esmeralda-小学一年级数学试卷题
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专题一
经济法英语基础
第一部分 解题要点和方法
一、区别普通英语与法律英语
某些单词或语法在法律英语中有其专门的意义;
如:accord在普通英语中表示与…一致,在法律英语中指和解或其协议;如reach an
accord。
再如:as is意指(货物等的)现状。Deliver the house
as is.按照房屋的现状交付房屋。
再如:assign意指转让。Assign the
rights to a third party.把权利转让给第三方。
二、法律英语的关键:
用词专业;表达清晰;
忠实原文;固定搭配;
注意积累;法条记忆。
第二部分 固定句式及短语
一、常用法律句型
otherwise引导句型,表示:
除……外
otherwise常与unless共同使用,出现在unless引导的状语从句中,例如:
Contract Law Article 23 Where the offer is made
orally, the acceptance shall be
dispatched
immediately, unless otherwise agreed by the
parties.
《合同法》23 条
要约以对话方式作出的,应当即时作出承诺,但当事人另有约定的除外。
ise句型II,表示:
及其他
otherwise与or连用,表示及其他情形、方式的意思。
例如:
Minor Employment Claims Adjudication
Board Ordinance, Art.41[1]
Any person who by
threats, persuasion or otherwise induces a witness
or a party not
to give evidence in any hearing
before the Board commits an offence.
任何人采用恐吓、怂恿或以其他手段诱使证人或一方当事人不在仲裁处审理中作证,即属犯罪。
ise句型III,表示:
除以……方式之外
Otherwise
than引导的条件状语,注意和“unless… otherwise”相区别。
例如:No
person shall be tried or punished otherwise than
by a law court in accordance
with the
procedure prescribed by law.
从上面的例句可以看出,otherwise
than总是作副词,用来修饰前面的动词,后面主要是接一
种方式,所以,该句型通常都是:
动词+otherwise than + by。
除了otherwise
than以外,还有other than的句型。other than和otherwise
than的意思
一样,但语法不同。other than修饰动词时,语法结构与otherwise
than相同,但是other than
除了可以修饰动词,还可以修饰名词。
例如:
Any person guilty of an offence under this
Part, other than an offence under section
3,
shall be liable on conviction on indictment or on
summary conviction.
t to,表示:
“依据……”或“以……为准”
后面直接加名词,而且最常见的是agreement,
section, contract等,例如:
Article 45 A contract
whose effectiveness is subject to certain
conditions shall become
effective when such
conditions are accomplished.
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t
prejudice to,表示:
“在不妨碍、损害…规定的前提下”
后面接法律条款或名词,例如:
Without prejudice to your
powers and discretions, we hereby authorize you or
your agents
to take any actions including but
not limited to the following:...
在不损害贵行权力和自由
裁量权的前提下,本公司兹授权贵行或贵行代理人采取但不限于以下
行为的权利……
Without prejudice to article 10.2, a ground of
relief under this clause relieves the
party
failing to perform from liability in damages, from
penalties and other contractual
sanctions.
在不违反第10.2条的前提下,本条款规定的免责事由使不能履行义务的一方免除了支付损害赔<
br>偿金、罚金和其它合同制裁的责任。
表示:“凡……”或“如……”
相当于in the case where,例如:
Article 122 of
Contract Law Where a party's breach harmed the
personal or property
interests of the other
party, the aggrieved party is entitled to elect to
hold the party
liable for breach of contract
in accordance herewith, or hold the party liable
for tort
in accordance with any other relevant
law.
《合同法》第一百二十二条 因当事人一方的违约行为,侵害对方人身、财产权益的,受
损害方
有权选择依照本法要求其承担违约责任或者依照其他法律要求其承担侵权责任。
the purpose of表示:“为了……目的”或“就…而言”
例如:
A
judge may, on the application of an appellant who
is in custody, order the appellant
to be
brought up to the court in custody for the purpose
of attending his appeal or any
application or
any proceeding therein.
法官可应羁押中的上诉人的申请,为了使上诉
人能出席其上诉或其中任何申请或法律程序而命
令将他在羁押下带上法庭。
For
the purposes of this law, the term “one-person
limited liability company” means
a limited
liability company with only one shareholder who is
a natural person or a legal
person.
本法所称
(也就是就本法而言)一人有限责任公司,是指只有一个自然人股东或者一个法人股
东的有限责任公司。
ed that表示:“如果倘若”或者“但”
该句型放在句首,
引导出条件分句,与if ,when, where引导出的法律条件句没有本质上的
差异,但是如果
该短语之前存在一个主句,则它表示的是一个与之前陈述相反的例外,相当于“with
exception of”, 法律界通常称呼这类句子为“ 但书”(proviso)。
Article 277 of Contract Law Provided that
the developer does not interfere with the
normal operation of the contractor, it may
inspect the progress and quality of the work
at any time.
《合同法》第二百七十七条
发包人在不妨碍承包人正常作业的情况下,可以随时对作业进度、
质量进行检查。
The
Licensee shall not be entitled to take any
proceedings in any of the aforesaid
matters:
provided, however, that the Licensor may, at its
own direction and cost, prosecute
or otherwise
stop or prevent such actual or threatened
infringement in the name of both
the Licensor
and the Licensee or either of them, and in each
case the Licensee shall render
all reasonable
assistance required by the Licensor.
被许可方无权就
上述任何行为起诉,但许可方可自由决定在自负费用的条件下,以许可方和被
许可方双方名义或任何一方
名义,对实际发生的或被威胁到的侵权行为提起诉讼,或以其他方式阻
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止或防止该等侵权行为。无论许可方采取上述任何
行为,被许可方均根据许可方之要求向其提供一
切合理协助。
hstanding,在普通英语中已罕用,但在法律英语中较常用,表示:“尽管”、“即使”。
接名词性短语而非让步状语从句,例如:
Article 112 of Contract
Law Where a party fails to perform or renders non-
conforming
performance, and the other party
still suffers losses notwithstanding its
subsequent
performance or cure of non-
conforming performance, the breaching party shall
pay damages.
《合同法》第一百一十二条 当事人一方不履行合同义务或者履行合同
义务不符合约定的,在履
行义务或者采取补救措施后,对方还有其他损失的,应当赔偿损失。
cept 表示“除……外”,后面可以跟一个名词性短语,
也可以跟一个从句或另一
个介词短语,例如:
Save as is provided
in this ordinance, no claim within the
jurisdiction of the Board
shall be actionable
in any court.
除非本条例另有规定,否则凡属仲裁处司法管辖权范围内的申索,不得在任何法庭进行诉讼。
二、常用短语
ing toin accordance within (the)light
of… 表示“根据…”。
not do t consentauthorization
of sb.
“未经某人同意授权,不得擅自…”,其中“shall
not”表示“不得”的意思。
is legitimate for do
sth.某人做某事的行为是合法的。
×× is valid.××是有效的。
×× conforms tois in conformity with law.
××是符合法律规定的。
ctions by A on B :意为“A对B的限制”
其中by后面的主语是发出限制 的一方,B是接受限制的一方。
stipulated byprescribed in…:意为“正如在…中规定的”。
this case:意为“在本案中、在本案例中”。
liable forbe
obligated to 意为“对…负责”。
toowing tobecause
ofthanks to 意为“由于”。
, herewith, herein…等
如:The matters in dispute arising from the
contract or in connection with performance
hereof shall be referred to arbitration as
hereinbefore defined.
因合同产生的或与合同履行相关的争议事项,应按前所规定,提请仲裁。
第三部分
总结
一、答题三步曲
第一步:亮明观点,非黑即白,切莫含糊。
常用答法
1.××× is (not)legal(not)
legitimateillegalillegitimate.
例句:Jia’s
proposition is not legitimate.
2.×××,which
is (not)legal(not)
legitimateillegalillegitimate.
例句:It is
stipulated therein that Ding conducts
partnership affairs, which is legitimate.
is (not)legal(not)legitimateillegalillegitimate
for somebody to do something.
例句:It is
legal for Jia to apply to People’s Court for
approval.
第二步:找出依据,将法律条文原文写出。
常用短语
according to law
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第三步:联系本案例,将具体的数字、人物、行为代入法律原文,做适当替换和修改进行解释。
常用短语 in this case
二、常用普通句式
1.自…日起××天内
Within ××days as of the day
when+句子
Within ××days as of the acceptance
Within ××days since the day +名词或句子
2.以…出资
Make capital contribution in…
3.向…申请批准
Apply to …for approval
4.被视为、被认为
Be
deemed to be regarded asbe considered as
5.会议必须由23以上的股东出席(半数以上股东通过时决议通过)
The
meeting shall not be held unless more than two-
thirds shareholders are present.
The
resolution shall not be adopted unless more than
half of shareholders vote for it.
6.占70%
Account for 70 percent of
7.××期限届满之后
After the expiration(注意不要用termination)of ××
三、各章专门术语务必精确掌握
基础工作,务须扎实
谢谢大家!
专题二 公司法
一、专业词汇
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
Limited liability company
Joint stock
limited company
Prescribe
Capital
contributor
Shareholders’ assembly
Shareholders’ meeting
Articles of
association
Resolution
Affirmative vote
Voting right
Limitation of action
Actual capital contributor
Nominee
shareholder
Subsidiary
Actual controller
Compensation liability
In … name
Registered capital
Margin
有限责任公司
股份有限公司
规定
资本出资人
股东大会
股东会
公司章程
决议
赞成票
选举权
诉讼时效
实际出资人
名义股东
子公司
实际控制人
赔偿责任
以……的名义
注册资本
差额
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20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
In kind
Intellectual property
Land use right
Non-monetary property
Invalid
以实物
知识产权
土地使用权
非货币财产
无效的
Bring a
lawsuit againstfile a
对…向…提起诉讼
lawsuit
with
Forms of capital contribution 出资方式
Assessment
Fail to perform
Fail to
perform wholly
Preemptive right
Merger
Split-up
Dissolution
Liquidation
Terms of office
Waive
Succeedinherit
Deregister
Bankruptcy
Revoke
Illegal proceeds
Confiscate
Established by promotion
Promoter
评估
未履行
未完全履行
优先购买权、优先认股权
合并
分立
解散
清算
任期
放弃
承继继承
注销
破产
吊销
非法收入
没收
发起设立
发起人
Establishment by public share
募集设立
offer
Prospectus
Listed company
Authorization scope
Independent director
Stock exchange
Industry and commerce
registration authority
Bylaw
Statutory
reserved fund
Discretionaryreservedfund
Capital reserved fund
Registration
application
Make up for the loss
Expenditure
Fidelity
招股说明书
上市公司
授权范围
独立董事
证券交易所
工商登记机关
公司规章制度
法定公积金
任意公积金
资本公积金
注册申请
弥补亏损
支出
忠诚
Qualifications and obligations
资格和义务
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61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78
79
80
81
82
83
84
85
86
87
88
Capacity of civil conduct
Corruption
Bribery
Encroachment of property
Misappropriation of property
Criminal
penalty
Due
Appointment
Without the
consent of
Corporate bond
Interest rate
Disclose
Guaranty
Commission
Chairman of the board
Board of directors
Creditor's rights
debt
creditor
Prescribestipulate
Designate
Civil
proceeding
Net assets
Underwriter
Par
value
Issue
Decrease of capital
Convert
民事行为能力
贪污
贿赂
侵占财产
挪用财产
刑罚
(债务)到期
委任
未经同意
公司债券
利率
披露
担保
佣金
董事长
董事会
债权
债务
债权人
(法律)规定
指定
民事诉讼
净资产
承销人机构
票面金额
发行
减资
转换
二、法律条文要点详解
(一)公司的法人财产权
公司
是企业法人,有独立的法人财产,享有法人财产权。公司以其全部财产对公司的债务承担
责任。有限责任
公司的股东以其认缴的出资额为限对公司承担责任;股份有限公司的股东以其认购
的股份为限对公司承担
责任。
I Legal Person Property Right of Company
Company is an enterprise legal person, which
has independent legal person property and
enjoys the right to legal person shall bear
the liabilities for its debts with
all its
property.
As for a limited liability
company, a shareholder shall be liable for the
company to
the extent of the capital
contributions it has for a joint stock limited
company,
a shareholder shall be liable for the
company to the extent of the shares it has
subscribed
for.
(1)对外投资的限制。
公司可以向其
他企业投资;但是,除法律另有规定外,不得成为对所投资企业的债务承担连带
责任的出资人。
Restrictions on investment in other entities
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A
company may invest in other r, unless it is
otherwise provided for
by any law, it shall
not become a capital contributor that shall bear
several and joint
liabilities for the debts of
the enterprises in which it invests.
(2)担保的限制。
公司向其他企业投资或者为他人提供担保,按照公司章程的规定由董事会或者
股东会、股东大
会决议;公司章程对投资或者担保的总额及单项投资或者担保的数额有限额规定的,不得
超过规定
的限额。
(2)Restrictions on guarantee
Where a company intends to invest in any
other enterprise or provide guarantee for others,
the company shall make a resolution through
the board of directors, shareholders’ meeting
or shareholders’ assembly according to its
articles of association.
If the articles of
association prescribes any limit on the total
amount of investments
or guarantees, or on the
amount of a single investment or guarantee, the
aforesaid total
amount or amount shall not
exceed the responsive limited amount.
公司为公司股
东或者实际控制人提供担保的,必须经股东会或者股东大会决议。接受担保的股
东或者受实际控制人支配
的股东不得参加表决。该项表决由出席会议的其他股东所持表决权的过半
数通过。
If
a company intends to provide guarantee to a
shareholder or actual controller of the
company, it shall make a resolution through
the shareholders’ meeting or shareholders’
assembly.
The shareholder as mentioned
in the preceding paragraph or the shareholder
dominated
by the actual controller as
mentioned in the same shall not participate in
voting on the
matter as mentioned in the
matter requires the affirmative votes of more than
half of the other shareholders attending the
meeting.
(二)名义股东和实际出资人
1.有限责任公司的实际出资人与
名义出资人订立合同,约定由实际出资人出资并享有投资权益,
以名义出资人为名义股东,实际出资人与
名义股东对该合同效力发生争议的,如无合同法第五十二
条规定的情形,人民法院应当认定该合同有效。
Ⅱ Nominal Shareholder and Actual Investor
an actual investor of a limited liability
company signs a contract with nominal
shareholder, which stipulates that the actual
investor shall make capital contribution and
enjoy rights and interests of the investment,
with a nominal investor, who shall be
registered as a nominal shareholder according
thereto, and a dispute arises between the
two
parties over the validity of the contract, the
People’s Court shall determine that
the
contract is valid in the case that no circumstance
under Article 52 of Contract Law
happens.
上述规定的实际出资人与名义股东因投资权益的归属发生争议,实际出资人以其实际履行了出
资义务为由
向名义股东主张权利的,人民法院应予支持。名义股东以公司股东名册记载、公司登记
机关登记为由否认
实际出资人权利的,人民法院不予支持。
Where dispute arises
between above-mentioned actual investor and
nominal shareholder
over the ownership of the
rights and interests of investment, and the actual
investor claims
against the nominal
shareholder for its actual performance of capital
contribution, the
People’s Court shall support
the pleading.
Where the nominal shareholder
denies the rights of the actual investor through
record
on shareholders’ list and registration
with company registration authority, the
People’
s Court shall not support the defense.
实际出资人未经公司其他股东半数以上同意,请求公司变更股东、签发出资证明书、记载于股
东名册、记载于公司章程并办理公司登记机关登记的,人民法院不予支持。
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Where the actual contributor pleads against the
company to change the shareholder, issue
the
certificate of investment, record that on the
shareholders’ list and the articles of
association, and file with the registration
authority, the People’s Court shall not support
the pleading on the condition that consent
from over 50% of other shareholders is not
available.
2.名义股东将登记于其名下的股权转让、质押或者以其他方式处
分,实际出资人以其对于股权
享有实际权利为由,请求认定处分股权行为无效的,人民法院可以参照物权
法第一百零六条的规定
处理。名义股东处分股权造成实际出资人损失,实际出资人请求名义股东承担赔偿
责任的,人民法
院应予支持。
the nominal shareholder
transfers, pledges or disposes in other ways the
shares
registered under his own name, and the
actual investor pleads to judge that the act of
disposition is invalid for its enjoying the
factual rights, the People’s Court may proceed
in reference to Article 106 of Property Law.
