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中华人民共和国海上国际集装箱运输管理规定(附英文)

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中华人民共和国海上国际集装箱运输管理规定(附英文)

国务院


中华人民共和国海上国际集装箱运输管理规定(附英文)

1990年12月5日,国务院

第一章 总 则
第一条 为加强海上国际集装箱运输管理,明确有关各方责任,适应国家对外贸易的需要,制定本规定。
第二条 本规定适用于在中华人民共和国境内设立的海上国际集装箱运输企业及与海上国际集装箱运输有关的单位和个人。
第三条 中华人民共和国交通部主管全国海上国际集装箱运输事业。
第四条 海上国际集装箱运输必须贯彻安全、准确、迅速、经济和文明服务的方针,积极发展门到门运输。

第二章 海上国际集装箱运输企业的开业审批
第五条 海上国际集装箱运输企业是指从事海上国际集装箱运输的航运企业、港口装卸企业及其承运海上国际集装箱的内陆中转站、货运站。
第六条 设立经营海上国际集装箱运输的航运企业,应当经省、自治区、直辖市交通主管部门审核,报交通部审批。
第七条 设立港口国际集装箱装卸企业应当经省、自治区、直辖市交通主管部门审批,报交通部备案。
本办法发布后新设立承运海上国际集装箱的内陆中转站、货运站,应当经设立该企业的主管部门审核同意后,由省、自治区、直辖市交通主管部门审批,报交通部备案。
对外经济贸易系统新设立的承运海上国际集装箱的内陆中转站、货运站的审批办法,由交通部会同对外经济贸易部另行制定。
第八条 设立中外合资经营、中外合作经营的海上国际集装箱运输企业,须经交通部审核同意后,按照有关法律、法规的规定,由对外经济贸易部审批。
第九条 设立经营海上国际集装箱运输的企业,应当具备以下条件:
(一)有与其经营范围和服务对象相适应的运输船舶、车辆、设备及其他有关设施;
(二)有相应的组织机构、办公场所、专业管理人员;
(三)有与所经营的集装箱运输业务相适应的注册资本和自有流动资金;
(四)国家法律、法规规定的设立企业的其他条件。
第十条 交通主管部门应当根据申请经营海上国际集装箱运输企业的资金来源、设备情况、管理水平、货源情况,审核批准其业务经营范围。
第十一条 交通主管部门应当将批准文件发给获准经营海上国际集装箱运输的企业。取得批准文件的单位,凭该文件向工商行政管理部门申请登记注册,经核准发给营业执照后,方可开业。
设立承运海上国际集装箱的内陆中转站、货运站,还应当向海关办理登记手续。

第三章 货运管理
第十二条 用于海上国际集装箱运输的集装箱,应当符合国际集装箱标准化组织规定的技术标准和有关国际集装箱公约的规定。
集装箱所有人、经营人应当做好集装箱的管理和维修工作,定期进行检验,以保证提供适宜于货物运输的集装箱。
违反本条第二款规定,造成货物损坏或短缺的,由责任人按照有关规定承担赔偿责任。
第十三条 承运人及港口装卸企业应当保证运载集装箱的船舶、车辆、装卸机械及工具处于良好的技术状况,确保集装箱的运输及安全。
承运人及港口装卸企业违反本条第一款规定,造成货物损坏或短缺的,应当按照有关规定承担赔偿责任。
第十四条 承运人及港口装卸企业应当使用集装箱运输单证。
第十五条 承运人可以直接组织承揽集装箱货物,托运人可以直接向承运人或委托货运代理人洽办进出口集装箱货物的托运业务。
第十六条 托运人应当如实申报货物的品名、性质、数量、重量、规格。托运的集装箱货物,必须符合集装箱运输的要求,其标志应当明显、清楚。
第十七条 托运人或承运人在货物装箱前应当认真检查箱体,不得使用影响货物运输、装卸安全的集装箱。
第十八条 装运粮油食品、冷冻品等易腐食品的集装箱,须经商检机构检验合格后方可使用。
第十九条 集装箱货物运达目的地后,承运人应当及时向收货人发出提货通知,收货人应当在收到通知后,凭提单提货。
收货人超过规定期限不提货或不按期限归还集装箱的,应当按照有关规定或合同约定支付货物、集装箱堆存费及支付集装箱超期使用费。
第二十条 海上国际集装箱的运费和其他费用,应当根据国家有关运输价格和费率的规定计收;国家没有规定的,按照双方商定的价格计收。任何单位不得乱收费用。
第二十一条 承运人及港口装卸企业,应当定期向交通主管部门报送运输统计报表。
第二十二条 与海上国际集装箱运输相关的各方应当及时相互提供集装箱运输信息。

