【作者】 王茜；

【导师】 王远明；

【作者基本信息】 湖南大学 ， 民商法， 2004， 硕士

【摘要】 上市公司关联担保作为上市公司筹措经营资本的有效手段，有其存在的合理性，它有利于上市公司的高效运转，有利于形成上市公司和股东的“双赢”结局。但其明显的弊端也给资本市场带来了极大的隐患，如容易使公司法人格被滥用，使担保制度的功能异化。可以说，它对传统的公司法、担保法等法律制度带来了严峻挑战，因此，规制上市公司关联担保势在必行。 本文从公司法的角度对上市公司关联担保进行理论和实证研究，探讨了我国上市公司本身的历史缺陷及市场信用缺失等上市公司关联担保的形成原因，并从比较法的角度研究了英美公司法对公司担保的事前规制和事后救济的主要制度，重点介绍了董事自己交易的规范、控股股东的诚实信用义务、独立董事制度、股东代表诉讼制度和公司法人格否认制度。 为了有效规制我国上市公司的关联担保，促进证券市场快速、良性发展和避免恶意担保带来的负面影响，笔者认为我国《公司法》需要逐步引入和完善以下制度：控股股东的诚实信用义务、股东代表诉讼制度和公司法人格否认制度等。此外，要严格上市公司关联担保的程序性规定。更多还原

【Abstract】 As an efficient method for listed company to gathering capital, connected guarantee of listed company can maintain its good momentum and bring the benefit to stockholder and company itself. At the same time it maybe bring risk for its obvious drawback Such as animus usage of the corporate veil, the guarantee system function’s alienation. It can be said to bring challenge to traditional Corporate Law, Guaranty Law and other law’s system. It is essential to regulate connected guarantee of listed company to maintain the balance of all interest dealer.The thesis developed the theory and proof research to connected guarantee of listed company from Corporate Law’s point and discussed the reality of connected guarantee of listed company in China from different areas including listed history drawback, finance system, market credit. Moreover the main system to Corporate Guarantee’s pre-regulation and post-relief was researched from comparative law including the basic self -dealing transactions between a corporate and one or more of its directors, the fiduciary duty of directors, independent director system, shareholder’s derivative suit system and piercing the corporate Veil.In order to efficiently regulate the connected guarantee of listed company, improve stock market’s development and avoid the neglect influence caused by animus guarantee in China, The author thought that it is necessary to introduce and satisfy these system into Corporate Law gradually, These systems are as follows: the basic self -dealing transactions between a corporate and one or more of its directors, the Fiduciary Duty of Directors, independent director system, shareholder’s derivative Suit System and Piercing the Corporate Veil. Furthermore the strict procedure regulation of listed company’s connected guarantee is necessary.更多还原