江西财经大学学报 ›› 2020, Vol. 0 ›› Issue (3): 115-125.

• 法与经济 • 上一篇    下一篇

公司实际出资人执行异议之诉理论检视与裁判路径选择

赵忠奎   

  1. 西南政法大学 经济法学院,重庆 401120
  • 收稿日期:2019-12-15 修回日期:2020-03-23 出版日期:2020-05-25 发布日期:2020-12-14
  • 作者简介:赵忠奎,西南政法大学讲师,西南政法大学博士后流动站与四川省社会科学院博士后工作站联合培养博士后,中国农村经济法制创新研究中心副研究员,主要从事企业法与金融法研究,联系方式zhaozhongkui18@126.com。
  • 基金资助:
    中国博士后科学基金项目“‘双防’法源时代下商事习惯适用规则研究”(2018M633623XB)

Theoretical Review of Execution Objection Litigation of Corporate Actual Contributors and Path Selection of Judgment

ZHAO Zhong-kui   

  1. Southwest University of Political Science and Law,Chongqing 401120,China
  • Received:2019-12-15 Revised:2020-03-23 Online:2020-05-25 Published:2020-12-14

摘要: 实际出资人执行异议之诉是有限责任公司股东资格认定衍生的又一难题,隐名出资行为及股权基础关系的变化均会引发此类诉讼。鉴于司法实践中“同案异判”现象普遍,理论界形成“权利外观优先保护论”与“权利外观优先保护质疑论”两种截然不同观点。为弥补既有研究的“回避性”“不充分性”及“论证逻辑漏洞”,破解纠纷“无解”的窘境,可在归纳与罗列“合约规制”与“公权规制”所涉具体利益的基础上进行充分利益衡量,结合利益保护的社会效果,得出利益保护的价值取向。按此路径,“隐名出资情境下”及“股权转让合同生效阶段”登记股东债权人利益更具优先保护的正当性,作为制度工具的“权利外观标准”恰与该价值取向契合。在“股权转让合同生效+公司受通知与认可阶段”严格适用实体法解决纠纷多有不公,可借鉴《德国有限责任公司法》引入股权异议登记制度,赋予实际出资人(股权受让人)对抗登记股东债权人的权利。

关键词: 实际出资人, 隐名出资, 执行异议之诉, 外观主义, 利益衡量

Abstract: The execution objection litigation by the actual contributors is another difficult problem derived from the identification of the shareholders’qualification of a limited liability company;both anonymous capital contribution and the change of equity base relation will lead to these kinds of lawsuits.In view of the widespread phenomenon of“same cases with different judgment”in judicial practice,the theoretical circle has formed two completely different views,i.e.,“preferential protection of right appearance”and“questioning of preferential protection of right appearance”.In order to make up for the“avoidant property”,“insufficiency”and“logical loopholes in argument”in the existing researches,and to break the“no solution”dilemma in disputes,we can measure the interests adequately on the basis of summarizing and listing the specific interests involved in the“contract regulation”and the“public right regulation”,and gain the value orientation of interest protection combined with the social effect of interest protection.As a system tool,the“appearance standard of rights”is exactly in line with the value orientation.It is unfair to strictly apply the substantive law to resolve disputes at the stage of“validating equity transfer contract + company receiving notification and recognizing”.Therefore,we can introduce the equity objection registration system by referring to the German Limited Liability Company Law and endow the actual contributors (equity transferee) the right to withstand the registered shareholder creditors.

Key words: actual contributors, anonymous contribution, execution objection litigation, rechtsschein theorie, interest measurement

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