第四章 交接和责任
第二十三条 承运人与托运人或收货人应当根据提单确定的交接方式,在码头堆场、货运站或双方商定的其他地点办理集装箱、集装箱货物交接。
第二十四条 参加海上国际集装箱运输的承运人、港口装卸企业应当按照下列规定办理集装箱交接:
(一)海上承运人通过理货机构与港口装卸企业在船边交接;
(二)经水路集疏运的集装箱,港口装卸企业与水路承运人在船边交接;
(三)经公路集疏运的集装箱,港口装卸企业与公路承运人在集装箱码头大门交接;
(四)经铁路集疏运的集装箱,港口装卸企业或公路承运人与铁路承运人在装卸场交接。
第二十五条 集装箱交接时,交接双方应当检查箱号、箱体和封志。重箱凭封志和箱体状况交接;空箱凭箱体状况交接。
交接双方检查箱号、箱体和封志后,应当作出记录,并共同签字确认。
第二十六条 承运人、港口装卸企业对集装箱、集装箱货物的损坏或短缺的责任,交接前由交方承担,交接后由接方承担。但如果在交接后一百八十天内,接方能提出证据证明集装箱的损坏或集装箱货物的损坏或短缺是由交方原因造成,交方应当承担赔偿责任。法律另有规定的除外。
第二十七条 除法律另有规定外,承运人与托运人应当根据下列规定,对集装箱货物的损坏或短缺负责:
(一)由承运人负责装箱的货物,从承运人收到货物后至运达目的地交付收货人之前的期间内,箱内货物损坏或短缺,由承运人负责。
(二)由托运人负责装箱的货物,从装箱托运后至交付收货人之前的期间内,如箱体和封志完好,货物损坏或短缺,由托运人负责;如箱体损坏或封志破坏,箱内货物损坏或短缺,由承运人负责。
承运人与托运人或收货人之间要求赔偿的时效,从集装箱货物交付之日起算不超过一百八十天,但法律另有规定的除外。
第二十八条 由于托运人对集装箱货物申报不实造成人员伤亡,运输工具、货物自身及其他货物、集装箱损失的,由托运人负责。
第二十九条 由于装箱人的过失,造成人员伤亡,运输工具、其他货物、集装箱损失的,由装箱人负责。
第三十条 集装箱货物发生损坏或短缺,对外索赔时需要商检部门鉴定出证的,应当依照《中华人民共和国进出口商品检验法》办理。
集装箱、集装箱货物发生短缺,对外索赔时需要理货机构出证的,应当依照有关规定办理。

第五章 罚 则
第三十一条 无运输营业执照从事集装箱运输业务的,由交通主管部门责令其停止营业,由工商行政管理部门给予处罚。
第三十二条 违反本规定及国家有关物价法规收取运输费用的,由物价管理部门给予处罚。
第三十三条 违反运输单证管理规定的,由交通主管部门视情节轻重给予警告或罚款。
第三十四条 扰乱运输秩序或随意扩大业务经营范围的,由交通主管部门责令其整顿,并由工商行政管理部门给予处罚。
第三十五条 当事人对处罚决定不服的,可以在收到处罚通知的次日起十五日内,向处罚机关的上一级机关申请复议。接到复议申请的机关应当在三十日内作出复议决定。当事人对复议决定仍不服的,可以在接到复议决定之日起十五日内向人民法院起诉。当事人逾期不申请复议、不起诉,又不履行处罚决定或复议决定的,作出处罚决定的机关可以申请人民法院强制执行。

第六章 附 则
第三十六条 本规定由交通部负责解释。
交通部可以根据本规定制定实施细则。
第三十七条 本规定自发布之日起施行。

PROVISIONS OF THE PEOPLE'S REPUBLIC OF CHINA ON THE ADMINISTRATIONOF MARITIME INTERNATIONAL CONTAINER TRANSPORT

Important Notice: (注意事项)
英文本源自中华人民共和国务院法制局编译, 中国法制出版社出版的《中华人民
共和国涉外法规汇编》(1991年7月版).
当发生歧意时, 应以法律法规颁布单位发布的中文原文为准.
This English document is coming from the "LAWS AND REGULATIONS OF THE
PEOPLE'S REPUBLIC OF CHINA GOVERNING FOREIGN-RELATED MATTERS" (1991.7)
which is compiled by the Brueau of Legislative Affairs of the State
Council of the People's Republic of China, and is published by the China
Legal System Publishing House.
In case of discrepancy, the original version in Chinese shall prevail.

Whole Document (法规全文)
PROVISIONS OF THE PEOPLE'S REPUBLIC OF CHINA ON THE ADMINISTRATION
OF MARITIME INTERNATIONAL CONTAINER TRANSPORT
(Promulgated by Decree No. 68 of the State Council of the People's
Republic of China on December 5, 1990, and effective as of the date of
promulgation)

Chapter I General Provisions
Article 1
These Provisions are formulated in order to strengthen the administration
of maritime international container transport, to clearly define the
responsibilities of the various parties concerned, and to meet the State's
needs in handling foreign trade.
Article 2
These Provisions shall apply to those enterprises that are established
within the territory of the People's Republic of China for the handling of
maritime international container transport, and also to units and
individuals that are involved in the operations of maritime international
container transport.
Article 3
The Ministry of Communications of the People's Republic of China shall be
responsible for the administration of the operations of maritime
international container transport throughout the country.
Article 4
In conducting maritime international container transport, the principles
of safety, accuracy, speed, economy, and civilized services must be
followed and door-to-door transportation shall be actively developed.

