同股權(quán)的分割制度進(jìn)行闡述，尤其是分割的概念、特殊性以及對(duì)于分割原則、分割方式進(jìn)行詳細(xì)的闡述；第三部分主要從我國目前處理的夫妻離婚股權(quán)分割的案例入手，詳細(xì)的介紹我國目前股權(quán)分割案例中存在的困擾與問題；第四部分本文作者從專業(yè)的角度對(duì)于第三部分提出的問題進(jìn)行了全面、專業(yè)的解答。希望對(duì)于夫妻之間股權(quán)分割的問題研究可以促進(jìn)我國相關(guān)部門盡快立法，并且使得夫妻因?yàn)殡x婚而產(chǎn)生的股權(quán)分割糾紛越來越少。關(guān)鍵詞：離婚；夫妻共同股權(quán)；股權(quán)分割；中國政法大學(xué)碩(博)士學(xué)位論文IIISTUDY ON THE SPLIT OF STOCK RIGHT IN DIVORCE PROCEEDINGS - TAKING LIMITED LIABILITY COMPANY AS THE OBJECT OF STUDYABSTRACTThe development of social market economy matures, the ability of people to create wealth and opportunity also greatly enhance the living standard has been a qualitative leap, different levels of people of wealth storage form are not the same, showed a trend of diversification, not only keep the original money form of tangible property, but also for the intellectual property rights, human capital or some expected benefits of intangible property, the intangible property forms also exist in family relations, when divorce division of property, these different forms of property in the division to both sides has brought many difficulties, but because the law does not clearly show how these intangible property Cut, the common property between husband and wife in the intangible property division has become the largest part of divorce proceedings the parties to the dispute. This analysis aims at the divorce proceedings of matrimonial equity segmentation problem, to find a more reasonable segmentation, in order to achieve further improvement of the law, and provide a theoretical basis for the practical operation. With the reform and development Chinas socialist market economy and the housing system and the gradual maturity of the investment market, the common property of the couple 中國政法大學(xué)碩(博)士學(xué)位論文IVstructure has diversified, especially high value like equity and real estate property in a large proportion of the common property of husband and wife. Although “marriage law interpretation (two). and transfer of new company law in some cases of matrimonial equity have made some provisions, but is to ensure the realization of disputes in real life after the partys appeal. The paper takes the popular law and economics theory as the basis, using the research methods of law and Economics Analysis about Chinas divorce matrimonial legislation and judicial status of equity segmentation, on the basis of the current legislative and judicial analysis of law and economics, and puts forward to divorce matrimonial equity segmentation regulation should be based on “rational economic man“ as the starting point, and at the same time with the pursuit method The characteristics of the law of justice and efficiency. This paper argues that, in the increasingly rapid development of market economy today, as an individual or business subject of reason, hope that as far as possible to improve the utilization efficiency of capital. The future legislation in addition to the pursuit of fairness, justice, should also guide the social main body according to the optimal allocation of resources, the principle of profit maximization to make a rational choice function. The author will be carried out from four parts: the first part expounds the basic theory of matrimonial equity, from the concept of matrimonial equity, property and property in detail; the second part of this article. The author will