Where the actual investor pleads against the
nominal shareholder to bear the liability
of
indemnifying the losses due to its act of
disposing the shares, the People’s Court shall
support the pleading.
3、冒用他人名义出资并将该他人作为股
东在公司登记机关登记的,冒名登记行为人应当承担相
应责任;公司、其他股东或者公司债权人以未履行
出资义务为由,请求被冒名登记为股东的承担补
足出资责任或者对公司债务不能清偿部分的赔偿责任的,
人民法院不予支持。
lly using another’s name to
contribute and registering said person in the
company registration authority, the person who
takes illegal registration act shall bear
corresponding responsibility;
Where the
company, other shareholders or creditors plead
against the falsely registered
person to
fulfill the unpaid contribution or assume the
outstanding debts of said company,
the
People’s Court shall not support the pleading.
(三)股东诉讼
1.股东代表诉讼
(1)股东通过监事会或者监事提
起诉讼。公司董事、高级管理人员执行公司职务时违反法律、
行政法规或者公司章程的规定,给公司造成
损失的,有限责任公司的股东、股份有限公司连续180
日以上单独或者合计持有公司1%以上股份的股
东,可以书面请求监事会或者不设监事会的有限责任
公司的监事向人民法院提起诉讼。
III Shareholder Suit
older Representative
Suit
(1)Shareholders file a suit through
supervisor or board of supervisors
When a
director or senior manager violates laws,
administrative regulations or the
articles of
association while conducting office affairs,
causing losses to the company,
the shareholder
of a limited liability company or that of a joint
stock company separately
or aggregately
holding 1% or more of the total shares for over
180 consecutive days may
require the board of
supervisors or the supervisor in a limited
liability company without
board of supervisors
in writing to file a suit with the People’s Court.
(2)股东通过董事会或者董事提起诉讼。监事执行公司职务时违反法律、行政法规或者公司章程的规定,给公司造成损失的,有限责任公司的股东、股份有限公司连续180日以上单独或者合计
持有公司1%以上股份的股东,可以书面请求董事会或者不设董事会的有限责任公司的执行董事向人
民法
院提起诉讼。
(2)Shareholders file a suit through
directors or board of directors
When a
supervisor violates laws, administrative
regulations or the articles of
association
while conducting office affairs, causing losses to
the company, the shareholder
of a limited
liability company or that of a joint stock company
separately or aggregately
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holding 1% or more of the total shares for
over 180 consecutive days may require in writing
the board of directors or executive director
in a limited liability company not setting
a
board of directors to file a suit with the
People’s Court.
(3)股东直接提起诉讼。监事会、不设监事会的有限责任公司
的监事,或者董事会、执行董事
收到上述股东的书面请求后拒绝提起诉讼,或者自收到请求之日起30日
内未提起诉讼,或者情况紧
急、不立即提起诉讼将会使公司利益受到难以弥补的损害的,有限责任公司的
股东、股份有限公司
连续180日以上单独或者合计持有公司1%以上股份的股东,有权为了公司的利益
以自己的名义直接
向人民法院提起诉讼。
(3)Shareholders file
a suit directly
Where the board of
supervisors, a supervisor of a limited liability
company not setting
a board of supervisors,
the board of directors or the executive director
rejects to file
a lawsuit after receiving the
written request from the said shareholder, or
fails to do
so within 30 days, or if in an
emergency, the failure to file a lawsuit will
cause
unrecoverable damages to the interests
of the company, the shareholder of a limited
liability company or that of a joint stock
company separately or aggregately holding 1%
or more of the total shares for over 180
consecutive days is entitled to file a lawsuit
with the Peopl’s Court in its own name.
(4)股东对他人给公司造成损失行为提起诉讼的程序。公司董事、监事、高级管理人员以外的
他人侵犯
公司合法权益,给公司造成损失的,有限责任公司的股东、股份有限公司连续180日以上
单独或者合计
持有公司1%以上股份的股东可以书面请求监事会或者监事、董事会或者董事向人民法
院提起诉讼,或者
直接向人民法院提起诉讼。
(4)Procedures for shareholders
to file a suit against others who cause losses to
the
company
Where a person other than
the directors, supervisors, senior managers
infringes the
legitimate rights of the company
and renders losses thereto, the shareholder of a
limited
liability company, or the shareholder
of a joint stock company separately or aggregately
holding 1% or more of the total shares for
over 180 consecutive days, may require the board
of supervisors, supervisors, board of
directors or directors in writing to file a suit
with
the People’s Court.
2、股东直接诉讼
公司董事、高级管理人员违反法律、行政法规或者公司章程的规定,损害了股东利益的,股东
可以依法向
人民法院提起诉讼。
olders direct suit
Where any
director or senior manager damages the
shareholders’ interests by violating
any law,
administrative regulation or the articles of
association, the shareholders may
file a
lawsuit with the People’s Court according to the
law.
(四)有限责任公司设立的条件
IV
Establishment Conditions of Limited Liability
Company
1.股东条件
Condition of
shareholder
有限责任公司由50个以下股东出资设立。
A
limited liability company shall be established by
not more than 50 shareholders.
2.财产条件
有限责任公司的注册资本为在公司登记机关登记的全体股东认缴的出资额。
法律、行政法规以及国
务院决定对有限责任公司注册资本实缴、注册资本最低限额另有规定的,
从其规定。
The registered capital of a limited liability
company shall be the total amount of the
capital contributions subscribed for by all
the shareholders that have registered in the
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company registration authority.
Where
provisions as to the actually-paid capital
contribution and the minimum amount
of
registered capital are otherwise prescribed by any
law, administrative or decisions of
the State
Council, those shall take precedence.
3.出资
股东可以用货币出资,也可以用实物、知识产权、土地使用权等可以用货币估价并可以依法转
让的非货币财产作价出资;但是,法律、行政法规规定不得作为出资的财产除外。对作为出资的非
货币
财产应当评估作价,核实财产,不得高估或者低估作价。法律、行政法规对评估作价有规定的,
从其规定
。《公司登记管理条例》规定:“股东不得以劳务、信用、自然人姓名、商誉、特许经营
权或设定担保的
财产等作价出资”。
bution
A shareholder may
make contributions in currency, in kind or
intellectual property right,
land use right or
other non-monetary properties that may be assessed
on the basis of currency
and may be
transferred according to law, excluding the
properties that shall not be treated
as
capital contributions according to any law or
administrative regulation.
The value of the
non-monetary properties as contributions shall be
assessed and verified,
which shall not be
over-valued or any law or administrative
regulation
prescribes the value assessment,
such law or administrative regulation shall
prevail.
It is stipulated in Company
Registration Administration Provisions that
shareholders
shall not use labor service,
credit, name of a natural person, goodwill,
franchise or
guaranteed property as capital
contribution.
4.不按照规定出资的责任
股东未履行或者未全面履行出资义务,公司或者其他股东可以请求其向公司依法全面履行出资
义务。
公司债权人也可以请求未履行或者未全面履行出资义务的股东在未出资本息范围内对公司债务
不能清偿的
部分承担补充赔偿责任。未履行或者未全面履行出资义务的股东已经承担上述责任后,其他债权
人再提出
相同请求的,人民法院不再予以支持。
Liabilities of
Failing to Contribute According to Provisions
Where a shareholder fails to perform or
fails to fully fulfill the investment obligation,
the company or other shareholders may request
the company to fully fulfill the investment
obligation.
Creditors can also request
the shareholder who fails to perform or fails to
fully fulfill
the investment obligation to
assume supplementary compensation liability for
the portion
of the debts uncleard off.
Where a shareholder who fails to perform or fails
to fully fulfill the investment
obligation has
assumed the responsibility, and if other creditors
make the same claim, the
People’s Court shall
not support the their arguments.
股东在公司设立时未履行
或者未全面履行出资义务,发起人与被告股东承担连带责任,但是,
公司的发起人承担责任后,可以向被
告股东追偿。
Where the shareholders fail to
perform or fully perform investment obligations
when
the company has been established,
company's promoters and the defendant shareholders
should
bear several and joint liability;
however, company's promoter could recourse against
defendant shareholders after bearing the
liabilities.
(五)有限责任公司的股东会
1.股东会会议
股东会会议分为定期会议和临时会议。定期会议应当按照公司章程的规定按时召开。代表110
p>
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以上表决权
的股东,13以上的董事,监事会或者不设监事会的公司的监事提议召开临时会议的,
应当召开临时会议
。
V Shareholder Meeting of Limited Liability
Company
olders’ Meeting
The sessions
of shareholders’ meeting shall be classified into
regular meetings and
temporary meetings.
The regular meetings shall be timely held in
pursuance with the articles of
a temporary
meeting is proposed by the shareholders
representing 110
of the voting rights or more,
directors representing 13 of the voting rights or
more, the
board of supervisors, or the
supervisor of the company with no board of
supervisors, the
said temporary meeting shall
be held.
2、股东会的召集
首次股东会会议由出资最多的股东召集和主持
,依照行使职权。以后的股东会会议,公司设立
董事会的,由董事会召集,董事长主持;董事长不能履行
职务或者不履行职务的,由副董事长主持;
副董事长不能履行职务或者不履行职务的,由半数以上董事共
同推举一名董事主持。
ing shareholders’ meeting
The first session of shareholders’ meeting shall
be convened and presided over by the
shareholder who has made the largest
percentage of contributions and shall exercise its
for the following sessions, where a limited
liability company has set up
a board of
directors, the shareholders’ meeting shall be
convened by the board of directors
and
presided over by the chairman of the board of
directors.
If the chairman is unable or does
not perform his duties, the said meetings shall be
presided over by the deputy chairman of the
board of the deputy chairman of
the board of
directors is unable or does not perform his
duties, the sessions shall be
presided over by
a director jointly recommended by half or more of
the directors.
有限责任公司不设董事会的,股东会会议由执行董事召集和主持。
董事会或者执行董事不能履
行或者不履行召集股东会会议职责的,由监事会或者不设监事会的公司的监事
召集和主持;监事会
或者监事不召集和主持的,代表110以上表决权的股东可以自行召集和主持。
Where a limited liability company has not
set up the board of directors, the
shareholders’ meeting shall be convened and
presided over by the executive director.
If
the board of directors or the executive director
is unable or does not perform the
duties of
convening the session of shareholders’ meeting,
the board of supervisors or the
supervisor of
the company with no board of supervisors may
convene and preside over such
session.
If the board of supervisors or supervisor does not
convene or preside over such sessions,
the
shareholder representing 110 or more of the voting
rights may convene and preside over
such
sessions on his own initiative.
3、表决方法
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。股东会的议事
方式和表决
程序,除《公司法》有规定的外,由公司章程规定。股东会会议作出修改公司章程、增
加或者减少注册资
本的决议,以及公司合并、分立、解散或者变更公司形式的决议,必须经代表23
以上表决权的股东通过
。
method
The shareholders shall
exercise their voting rights at the sessions of
shareholders’
meeting on the basis of their
respective percentage of the capital
contributions, unless
it is otherwise
stipulated by the articles of association.
The discussion methods and voting procedures of
the shareholders’ meeting shall be
prescribed
in the articles of association, unless it is
otherwise provided for by Company
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Law.A resolution made at a shareholders’
meeting on amending the articles of association,
increasing or reducing the registered capital,
merger, split-up, dissolution or change of
the
company form shall be adopted by the shareholders
representing 23 or more of the voting
rights.
(六)有限责任公司的股权转让
1.股权转让的限制
有限责任公司的
股东之间可以相互转让其全部或者部分股权。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
。股东应就其股权转让事项书面通知其他股东征求同意,其他股东自接
到书面通知之日起满30日未答复
的,视为同意转让。
VI Transfer of Stock Rights of
Limited Liability Company
tion of share
transfer
All or part of the shares of a
limited liability company may be transferred
between
the shareholders thereof.
Where
a shareholder intends to transfer its shares to
any person other than shareholder,
it shall be
subject to the approval of more than half of the
other shareholders.
The shareholder shall
require other shareholders in writing as to the
said matter for
their any of the other
shareholders fails to reply within 30 days after
the
receipt of the written notice, it shall be
deemed to have agreed to the transfer.
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。两个以上股东主张行使优
先购买权的,协商确定各自的
购买比例;协商不成的,按照转让时各自的出资比例行使优先购买权。
公司章程对股权转让另有规定的,
从其规定。
If half or more of the other
shareholders disagree to the transfer, the
shareholders
who disagree to the transfer
shall purchase the shares to be transferred.
If they refuse to purchase the said shares, they
shall be deemed to have agreed to the
the
same conditions, the other shareholders have a
preemptive right to
purchase the shares to be
transferred upon their approval.
If two or
more shareholders claim the preemptive rights,
they shall determine their
respective
percentage of purchase through negotiation.
If they fail to reach an agreement during the
negotiation, they shall exercise the
preemptive rights on the basis of their
respective percentage of capital
it is
otherwise provided in the articles of association
as to share
transfer, the articles of
association shall prevail.
2.股权回购请求权
有下列情形之一的,对股东会该项决议投反对票的股东可以请求公司按照合理的价格收购其股
权:
(1)公司连续5年不向股东分配利润,而公司该5年连续盈利,并且符合《公司法》规定的分配利润条件的;
(2)公司合并、分立、转让主要财产的;
for
repurchase right
Under any of the following
circumstances, a shareholder, who votes against
the
resolution of the shareholder meeting, may
request the company to purchase its shares at
a reasonable price:
(1)The company fails
to distribute any dividends to the shareholders in
5 consecutive
years, when annual profits are
positive and the requirements prescribed in
Company Law as
to profit distribution are
satisfied;
(2)The company is going to merge
with others, to split up, or transfer the major
properties of the company to others;
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(
3)公司章程规定的营业期限届满或者章程规定的其他解散事由出现,股东会会议通过决议修
改章程使公
司存续的。
自股东会会议决议通过之日起60日内,股东与公司不能达成股权收购协议的,股东可
以自股东
会会议决议通过之日起90日内向人民法院提起诉讼。
(3)When the
business term as specified in the articles of
association expires or other
circumstances for
dissolution as prescribed therein occur, the
shareholders’ meeting makes
the company exist
continuously by adopting a resolution to modify
the articles of
association.
Within 60
days after the resolution is adopted at the
shareholders’ meeting, if the
shareholder and
the company fail to reach an agreement on the
purchase of the shares, the
shareholder may
file a lawsuit with the People’s Court within 90
days after the resolution
is adopted at the
shareholders’ meeting.
(七)股份有限公司的设立
——设立条件
(1)发起人条件
设立股份有限公司,应当有2人以上200人以下
为发起人,其中须有半数以上的发起人在中国
境内有住所。
VII
Establishment of Joint Stock Limited Company
—— Requirements of establishment
(1)Promoters
To establish a joint stock
limited company, there shall not be less than 2
but not more
than 200 promoters, of whom half
or more shall have a domicile within the territory
of China.
(2)财产条件
股份有限公司采取发起设立方式设立的,注册
资本为在公司登记机关登记的全体发起人认购的
股本总额。在发起人认购的股份缴足前,不得向他人募集
股份。股份有限公司采取募集方式设立的,
注册资本为在公司登记机关登记的实收股本总额。法律、行政
法规以及国务院决定对股份有限公司
注册资本实缴、注册资本最低限额另有规定的,从其规定。
(2)Requirements of Capital
Where a
joint stock limited company is established by
promotion, its registered capital
shall be the
total share capital subscribed for by all the
promoters as registered in the
company
promoters shall not issue shares to others until
their subscribed
shares are fully paid.
Where a joint stock limited company is established
by public share offer, its registered
capital
shall be the total actually-received share capital
as registered in the company
authority.
Where provisions as to the actually-paid capital
contribution and the minimum amount
of
registered capital are otherwise prescribed by any
law, administrative or decisions of
the State
Council, those shall take precedence.
股份有限公司
采取募集方式设立的,注册资本为在公司登记机关登记的实收股本总额,发起人认
购的股份不得少于公司
股份总数的35%;但是,法律、行政法规另有规定的,从其规定。
For a joint
stock limited company established by public share
offer, the shares
subscribed for by the
promoters shall not be less than 35% of the total
r,
if it is otherwise provided for by any law
or administrative regulation, such law or
administrative regulation shall prevail.