Chapter II Procedures for the Examination and Approval of Applica- tions for the Establishment of Enterprises That Handle Maritime Inter- national Container Transport
Article 5
"Enterprises for the operations of maritime international container
transport" refers to those shipping enterprises that are engaged in
maritime international container transport, and also to those enterprises
that are engaged in port handling, with their inland transshipment
stations and freight stations that undertake maritime international
container transport.
Article 6
The applications for the establishment of enterprises that are engaged in
the operations of maritime international container transport shall be
submitted to the competent departments for communications of the
provinces, autonomous regions, or municipalities directly under the
Central Government for examination and verification, and then to the
Ministry of Communications for examination and approval.
Article 7
The applications for the establishment of enterprises that are engaged in
port handling of international containers shall be submitted to the
competent departments for communications of the provinces, autonomous
regions, or municipalities directly under the Central Government for
examination and approval, and then to the Ministry of Communications for
the record.
After the promulgation of these Provisions, the applications for the
establishment of new inland transshipment stations and freight stations
that undertake the transport of maritime international containers shall be
submitted first to the competent department that has established the said
enterprise for examination, verification, and consent; and then to the
competent departments for communications of the provinces, autonomous
regions, or municipalities directly under the Central Government for
examination and approval; and finally to the Ministry of Communications
for the record. The procedures for the examination and approval of the
applications for the establishment of new transshipment stations and
freight stations that undertake the transport of maritime international
containers shall be formulated separately by the Ministry of
Communications in conjunction with the Ministry of Foreign Economic
Relations and Trade.
Article 8
The applications for the establishment of Chinese-foreign equity joint
ventures and Chinese-foreign contractual joint ventures that handle
maritime international container transport shall be submitted to the
Ministry of Communications for examination, verification, and consent; and
shall then, in accordance with the provisions of the pertinent laws and
regulations, be submitted to the Ministry of Foreign Economic Relations
and Trade for examination and approval.
Article 9
The establishment of enterprises that are engaged in the operations of
maritime international container transport must satisfy the following
conditions:
(1) to have transport vessels, transport motor vehicles, transport
equipment and other relevant facilities that correspond to their scope of
business and to the needs of their customers;
(2) to have the necessary organizational structure, site for setting up
their business office, and specialized administrative personnel;
(3) to have the registered capital and their own working capital that
meets the requirements of their business operations;
(4) to meet other conditions as stipulated by State laws, decrees and
regulations governing the establishment of enterprises.
Article 10
The competent department for communications shall examine, verify and
approve the scope of business operations of the enterprises that have
applied for the permission to handle maritime international container
transport in light of their sources of funds, the conditions of equipment
and facilities, the standard of administration, and the sources of
cargoes.
Article 11
The competent department of communications shall issue the approving
documents to those enterprises, which have obtained the approval to handle
maritime international container transport. The units that have received
the approving documents shall apply and go through the registration
procedures by presenting the aforesaid approving documents to the
administrative department for industry and commerce, which shall issue the
business licences after checking and approving the enterprises'
application: and only then shall the enterprises be permitted to start
business operations.
Cases concerning the establishment of inland transshipment stations and
freight stations that undertake the transport of maritime international
containers shall also be submitted to the Customs for the completion of
the registration procedures.

Chapter III Management of Freight Transportation
Article 12
The containers used in maritime international container transport shall
conform to the provisions and technical standards of the international
organization for the standardization of containers, and also to the
provisions of the pertinent international containers convention.
The owners and operators of containers shall do a good job in the
management and maintenance of containers and carry out regular
inspections, in order to guarantee the provision of containers that are
suitable for the transportation of cargoes. In case that the provisions
in the second paragraph of this Article have been violated, and, as a
result, goods are damaged or short in number or quantity, the person(s)
who is (are) held responsible for this shall bear the liability for
compensation in accordance with the pertinent provisions.
Article 13
Shippers and enterprises that are engaged in port handling, shall
guarantee that the vessels, motor vehicles, handling machinery and tools
are kept in a good technical condition, thereby ensuring the
transportation and safety of containers. In case that shippers and
enterprises that are engaged in port handling have violated the provisions
in the first paragraph of this Article, and, as a result, goods are
damaged or short in number or quantity, they shall bear the liability for
compensation in accordance with the pertinent provisions.
Article 14
Shippers and enterprises that are engaged in port handling shall use the
container shipping documents.
Article 15
Shippers may directly organize the contracting of the transportation of
container goods, and consignors may directly hold business talks with
shippers or commission shipping agents for the consignment of import and
export container goods.
Article 16
Consignors shall submit an accurate report on the names of goods, and
their property, quantity, weight, and specifications. The goods shipped by
consignment in containers must conform to the requirements of container
transport, and marks on the goods should be obvious and clear.
Article 17
Consignors or shippers shall, before vanning, carry out a careful
inspection of containers, and containers that might cause an adverse
effect on to the transportation and vanning of goods may not be used.
Article 18
Containers which are used for shipping such perishables as grains, edible
oils, and frozen food, shall be inspected by the department for commodity
inspection and found to be up to the standard before they are used for
shipping.
Article 19
As soon as container goods have reached their destination, the shipper
shall promptly send a cargo delivery notice to the consignee; and the
consignee shall, upon receiving the notice, take delivery of goods on the
strength of the bill of lading. In case that the consignee fails to clear
the goods when the prescribed time limit is overdue, or that the consignee
fails to return the containers according to the prescribed time limit, the
said consignee shall be required to pay, in accordance with the pertinent
stipulations or with the agreement set forth in the contract, the
demurrage charge for the extended use of containers.
Article 20
The freight charges for maritime international container transport and
other expenses shall be calculated and collected in accordance with the
State provisions concerning shipping charges and charge rates. In the
absence of State provisions, the freight charges shall be calculated and
collected in accordance with the prices agreed upon by both parties. No
units shall be permitted to collect charges at random.
Article 21
Shippers and enterprises that are engaged in port handling, shall submit
periodical statistical statements on transportation to the competent
department for communications.
Article 22
Various parties that are involved in maritime international container
transport shall, in good time, provide each other with information
concerning container transport.

