论我国民法中优先购买权的保护和规制

【作者】 李小强；

【导师】 管晓峰；

【作者基本信息】 中国政法大学 ， 民商法学， 2007， 硕士

【摘要】 本文主要是在对我国现行民法相关规范中的优先购买权保护制度进行归纳、梳理的基础上,结合理论界的研究现状,针对我国目前优先购买权司法实践出现的诸多问题,提出对优先购买权制度保护同时需进行规制的观点,以期望有助于我国优先购买权的制度建设。笔者首先从我国现行法规中的优先购买权相关规定入手,在吸收借鉴他人对优先购买权制度归纳分类基础上,通过自己的梳理,提出了自己的分类方法。本文对我国现有优先购买权的分类,主要从便于理论探讨和实务操作角度,按法律规范的基本分类,将优先购买权分为实体性规定和程序性规定两大类,并分别予以探讨。在优先购买权的实体规定方面,主要归纳和讨论了现有法规中的财产共有中共有人的优先购买权、承租人对租赁房屋的优先购买权、有限责任公司股东的优先购买权三类主要的民事优先购买权。这三类优先购买权既是现实中最常见重要的优先购买权,也是最典型的优先购买权,虽各自有所不同,但无疑都集中体现着优先购买权最基本突出的特点,即必须附存于某种基本法律关系之上、必须在同等条件下方能行使、必须是由法律规定的相对人不得免除的一项法定义务。此外,笔者还有选择的介绍了技术成果转让中的优先购买权和其他的一些优先购买权,这些优先购买权与基本的优先购买权相比,或缺乏与基础法律关系的关联、或属于某种特殊的政策性考虑、或具有某些过渡性保护性质,但都不是民事法律中长期稳定、典型的优先购买权类型。对优先购买权保护的程序性规定主要是最高人民法院的一些司法解释,这些规定对具体保护实体性权利具有重要意义,毕竟权利需要程序来维护和实现,对优先购买权这样的特殊权利更是如此。对国外和我国台湾地区优先购买权的简单介绍虽非探讨重点,但对认识完善该制度仍有借鉴意义。在对基本规定有所侧重的归纳介绍基础之上,笔者接着展开了对优先购买权理论和实践问题的探讨。经过对相关资料整理研究,笔者发现优先购买权制度的理论探讨主要集中在优先购买权的性质认定、优先购买权制度的作用两方面,这既是优先购买权的基本理论问题,也是争议颇多的焦点问题。通过对比各种观点,笔者以为优先购买权的性质问题其实完全可突破常规,从另一个角度去认识:即优先购买权的特权原本就是基于利益平衡政策考量的结果,因各种优先购买权制度本身基本法律关系的差异,对该制度性质强求统一本就不合适。将各种“性质”作为从某个侧面认识该制度的特征,有取有舍、有所侧重,对正确认识和维护该制度更为合适。而对在现实中是否应保留该制度,包括司法执行中是否需保护该制度的争议,笔者提出了自己的看法:即优先购买权制度虽有消极一面,但在现有经济生活和法律制度中仍可发挥重要作用。无论从经济角度、法律秩序方面衡量,该制度都有利大于弊的积极功用,且在司法执行中也没有必要否定对该制度的保护,这乃是利益权衡的现实良性选择。通过对优先购买权制度规定中的缺陷和司法实践中的诸多问题的探讨,笔者以为:制度规定的分散、混乱、陈旧、笼统是造成优先购买权司法保护现实问题多多的根源,许多的争议均产生于此。考虑到该制度的存留利弊和诸多问题,对其进行限制性保护合理即规制实有必要。从股东股权优先购买权和承租人优先购买权现实保护差异分析,笔者认为要保护和规制优先购买权制度,基础和关键就在于必须建立合理、明确、规范的登记制度。这是保护优先购买权时合理衡平各方利益、解决各种现实争议的规制之本,也是笔者认为要建立合理良性的优先购买权制度的基础。考虑到制度本身的局限性,笔者最后提出利用限缩性原则和利益平衡原则对流于宽泛的优先购买权进行合理规制的思路。对现实中的优先购买权诉讼纠纷问题,笔者提出了几种解决选择方案,以期妥善解决、合理规制类似诉讼,达到优先购买权司法救济的合理规制。本文中笔者探讨的重点是优先购买权制度的存在价值、保护现状和问题、保护和规制。笔者试图在较为全面介绍分析我国优先购买权制度现状前提下,描绘出相对理想、清晰、合理的优先购买权的法律保护框架,并希望这种探讨会有益于我国优先购买权的制度完善。更多还原