以发起设立方式设立股份有限公司的,发起人应当书面认足公司章程规定其认购的股份,并按
照公司章程
规定缴纳出资。发起人认足公司章程规定的出资后,应当选举董事会和监事会,由董事
会向公司登记机关
报送公司章程以及法律、行政法规规定的其他文件,申请设立登记。以非货币财
产出资的,应当依法办理
其财产权的转移手续。发起人不依照前款规定缴纳出资的,应当按照发起
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人协议承担违约责任。
When
establishing a joint stock limited company by
promotion, the promoters shall
subscribe, in
writing, for the full amount of shares prescribed
in the articles of
association and pay the
said amount according the case of making capital
contributions in non-monetary properties, the
promoters shall file the formalities for
property transfer in accordance with law.
If any of the promoters fails to make capital
contributions in light of the provisions
of
the preceding paragraph, it shall bear the
liabilities for breaching the promoters’
agreement.
(八)股份有限公司的股东大会
1、股东大会会议形式
股东大会应当每年召开一次年会。有下列情形之一的,应当在两个月内召开临时股东大会:
(1)董事人数不足《公司法》规定人数或者公司章程所定人数的三分之二时;
(2)公司未弥补的亏损达实收股本总额三分之一时;
VIII Shareholders’
Assembly of Joint Stock Limited Company
form of shareholders’ assembly
Shareholders’
assembly shall be held each any of the following
circumstances,
a temporary shareholders’
assembly shall be held within 2 months:
(1)The quorum is less than that as required by
Company Law or two thirds of that as
prescribed in the articles of association;
(2)The unrecovered losses of the company
reach up to one third of the total
actually-
received share capital;
(3)单独或者合计持有公司百分之十以上股份的股东请求时;
(4)董事会认为必要时;
(5)监事会提议召开时;
(6)公司章程规定的其他情形。
(3)At the request of the shareholders separately
or aggregately holding 10% or more
of the
company’s shares;
(4)The board of directors
deems it necessary;
(5)At the request of the
board of supervisors; and
(6)Other
circumstances as prescribed in the articles of
association.
2、股东大会会议的表决和决议事项
股东出席股东大会
会议,所持每一股份有一表决权。但是,公司持有的本公司股份没有表决权。
股东大会作出决议,必须经
出席会议的股东所持表决权过半数通过。但是,股东大会作出修改公司
章程、增加或者减少注册资本的决
议,以及公司合并、分立、解散或者变更公司形式的决议,必须
经出席会议的股东所持表决权的23以上
通过。
and deciding matters of the
shareholders’ assembly
As for a shareholder
attends the shareholders’ assembly, he enjoys one
piece of voting
right for each share he r, the
company has no voting right for its own shares
it holds.
When any resolution is to be
made by the shareholders’ assembly, it shall be
adopted
by the shareholders representing more
than half of the voting rights of the shareholders
in presence.
However, when the
shareholders’ assembly makes a decision to modify
the articles of
association or to increase or
reduce the registered capital, or a resolution
about the merger,
split-up, dissolution or
change of the company form, the resolution shall
be adopted by
shareholders representing 23 or
more of the voting rights of the attending
shareholders.
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(九)上市公司组织机构的特别规定
1、 增加股东大会特别决议事项
上市公司在
一年内购买、出售重大资产或者担保金额超过公司资产总额30%的,应当由股东大
会作出决议,并经出
席会议的股东所持表决权的23以上通过。
IX Specific Regulations
of Listed Company Organization
sing special
resolution in shareholders’ assembly
Where a
listed company purchases or sells any important
asset, or provides guaranties
that exceed 30%
of the company’s total assets within a year, such
resolutions shall be
made by the shareholders’
assembly and adopted by the shareholders
representing 23 of
the voting rights of the
shareholders who attend the assemblies.
2.上市公司设立独立董事。
任职条件
下列人员不得担任独立董事:(1)在上市公司或者其附属企业任职的人员及其直系亲属、主要
社会关系
(直系亲属是指配偶、父母、子女等;主要社会关系是指兄弟姐妹、岳父母、儿媳女婿、兄弟姐妹的配偶、配偶的兄弟姐妹等);
(2)直接或间接持有上市公司已发行股份1%以上或者是
上市公司前十名股东中的自然人股东
及其直系亲属;(3)在直接或间接持有上市公司已发行股份5%以
上的股东单位或者在上市公司前五
名股东单位任职的人员及其直系亲属;(4)最近一年内曾经具有前三
项所列举情形的人员;(5)为
上市公司或者其附属企业提供财务、法律、咨询等服务的人员;(6)公
司章程规定的其他人员;(7)
中国证监会认定的其他人员。
3.上市公司设立董事会秘
书,负责公司股东大会和董事会会议的筹备、文件保管以及公司股权
管理,办理信息披露事务等事宜。董
事会秘书是上市公司高级管理人员。
2.A listed company shall
set independent director.
Qualifications for
independent directors
The following persons
shall not act as independent directors: (1)the
employee working
in listed company or its
affiliated company and hisher immediate relatives,
main social
relationships (immediate relatives
refer to spouse, parents, children and so on; the
main
social relationships refer to brothers
and sisters, parents-in-law, daughter-in-law,
son-in-law, brother’s and sister’s spouse,
spouse’s siblings);
(2)Individual
shareholders directly or indirectly holding more
than 1% of issued shares
of listed company or
top ten individual shareholders of listed
company and their immediate relatives;
(3)employees in the entity shareholders
directly or indirectly holding more than 5% of
issued shares of listed company or top five
entity shareholders of listed company and
their immediate relatives;
(4)persons
mentioned in above three circumstances in recent
oneyear; (5)persons who provide
financial,
legal, consulting and other services for listed
companies or its affiliated
companies;
(6)other personnel specified in the articles of
association; (7)other persons
recognized by
the Chinese Securities Regulatory Commission
3.A listed company shall have a secretary of the
board of directors who charges
preparation of
shareholders’ assembly and meetings of the board
of directors, preservation
of documents,
management of the company’s stock rights, and
information disclosure,
secretary of the
board of directors falls into the senior managers
of a listed company.
4.增设关联董事的表决权排除制度
上市公司董事与董事会会议决议事项所涉及的企业有关联关系的,不得对该项决议行使表决权,
也不得代
理其他董事行使表决权。该董事会会议由过半数的无关联关系董事出席即可举行,董事会
会议所作决议须
经无关联关系董事过半数通过。出席董事会的无关联关系董事人数不足3人的,应
将该事项提交上市公司
股东大会审议。
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ing voting right of related director
Where any of the directors has any relationship
with the enterprise involved in the
matter to
be decided at the meeting of the board of
directors, he shall not vote on this
resolution, nor may he vote on behalf of any
other person.
The board meeting shall not be
held unless more than half of the unrelated
directors
are present at the meeting.A
resolution of the board of directors shall be
adopted by more
than half of the unrelated
the number of unrelated directors present are less
than 3 persons, the matter shall be submitted
to the shareholders’ assembly of the listed
company for examination.
(十)公司形式变更及财务会计
1、有限责任公司变更为股份有限公司时,折合的实收股本总额不得高于公司净资产额。
Ⅹ Changing Limited Liability Company into Joint
Stock Limited Company
a limited liability
company changes into a joint stock limited
company, the
total amount of the actually
received share capital shall be not more than the
value of
the net assets.
2、利润分配
公司应当按照如下顺序进行利润分配:
(1)弥补以前年度的亏损,但不得超过税法规定的弥补期限。
(2)缴纳所得税。
(3)弥补在税前利润弥补亏损之后仍存在的亏损。
(4)提取法定公积金。
(5)提取任意公积金。
(6)向股东分配利润。
公司弥补亏损和提取公积金后所
余税后利润,有限责任公司按照股东实缴的出资比例分配,但全
体股东约定不按照出资比例分配的除外;
股份有限公司按照股东持有的股份比例分配,但股份有限公
司章程规定不按持股比例分配的除外。
distribution
Company shall distribute
profit in accordance with following orders:
(1)Cover loss which carried from previous years,
but can not excess the limit which
regulated
by tax.
(2)Income tax payment.
(3)Cover the loss existing after being partly-paid
by profit before tax.
(4)Extract legal
accumulation fund.
(5)Extract optional
accumulation fund.
(6)Distribute profits to
shareholders.
Profit after tax of covering
loss and extracting accumulation fund, shall be
distributed
in accordance with proportion to
the capital contributions they made for limited
liability
company unless otherwise agreed by
the whole shareholders;
as for a stock
limited company, the profits shall be distributed
in accordance with
proportion to the capital
contributions they held unless otherwise regulated
by article
of association.
3.公积金
公
积金分为盈余公积金和资本公积金两类。盈余公积金分法定公积金和任意公积金两种。法定
公积金按照公
司税后利润的10%提取,当公司法定公积金累计额为公司注册资本的50%以上时可以不
再提取。
公司的公积金用于弥补公司的亏损、扩大公司生产经营或者转为增加公司资本。但是,资本公积金不得用于弥补公司的亏损。法定公积金转为资本时,所留存的该项公积金不得少于转增前公司注册
资本的25%。
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lation funds
Accumulation funds are
divided into surplus accumulation fund and capital
accumulation
s accumulation fund is divided
into legal accumulation fund and optional
accumulation accumulation fund is exacted
from profit after tax at 10%, when
accumulated
amount of legal accumulation fund excesses 50% of
company registered capital
which need not to
be exacted.
The accumulation funds of the
company shall be used for making up losses,
expanding
the production and business scale or
increasing the registered capital of the
the
capital accumulation funds shall not be used for
making up the company’s
the statutory common
reserve is converted to capital, the remainder of
the common reserve
shall not be less than 25%
of the registered capital prior to the increase.
(十一)股份有限公司的股份转让
1、 股票的概念和特征
股份有限
公司的资本划分为股份,每一股的金额相等。公司的股份采取股票的形式。股票是公
司签发的证明股东所
持股份的凭证。
股票发行价格可以按票面金额,也可以超过票面金额,但不得低于票面金额。
XI Shares Transfer of Joint Stock Limited
Company
t and features of stock
The
capital of a joint stock limited company shall be
divided into shares, and each
share shall be
of equal value.
The shares of the company
are represented with stocks.A stock is a
certificate issued
by the company to certify
the share held by a shareholder.
The stocks
may be issued at a price equal to or above the par
value, but not below the
par value.
2.优先股
(1)股东权利
优先股股东的权利主要是优先分配利润和剩余财产。公
司应当以现金的形式向优先股股东支付
股息,在完全支付约定的股息之前,不得向普通股股东分配利润。
(2)优先股的限制
①发行的限制。第一,只有上市公司和非上市公众公司可以发行
优先股,其中只有上市公司可以
公开发行优先股;第二,公司已发行的优先股不得超过普通股股份总数的
50%,且筹资金额不得超过
发行前净资产的50%。
②优先股股东表决权限制。除以下
情况外,优先股股东不出席股东大会会议,所持股份没有表决
权:修改公司章程中与优先股相关的内容;
一次或累计减少公司注册资本超过10%;公司合并、分立、
解散或变更公司形式;发行优先股;公司章
程规定的其他情形。上述事项的决议,除须经出席会议的普
通股股东(含表决权恢复的优先股股东)所持
表决权的23以上通过之外,还须经出席会议的优先股
股东(不含表决权恢复的优先股股东)所持表决权
的23以上通过。
ence shares
(1)Right of
shareholders
The rights of preference
shareholders are preferentially distributing
profit and
residual y should pay the dividend
to preference shareholders in cash and
shall
not distribute profit to common shareholders
before fully paying stipulated dividend.
(2)The limitation of preference shares
①Issuance limitation.
First, only listed
companies and unlisted public companies are
entitled to issue
preference shares, among
this, only listed company may publicly issue
preference shares;
second, the number of
preference shares issued shall not exceed 50% of
total amount of
ordinary shares, and the
financing amount shall not exceed 50% of net
assets before issuance.
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②
Preference shareholders’ voting right limitation.
Except for the following situations,
preference shareholders shall not attend
shareholders’ meeting, shares held do not have
voting rights: the content of articles of
association related to preference shares is
modified; the registered capital of the company
reduces more than 10% one time or
accumulatively;
resolutions about the
assignment, split-up, change of company form,
dissolution,
liquidation of the company are
adopted; issuing preference shares; other
situations which
are stipulated by company.
When any resolution related to the events
stated above is to be made by the general
meeting of shareholders, it shall be adopted
by ordinary shareholders (including preference
shareholders whose voting rights are
restored)representing more than 23 of the voting
rights of the shareholders in presence and
preference shareholders (excluding preference
shareholders whose voting rights are
restored)representing more than 23 of the voting
rights of the shareholders in presence.
3.股票转让
(1)发起人转让股票的限制
发起人持有的本公司股份,自公司成立
之日起1年内不得转让。公司公开发行股份前已发行的
股份,自公司股票在证券交易所上市交易之日起1
年内不得转让。
transfer
(1)Limitation of
promoter transferring shares
The shares of a
company held by the promoters of this company
shall not be transferred
within 1 year since
the date of the establishment of the company.
The shares issued before when the company publicly
issues shares shall not be
transferred within
1 year from the day when the stocks of the company
get listed and traded
in a stock exchange.
(2)董事、监事、高级管理人员转让股票的限制
公司董事、监事、高级管理人员应
当向公司申报所持有的本公司的股份及其变动情况,在任职
期间每年转让的股份不得超过其所持有本公司
股份总数的25%;所持本公司股份自公司股票上市交
易之日起1年内不得转让。
(2)Limitation of shares transfer as to director,
supervisor and senior manager
The directors,
supervisors and senior managers of the company
shall report to the
company the shares held by
themselves and the changes thereof.
During
the term of office, the shares transferred by any
of them each year shall not
exceed 25% of the
total shares of the company he holds within half a
stocks held
by the aforesaid persons shall not
be transferred within 1 year from the day when the
shares
of the company get listed and traded in
a stock exchange.
上述人员离职后半年内,不得转让其所持有的本公司股份。
上市公司董事、监事和高级管理人
员所持股份不超过1000股的,可一次性全部转让,不受上述转让比
例的限制。公司章程可以对公司
董事、监事、高级管理人员转让其所持有的本公司股份作出其他限制性规
定。
Within 6 months after any of the
aforesaid persons is removed from his position, he
shall not transfer the shares of the company
he directors, supervisors and senior
managers
of a listed company may transfer all its shares at
one time in the case that it
holds no more
than 1000 shares.
The articles of
association may specify other mandatory
restrictions on transfer of
shares held by the
directors, supervisors and senior managers.
(3)公司收购自身股票的限制
公司不得收购本公司股份。但是,有下列情形之一的除外:
① 减少公司注册资本;
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②
与持有本公司股份的其他公司合并;
③ 将股份奖励给本公司职工;
④
股东因对股东大会作出的公司合并、分立决议持异议,要求公司收购其股份的。
(3)Limitation of company purchasing its own shares
A company shall not purchase its own shares
except any of the following circumstances:
①
To decrease the registered capital of the company;
② To merge another company holding shares of
this company;
③ To award the employees of
this company with shares; or
④ It is
requested by any shareholder to purchase his
shares because it objects to the
company’s
resolution on merger or split-up made by the
shareholders’ assembly.
公司因上述第①项至第③项的原因收购本公司
股份的,应当经股东大会决议。公司收购本公司
股份后,属于第①项情形的,应当自收购之日起10日内
注销;属于第②项、第④项情形的,应当在
6个月内转让或者注销。公司依照第③项规定收购的本公司股
份,不得超过本公司已发行股份总额
的5%;用于收购的资金应当从公司的税后利润中支出;所收购的股
份应当在1年内转让给职工。
Where a company needs to
purchase its own shares for any of the
circumstances as
mentioned in items① to ③ of
the preceding paragraph, it shall be subject to a
resolution
of the shareholders’ assembly.
After the company purchases its own shares
pursuant to the provisions of the preceding
paragraph, it shall, under the circumstance as
mentioned in item ①, deregister them within
10
days after the purchase; while under either
circumstance as mentioned in item ② or ④,
it
shall transfer or deregister them within 6 months.
The shares purchased by the company
according to item ③ of the preceding paragraph
shall not exceed 5% of the total shares
already issued by the said fund used
for the
share acquisition shall be drawn from the after-
tax profits of the shares
purchased by the
company shall be transferred to the employees
within 1 year.