Chapter IV Hand-Over Procedures and Responsibilities
Article 23
Shippers and consignors or consignees shall, in accordance with the hand-
over method stipulated in the bill of lading, handle the hand-over
operations of containers and container goods at marshalling yards, freight
stations, or other places agreed upon by the two parties concerned.
Article 24
Shippers and enterprises that are engaged in port handling, which take
part in maritime international container transport, shall handle the hand-
over operations in accordance with the following provisions:
(1) maritime shippers shall handle the hand-over operations alongside
vessel through the tally companies and enterprises that are engaged in
port handling;
(2) with respect to containers transported by waterways through nodal
points, the enterprises that engaged in port handling and waterway
carriers shall handle the hand-over operations alongside vessel;
(3) with respect to containers transported by highways through nodal
points, the enterprises that engaged in port handling and highway carriers
shall handle the hand-over operations at the gate of the container
terminal;
(4) with respect to containers transported by railway through nodal
points, the enterprises that engaged in port handling or highway carriers
and railway carriers shall handle the hand-over operations at the site of
handling.
Article 25
While handling the hand-over operations of containers, the two handling
parties shall check the container numbers, the bodies of containers and
the containers' marking seals. The loaded containers shall be handed over
by their marking seals and by the condition of container body: and the
empty containers shall be handed over by condition of container body.
After checking the container numbers, the bodies of containers and the
marking seals, the two handling parties shall make a record and confirm it
by appending their signatures to the record.
Article 26
With respect to the liabilities of shippers and enterprises that are
engaged in port handling for the damage and loss of containers and
container goods, before the hand-over operations, the liabilities shall be
taken up by the handing-over party; after the hand-over operations, the
liabilities shall be taken up by the receiving party. However, if, within
180 days immediately after the hand-over operations, the receiving party
is able to produce evidence to testify to the fact that the damage of the
containers, or the damage and loss of container goods, were caused by the
handing-over party, then the handing-over party shall take up the
liabilities for compensation, unless otherwise provided by law.
Article 27
Unless otherwise provided by law, shippers and consignors shall, in
accordance with the following provisions, take up the liabilities for the
damage or loss of container goods:
(1) With respect to those goods, the vanning of which is done by the
shippers, if the goods in the containers are damaged or are short in
number or quantity during the period of time from the day the shippers
receive the goods to the day when the goods reach their destination but
before they are handed over to the consignees, the shippers shall take up
the liabilities for the damage or shortage.
(2) With respect to those goods, the vanning of which is done by the
consignors, if the container bodies and the marking seals have remained
intact but the goods (in the containers) have been damaged or are short in
number or quantity during the period of time from the completion of the
vanning and the completion of the procedures for consignment to the day
before the containers are handed over to the consignees, the consignors
shall take up the liabilities for the damage or shortage; if the container
bodies are damaged or the marking seals broken, and the goods in the
containers are also damaged or are short in number or quantity, the
shippers shall take up the liabilities for the damage or shortage.
The time limits for shippers and consignors or consignees to raise claims
for compensation shall be limited to no more than 180 days, beginning from
the day when container goods are handed over, unless otherwise provided by
law.
Article 28
In case that the consignors' inaccurate or false declaration on container
goods has resulted in injuries and death of personnel, or in the loss of
means of transport of the goods proper and the containers, or of other
goods, the consignors shall bear the liabilities for the consequences
arising therefrom.
Article 29
In case that the fault of the person in charge of the vanning has resulted
in injuries and death of personnel, or in the loss of means of transport,
of other goods, or containers, the aforesaid person shall bear the
liabilities for the consequences arising therefrom.
Article 30
In case that the damage or shortage in number or quantity of container
goods involves a claim for compensation from a foreign unit, which
necessitates an appraisal and the issue of the relevant certificate by the
administrative department for commodity inspection, the case shall be
handled in accordance with the provisions in the Law of the People's
Republic of China on the Inspection of Import and Export Commodities. In
case that the shortage in number or quantity of containers or container
goods involves a claim for compensation from a foreign unit, which
necessitates the issue of the relevant certificate by the tally
department, the case shall be handled in accordance with the pertinent
provisions.