【Abstract】 This essay is mainly based on summing up the right of first refusal protecting system in correlated with current civil law of our country actually.It combines the research of current situation by the theory circle. Aming at a great deal of questions appearing in judicial practice of the right of first refusal at present in our country, the writer presents some suggestions to the protection of the system of the right of first refusal and view of the structure and expect that contributes to the institutional improvement of the right of first refusal of our country.I start with from relevant regulations of the right of first refusal in current regulation of our country at first, and then put forward my own categorised method on the basis of absorbing and reference to others.On the point of theory research and the practical operation convinently, the stock-taking classification of the right of first refusal in our country is divided into substantive rules and procedural rules, and probe into them separately. In stipulating in the substantive rules of the right of first refusal,this article sums up and discuses the right of first refusal of the part owner of hotchpot, the leaseholder ,and shareholder of limited liability company, the three kinds of civil rights in the existing regulation. The three kinds are not only important rights that are the most common in the reality ,but also they are the most typical right of first refusal. Though each of them is different to some extent, undoubtedly they concentrate on reflecting the characteristic that the right of first refusal must base on some legal relationship , and can be excutived under equal conditions,and it must be a legal obligation that can’t be waved by the counter party. In addition, the writer selectively introduces the right of first refusal that is involved in technical achievement and other types.Compared with the basic right of first refusal, these rights are either lack of basic legal relationship, or based on a certain special policy, or due to some transitional protection nature. Anyway they are not the types that become midium or long term, steady and typical of civil law. The procedural regulations which protect the right of first refusal are mainly some judicial explanation of the Supreme People’s Court, and these regulations have significant meaning in protecting the entity right ,since the right needs procedures to maintain and realize after all, especially to the right of first refusal. A brief introduction to the right of first refusal in Taiwan or foreign countries is not an emphases in this article, but it still has meaning of using for reference.After selected summing-up and introduction of the basic regulations on the subject, the thesis turns to the discussion on the theories and practices of the first refusal. By studying relevant materials, I found out that theories about first refusal system mainly focus on the nature and functions of first refusal system. The two, which are subject to many arguments, constitute the basics of the first refusal theories. Comparing different views, I believe we can break with convention and define the nature of first refusal from other angle, i.e. the privilege from the first refusal system is the result of balancing different interests. And as the basic legal relations of different first refusal systems are not the same, it is not appropriate to coerce a united nature of the system. It is more appropriate to recognize and protect the system by selectively looking at the“natures”as different angles in recognize the characters of the system. Under this guidance, I propose my opinion on the argument of whether to retain the system in practice and judicial enforcement, i.e. the first refusal system plays an important role in the current economic life and legal system despite its negative factors. The advantages outweigh the disadvantages in terms of economy and legal order. And there is no need to deny the protection of the system in judicial enforcement. Therefore it is a practically better choice. In studying the disadvantages of the system and problems in judicial practice, the author points out that the problems are mainly caused by the dispersed, confused, out-dated and rough stipulations of the system. In view of this, it is necessary to regulate the system. By studying the difference in protecting the first refusal of shareholders and tenants, the author believes that the basis and key issue in protection and regulation of the first refusal system is to build up a reasonable, clear and standard registration system. This is the foundation for establishing a reasonably better first refusal system as well as the foundation for balancing the interests and dealing with arguments.In consideration of the limitation of the system, the author proposes regulations on the excess use of the first refusal based on the restrictive and interests balance principles. The author also proposes several alternatives in dealing with the first refusal lawsuits, so as to reasonably regulate the first refusal remedy system.The thesis focuses on the values of retaining the system, status and problems in protection, protection and regulation. Based on the comprehensive analyses on the current status of our country’s first refusal system, the author describes an ideal, clear and reasonable legal protection framework for first refusal system, and hopes to benefits the perfection of the system in our country.更多还原