(4)股票质押的限制
公司不得接受本公司的股票作为质押权的标的。
(4)Limitation of
shares pledge
A company shall not take its
own stocks as the subject matter of a pledge
right.
(十二)公司合并、分立与减资
1.公司合并
公司合并可以采取吸收合并或者新设合并。一个公司吸收其他公司为吸收合并,被吸收的公司
解散。两个
以上公司合并设立一个新的公司为新设合并,合并各方解散。
XII Merger,
Split-up and Deduction of Registered Capital
The merger of a company may be effected by
way of merger or consolidation.
In the case
of merger, a company absorbs any other company and
the absorbed company
is the case of
consolidation, two or more companies combine
together for the
establishment of a new one,
and the existing ones are dissolved.
公司合并,应当
由合并各方签订合并协议,并编制资产负债表及财产清单。公司应当自作出合
并决议之日起10日内通知
债权人,并于30日内在报纸上公告。债权人自接到通知书之日起30日内,
未接到通知书的自公告之日
起45日内,可以要求公司清偿债务或者提供相应的担保。
To carry out a
corporate merger, all parties to the merger shall
conclude an agreement
with each other and
prepare balance sheets and checklists of
properties.
The companies involved shall,
within 10 days after making the decision of
merger, notify
the creditors, and shall make a
public announcement on a newspaper within 30 days.
The creditors may, within 30 days after
receiving the notice or within 45 days after
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the
issuance of the public announcement if it fails to
receive a notice, demand the company
to clear
off its debts or to provide corresponding
guarantees.
2.公司分立
公司分立前的债务由分立后的公司承担连带
责任。但是,公司在分立前与债权人就债务清偿达
成的书面协议另有约定的除外。
-up
The post-split companies shall bear several
and joint liabilities for the debts of the
company before its split unless it is
otherwise prescribed in a written agreement, which
is reached between the company and the
creditors before the split and regards pay-off of
the debt.
3.公司减资
公司需要减少注册资本时,必须编制资
产负债表及财产清单。公司应当自作出减少注册资本决
议之日起10日内通知债权人,并于30日内在报
纸上公告。债权人自接到通知书之日起30日内,未
接到通知书的自公告之日起45日内,有权要求公司
清偿债务或者提供相应的担保。
ion of registered capital
Where a company reduces its registered
capital, it must prepare balance sheets and
checklists of company shall, within ten days
after the decision of reducing
registered
capital, notify the creditors and make a public
announcement on a newspaper
within 30 days.
The creditors are, within 30 days after
receiving the notice or within 45 days after
the issuance of the public announcement if it
fails to receive the notice, entitled to demand
the company to pay off the debts or to provide
corresponding guarantees.
(十三)公司董事、监事、高级管理人员的资格和义务
ⅩⅢ The
Qualifications and Obligations of Directors,
Supervisors and Senior Managers
1.公司董事、监事和高级管理人员的资格
Qualifications and
Obligations of Directors, Supervisors and Senior
Managers
有下列情形之一的,不得担任公司的董事、监事、高级管理人员:
Anyone who is under any of the following
circumstances shall not take the position of
a
director, supervisor or senior manager of a
company:
(1)无民事行为能力人或者限制民事行为能力人。
(1)He
is a person without or with limited capacity of
civil conduct.
(2)因贪污、贿赂、侵占财产、挪用财产,被判处刑罚,执行期
满未逾5年;或者因犯罪被剥
夺政治权利,执行期满未逾5年。
(2)He has
been sentenced to any criminal penalty due to an
offence of corruption,
bribery, encroachment
of property or misappropriation of property, and
it has not been 5
years since the completion
date of the execution of the penalty; or he has
ever been deprived
of his political rights due
to any crime and it has not been 5 years since the
completion
date of the execution of the
penalty.
(3)担任破产清算的企业厂长(或公司董事),对该公司、企业的破产负有个
人责任的,自该
企业破产清算完结之日起未逾3年。
(3)He was a
former director, factory director or manager of a
company or enterprise
which was bankrupt and
liquidated, and he was personally liable for the
bankruptcy of such
company or has not been 3
years since the date of completion of the
bankruptcy
and liquidation of the company or
enterprise.
(4)担任因违法被吊销营业执照、责令关闭的公司的法定代表人,并负
有个人责任的,自该公
司被吊销营业执照之日起未逾3年。
(4)He was the
legal representative of a company or enterprise,
and the business license
thereof was revoked
and it was ordered to close due to violation of
the is personally
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liable for the revocation, and it has not been
3 years since the date of the revocation
of
the business license thereof.
(5)个人所负数额较大的债务到期未清偿。
(5)He owes a relatively
large amount of debt which is due but not paid
off.
2、公司董事、监事和高级管理人员行为禁止 (重点掌握)
ited
behavior of directors, supervisors and senior
managers
(1)违反“公司章程”的规定或者未经“股东会、股东大会”同意,与本公司订立合同或者进
行交易;
(1)Without the consent of the shareholders’
meeting or shareholders’ assembly, or
by
violating articles of association, he enters into
any contract or conducts any
transaction with
the said company.
(2)未经“股东会或者股东大会”同意,利用职务便利为
自己或者他人谋取属于公司的商业机
会,自营或者为他人经营与所任职公司同类的业务;
(2)Without the consent of the shareholders’
meeting or shareholders' assembly, he
seeks to
acquire business opportunities for his own sake or
any other person by taking
advantages of his
position, or runs business of the same type as
that of the said company
by his own or for any
other person;
【考题-1】
(2011年)甲、乙共同成立A有限
责任公司(简称A公司),注册资本200万元,其中,甲持
有60%股权,乙持有40%股权。200
8年8月25日,A公司聘请李某担任公司总经理,负责公司日常
经营管理。双方约定,除基本工资外,
李某可从公司每年税后利润中提取1%作为奖金。同时,A公
司股东会决议:同意李某向A公司增资20
万元,其中,李某以其姓名作价10万元出资,其余10
万元出资以李某未来从A公司应分配的奖金中分
期缴纳。
2009年1月初,乙要求退资。经股东会同意,1月20日,A公司与乙签订退资协议
,约定A公
司向乙返还80万元出资款。1月28日,A公司向乙支付80万元后,在股东名册上将乙除
名,同时,
A公司宣布减资80万元,并向债权人发出了通知和公告。债权人丙接到通知后,当即提出异
议,认
为股东出资后不得撤回,并要求A公司立即清偿债务。A公司则以丙的债权尚未到期为由拒绝清偿
。
根据上述内容,分别回答下列问题:
(1)李某可否以姓名出资?并说明理由。
(2)李某以未来从A公司可分得的奖金分期缴纳出资款是否符合法律规定?并说明理由。
(3)丙以股东出资后不得撤回为由反对乙退资的主张是否成立?并说明理由。
(4)丙是否有权要求A公司清偿未到期债务?并说明理由。
【答案】
(1)李某
不能以姓名出资。根据规定,股东不得以劳务、信用、自然人姓名、商誉、特许经营
权或者设定担保的财
产等作价出资。
(1) can’t use his name as capital
ing to provisions,
shareholders are prohibited
to make capital contributions in labor services,
credit,
natural person’s name, goodwill,
franchise or guaranteed property.
(2)李某以未来从A
公司可分得的奖金分期缴纳出资款不符合法律规定。根据规定,股东可以
用货币出资,也可以用实物、知
识产权、土地使用权等可以用货币估价并可以依法转让的非货币财
产作价出资;但是,法律、行政法规规
定不得作为出资的财产除外。在本案例中“以奖金作为出资”
无法用货币估价而且不能转让,所以不能作
为出资。
(2)It does not comply with provisions
that takes the bonus obtained in the future
as capital contributions.
According to
the law, a shareholder may make capital
contributions in currency, in kind
or
intellectual property right, land use right or
other non-monetary properties that may
be
assessed on the basis of currency and may be
transferred according to law, excluding
the
properties that shall not be treated as capital
contributions according to any law or
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administrative regulation.
In this case,
the bonus obtained in the future cannot be
evaluated on the basis of
currency and cannot
be transferred; therefore, it shall not be taken
as capital
contribution.
(3)丙以股东出资后不得撤回为
由反对乙退资的主张不成立。减资还可以以返还出资的方式而
减少出资,或者以免除出资义务的方式减资
或者以销除股权或者股份的方式减资。本题中,A公司
如果依法定程序减资后再注销乙的股权是允许的。
(3)Bing’s assertion that Yi can’t withdraw
paid-in capital from company A is
stipulated
in Chinese Company Law, the company can decrease
its paid-in capital by returning
shares to
shareholders, or by exempting the obligation to
make capital contribution, or
by canceling the
equity or the case above, company A can decrease
its paid-in
capital and then deregister Yi’s
shares through legal procedure.
(4)丙有权要求A公司清
偿未到期债务。根据规定,公司减少注册资本,公司应当自做出减少
注册资本决议之日起10日内通知债
权人,并于30日内在报纸上公告。债权人自接到通知书之日起
30日内,未接到通知书的自公告之日起
45日内,有权要求公司清偿债务或者提供相应的担保。
(4)Bing has the
right to claim company A to pay off the debt which
is not yet
stipulated in Chinese Company Law,
when a company decreases its paid-in capital, it
must
notify its creditors within 10 days and
issue announcement on newspaper within 30 days
since
the resolution concerning decrease of
paid-in capital is any of the creditors can
claim the company to pay off the debt or
provide corresponding guarantees within 30 days
since he is informed, or within 45 days if he
fails to assess the notice or announcement.
谢谢大家!
专题三 证券法 企业破产法
详细讲解
一、专业词汇
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
Security
Unlisted public company
Main Board
Small and Medium Enterprise
Board(SME)
证券
非上市公众公司
主板
中小板
Growth
Enterprise Market(GEM) 创业板
Initial Public
Offerings(IPO) 首次公开发行股票
Principal underwriter
Participant underwriter
Underwrite
Sale by proxy
Exclusive sale
Underwrite syndicate
Issuer
Actual
controller
Independent director
The board
secretary system
Persons acting in concert
Certified public accountant
(CPA)
Sponsor
主承销商
参与承销商
承销
代销
包销
承销团
发行人
实际控制人
独立董事
董事会秘书制度
一致行动人
注册会计师
保荐人
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20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
Subscriber
Unspecific objects
Credit
rating agency
Financial consultant
Related
party
Related transaction
Dispute
Independence
Special account
Affiliated company
Market inquiry
Management principle
Pledge
Mortgage
Freeze
Judicial auction
Trusteeship
Trust
Voting right
Seal up
Deduct
Audit Report
Verification service
Unqualified audit report
Qualified audit
report
认购人
不特定对象
信用评级机构
财务顾问
关联方
关联交易
纠纷、争议
独立性
专项账户
附属公司
市场询价
经营方针
质押
抵押
冻结
司法拍卖
托管
信托
表决权
查封
扣划
审计报告
鉴证业务
无保留意见的审计报告
保留意见的审计报告
Adverse opinion of audit report 否定意见的审计报告
Audit report with a disclaimer of
无法表示意见的审计报告
opinion
Prospectus
Periodic report
Interim report
Provisional report
Financial statement
Financial report
Asset appraisal report
Legal opinions
False record
Misleading statement
Material omission
Accounting year
Asset
Liability
Owners’ Equity
招股说明书
定期报告
中期报告
临时报告
财务报表
财务报告
资产评估报告
法律意见书
虚假记载
误导性陈述
重大遗漏
会计年度
资产
负债
所有者权益
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62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100
Revenue
Expense
Net profit
营业收入
费用
净利润
Accounting Standard for Business
企业会计准则
Enterprises(ASBE)
Book value
Parface
value
Investment income
Main business
Financial assets held for
trading
账面价值
面值
投资收益
主营业务
交易性金融资产
Financial
assets available for
可供出售金融资产
sale
Trust investment
Extraordinary item
Cash flows arising from
investment
Rate of return
Pricing ex-date
Average
price
Financial situation
Management
result
Cash dividend
Convertible corporate
bonds
Separate trade
Warrants
Principal
Interest
Penalty for breach
Damages
Bonus share
Disclosure
Accounting estimate
Insider information
Joint tort
Manipulate price
委托理财
非经常性损益
Cash flows arising from business
经营活动产生的现金流量
投资活动产生的现金流量
Net assets
(average weighted) 加权平均净资产
收益率
定价基准日
均价
财务状况
经营成果
现金分红
可转换公司债券
分离交易
认股权证
本金
利息
违约金
损害赔偿金
送股
披露
会计估计
内幕信息
共同侵权
操纵价格
Accumulated distributed profit 累计分配的利润
Change of accounting policies 变更会计政策
Prepare (financial statements
编制(报表等)
etc)
Be suspected of being involved 涉嫌
Condemn 谴责
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101
102
103
104
105
106
107
108
109
110
111
Signature
Self-regulatory organization
for
securities
Securities registration and
clearing institution
Stock exchange
China Securities Regulatory
Commission
(CSRC)
签章
证券行业自律组织
证券登记结算机构
证券交易所
中国证监会
Land, environmental protection
土地、环保、海关部门
and customs authorities
Trademark
Patent
Franchise
Tax
preference
Contingencies
商标
专利
特许经营权
税收优惠
或有事项
二、法律条文要点详解
(一)在主板和中小板上市的公司首次公开发行股票的条件
1.发行人应当是依法设
立且合法存续一定期限的股份有限公司,该股份有限公司应自成立后,
持续经营时间在3年以上;如果是
有限责任公司按原账面净资产值折股整体变更为股份有限公司的,
持续经营时间可以从有限责任公司成立
之日起计算,并达3年以上;经国务院批准,可以不受上述
时间的限制。
I
.Conditions of IPO for Companies Listed in the
Main Board and the SME Board
issuer shall
be a joint stock limited company established in
accordance with the
law and legally exists for
more than 3 years thereafter;
Where it is
one changed from a limited liability company by
converting the original
net book value of
assets into shares, the duration shall be
calculated from the establishment
date of the
said limited liability company, and last for more
than 3 years; however it may
not be subject to
the time limitation with the approval of the State
Council.
2.发行人发行股票并上市的财务指标应当达到以下要求:(1)最近3个会计
年度净利润均为正
数且累计超过人民币3000万元,净利润以扣除非经常性损益前后较低者为计算依据
;(2)最近3
个会计年度经营活动产生的现金流量净额累计超过人民币5000万元;或者最近3个会
计年度营业收
入累计超过人民币3亿元;
ial indicators for
investors to issue shares shall meet the following
requirements: (1)the net profits of last 3
accounting years are positive and reach more
than 30 million Yuan, the lower value of the
net profit with and without excluding
extraordinary item shall be treated as
calculation basis;
(2)the accumulated cash
flow in the last 3 accounting years arising from
business
shall be more than 50 million Yuan;
or the revenue of last 3 accounting years shall be
more
than 300 million Yuan;
(3)发行前股本总额不少于人民币3000万元
(4)最近一期期末无形资产(扣除土地使用权
、水面养殖权和采矿权等后)占净资产的比例不
高于20%;
(5)最近一期期末不存在未弥补亏损。
(3)the total share
capital before issuance shall be not less than 30
million Yuan;
(4)the intangible assets at
the end of the last period (excluding land use
rights,
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water aquaculture right and mining right)shall
account for no more than 20% of net assets;
(5)there shall be no uncovered deficits at the end
of the last period.
3.发行人存在下列情形之一的,构成首次发行股票并
上市的法定障碍:(1)最近36个月内未
经法定机关核准,擅自公开或者变相公开发行过证券;或者有
关违法行为虽然发生在36个月前,但
目前仍处于持续状态。(2)最近36个月内违反工商、税收、土
地、环保、海关以及其他法律、行
政法规,受到行政处罚,且情节严重。
of the
following circumstances of an issuer may
constitute legal barriers in its
IPO and
listing:(1)where he offers public the security or
in other forms without the approval
of legal
authorities in last 36 months; or though the
illicit acts occurred before 36 months,
but at
present it still keeps on .
(2)where he
violates the law and regulations with respect to
industry and commerce,
tax, land,
environmental protection, customs, was punished
by administrative
authority subject to serious
circumstance of violation in the last 36 months.