Chapter V Provisions on Penalties
Article 31
With respect to those who are engaged in container transport business
without a business licence for handling transport business, the competent
department for communications shall order them to cease business
operations, and penalties shall be imposed on them by the administrative
department for industry and commerce.
Article 32
With respect to those who have received shipping charges in violation of
these Provisions and the relevant laws and regulations of the State on
commodity prices, they shall be penalized by the department for the
control of commodity prices.
Article 33
With respect to those who have violated the administration of transport
documents, they shall be given an administrative warning or a pecuniary
penalty by the competent department for communications in light of the
seriousness of the cases.
Article 34
With respect to those who have disturbed the normal order of
transportation or have expanded their scope of business without
authorization, they shall be ordered by the competent department for
communications to carry out rectification of their business, and shall be
penalized by the administrative department for industry and commerce.
Article 35
In the event that the person concerned does not accept the decision on
penalties, he/she may, within 15 days as of the first day after the
receipt of the notice of the decision on penalties, appeal to the
competent department immediately above the punishing department for
reconsideration of the aforesaid decision on penalties. The competent
department that has received the appeal for reconsideration shall, within
30 days (after receiving the appeal), make the decision on
reconsideration. If the person concerned still does not accept the
decision of the reconsideration, he/she may, within 15 days immediately
after receiving the decision on reconsideration, bring a suit before a
people's court. If the person concerned neither appeal for
reconsideration, nor bring a suit before the people's court, nor execute
the decision on penalties or the decision of the reconsideration within
the prescribed period of time, the department that has made the decision
on penalties may apply to the people's court for enforcement.

Chapter VI Supplementary Provisions
Article 36
The right to interpret these Provisions resides in the Ministry of
Communications. The Ministry of Communications may formulate the rules for
implementation in accordance with these Provisions.
Article 37
These Provisions shall go into effect as of the date of promulgation.


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有限责任公司股权转让若干问题探析

作者:顾志强 上海罗洁律师事务所


一. 股权的性质
(一). 关于股权性质的若干解说。
  何谓股权?股权的性质是什么?无论是1993年颁布的《公司法》,还是2005年新修订的《公司法》,对此均未作出明确的解释和界定。大陆法系传统公司法理论认为,股权既非债权,又非物权,而是基于股东地位而取得的包括财产权和经营管理权在内的多种权利的集合体。我国法学界对股权性质的解说众多,具有代表性的观点有以下几种:
(1)“物权(所有权)说”。该说以王利明教授为代表,其基本观点认为股权属于物权,在公司的财产中并存着两个所有权即股东所有权和公司法人所有权,并称这种现象为所有权的二重结构。所有权的二重结构并不破坏“一物一权主义”的物权基本法则。“公司享有法人所有权并不是对股东所有权的否定,只是股东所有权表现为收益权和部分处分权,而不再是完整的所有权。”
(2)“债权说”。该说认为股权的实质为民法中的债权,股东与公司的关系是债权人与债务人之间的关系。早在1930年代,中国学者即有此说,认为“公司因商业而成立,股东享受公司赢利之实益,则其所处之地位,殆与债权人之地位无异。” 迄至1980年代,学者郭锋认为“传统的股东权已经消失,股东所认股份是以请求利益分配为目的的附条件债权。也就是说,股东对公司享有的财产权是一种债权。” 而更有人认为“股权不是近似债权而根本就是债权。”
(3)“社员权说”。该说认为股东因投资于社团法人或加入社团法人而成为其成员,并基于其成员资格在团体内部拥有权利,这种权利包括股东自益权与共益权。
该说并认为股东享有社员权是作为产权交换的代价。 刘凯湘教授亦持该观点,认为“财产利益和不具有财产内容的参与利益这两种利益的结合作为社员权的客体,正是社员权区别于其他民事权利的最主要特征,也正是不能将股东权定性为物权或债权的最主要依据。”
(4)“综合权利说”。梁彗星教授认为,“股权系综合性权利,既有非财产性质的表决权,亦有财产权性质的获得股息和公司解散时取回剩余财产的权利,……是以社员权为基础的综合性权利”。
(5)“独立说”。持此说的江平教授认为“股权只能是一种自成一体的独立权利类型,” 石少侠教授认为股权既不是所有权,也不是债权,实质上是与所有权和债权并列的一种权利。
除上述主流解说外,尚有“公司法人所有权整体有机组成部分说”、“共有权说” 等。

(二).本文观点。
以上各解说从不同角度诠释了股权的内在本质,无疑均有可取之处。笔者认为,股权的性质可以被视为是股权的内涵,股权的权能则可以被视为其外延,考察事物的外延往往可以揭示其内涵。一般认为,股权的权能有多项,包括“股东对公司经营决策的参与权、监督建议权和财产请求权。” 显然,“所有权说”、“债权说”无法涵盖上述前两种权能,而“社员权说”不能很好地解释后一种权能。事实上,尽管股权“无疑当属私权范畴”, 但较之同属私权范畴的一般单一的民事权利(所有权、债权等),其具有更多和更为复杂的内涵。对股权的定性应该从其本身的固有特点去考量,而不应“削足适履”,将其硬性归于某类既有的权利之中。从这一角度出发,笔者更倾向于“综合权利说”和“独立说”。