matrimonial equity segmentation system The particular concept of segmentation, the particularity and the principle of division of division, is described in detail; the third section of the paper mainly from the current treatment of divorce equity Split case, introduced Chinas current equity segmentation problems and issues of the case in detail; in the fourth part, the author from a professional point of view to the third part puts forward the problem of comprehensive, professional answers. I hope to study problems between husband and wife can promote the equity division of 中國政法大學(xué)碩(博)士學(xué)位論文VChinas relevant departments in the legislation as soon as possible, and make the couple because of divorce caused by equity segmentation dispute more and more less.KEY WORDS:divorce;Joint ownership of husband and wife;Equity division;中國政法大學(xué)碩(博)士學(xué)位論文VI目錄第一章 夫妻共同股權(quán)的基本理論.1一、基本概念界定.1（一）股權(quán)的概念及屬性.1（二）夫妻共同財(cái)產(chǎn)的界定.3二、股權(quán)屬于夫妻共同財(cái)產(chǎn)的基礎(chǔ).4（一）股權(quán)是否屬于夫妻共同財(cái)產(chǎn)學(xué)說.4（二）法律基礎(chǔ).5三、夫妻共同股權(quán)的概念及特有屬性.5（一）夫妻共同股權(quán)的概念界定.5（二）夫妻共同股權(quán)的特有屬性.5四、本章小結(jié).6第二章 夫妻共同股權(quán)的分割制度.7一、夫妻共同股權(quán)分割的概念及特殊性.7（一）夫妻共同股權(quán)分割的概念.7（二）夫妻共同股權(quán)分割的特殊性.8二、分割學(xué)說.9（一）可分割說.9（二）不可分割說.11（三）作者的意見.11三、分割原則.12（一）維持公司資本確定、資本不變的原則.12（二）照顧非持股方權(quán)益及其他股東和第三人利益原則.13（三）最大程度發(fā)揮股權(quán)效益原則.14（四）堅(jiān)持婚姻法與公司法等相關(guān)法律、法規(guī)的協(xié)調(diào)與統(tǒng)一原則.15中國政法大學(xué)碩(博)士學(xué)位論文VII四、一般分割方式.15（一）直接分割.16（二）作價(jià)分割.17（三）競價(jià)分割.18（四）拍賣分割.18五、本章小結(jié).18第三章 我國離婚訴訟中夫妻共同股權(quán)分割現(xiàn)狀分析.20一、我國夫妻共同股權(quán)分割的立法現(xiàn)狀.20二、司法實(shí)踐中分析夫妻共同股權(quán)分割現(xiàn)狀.22（一）非持股方權(quán)益保護(hù)失衡.22（二）法院司法審判難度大.24（三）對(duì)公司結(jié)構(gòu)及債權(quán)人利益產(chǎn)生影響.25三、本章小結(jié).28第四章 夫妻共同股權(quán)分割制度的完善.29一、國外夫妻共同股權(quán)分割制度分析及啟示.29（一）國外夫妻共同股權(quán)分割分析.30（二）對(duì)完善我國夫妻共同股權(quán)分割制度的啟示.30二、建立非持股方配偶權(quán)益保障體系.32（一）完善非持股方知情權(quán)的保障制度.32（二）完善舉證責(zé)任制度.33（三）限制持股方股權(quán)處分權(quán).33（四）完善財(cái)產(chǎn)保全制度.33三、完善夫妻共同股權(quán)分割審判程序.33（一）建立夫妻共同股權(quán)財(cái)產(chǎn)登記及備案制度.34（二）建立股權(quán)價(jià)值評(píng)估制度.34（三）強(qiáng)化法院強(qiáng)制分割權(quán).34（四）限制“另案處理”方式濫用.35四、本章小結(jié).35中國政法大學(xué)碩(博)士學(xué)位論文VIII參考文獻(xiàn).37中國政法大學(xué)碩(博)士學(xué)位論文1引言隨著經(jīng)濟(jì)的不斷發(fā)展，人們生活水平的不斷提升，夫妻之間的共同財(cái)產(chǎn)除了房子、車子、商鋪、現(xiàn)金等之外，共同股權(quán)也占據(jù)了非常重要的地位。隨著生活節(jié)奏的不斷加快，壓力的不斷增加，很多夫妻在中、老年的時(shí)候會(huì)做出離婚的決定。夫妻感情一旦破裂必將涉及到雙方對(duì)夫妻共同財(cái)產(chǎn)進(jìn)行分割。諸如現(xiàn)金、房產(chǎn)等有形財(cái)產(chǎn)在離婚分割時(shí)相對(duì)容易，易于分割，司法實(shí)踐的處理上也相對(duì)簡單，現(xiàn)行的婚姻法及其司法解釋對(duì)于上述類型的夫妻共同財(cái)產(chǎn)分割問題也規(guī)定的較為明確、具體，同時(shí)在離婚案件中雙方當(dāng)事人可以在不違背法律法規(guī)的情況下依據(jù)自愿的原則約定財(cái)產(chǎn)如何分配，與以上財(cái)產(chǎn)分割不相同的是夫妻共同股權(quán)分割，因?yàn)楣餐蓹?quán)分割的事例在我國出現(xiàn)的相對(duì)較晚，而且婚姻法對(duì)此沒有明確的規(guī)定，不僅我們國家沒有其他的國家也缺乏相對(duì)的法律條文規(guī)定。更糟糕的是，夫妻共同股權(quán)的分割，不僅僅涉及到夫妻雙方的利益，還會(huì)對(duì)于第三方個(gè)人或者集團(tuán)有著相應(yīng)的影響，這樣就使得夫妻共同股權(quán)的分割相對(duì)較復(fù)雜，糾紛也日益增多。股份有限公司中，股權(quán)的表現(xiàn)形式為股票，并且在現(xiàn)實(shí)生活中股票大多表現(xiàn)為不記名股票，分割起來也相對(duì)容易，只要按比例進(jìn)行分配，夫妻各自取得自己分的的份額就可以了，但是我們都知道有限責(zé)任公司具有較強(qiáng)的人合性，股權(quán)分割在司法實(shí)踐中面臨著重重困難，立法上而言，有存在著法律空白以及部門法之間不銜接的地方，這就成為了我們研究的突破口。作為法律專業(yè)的畢業(yè)生，筆者將會(huì)在畢業(yè)設(shè)計(jì)中選擇離婚時(shí)夫妻共同股權(quán)分割問題研究作為自己的畢業(yè)設(shè)計(jì)主題。在本文的畢業(yè)設(shè)計(jì)中，筆者首先要從“夫妻共同股權(quán)”入手，權(quán)威專業(yè)中國政法大學(xué)碩(博)士學(xué)位論文2的角度解釋關(guān)于夫妻共同共有的概念、屬性、界定等等。根據(jù)“夫妻共同股權(quán)”的相關(guān)內(nèi)容，對(duì)夫妻共同