(3)最近36个月内曾向中国证监会提出发行申请,但报送的发行申请文件有虚假记载、误导性陈述或重大遗漏;或者不符合发行条件以欺骗手段骗取发行核准;或者以不正当手段干扰中国证
监
会及其发行审核委员会审核工作;或者伪造、变造发行人或其董事、监事、高级管理人员的签字、
盖章。
(4)本次报送的发行申请文件有虚假记载、误导性陈述或者重大遗漏。
(3)where he
filed application with CSRC in the last 36 months,
but false record,
misleading statement or
material omission is found therein; or where he
acquired the
approval with deception; or where
he interfered the auditing work of CSRC and its
Issue
Audit Commission by unjust means; or
where he altered the signatures and seals of the
issuer
or his directors, supervisors and
senior managers were fabricated or altered.
(4)where there are false records, misleading
statements or material omissions in the
application files submitted this time.
(5)涉嫌犯罪被司法机关立案侦查,尚未有明确结论意见。
(6)严重损害投资者合法权益和社会公共利益的其他情形。
(5)where he is
suspected with crime and put on record for
investigation without definite
conclusion
until now.
(6)other circumstances where he
impaired the legal rights and interests of the
investors
and social public interests.
(二)首次公开发行股票的程序和承销
以及老股转让
1.程序
发行
人董事会提出方案报请股东大会批准;发行人按照规定制作申请文件,由保荐人推荐并向
证监会申报;证
监会收到文件受理审核;核准后,发行人自核准发行之日起6个月内发行股票,发
行的股票一般由证券公
司承销。
II .Procedures and Underwriting of IPO
ures
The board of directors of the
issuer shall submit the proposal to the General
Meeting
of Shareholders for approval; the
issuer shall prepare the application documents in
accordance with the regulations, and the
sponsor shall make recommendation and submit the
said documents to CSRC for approval;
CSRC shall audit the documents after receiving the
same; The issuer shall issue shares
within 12
months as of the date when issuance is issued
shares are generally
underwritten by
securities companies.
2.承销
证券的代销、包销期限最
长不得超过90日。证券公司在代销、包销期内,对所代销、包销的证
券应当保证先行出售给认购人,证
券公司不得为本公司预留所代销的证券和预先购入并留存所包销
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的证券。向不特定对象公开发行的证券票面总额超过50
00万元的,应当由承销团承销。承销团应当
由主承销和参与承销的证券公司组成。
riting
The term for sale by proxy or
exclusive sale may not exceed 90 days at the
most.A
securities company shall, within the
said term, guarantee the priority of the relevant
subscribers in purchasing securities under
sale by proxy or exclusive sale.
He is
prohibited to reserve in advance any securities
under sale by proxy or purchase
in advance and
retain any securities under exclusive Public
offerings with the
par value of more than RMB
50 million shall be underwritten by an
underwriting syndicate
which consists of a
lead underwriter and several underwriting
securities houses.
股票发行采用代销方式,代销期限届满,向投资者出售的
股票数量未达到拟公开发行股票数量
70%的,为发行失败。发行人应当按照发行价并加算银行同期存款
利息返还股票认购人。
Where the stocks issued are sold
by proxy, the issuance fails if the stocks sold
out
to investors account for less than 70% of
the proposed public offerings at the end of the
underwriting this case the issuer shall
reimburse the subscribers based on the
issuing
price plus the bank deposit interest of the same
period.
3.首次公开发行股票时的老股转让
公司首次公开发行时,公司股
东公开发售的股份,其已持有时间应当在36个月以上。公司股东公
开发售股份后,公司的股权结构不得
发生重大变化,实际控制人不得发生变更。公司股东公开发售的
股份,权属应当清晰,不存在法律纠纷或
质押、冻结及其他依法不得转让的情况。
er of old shares in IPO
When the company encounters IPO, company’s
shareholders publicly issue shares, the
period
that the shares have been held is more than 36
company’s shareholders
issue the shares
publicly, company’s ownership structure shall not
change significantly,
the actual controlling
party shall not change.
Where company’s
shareholders issue shares publicly, the ownership
shall be clear, there
is no legal disputes or
pledge, freeze and other circumstances that shall
not be transferred.
(三)上市公司增发股票
1
上市公司增发股票的障碍
上市公司不存在下列行为:(1)本次发行申请文件有虚假记载、误导性
陈述或重大遗漏;(2)
擅自改变前次公开发行证券募集资金的用途而未作纠正;(3)上市公司最近1
2个月内受到过证券
交易所的公开谴责;
Ⅲ.Conditions for
Listed Company Issuing SPO (Secondary Public
Offering)
rs for listed company issuing
secondary public offering
No existence of
the following circumstance(s)for listed company:
(1)Occurrence of false record, misleading
statement or material omission in the
documents for issue application;
(2)Unauthorized change of the purposes of funds
raised from previous publicly issued
securities and not corrected;
(3)Denounced publicly by the Stock Exchange within
the last 12 months;
(4)上市公司及其控股股东或实际控制人最近12个月内存在未履行向投资者作出的公开承诺
的行为;
(5)上市公司或其现任董事、高级管理人员因涉嫌犯罪被司法机关立案侦查或涉嫌违法违规被中国证监会立案调查;
(6)严重损害投资者合法权益和社会公共利益的其他情形。
(4)Failure of the listed company and its
controlling stockholders and actual
controllers to fulfill public commitment(s)to
investors within the last 12 months;
(5)The
listed company or its current directors or senior
managers being filed for
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investigation by judicial authority due to
suspected crime or by CSRC due to violation of
laws and regulations;
(6)Other
circumstances that seriously damage investors’
legitimate rights and
interests and social
public interests.
2 上市公司配股的条件
配股除了应当符合增发股票的一般条件之外,还应当符合以下条件:
(1)拟配售股份数量不超过本次配售股份前股本总额的30%。
(2)控股股东应当在股东大会召开前公开承诺认配股份的数量。
2 Conditions
for allotment of listed company
Allotment
should not only comply with the conditions of
issuing additional shares,
but also comply with
the following conditions:
(1)The stocks of
rights issue shall not account for more than 30%
of total share capital
prior to the same.
(2)Controlling shareholder(s)shall announce the
amount of shares he(they)promise
(s)to
subscribe before General Meeting of Shareholders
being convened.
(3)采用证券法规定的代销方式发行。控股股东不履行认配股
份的承诺,或者代销期限届满,
原股东认购股票的数量未达到拟配售数量70%的,发行人应当按照发行
价并加算银行同期存款利息
返还已经认购的股东。
(3)Issue by proxy
in accordance with the provisions of Security the
controlling shareholder(s)fail(s)to fulfill
the commitment for right issue subscription,
or when the proxy term expires, the quantity
of shares subscribed by original shareholders
fails to reach up to 70% of proposed quantity
of right issue, the issuer shall return to
the
shareholders committing to subscription on the
basis of issue price plus bank deposit
interest at the same period.
3.上市公司增发的条件
增发除了符合发行新股的一般条件之外,还应当符合下列条件:
(1)最近3个会计
年度加权平均净资产收益率平均不低于6%。扣除非经常性损益后的净利润
与扣除前的净利润相比,以低
者作为加权平均净资产收益率的计算依据。
onal conditions for SPO
(Secondary Public Offering)
SPO should not
only comply with the conditions of IPO,but also
comply with the following
conditions:
(1)The ROE (Rate of Return on Common Stockholders’
Equity)(Weighted Average)
in average for the
last 3 accounting years shall not be lower than
6%.The lower value of
the net profit with and
without excluding extraordinary item shall be
treated as the
calculation basis for ROE
(Weighted Average);
(2)除金融类企业外,最近一期期末不存在持有金额
较大的交易性金融资产和可供出售的金融
资产、借予他人款项、委托理财等财务性投资的情形。
(3)发行价格应不低于公告招股意向书前20个交易日公司股票均价或前一个交易日的均价。
(2)Except for financial institutions, the
issuer shall, at the end of the last period,
have no circumstance of financial investment
including possession of financial assets for
trading with large amount, financial assets
available for sale, lending, trust investment,
and so on;
(3)The issue price shall not
be lower than the average share price in the 20
trading
days before the prospectus being
announced or the average share price of the last
trading
day.
(四)上市公司非公开发行股票的条件
1.上市公司非公开发行股票的条件
上市公司非公开发行股票,应当符合下列规定:
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(1)发行价格不低于定价基准日前20个交易日公司股票均价的90%;
Ⅳ
Conditions of private placement for listed company
ions of private placement for listed company
Listed company is authorized to conduct
private placement under following conditions:
(1)Issue price is not less than 90% of the average
share price within 20 trading days
prior to
the pricing ex-date;
(2)本次发行的股份自发行结束之日起,12个月
内不得转让;控股股东、实际控制人及其控
制的企业认购的股份,36个月内不得转让;
(3)募集资金使用符合有关规定;
(4)本次发行将导致上市公司控制权发生变化的,还应当符合中国证监会的其他规定。
(2)Shares issued shall not be transferred within
12 months since the end of the issue;
shares
subscribed by controlling shareholders, actual
controllers and controlled
enterprises shall
not be transferred within 36 months thereafter;
(3)The use of the funds raised shall comply
with relevant provisions;
(4)Where the
controlling power in listed company varies as a
result of the issue,
other provisions stated
by CSRC shall also be met.
2.上市公司非公开发行股票的障碍
上市公司存在下列情形之一的,不得非公开发行股票:
(1)本次发行申请文件有虚假记载、误导性陈述或重大遗漏;
(2)上市公司的权益被控股股东或实际控制人严重损害且尚未消除;
(3)上市公司及其附属公司违规对外提供担保且尚未解除;
rs in private
placement for listed company
A listed
company shall not do a private placement in any of
the following circumstances:
(1)False
records, misleading statements or material
omissions are found in the
application
documents;
(2)The rights and interests of
the listed company are seriously harmed by the
controlling shareholder(s)or the actual
controller(s)and the effect still remains;
(3)Illegal guarantee provided by the listed
company or its affiliate(s);
(4)现任董事、高级管理人员最
近36个月内受到过中国证监会的行政处罚,或者最近12个月
内受到过证券交易所公开谴责;
(5)上市公司或其现任董事、高级管理人员因涉嫌犯罪正被司法机关立案侦查或涉嫌违法违规正被中国证监会立案调查;
(4)The current director(s)or
senior manager(s)is(are)subject to administration
punishment by CSRC in the last 36 months, or
denouncement by Stock Exchange in the last
12
months;
(5)The Listed company or its current
director(s)or senior manager(s)is(are)
filed
for investigation by judicial authority due to
suspected crime or by CSRC due to
violation of
laws and regulations;
(6)最近一年及一期财务报表被注册会计师出具
保留意见、否定意见或无法表示意见的审计报
告。保留意见、否定意见或无法表示意见所涉及事项的重大
影响已经消除或者本次发行涉及重大重
组的除外;
(7)严重损害投资者合法权益和社会公共利益的其他情形。
(6)Audit
report(s)with qualified opinion, adverse opinion
or disclaimer of opinion
are issued by CPA on
the financial statements for the last year and
period, excluding those
serious issues
referred in the said reports having been solved
out or there being a material
reorganization
in this issue.
(7)other circumstances where
he damaged the legal rights and interest of the
investors
and social public interests.
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(五)公司债券的发行条件
向合格投资者公开发行公司债券,应当符合下列条件:
(1)股份有限公司的净资产不低于人民币3000万元,有限责任公司的净资产不低于人民币6000
万元;
(2)累计债券余额不超过公司净资产的40%;
(3)最近3个会计年度实现的年均可分配利润不少于公司债券1年的利息;
Ⅴ.Conditions for Issue of Corporate Bonds
Public issue of corporate bonds to qualified
investor shall satisfy the following
requirements:
(1)The net assets of a
stock limited company being no less than RMB 30
million and
the net assets of a limited
liability company being no less than RMB 60
million;
(2)The accumulated bond balance
accounting for no more than 40% of the net assets;
(3)The average distributable profits over
the last 3 years being sufficient to pay
one-
year interest of the corporate bonds;
(4)筹集的资金投向符合国家产业政策;
(5)债券的利率不超过国务院限定的利率水平;
(6)国务院规定的其他条件。
(4)The investment of
raised funds complying with the industrial
policies of the state;
(5)The rate of return
on bonds not surpassing the limitation of interest
rate stipulated
by the State Council; and
(6)Meeting any other requirements as prescribed by
the State Council.
有下列情形之一的,不得再次公开发行公司债券:
(1)前一次公开发行的公司债券尚未募足;
(2)对已公开发行的公司债券或者其他债务有违约或者延迟支付本息的事实,仍处于继续状态;
(3)违反《证券法》规定,改变公开发行公司债券所募资金的用途;
In case of
the following circumstances, public issuance of
corporate bonds shall not
be carried out once
more:
(1)Where the corporate bonds issued in
the last public issue haven’t been fully
subscribed;
(2)Where a company has any
default on corporate bonds as publicly issued or
on any
other liabilities, or postpones the
payment of the relevant principal plus interests,
and
such situation is still continuing; or
(3)Where a company violates the Security Law
by altering the use of funds raised through
public issue of corporate bonds.
(4)最近36个月内公司财务会计文件存在虚假记载,或公司存在其他重大违法行为;
(5)本次发行申请文件存在虚假记载、误导性陈述或重大遗漏;
(6)严重损害投资者合法权益和社会公共利益的其他情形。
(4)False
financial accounting records or other material
illegal behaviors were found
in last 36
months;
(5)False records, misleading
statements or material omission were found in the
application documents;
(6)Other
circumstances where the company seriously damages
investors’ legitimate
rights and social public
interests.
(六)可转换公司债券的发行条件
上市公司发行可转换债券,除应当符合增发股票的一般条件外,还应当符合下列规定:
(1)最
近3个会计年度加权平均净资产收益率平均不低于6%。扣除非经常性损益后的净利润
与扣除前的净利润
相比,以低者作为加权平均净资产收益率的计算依据;
Ⅵ Conditions for
Issuing Convertible Corporate Bonds
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Where a listed company intends to issue
convertible corporate bonds, he shall meet not
only the general conditions of SPO but also
the following requirements:
(1)The weighted
average of ROE in last 3 accounting years shall
not be lower than
6%.The lower value of the
net profit with and without excluding
extraordinary item shall
be treated as
calculation basis for weighted average of ROE.
(2)本次发行后累计公司债券余额不超过最近一期末净资产额的40%;
(3)最近3个会计年度实现的年均可分配利润不少于公司债券1年的利息。
(2)Cumulate amount of issued corporate bonds shall
not exceed 40% of net assets at
the end of the
last year;;
(3)The average distributable
profits over the latest 3 years shall not be less
than
one-year interest of corporate bonds.
发行分离交易的可转换公司债券,除符合增发股票的一般条件外,还应当符合下列规定:
(1)公司最近一期末经审计的净资产不低于人民币15亿元;
Where a
listed company intends to issue detachable
convertible corporate bonds, he shall
meet not
only the general conditions of SPO but also the
following requirements:
(1)The audited net
assets at the end of recent period shall not be
less than 1.5 billion
Yuan;
(2)最近3个会计年度实现的年均可分配利润不少于公司债券1年的利息;
(3)最近3个会
计年度经营活动产生的现金流量净额平均不少于公司债券1年的利息,但最近
3个会计年度加权平均净资
产收益率平均不低于6%(扣除非经常性损益后的净利润与扣除前的净利
润相比,以低者作为加权平均净
资产收益率的计算依据)的除外;
(2)Average distributable
profits in recent 3 accounting years shall not be
less than
one-year interest of corporate
bonds;
(3)Average net cash flows generated
from business in recent 3 years shall not be less
than one-year interest of corporate bonds,
except for the circumstance that weighted average
of ROE in last 3 accounting years is not lower
than 6%, calculated on the basis of the lower
value of the net profit with and without
excluding extraordinary item.
(4)本次发行后累计公司债券
余额不超过最近一期末净资产额的40%,预计所附认股权全部行
权后募集的资金总量不超过拟发行公司
债券金额。
(4)Cumulate closing balance of
corporate bonds after issue shall not exceed 40%
of
net assets at the end of recent period, and
the total expected amount of capital to be raised
from exercising subscribed stock options shall
not exceed the amount of corporate bonds
planned to issue.