二.股权转让的性质及法律效果
所谓转让,就其内涵而言,意味着某被转让物的权利归属发生移转,就其外延来说,广义上包括买卖、互易、赠与等民事法律行为,狭义上仅指买卖。(为行文所需,本文采狭义说)。如上文所述,股权是一种具有财产权等多种权利在内的综合性新型权利形态。与一般物品买卖关系有所不同,股权转让在本质上属于权利的买卖。
股权系公司股东独有之权利,股权的持有与股东身份的存在不可分离,全部股权的转让将导致股东身份的丧失,而非股东对任何数额股权的受让将使其具有股东身份,因此,在股东与非股东发生股权转让或者股东转让全部股权的情况下,公司的股东构成将发生变化;
股权的转让意味着股东出资数额的变动,而有限责任公司的基本运行规则是资本多数决原则(这一点在《公司法》第40条、第44条等规定中显露无疑),因此,股权的转让也将使公司内部的力量对比发生变化,进而可能产生的结果是:公司的法人治理结构、运行方向乃至利益的诉求都有可能发生相应的更动。“对于有限责任公司而言,股权的转让可能影响公司经营的稳定性,……”
因此,股权转让与一般买卖关系更进一步的区别在于:它对作为非当事方的第三人(公司)产生直接而显著的影响。

三.股权转让合同的成立与生效
股权转让作为一种双方的民事法律行为,一般通过签订股权转让合同实施。根据一般合同法理论,合同的成立与生效是两个性质完全不同的概念,两者处于不同的阶段。《中华人民共和国合同法》第44条至46条的有关规定也体现了区别合同成立与生效的立法意图。有鉴于此,本文分别从成立与生效两个方面来探析股权转让合同。
(1)股权转让合同的成立。所谓合同的成立,是指当事人就合同的主要条款达成一致意见。 “它主要表现了当事人的意思,而且强调在合同成立过程中的合意。” 因此,无论何种股权转让,只要转让方与受让方就股权转让的主要条款(如股权数额、转让价格等)达成一致,股权转让合同即告成立。
(2)股权转让合同的生效。所谓合同的生效,“是指国家对已经成立的合同予以认可,……” 。根据《合同法》第44条至46条的规定,合同的成立与生效一般同时发生,而先成立后生效的合同主要是“法律、行政法规规定应当办理批准、登记等手续生效”的合同、“附生效条件”的合同、“附生效期限”的合同。在股权转让中,中外合资企业的股权转让必须经过原批准机关的批准,获得该等批准是此种股权转让合同的生效时点,而有的股权转让合同约定,“本合同经转让方董事会或股东会决议通过后生效”,或约定“本合同经公司其他股东承诺放弃受让股权时生效”等,此类股权转让合同即属附生效条件之合同,其尽管已经成立,仍须待约定条件成就时方为生效。
值得注意的是,根据新公司法第72条,“股东向股东以外的人转让股权,应当经其他股东过半数同意……”。原公司法第35条亦有相似的规定。那么,未征得其他股东过半数同意的股权转让,其合同效力如何?围绕此问题,学界和司法实践中主要有三种观点。一种观点认为,此类合同属于无效合同。其主要理由是该等合同违反了法律(公司法)的强制性规定。此观点在司法实践中较为普遍,“其基本宗旨是使公司股东得以封闭性地维持股东的人合构成,事先切断公司不喜欢的人成为股东的机会。” 第二种观点认为此类合同属于效力待定合同。如有人认为,未经全体股东过半数同意,“股权出让人在有效出让自己股权时没有完全独立进行意思表示之能力……可以被推定为类似于具有限制民事行为能力”,“主张类推适用合同法第47条之规定”(笔者注:即关于效力待定合同之规定) 第三种观点认为,此类合同属于可撤消合同。
笔者认为,上述三种观点尽管不乏合理成分,但从整体上说均有难以圆说之处。
首先,关于是否无效的问题。根据合同法,违反法律、行政法规的合同无效,股东未征得其他股东过半数同意即转让股权也确乎违反公司法的强制性规定,似乎契合合同法关于无效的规定,但仔细推究,笔者认为,公司法的该条规定是对股权转让的程序性要求,并不涉及股权转让的实质条件,这种要求并不涉及股权转让合同本身,其所针对的义务主体也仅限于股权转让方。此外,从另一个角度看,我们假定“征得股东过半数同意”构成股权转让合同的有效性条件,但公司法72条并未规定“征得股东过半数同意”的行为必须在签署股权转让合同前实施,按此推断,在股权转让合同签署当时或在此之后的一段时间内并不能判断该合同有效与否(因为此时仍有“征得股东过半数同意”的可能),而这一点,恰与“无效合同自(成立)始无效”的一般合同法理论形成矛盾。这种矛盾的出现,也印证了“未征得其他股东过半数同意之股权转让合同无效”观点的不当。
其次,关于是否属于效力待定或可撤消的问题。合同法规定的效力待定的合同有三种:限制民事行为能力人订立的合同、无权代理人以被代理人名义所订合同、无处分权人处分他人财产所订合同。股东未征得其他股东过半数同意而签订的股权转让合同明显不能归于上述任何一种。前文论及的所谓类推适用合同法第47条之说,笔者认为显然太过牵强。至于是否属于可撤消合同的问题,根据合同法,可撤消合同仅包括重大误解和显失公平两类,均与合同当事人的意思表示真实性相关,前述股权转让合同显然与之“风马牛不相及。
综上,笔者认为,股东未征得其他股东过半数同意而签订的股权转让合同仍然有效。或许有人会问,如此,则公司法72条之规定岂非失去意义?笔者认为,该规定的要旨并不在于确认股权转让合同本身的有效与否,而在于:股权转让合同的履行需要公司及其他股东的协助,如果股权转让方违反此规定,公司及其他股东可以此为据,对该等股权转让的内容不予认可,对其履行不予协助,股权转让的结果对公司及其他股东不发生效力。在此情形下,尽管合同有效,但无法得到有效的履行,受让方无法真正地行使股东权利,对股权转让方来说属于履行不能,应就此承担违约责任。


四.股权转让合同之履行:股权交付的法律界定
股权转让的前提和基础是转让合同的成立与生效,而要使其真正地完成,有赖于转让合同的履行--- 股权的交付(或称“股权的交割”)。
如前文所述,股权转让本质上是权利的买卖,这一特征使得股权的交付较之一般买卖关系中的交付复杂得多。在一般有形物买卖中,动产的交付,以转移占有为标志,不动产的交付以有权机关变更登记、受让人取得权利证书为标志,而在商标权、专利权等一般权利买卖中,以有权机关变更登记,受让人取得商标证、专利权证等为交付标志。上述买卖标的的交付标志具有法定性和唯一性的特点,其交付的界限和时点清晰无疑。而股权交付的复杂性在于:股权没有如商标权、专利权等有特定、统一的权利证书作为其表现形式,法律也没有对股权交付的界限和标志作出明确规定,这样,就导致了人们对股权交付界定中的不同认识。有人认为,有限责任公司股权转让的权利转移及新老股东的交替以公司股东名册的变更登记为准,也有人认为,股权“转让方的交付义务实际上只是体现为对公司的一种通知义务……”,“只要转让方将转让的事实以书面方式通知了公司,股权转让行为在双方当事之间即已完成,受让方此时即可取得公司股东资格,可以行使股东权利。” 此外,就笔者所知,在司法实践中以工商变更登记作为股权交付标志的较为普遍。国家工商部门总局的有关规定也持此种观点。
笔者认为,股权是一种综合性的权利,也和股东资格紧密相连。股权转让是股东资格变动和股东权利移转的统一,相对应地,股权内容包括权属和权能两个方面。权属更多地体现股东资格,而权能则侧重于股东权利。赵旭东教授认为,股权交付包括权属转让和权能移转两个方面,股权权属主要通过股东出资证明书、股东名册、工商注册文件三种形式表现出来,权属转让即将股权特定的权属证明形式进行相应的变更,主要包括公司内部股东名册变更和工商变更,权能的移转是指股东享有的各种权利,包括参与公司管理的共益权和分配公司盈利的自益权等实际地转由受让人行使。 笔者同意赵教授对股权转让内容的界定,不过,对其对权属转让的界定并不认同。笔者认为,无论是股东出资证明书、股东名册还是工商注册文件,都只是权属的表现形式,并不是权属本身(正如书面合同书与合同本身的关系一样)。先有权属的移转,后有权属形式的变更。这一点,有相关立法为证。公司登记管理条例第31条规定,“有限责任公司变更股东的,应当自股东发生变动之日起30日内申请变更登记……”。新公司法第74条规定,“依照本法第72条、第73条转让股权后,公司应当注销原股东的出资证明书,向新股东签发出资证明书,并相应修改公司章程和股东名册中有关股东及其出资额的记载。……”(笔者认为,上述规定中的“股东发生变动”和“股权转让”主要指股权权属的转移)。
那么,权属究竟何时转移呢?笔者认为,权属的转移只要具备三个条件即可完成,其一,股权转让合同约定的转移时间届至;其二,在该时间届至(或者股权转让合同未约定转移时间)的情况下,转让人已书面通知公司依法办理相关的变更手续(包括签发新的出资证明书、变更股东名册、变更公司章程、工商变更登记等);其三,股权转让没有违反法律的强制性规定(包括公司法对其他股东优先购买权的规定)。换言之,一旦转让人书面通知公司,权属转移即行完成。
至于股权交付的另一方面即股权权能的转移,由于股权的权能(包括参与公司管理、分享公司红利等),均需通过公司才可实际享有。因此,权能的转移必须有赖于公司和其他股东的协助才能实际完成。
综上,笔者认为,股权交付是股权权属转移和权能转移的统一,其中任何一项的缺少都将导致股权交付的不完整。而前者通过当事人的单方行为(书面通知公司)即可实现,后者有赖于公司和其他股东的配合方可完成。