(七)股票上市和债券上市的条件
1 股票上市的条件
股份有限公司申请股票上市,应当符合下列条件:
(1)股票经国务院证券监督管理机构核准已公开发行;
(2)公司股本总额不少于人民币3000万元;
Ⅶ Conditions for
Shares and Bonds Listing
1 Conditions for
shares listing
A stock limited company that
files an application for the listing of its stocks
shall
satisfy the following requirements:
(1)The stocks shall have been subject to the audit
and approval of the securities
regulatory
authority under the State Council for public
issue;
(2)The total amount of capital stock
shall be no less than RMB 30 million;
(3)公开发
行的股份达到公司股份总数的25%以上;公司股本总额超过人民币4亿元的,公开
发行股份的比例为1
0%以上;
(4)公司最近3年无重大违法行为,财务会计报告无虚假记载。证券交易所可以规定
高于前款
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规定的上市条件,并报国务院证券监督管理机构批准。
(3)The shares
as publicly issued shall reach more than 25 % of
the total amount of
corporate shares; where
the total amount of capital stock of a company
exceeds RMB 0.4
billion, the shares as
publicly issued shall be no less than 10% thereof;
and
(4)The company shall not have any major
irregularity over the latest 3 years and no
false record(s)is(are)in its financial
statements.A Stock Exchange may prescribe the
requirements of listing that are more strict
than those as prescribed in the preceding
paragraph herein, which shall be reported to
the securities regulatory authority under the
State Council for approval.
2.债券上市交易的条件
公司申请公司债券上市交易,应当符合下列条件:
(1)公司债券的期限为1年以上;
(2)公司债券实际发行额不少于人民币5000万元;
(3)公司申请债券上市时仍符合法定的公司债券发行条件。
ions for
corporate bonds listing
A company shall,
when applying for the listing of corporate bonds,
fulfill the following
requirements:
(1)The term of corporate bonds shall be more than
1 year;
(2)The amount of corporate bonds to
be actually issued shall be no less than RMB 50
million;
(3)The company shall meet the
statutory requirements for issue of corporate
bonds
when applying for the listing of its
bonds.
(八)虚假陈述行为
投资人具有以下情形的,人民法院应当认定虚假陈述与损害结果之间存在因果关系:
(1)投资人所投资的是与虚假陈述直接关联的证券;
(2)投资人在虚假陈述实施日及以后,至揭露日或者更正日之前买入该证券;
(3)投资人在虚
假陈述揭露日或者更正日及以后,因卖出该证券发生亏损,或者因持续持有该
证券而产生亏损。
Ⅷ False Statement Actions
Where the
investor is under any of the following
circumstances, the People’s Court
shall
determine the causal relationship between false
statement actions and consequences
of damage:
(1)The investment made by the investor is
the security directly related to the
misrepresentation;
(2)The investor
purchases the securities after the date when the
false statement is
made and before the
disclosure date or correction date;
(3)After
the date the misrepresentation is disclosed or
corrected, the losses occur
as a result of
selling the securities or continuously holding the
security.
被告举证证明原告具有以下情形的,人民法院应当认定虚假陈述与损害结果之间不存在因果关
系:
(1)在虚假陈述揭露日或者更正日之前已经卖出证券;
(2)在虚假陈述揭露日或者更正日及以后进行的投资;
Where the
defendant proves that the plaintiff is under any
of the following
circumstances, the People’s
Court shall judge that there is no causal
relationship between
the false statement and
the consequences of damage:
(1)The
securities have been sold before the date of
disclosure and correction;
(2)The investment
is made after the date of disclosure and
correction;
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(3)明知虚假陈述存在而进行的投资;
(4)损失或者部分损失是由证券市场系统风险等其他因素所导致;
(5)属于恶意投资、操纵证券价格的。
(3)The investment is made
with the knowledge of the false statement;
(4)The overall or partial loss is caused by other
factors such as systematic risk
in securities
market;
(5)It falls into malicious
investment or manipulating market price.
(九)内幕交易行为
1 内幕信息的知情人
证券交易内幕信息的知情人包括:
(1)发行人的董事、监事、高级管理人员;
(2)持有公司百分之五以上股份的股
东及其董事、监事、高级管理人员,公司的实际控制人及
其董事、监事、高级管理人员;
Ⅸ Insider Trading
1 Insiders
The
insiders who have access to insider information of
securities trading include:
(1)Directors,
supervisors, and senior managers of an issuer;
(2)Shareholders who hold no less than 5% of
the shares in a company as well as the
directors, supervisors, and senior managers
thereof, or the actual controller of a company
as well as the directors, supervisors, and
senior managers thereof;
(3)发行人控股的公司及其董事、监事、高级管理人员;
(4)由于所任公司职务可以获取公司有关内幕信息的人员;
(5)证券监督管理机构工作人员以及由于法定职责对证券的发行、交易进行管理的其他人员;
(6)保荐人、承销的证券公司、证券交易所、证券登记结算机构、证券服务机构的有关人员;
(7)国务院证券监督管理机构规定的其他人。
(3)A company
controlled by the issuer as well as the directors,
supervisors, and senior
managers thereof;
(4)The personnel who may take advantage of their
position in the company to obtain
any insider
information thereof;
(5)The staff of the
securities regulatory body, and other personnel
who administer
the issue and transaction of
securities pursuant to statutory regulations;
(6)The relevant personnel of sponsor, securities
company engaging in underwriting,
stock
exchange, securities registration and clearing
institution and securities trading
service
agency; and
(7)Any other person as
prescribed by the securities regulatory authority
under the
State Council.
2.内幕信息的认定
下列信息皆属内幕信息:
(1)临时报告涉及的重大事件;
(2)公司分配股利或者增资的计划;
(3)公司股权结构的重大变化;
(4)公司债务担保的重大变更;
2 Insider information
The following information shall be considered as
insider information:
(1)Major events
involved in the ad hoc reports;
(2)The plan
of a company concerning any distribution of
dividends or increase of capital;
(3)Any
major change in the company’s equity structure;
(4)Any major change in guaranty of the
company’s liabilities;
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(5)公司营业用主要资产的抵押、出售或者报废一次超过该资产的30%;
(6)公司的董事、监事、高级管理人员的行为可能依法承担重大损害赔偿责任;
(7)上市公司收购的有关方案;
(8)国务院证券监督管理机构认定的对证券交易价格有显著影响的其他重要信息。
(5)Where the mortgaged, sold or discarded value of
a major asset as involved in the
business
operation of the company exceeds 30% of the said
asset in a one-off manner;
(6)Where any act
as conducted by any director, supervisor or senior
manager of the
company may be rendered
liabilities of major damage and compensation;
(7)The relevant plan of a listed company regarding
acquisition; and
(8)Any other important
information regarded by the securities regulatory
authority
under the State Council as having a
marked effect on the trading prices of securities.
3.短线交易
上市公司董事、监事、高级管理人员、持有上市公司股份5%以上的股
东,将其持有的该公司的
股票在买入后6个月内卖出,或者在卖出后6个月内又买入,由此所得收益归该
公司所有,公司董
事会应当收回其所得收益。
-term trade
Where any director, supervisor and senior manager
of a listed company or any shareholder
holding
more than 5% of the total shares, sells the stocks
within 6 months after purchasing
the same, or
purchases any stock within 6 months after selling
the same, the proceeds
obtained shall be
attributed to the profits of the said board of
directors of
the company shall withdraw the
proceeds.
但是,证券公司因包销购入售后剩余股票而持有5%以上股份的,卖出该股票
不受6个月时间限
制。公司董事会不按照前款规定执行的,股东有权要求董事会在30日内执行。公司董
事会未在上述
期限内执行的,股东有权为了公司的利益以自己的名义直接向人民法院提起诉讼。
公司董事会不按照第一款的规定执行的,负有责任的董事依法承担连带责任。
However, where a securities company holds more
than 5% of the shares of a listed company
due
to purchase of the unsold shares for the exclusive
sale, the sale of the said stocks
shall not be
limited by a term of 6 months.
Where the
board of directors of a company fails to implement
the provisions as prescribed
in the preceding
paragraph herein, the shareholders concerned have
the right to require
the board of directors to
implement them within 30 days.
Where the
board of directors of a company fails to implement
them within the aforesaid
term, the
shareholders have the right to directly file a
litigation with the People’s Court
in their
own names for the interests of the the board of
directors of a company
fail to implement the
provisions as prescribed in paragraph 1 herein,
the responsible
directors shall bear the joint
and several liabilities according to law.
(十)上市公司收购
1.权益变动披露
通过证券交易所的证券交易,投资者持有或
者通过协议、其他安排与他人共同持有一个上市公
司已发行的股份达到5%时,应当在该事实发生之日起
3日内,向国务院证券监督管理机构、证券交
易所作出书面报告,通知该上市公司,并予公告;在上述期
限内,不得再行买卖该上市公司的股票。
Ⅹ Takeover of Listed
Company
sure of equity changes
Where
an investor, through securities trading at a stock
exchange, comes to hold or
holds with any
other person 5% of the shares as issued by a
listed company by means of
agreement or any
other arrangement, the investor shall, within
three days as of the date
when such
shareholding becomes a fact, submit a written
report to the securities regulatory
authority
under the State Council and the stock exchange,
notify the relevant listed company
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and
make public announcement.
Within the
aforesaid prescribed period, the investor may not
purchase or sell any more
shares of the listed
company.
投资者持有或者通过协议、其他安排与他人共同持有一个上市公司已发行的股份
达到5%后,其
所持该上市公司已发行的股份比例每增加或者减少5%,应当依照上述规定进行报告和公
告。在报告
期限内和作出报告、公告后2日内,不得再行买卖该上市公司的股票。
In
case an investor holds or holds with any other
person 5% of the shares as issued
by a listed
company by means of agreement or any other
arrangement, he shall, pursuant to
the
provisions of the preceding paragraph herein, make
report and announcement of each 5%
increase or
decrease in the proportion of the issued shares of
the said company he holds
through securities
trading at a stock exchange.
Within the
reporting period as well as two days after the
relevant report and
announcement are made, the
investor may not purchase or sell any more shares
of the listed
company.
2.要约收购
(1)通
过证券交易所的证券交易,投资者持有或者通过协议、其他安排与他人共同持有一个上
市公司已发行的股
份达到30%时,继续进行收购的,应当依法向该上市公司所有股东发出收购上市
公司全部或者部分股份
的要约。收购上市公司部分股份的收购要约应当约定,被收购公司股东承诺
出售的股份数额超过预定收购
的股份数额的,收购人按比例进行收购。
offer
(1)Where an
investor holds or holds with any other person 30%
of the stocks as issued
by a listed company by
means of agreement or any other arrangement
through securities trading
at a stock exchange
and if the purchase is continued, he shall issue a
tender offer to all
the shareholders of the
said listed company to purchase all of or part of
the shares of
the listed company.
It
shall be stipulated in a tender offer as issued to
a listed company that, where the
share amount
as promised to be sold by the shareholders of the
target company exceeds the
scheduled amount of
stocks for purchase, the purchaser shall carry out
the acquisition
according to the relevant
proportion.
(2)收购要约提出的各项收购条件,适用于被收购公司的所有股东。
(3)采取要约收购方式的,收购人在收购期限内,不得卖出被收购公司的股票,也不得采取要约规定以外的形式和超出要约的条件买入被收购公司的股票。
(4)在上市公司收购中,收购
人持有的被收购的上市公司的股票,在收购行为完成后的12个
月内不得转让。
(2)The offerings in tender offer shall be
applicable for all shareholders of the said
company.
(3)In the event of an
acquisition by tender offer, a purchaser shall,
within the term
for acquisition, not sell any
share of the target company, nor shall it buy any
share of
the target company by any other means
that hasn’t been stipulated by provisions of its
tender offer or that is beyond the terms as
stipulated in its tender offer.
(4)In an
acquisition of a listed company, the stocks of the
target company as held
by a purchaser may not
be transferred within 12 months after the
acquisition is concluded.
(十一)上市公司重大资产重组行为的界定
上市公司及其控股或者控制的公司购买、出售资产,达到下列标准之一的,构成重大资产重组:
(
1)购买、出售的资产总额占上市公司最近一个会计年度经审计的合并财务会计报告期末资产
总额的比例
达到50%以上;
Ⅺ Definition of Material Asset
Reorganizations of Listed Companies
If
purchase or sale of assets by listed companies or
their controlled companies falls
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into one of the following criteria, it will
constitute a major asset restructuring:
(1)If the total assets purchased or sold account
for more than 50% of the total assets
ending
balance reported in the audited consolidated
financial statements of the listed
company in
the last fiscal year;
(2)购买、出售的资产在最近一个会计年度所产
生的营业收入占上市公司同期经审计的合并财
务会计报告营业收入的比例达到50%以上;
(3)购买、出售的资产净额占上市公司最近一个会计年度经审计的合并财务会计报告期末净资
产额的比
例达到50%以上,且超过5000万元人民币。
(2)Revenue of the
last fiscal year generated from the assets
purchased or sold account
for more than 50% of
the revenue reported in the audited consolidated
financial statements
of the listed company in
the same period;
(3)The total net book value
of the assets purchased or sold accounted for more
than
50% of the ending net book value of total
assets reported in the audited consolidated
financial statements of the listed company in
the last recent fiscal year and the amount
exceeds 50 million Yuan.
(十二)重大资产重组行为的要求
上市公司实施重大资产重组,应当符合下列要求:
(1)符合国家产业政策和有关环境保护、土地管理、反垄断等法律和行政法规的规定;
(2)不会导致上市公司不符合股票上市条件;
(3)重大资产重组所涉及的资产定价公允,不存在损害上市公司和股东合法权益的情形;
Ⅻ
Requirements of Material Asset Reorganizations by
Listed Companies
If a listed company intends
to implement material assets reorganization, the
following
requirements shall be met:
(1)The reorganization complies with the state’s
industrial policy and laws &
administrative
regulations in relation to environmental
protection, land management and
anti-monopoly;
(2)The reorganization shall not cause the
public company’s failure to meet the
conditions for listing;
(3)The assets
involved in the material assets reorganization are
priced fairly and
there are no circumstances
that can impair the legitimate rights of the
listed company and
shareholders;
(4)重大资产
重组所涉及的资产权属清晰,资产过户或者转移不存在法律障碍,相关债权债务
处理合法;
(5)有利于上市公司增强持续经营能力,不存在可能导致上市公司重组后主要资产为现金或者
无具体经
营业务的情形;
(4)Assets involved in the material
assets reorganization are with clear ownership
and there are no legal obstacles for ownership
transfer; relevant dealings of rights and
debts are legally conducted;
(5)The
reorganization is beneficial to enhance the public
company’s capability of
sustainable operation;
there shall not be situations where the main
assets of the public
company after the
reorganization are cash or there is no definite
business;
(6)有利于上市公司在业务、资产、财务、人员、机构等方面与实际控制人
及其关联人保持独
立,符合中国证监会关于上市公司独立性的相关规定;
(7)有利于上市公司形成或者保持健全有效的法人治理结构。
(6)The
reorganization shall enable the listed company to
be independent from the actual
controllers and
their related persons in aspects of business,
assets, finance, personnel
and organization,
and to comply with relevant provisions of the CSRC
regarding independence
of the same; and
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(7)The reorganization shall be favorable for the
list companies to form or maintain
sound and
effective corporate governance structure.
对于
一些特殊的重大资产重组,还应当遵守额外的要求。其中最主要就是对借壳上市的特殊规
定:自控制权发
生变更之日起,上市公司向收购人及其关联人购买的资产总额,占上市公司控制权
发生变更的前一个会计
年度经审计的合并财务会计报告期末资产总额的比例达到100%以上的,主板
(含中小企业板)上市公
司购买的资产对应的经营实体应当是股份有限公司或者有限责任公司,且
符合《首发办法》规定的发行条
件。创业板上市公司不得实施该种交易行为。
The special material
asset reorganization shall meet additional
requirements, which
is mainly referring to
backdoor listed company.
Since the date when
the actual control changes, where the total assets
that the listed
company purchased from buyers
and their affiliates account for more than 100% of
the total
assets ending balance reported in
the audited consolidated financial statements of
the
listed company for the last accounting
year before the actual control changes, the
business
entity of the assets purchased by the
company listed on main board, including
small-
and-medium board, shall be a limited liability
company or a joint stock company, and
the
conditions set in regulations for IPO shall be ies
listed on the Growth
Enterprise Board shall
not make the deal.
(十三)上市公司发行股份购买资产的规定
(1)上市公司为促进行业的整合、转型升级,在其控制权不发生变更的情况下,可以向控股股
东、实际
控制人或者其控制的关联人之外的特定对象发行股份购买资产。所购买资产与现有主营业
务没有显著协同
效应的,应当充分说明并披露本次交易后的经营发展战略和业务管理模式,以及业
务转型升级可能面临的
风险和应对措施。
ⅩⅢ Rules on Listed Companies
regarding Purchasing Assets by Issuing Shares
(1)In order to promote integration, transformation
and upgrade of a sector, a listed
company may
issue shares to specific objects including
controlling shareholders, actual
controllers
or controlling affiliates in order to buy there
is no obvious
coordinative effect existing
between bought assets and current main business,
the listed
company shall declare and disclose
the development strategy and management mode of
the
business, and also the potential risks and
precautious measures.
(2)特定对象以现金或者资产认购上市公司非公
开发行的股份后,上市公司用同一次非公开发
行所募集的资金向该特定对象购买资产的,视同上市公司发
行股份购买资产。
(3)上市公司发行股份的价格不得低于市场参考价的90%。市场参考价为本
次发行股份购买资
产的董事会决议公告日前20 个交易日、60 个交易日或者120 个交易日的公
司股票交易均价之一。
本次发行股份购买资产的董事会决议应当说明市场参考价的选择依据。
交易均价的计算公式为:董事会决议公告日前若干个交易日公司股票交易均价=决议公告日前若
干个交易
日公司股票交易总额决议公告日前若干个交易日公司股票交易总量。
(2)After the
specific objects offer to buy non-publicly issued
shares by cash or assets,
the listed company
uses the fund raised by the same non-publicly
issued shares to purchase
assets from the
specific objects, it shall be regarded as
purchasing assets by issuing
shares.
(3)The issuing price of the shares issued by
listed companies shall not be lower than
market 90% reference price, which is one of
the average trading price of the shares during
the 20, 60 or 120 trading days before the date
the resolution of the board of directors
on
the issuance of shares to purchase assets is
above-mentioned resolution
shall explain the
basis of market reference equation for average
trading price
is calculated as follows:
the average trading price of the shares during
some trading days before the date the
resolution of the board of directors is
bulletined = the total transaction amount during
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the
same trading days before the date the resolution
of the board of directors is
bulletinedthe
total transaction volume during the same trading
days before the date the
resolution of the
board of directors is bulletined.
(4)特定对象以资产
认购而取得的上市公司股份,自股份发行结束之日起12个月内不得转让;
属于下列情形之一的,36个
月内不得转让:①特定对象为上市公司控股股东、实际控制人或者其控
制的关联人。②特定对象通过认购
本次发行的股份取得上市公司的实际控制权。③特定对象取得本
次发行的股份时,对其用于认购股份的资
产持续拥有权益的时间不足12个月。
(4)If the specific objects
offer to buy the listed company’s shares by
assets, the
purchased shares shall not be
transferred within 12 months since the shares
issuance is
the following circumstances, the
shares cannot be transferred within 36
months:
① the specific objects are the listed
company’s controlling shareholder, actual
controllers or related parties under its
control.② the specific buyer obtains actual
control right of the listed company through
the purchase.③when the specific object buys
the shares issued, the holding period of the
assets used to buy the shares is less than
12
months.
(十四)上市公司重大资产重组的决议
(1)上市公司股东大会就
重大资产重组事项作出决议,必须经出席会议的股东所持表决权的
23以上通过。
(2)
上市公司重大资产重组事宜与本公司股东或者其关联人存在关联关系的,股东大会就重大
资产重组事项进
行表决时,关联股东应当回避表决。
ⅩⅣ Resolution on Material
Assets Reorganization of Listed Company
(1)The resolution on the material assets
reorganization made by the Shareholders’
General Meeting shall be passed by more than
23 voting rights held by the shareholders
present at the meeting.
(2)Where the
listed company’s material assets reorganization is
related to its
shareholders or any related
persons thereof, related shareholders shall
withdraw from
voting when vote shall be done
on the material assets reorganization.
(3)交易
对方已经与上市公司控股股东就受让上市公司股权或者向上市公司推荐董事达成协议
或者默契,可能导致
上市公司的实际控制权发生变化的,上市公司控股股东及其关联人应当回避表
决。
(4)
上市公司就重大资产重组事宜召开股东大会,应当以现场会议形式召开,并应当提供网络
投票或者其他合
法方式为股东参加股东大会提供便利。
(3)The counterparty has
made negotiation or tacit agreement with the
controlling
shareholders of listed company as
to purchasing shareholdings or recommending
directors
to listed company, which may lead to
the changes of the actual control, listed
company’
s controlling shareholders and related
persons shall withdraw from voting.
(4)The
Shareholders’General Meetings about material
assets reorganization shall be
held in the
form of live meeting and be able to provide
facilitations, such as network vote
or other
reasonable method for the shareholders to attend
the meeting.
三、归纳总结
股票、发起设立、募集设立、
公司债券、可转换公司债券、信息公开、要约收购、协议收购、
虚假陈述行为、内幕交易行为、上市公司
收购、一致行动人、豁免申请、财务顾问。
企业破产法
一、专业词汇
1 bankruptcy 破产
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bankruptcy
application
acceptance
Invalid
administrator
preservative measures
terminate
enforcement procedure
civil
action
scope
bankruptcy revocation rights
void act system
recall right
bankruptcy expense
破产申请
受理
无效
管理人
保全措施
解除,终止
执行程序
民事诉讼
范围
破产撤销权
无效行为制度
取回权
破产费用
right of set-off in bankruptcy 抵销权
debts
incurred for the common
共益债务
good of
creditors
declaration of claims
reorganization plan
legal effect
realization
exemption right
conceal
and transfer assets
fabricate debts
acknowledge
subject matters
deliver
lodge a claim with…
offset
Litigation
cost
remuneration
recruit
incur
payable
fulfillperform the contract
spontaneous agency
unjust enrichment
social insurance premiums
arise from
petition
wage
medical care
disability benefit
pension cost
债权申报
重组计划
法律效力
变价
别除权
隐匿、转移财产
虚构债务
承认
标的物
发运、运送
向…主张
抵销
诉讼费用
报酬
招募、聘用
引发
应付的
履行合同
无因管理
不当得利
社会保险费用
起因于
提请,请愿、请求
工资
医疗
伤残补助
抚恤费用
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basic
pension insurance
basic medical insurance cost
objection
relevant evidence
explanation
additional
recourse
guarantee
guarantor
General guarantor
joint-and-several debtor
guarantee
liability
right of plea for preference
claim
principal debt
exempt
supplementary liability
guarantee debt
contract rescission
client
trustee
基本养老保险
基本医疗保险费用
异议
有关证据
说明
额外的、附加的
追偿权
保证
保证人
一般保证人
负连带责任的保证人
保证责任
先诉抗辩权
主债务
免除(责任)
补充责任
保证债务
合同解除
委托人
受托人
二、法律条文要点详解
(一)破产申请的受理
(1)人民法院受理破产申请后,债务人对个别债权人的债务清偿无效。
(2)人民法院受理破产申请后,债务人的债务人或者财产持有人应当向管理人清偿债务或者交
付财产。
Ⅰ Acceptance of the Bankruptcy Application
(1)After the People’s Court accepts an
application for bankruptcy, the repayment
of
debts made by a debtor to individual creditors
shall be invalid.
(2)After the People’s
Court accepts an application for bankruptcy, the
debtors or
property possessors of the debtor
shall pay off debts or deliver the relevant
property to
the bankruptcy administrator.
(3)人民法院受理破产申请后,管理人对破产申请受理前成立而债务人和对方当事人均未履行
完毕的合
同有权决定解除或者继续履行,并通知对方当事人。
(4)人民法院受理破产申请后,有关债务人财产的保全措施应当解除,执行程序应当中止。
(3)After the People’s Court accepts an application
for bankruptcy, the bankruptcy
administrator
shall decide to rescind or continue to perform a
contract that has been
established before
acceptance yet has not been fully performed by
both parties concerned
and notify the opposite
party concerned of its decision.
(4)After
the People’s Court accepts an application for
bankruptcy, the relevant
measures for
preserving the debtor’s assets shall be released
and the enforcement procedures
shall be
suspended.
(5)人民法院受理破产申请后,已经开始而尚未终结的有关债务人的民事
诉讼或者仲裁应当中
止;在管理人接管债务人财产、掌握诉讼情况后能够继续进行时,该诉讼或者仲裁继
续进行。
(6)破产申请受理后,有关债务人的民事诉讼只能向受理破产申请的人民法院提起。但
是其他
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法律有特殊规定的应当除外。
(5)After the People’s
Court accepts an application for bankruptcy, any
civil action
or arbitration involving the
relevant debtor that is in the process of trail
shall be
action or arbitration can be resumed
after a bankruptcy administrator takes
over
the debtor’s assets.
(6)After the acceptance
of the application for bankruptcy, the debtor can
only file
a suit to the People’s Court that
accepts the application for bankruptcy, unless
otherwise
provided for in other law.
(二)债务人财产
破产申请受理时属于债务人的全部财产,以及破产申请受理后至破产程序终结前
债务人取得的
财产,为债务人财产。
Ⅱ Debtors’ Assets
A debtor’s assets refer to all the assets that
belong to a debtor when an application
for
bankruptcy is accepted, as well as the assets as
obtained by the debtor during the period
from
the date when an application for bankruptcy is
accepted to the date when the procedures
for
bankruptcy are concluded.
1.破产撤销权
人民法院受理破产申请前一年内,涉及债务人财产的下列行为,管理人有权请求人民法院予以
撤销:
(1)无偿转让财产的;
(2)以明显不合理的价格进行交易的;
(3)对没有财产担保的债务提供财产担保的;
(4)对未到期的债务提前清偿的;
(5)放弃债权的。
of rescission
The
bankruptcy administrator has the right to plead
the court to revoke any of following
acts,
occurring within one year before the People’s
Court accepts an application for
bankruptcy,
relating to the debtor’s assets:
(1)Transferring the assets free of charge;
(2)Trading at an obviously unreasonable price;
(3)Providing asset guaranty to those debts
without any asset guaranty;
(4)Paying off
the undue debts in advance; or
(5)Giving up
the creditor’s right.
2.债务人的无效行为
涉及债务人财产的下列行为无效:
(1)为逃避债务而隐匿、转移财产的;
(2)虚构债务或者承认不真实的债务的。
’s invalid acts
Any of the following actions involving the
debtor’s assets shall be deemed as invalid:
(1)Concealing or transferring assets for debt
evasion;
(2)Fabricating any debt or
acknowledging any unreal debt.
3.抵销权
债
权人在破产申请受理前对债务人负有债务的,可以向管理人主张抵销。但是,有下列情形之
一的,不得抵
销:(1)债务人的债务人在破产申请受理后取得他人对债务人的债权的;
right
If a creditor is in debt to the debtor prior
to the acceptance of the bankruptcy petition,
it may make a request to the administrator for
r, under the following
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circumstances, offset shall not be carried
out: (1)it obtains the creditor’s right of
any
other party against the debtor after the
application for bankruptcy is accepted;
(2)债
权人已知债务人有不能清偿到期债务或者破产申请的事实,对债务人负担债务的;但是,
债权人因为法律
规定或者有破产申请一年前所发生的原因而负担债务的除外;
(3)债务人的债务人已知债务人有
不能清偿到期债务或者破产申请的事实,对债务人取得债权
的;但是,债务人的债务人因为法律规定或者
有破产申请一年前所发生的原因而取得债权的除外。
(2)the creditor gets
indebted to the debtor with knowledge of the fact
that the debtor
is incapable of paying off its
due debts or is in the process of applying for
bankruptcy,
except that the creditor is
indebted due to provisions by law or for any
reasons incurred
one year before the
application for bankruptcy is filed;
(3)it
obtains a creditor’s right from the debtor with
knowledge of the fact that
the debtor is
incapable of paying off its due debts or is in the
process of applying for
bankruptcy, except
that the debtor’s debtor obtains the creditor’s
right due to provisions
by law or for any
reasons incurred one year before the application
for bankruptcy is filed.
(三)破产债权
1.破产债权申报的一般规则
(1)人民法院受理破产申请时对债务人享有的债权称为破产债权。
(2)未到期的债权,在破产申请受理时视为到期。附利息的债权自破产申请受理时起停止计息。
(3)连带债权人可以由其中一人代表全体连带债权人申报债权,也可以共同申报债权。
Ⅲ Bankruptcy Claims
l rules on declaration
of credit of bankruptcy
(1)The claims
enjoyed against the debtor at the time the
People’s Court accepts the
bankruptcy petition
shall be known as claims in bankruptcy.
(2)Any undue creditor’s right shall be deemed as
due when the relevant application
for
bankruptcy is interest of any creditor’s right
shall stop accruing after
the relevant
application for bankruptcy is accepted.
(3)The joint and several creditors may choose one
from among them to declare their
creditor’s
right or may jointly declare the creditor’s right
together.
2.破产债权申报的特别规定
2.1 债务人破产
(1)债务人的保证人或者其他连带债务人已经代替债务人清偿债务的,以其对债务人的求偿权
申报债权
。债务人的保证人或者其他连带债务人尚未代替债务人清偿债务的,以其对债务人的将来
求偿权申报债权
。但是,债权人已经向管理人申报全部债权的除外。
l provisions on
declaration of credit of bankruptcy
2.1
Debtor bankruptcy
(1)Where the guarantor of
a debtor or any other related joint and several
debtor has
cleared off the liabilities on
behalf of the debtor, it may declare its
creditor’s right
on the basis of its right to
recourse against the debtor.
Where the
guarantor of a debtor or any other related joint
and several debtor has not
yet paid off the
debts on behalf of the debtor, it may declare its
creditor’s right on
the basis of its future
right to recourse against the debtor, unless the
creditors have
declared all the creditor’s
right against the relevant bankruptcy
administrator.
(2)连带债务人数人被裁定适用破产法规定的程序的,其债权人
有权就全部债权分别在各破产
案件中申报债权。
(3)人民法院受理债务人破产案件后,
对于负连带责任的保证人,债权人有权要求其清偿保证
债务,也可以先向进入破产程序的债务人追偿,然
后再以未受偿的余额向保证人追偿。
(2)Where several joint and
several debtors are ruled to be governed by the
procedures
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as
prescribed in the bankruptcy law, the creditors
thereof have the right to declare their
creditors’ rights as a whole in each
bankruptcy case respectively.
(3)After the
People’s Court accepts the bankruptcy case, the
creditor may either
request a joint and
several guarantors for the debtor to pay off the
guaranteed debts, or
recover the debt from the
debtor who enters into bankruptcy procedures
before recovering
the balance from the
guarantors.
(4)人民法院受理债权人破产案件,中止执行程序的,保证人不得行使
先诉抗辩权。但是,破
产案件受理时主债务未到期的,负补充责任的保证人并无提前履行保证责任的义务
,仍应按照原保
证合同的约定承担保证责任。债权人先向债务人申报债权追偿的,对于其在破产程序中未
受清偿的
部分,债权人要求保证人承担保证责任的,最迟应当在破产程序终结后6个月内提出。
(4)The People’s Court accepts the bankruptcy
cases of creditors, if enforcement
procedures
are suspended, the guarantor shall not exercise
the pre-litigation demur
r, in case that the
principal debt is not due when the bankruptcy case
is
accepted, the guarantor who assumes
complementary liability does not have the
obligation
to perform guaranty responsibility
in advance, and shall still assume guarantee
liability
in accordance with the original
contract agreed.
The creditor, when
requesting the guarantor to assume the guaranty
liability of the
portion unrecovered from the
debtor in the bankruptcy procedures, shall put
forward the
request within six months after
the conclusion of the procedures.
2.2 保证人破产
(1)人民法院受理保证人破产案件的,保证人的保证责任不得因其破产而免除。保证债务已到期时,债权人可依保证合同的约定向保证人申报债权追偿。保证债务尚未到期的,将其未到期之保
证
责任视为已到期,在减去未到期的利息后予以提前清偿。
2.2 Guarantor
bankruptcy
(1)The guaranty liability is not
exempted even if the People’s Court has accepted
the guarantor’s bankruptcy creditor may claim
debt recovery against the
guarantor based on
the guaranty agreement when the guaranteed debt
becomes
guaranteed debt is undue, the undue
guaranty liability shall be deemed as due and be
settled
after subtracting the undue interest.