五.股权转让中的程序规制:转让同意、强制购买及优先购买权问题---兼论新公司法第72条之规定
有限责任公司兼具人、资两合性,股东之间的信赖与合作是维系其运作的重要因素。基于这一点,不少国家和地区都对有限责任公司股东的对外股权转让(即向股东以外的人转让)作出一定的法律规制。 我国法律亦然。新公司法第72条规定,“股东向股东以外的人转让股权,应当经其他股东过半数同意……其他股东半数以上不同意转让的,不同意的股东应当购买该转让的股权;不购买的,视为同意转让。经股东同意转让的股权,在同等条件下,其他股东有优先购买权。……”。笔者认为,该条规定实际上包含了三项制度,即:转让同意制度、强制购买制度、优先购买权制度。现就该条规定中的有关问题进行探讨。
(1)关于转让同意制度。在此项制度中,有两个问题值得注意。其一:“过半数同意”意味着在股权转让问题上,股东以人数而不是持股数额进行表决,这是对“资本多数决原则”的例外。笔者认为,此种规定乃基于以下考量:设定转让同意制度的根本目的在于维系公司股东之间的稳定关系和公司的“人合”性,股东对涉及“人合”性质的事项表决,自应实行“一人一票制。”行文至此,引申出的一个问题是:公司法有关条文的表述似有不严谨之嫌。该法第43条规定,“股东会会议由股东按照出资比例行使表决权;但是,公司章程另有规定的除外。”根据该条规定,除非章程另有规定,股东会决议均适用“资本多数决”原则,而在第72条关于“过半数同意”的规定中,并没有排除股东会表决这种形式。本文认为,在第43条中,如果就前述事宜设置除外条款,在表述上将更为严谨。其二:对于“过半数同意”的表决基数,原公司法规定为“全体股东”(该法第35条),而新公司法规定为“其他股东”。显然,新公司法的规定更为合理。因为,“全体股东”包含拟转让股权的股东自身,而对于“转让股权的股东自身而言,征求其同意是无实际意义的,相反还不合理地放宽了股权转让的限制。”
(2)强制购买条件的界定。该法第72条规定,“其他股东半数以上不同意转让的,不同意的股东应当购买该转让的股权……。”此规定在总体上是合理的,但却隐含着一个问题:“应当购买”时的购买条件(特别是价格)如何确定?该条件必须与股东拟向他人转让的条件一致吗?公司法对此没有明确规定,这将给该项规定的实际操作带来问题。笔者认为,鉴于新公司法颁行不久,通过司法解释对此问题予以明确,不失为一个现实和可行的解决方式。
(3)优先购买权可否部分行使。股东既然被允许全部或部分转让其股权,意味着股权作为转让标的是可分的,这也意味着股东的优先购买权在操作上是可以实施的。那么,其在法律上是否可行?公司法第72条对此没有明确规定。本文认为,股东的优先购买权不能部分行使。首先,从条文本身分析,“经股东同意转让的股权,在同等条件下,其他股东有优先购买权。” 优先购买权指向的对象是“经股东同意转让的股权”,对照该规定其他部分,此处“经股东同意转让的股权”在内涵与外延上与股东拟向他人转让的股权具有同一性。其次,如果允许股东部分行使优先购买权,可能影响股权转让方的期待利益。假设某股东持股51%,对公司拥有绝对控制权,股东之外的第三人意欲获得此控制权,乃提出购买其全部股权,此时若其他股东行使部分优先购买权,如购买10%的股权,则该股东仅剩41%股权可向该第三人出售,如此,很可能导致该第三人因无法获得绝对控制权而转而拒绝购买,使得拟转让股权者的期待利益落空。

关于严格控制评比、达标、表彰活动的通知

建设部


关于严格控制评比、达标、表彰活动的通知



建办[2005]79号

部机关各单位,部直属各单位,部管社会团体:

  遵照国务院领导的批示和国务院办公厅《关于报送要求地方开展评比和达标活动有关情况的通知》(国办秘函[2005]53号)及部领导的批示,最近,我们对部机关各单位、部直属各单位、部管社会团体开展的各种评比、达标、表彰活动进行了一次全面认真的清理。

  目前,经批准我部机关在建设系统或行业开展的评比、达标、表彰项目共有7项。包括:梁思成建筑奖、全国优秀勘察设计奖、全国勘察设计大师、中国人居环境奖、国家园林城市、国家节水型城市、文明风景名胜区和城市公园。其中,梁思成建筑奖是2000年经国务院批准的。我部部管社团和部属单位在建设系统或行业开展的评比、达标、表彰活动共有5项,包括:中国土木工程詹天佑奖(中国土木工程学会),中国建筑工程鲁班奖(中国建筑业协会),中国建筑工程装饰奖(中国建筑装饰协会),建设事业科技创新奖和全国绿色建筑创新奖(部科技委办公室)。另外,我部所管的行业多,且与人民群众的生活关联度大。为激励先进,有的行业根据工作任务进展或完成的情况,在系统、行业内进行不定期的工作总结性表彰。

  为贯彻落实国务院领导同志关于清理和控制评比、达标、表彰活动的指示精神,进一步规范并做好建设系统的评比、达标、表彰活动,现通知如下:

  一、严格控制评比、达标、表彰活动。除上述明示的12项外,对部曾批准过的其他评比、达标、表彰项目,包括部机关有关司局组织开展的行业工作性表彰,确需开展的,报经部常务会议审批。

  二、原则上不再设立新的评比、达标、表彰项目。个别行业确需开展的,按照《建设部关于严格控制评比、达标(表彰活动的管理办法》(建办[2001]38号)执行。能移交社团的,由社团按规定开展。

  三、凡属部管社团经部批准举办的各种评比、达标、表彰活动,由社团发文。

中华人民共和国建设部
二○○五年五月十八日