(2)负补充责任的保证人破产的,不得行使先诉抗辩权。
(3)管理人或者债务人
依照破产法规定解除双方均未履行完毕的合同,对方当事人以因合同解
除所产生的损害赔偿请求权申报债
权。这时可申报的债权以实际损失为限,违约金不得作为破产债
权申报。
(2)Where the guarantor who assumes complementary
liability announces bankruptcy, he
should not
exercise the pre-litigation demur right.
(3)Where the administrator or the debtor
terminates a contract which has not been
completed by both parties according to the
bankruptcy law, the counterparty shall file its
claim on the basis of its right to claim
damages incurred as a result of the termination
of the creditor’s right shall be declared
within the limit of actual losses,
and the
liquidated damages is not part of the claim in
bankruptcy.
(四)破产清算程序
1.破产宣告
破产宣告前,有下列情形之一的,人民法院应当裁定终结破产程序,并予以公告:
(1)第三人为债务人提供足额担保或者为债务人清偿全部到期债务的;
(2)债务人已清偿全部到期债务的。
Ⅳ Procedures of Bankruptcy
Liquidation
ptcy announcement
Before
any bankruptcy is announced, the People’s Court
shall judge to terminate the
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bankruptcy procedures and make a public
announcement in any of the following
circumstances:
(1)A third party provides
full-amount guaranty or pays off all the due debts
for the
debtor;
(2)The debtor has paid
off all the due debts.
2.别除权
别除权是指对破产人的特定财产享有担保权的权利人,对该特定财产享有优先受偿的权利。
别除权
人行使优先受偿权利未能完全受偿的,其未受偿的债权作为普通债权。别除权人放弃优
先受偿权利的,其
债权作为普通债权。但如破产人仅作为担保人为他人债务提供物权担保,担保债
权人的债权虽然在破产程
序中可以构成别除权,但因破产人不是主债务人,在担保物价款不足以清
偿担保债额时,余债不得作为破
产债权向破产人要求清偿,只能向原主债务人求偿。
ion right
Exemption right refers to that the possessor with
secured right for bankrupt’s specific
properties has the priority right to get
compensation from those specific properties.
The uncovered creditor’s right shall be considered
as common creditor’s the
priority right is
forgone, the creditor’s right shall be considered
as common creditor’
s right.
Where the
bankrupt only provides real right security for
other debtors as a guarantor
rather than the
principal debtor, after exercising the exemption
right for the secured
creditor’s right, the
unpaid debts after payment shall be claimed not
against the bankrupt
but against the principal
debtor.
3.破产财产的分配
破产财产在优先清偿破产费用和共益债务后,依照下列顺序清偿:
(1)破产人所欠职工的工资和
医疗、伤残补助、抚恤费用,所欠的应当划入职工个人账户的基
本养老保险、基本医疗保险费用,以及法
律、行政法规规定应当支付给职工的补偿金;
bution of bankruptcy
properties
The property in bankruptcy shall
be applied to the discharge of claims in the
following
sequence of priority after the
discharge of the bankruptcy expenses and debts of
common
interest:
(1)The wages, medical
and disability subsidies and support owed to staff
by the bankrupt,
the basic old-age support
insurance and basic medical insurance premiums
payable into the
individual accounts of the
staff and the compensation payable to the staff in
accordance
with laws and administrative
regulations;
(2)破产人欠缴的除前项规定以外的社会保险费用和破产人所欠税款;
(3)普通破产债权。
破产财产不足以清偿同一顺序的清偿要求的,按照比例分配。
(2)The
social insurance premiums other than those
mentioned in the preceding item
owed by the
bankrupt and taxes owed by the bankrupt; and
(3)Common claims in bankruptcy.
Where the
bankruptcy property is insufficient to clear off
all the debts in a certain
level, the
distribution within such level shall be conducted
pro rata.
【考题】2004年2月,A公司和B公司共同投资设立西电有限责任公司(
以下简称西电公司),
注册资本1000万元,其中:A公司持有30%的股权,B公司持有70%的股
权。2005年3月,A公司分
别向C公司和D公司转让了占西电公司10%的股权。
2
006年3月,西电公司的注册资本增至5000万元,其中:原股东以资本公积及未分配利润按
照出资
比例转增股本;新股东E公司注资6000万元,持有西电公司20%的股权。
2008年3月
,西电公司按原账面净资产值折股整体改制为股份有限公司,拟申请首次公开发行
股票并在深圳证券交易
所中小企业板上市,同时聘请F证券公司,G律师事务所和H会计师事务所
等中介机构提供相关服务。
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2
009年4月,F证券公司作为保荐人,向中国证监会报送西电公司首次公开发行股票的材料。
在预审过
程中,预审员提出的反馈意见之一是:请说明西电公司作为股份公司成立不足三年符合首
次公开发行股票
条件的依据。
2009年7月,中国证监会核准西电公司首次公开发行股票申请。8月21日,
西电公司成功完成
股票公开发行,募集资金3亿元,并于8月28日在深圳证券交易所中小企业板挂牌上
市。
2010年6月2日,西电公司发布公告称:2005年5月,公司大股东B公司已将其所持
本公司的
股权全部转让给公司董事长张某,双方签订了股权转让协议,张某已向B公司支付了股权转让款
,
但未办理股权过户登记手续;2010年6月1日,B公司已正式将上述股权过户登记至张某名下。
2010年7月16日,中国证监会宣布:经调查,B公司实际是从2005年5月开始至办理股权
过
户登记日一直代张某持有西电公司股份,西电公司和张某隐瞒了该事实,构成了虚假陈述。对西电公司处以罚款50万元,对张某处以罚款30万元。
李某在西电公司股票上市日购买了该公司
的股票1万股,于2010年5月31日全部卖出,亏损
5000元;赵某于2010年5月31日买入
西电公司股票2万股,于7月13日卖出,亏损3万元。李
某和赵某于2010年8月2日分别向法院提
起证券民事赔偿诉讼,要求西电公司、F证券公司、G律
师事务所、董事长张某和独立董事钱某赔偿其因
违法行为遭受的投资损失。
经查:F证券公司和G律师事务所在核查西电公司股权事项时,认真调
阅了公司股东名册、工
商登记等资料,均未发现B公司向张某转让西电公司股权和B公司代张某持有西电
公司股份的事实,
也未从西电公司和张某以及其他方面获悉该事实。钱某自2009年12月起一直担任
西电公司独立董
事,在2010年6月2日西电公司公告前,其对B公司和张某之间的股权转让事项并不
知情。
根据上述内容,分别回答下列问题:
(1)2005年3月,A公司将所持
西电公司部分股权转让给C公司和D公司是否需要经过B公司
同意?并说明理由。
(2)2006年3月,西电公司增加注册资本需经哪些程序?
(3)2006年3月,西电公司
完成增加注册资本后,除E公司外,如不考虑B公司代张某持有
公司股权的因素,A公司、B公司、C公
司、D公司分别持有西电公司的股权比例是多少?
(4)如何回答预审员提出的“西电公司作为股
份公司成立不足三年符合首次公开发行股票条件
的依据”的反馈意见?
(5)李某和赵某各自在证券民事赔偿诉讼中的请求能否得到法院支持?并分别说明理由
(6)F
证券公司、G律师事务所和独立董事钱某是否应当对因虚假陈述给投资者造成的损失承
担赔偿责任?并分
别说明理由。
【答案】
(1)A公司转让股权需要经过B公司同意。根据规定,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。公司章程对股权转让另有规定的,从其规定。
本题中是股东“对外”转让股
权,且公司章程对股权转让没有其他规定,因此要经过“其他股东B公司”
的同意。
(1)The equity transferring from
company A to company C and D shall get the
approval
of company e, according to the
Company Law, where a shareholder of a limited
liability intends to transfer the equity to a
non-shareholder party,it shall be agreed
upon
by more than half of the other shareholders.
(2)增加注册资本的程序:①由董事会制订增加注册资本的方案;②由股东会以特别决议方式
通过(须
经代表23以上表决权的股东通过);③进行工商变更登记(自足额缴纳出资之日起30
日内申请变更登
记)。
(2)According to the Company Law, Xidian
increasing its registered capital requires
three steps, which are as follows: to convene
a shareholders meeting to approve the
resolution of increasing its registered
capital; to modify its articles of incorporation;
and to apply a registration of modification to
the registration authority.
(3)A公司持有8%,C公司持有8%,D公司持有8%,B公司持有56%。
增资前,A公司
、C公司、D公司原本分别持有10%,B公司原本持有70%。而认购增资时,原股
东是按照“出资比
例”转增,所以A公司、C公司、D公司这三者相比,比例还均是10%,B公司还
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是70%。增资后,E公司持股20
%,ABCD合计持股80%,在这80%中,A公司、C公司、D公司分别占
10%,B公司占70%
;所以在公司的全部股权(100%)中,A公司、C公司、D公司分别持股100%×80%
×10%
=8%,B公司持股100%×80%×70%=56%。
(3)After the
registered capital increasing in March 2006, the
equity proportion of
the four companies are
company A holds 8 percent, company B holds 56
percent, company C
holds 8 percent, and
company D holds 8 percent.
(4)该反馈意见不符合规定。根据规
定,发行人自股份有限公司成立后,持续经营时间应当在
3年以上,但经国务院批准的除外。有限责任公
司按原账面净资产值折股整体变更为股份有限公司
的,持续经营时间可以从有限责任公司成立之日起计算
。题目中,该公司是在2004年2月设立,于
2008年3月按原账面净资产值折股整体变更为股份有
限公司,所以是从2004年2月开始计算,在
2009年上市时,已满3年。
(4)The legal basis is according to the securities
laws, for a joint stock company
which is
totally changed from a limited liability company
by converting its net assets value
as shown in
its original accounting book into shares, the time
of continuous operation may
be calculated from
the day when the limited liability company is
established.
(5)①李某的请求不能得到法院支持。根据规定:被告举证证明原告
在虚假陈述揭露日或者更
正日之前已经卖出证券的,人民法院应当认定虚假陈述与损害结果之间不存在因
果关系。题目中,
揭露日为2010年6月2日,李某卖出股票的时间发生在揭露日之前,因此,其投资
损失与西电公司
的虚假陈述行为不存在因果关系,民事赔偿请求不能获得人民法院的支持。②赵某的请求
可以得到
法院支持。其在虚假陈述实施日之后、虚假陈述揭露日之前买入股票,在虚假陈述揭露日之后卖
出
股票,并受有亏损,可以推定投资损失与西电公司的虚假陈述行为存在因果关系。
(5)Li’s claim cannot get support from the had
sold out his stocks before
the day when
Xidian’s false statement was disclosed, so it
cannot be presumed, that there
is a causal
relationship between his loss and Xidian’s false
’s claim will
be supported by the bought
stocks after the day when Xidian made the false
statement and before the day when Xidian’s
false statement was disclosed, sold the stocks
after the day when the false statement was
disclosed, and lost money, so it can be presumed
that there is a causal relationship between
his loss and Xidian’s false statement.
(6)①F
证券公司无须承担赔偿责任。根据规定,证券承销商、证券上市推荐人对虚假陈述给
投资人造成的损失承
担赔偿责任。但有证据证明无过错的,应予免责。在本题中,由于F证券公司
经查没有过错,应予免责。
②G律师事务所无须承担赔偿责任。根据规定,专业中介服务机构及其
直接责任人违反《证券法》的规定
虚假陈述,给投资人造成损失的,就其负有责任的部分承担赔偿
责任。但有证据证明无过错的,应予免责
。在本题中,由于G律师事务所经查没有过错,应予免责。
③独立董事钱某无须承担赔偿责任。根据规定
,发起人、发行人或者上市公司对其虚假陈述给投资
人造成的损失承担民事赔偿责任。发行人、上市公司
负有责任的董事、监事和经理等高级管理人员
对前款的损失承担连带赔偿责任。但有证据证明无过错的,
应予免责。在本题中,由于独立董事钱
某经查没有过错,应予免责。
(6)Securities company F is not liable for the
investor’s ing to the
securities laws,
sponsors take liabilities on a base of presumptive
did not find
the equity transfer through a due
diligence, and this can prove the fact that it has
no
fault.
Law Firm G is not liable for
the investor’s ing to the securities laws,
firms take liabilities on a base of
presumptive did not find the equity transfer
through a due diligence, and this can prove
the fact that it has no fault.
Qian is not
liable for the investor’s ing to the securities
laws, listed
companies take liabilities on a
base of presumptive had no idea of the equity
transfer and this can prove the fact that he
has no fault.
专题四 物权法 合同法
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专业词汇
1
2
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10
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real right
category
realtyimmovable
chattelmovable
ownership
usufruct
rights
real rights for security
fruits
accessory matters
subrogation
creation
alteration
transfer
termination
take effect
物权
种类
不动产
动产
所有权
用益物权
担保物权
孳息
从物
代位物
设立
变更
转让
消灭
发生效力
certificate of ownership of an
不动产权属证书
immovable
register of immovable
rights
holder
register
delivery
simplified
delivery
indicated delivery
possession
reformulation
construction land use rights
mortgage rights
maximum amount of mortgage
rights
pledge rights
movable pledge
pledge of rights
lien
possession
不动产登记薄
权利人
登记
交付
简易交付
指示交付
占有改定
建设用地使用权
抵押权
最高额抵押权
质权
动产质权
权利质权
留置权
占有
the
restoration to the original
恢复原状
state
infringement
possess
utilize
profit
dispose
transfer the land user
right
allot the land user right
circulate
侵害
占有
使用
收益
处分
出让土地使用权
划拨土地使用权
流转
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41
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an invitation to tender
transfer ofassignor
transfereeassignee
mortgagor
mortgagee
floating charge
pledgor
pledgee
document of title
negotiable securities
bill
deposit
slip
warehouse receipt
bills of lading
fund
accounts receivable
lienor
招标
转让人
受让人
抵押人
抵押权人
动产浮动抵押
出质人
质权人
权利凭证
有价证券
票据
存款单
仓单
提单
基金
应收账款
留置权人
考点详解
一、物权变动
(一)物权变动的原因
物权变动的原因可分为两大类,一是基于法律行为的物权变动,二是非基于法律行为的物权变
动。
非基于法律行为的物权变动主要包括三类:
ⅠReal Right Change
ⅰReasons of real right change
The
reasons of real right change can be divided into
two categories, the first one is
the real
right change based on the legal actions, the
second one is the real right change
not based
on the legal actions.
Real right change not
based on the legal actions mainly includes three
types:
(1)基于事实行为。因合法建造、拆除房屋等事实行为设立或者消灭物权的,自事
实行为成就
时发生效力。
(2)基于法律规定。因继承或者受遗赠取得物权的,自继承或者受遗赠开始时发生效力。
(1)Based on factual real rights are created or
terminated as a result
of such factual events
as the legal construction or demolition of
premises, the real rights
shall take effect
upon the accomplishment of the factual event.
(2)Based on provision of real rights are acquired
through inheritance or
bequest, the real
rights shall take effect at the commencement of
the inheritance or bequest.
(3)基于公法行为。因人民法院、
仲裁委员会的法律文书或者人民政府的征收决定等,导致物
权设立、变更、转让或者消灭的,自法律文书
或者人民政府的征收决定等生效时发生效力。
非基于法律行为的物权变动不必以公示为前提。
(3)Based on public law the creation,
alteration, transfer or termination
of real
rights resulting from a legal document issued by
the People’s Court or arbitration
committee or
a requisition decision issued by the People’s
Government, etc, the real rights
shall take
effect upon the effectiveness of the legal
document or the requisition decision
of the
People’s Government, etc.
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Real right change not based on the legal actions
is not necessarily based on the public
notification.
(二)物权变动的公示行为
1.动产物权变动的公示方式——交付
动产物权的设立和转让,自交付时发生效力,但法律另有规定的除外。
交付有现实交付与交付替代两种形态。
ⅱ Publication behavior of
real right change
1 Publication way of
chattel real right change:delivery
The
creation or alienation of the real right of a
chattel shall come into effect upon
delivery,
unless it is otherwise prescribed by any law.
Delivery includes realistic delivery and delivery
alternative.
交付替代方式包括:
(1)简易交付。动产物权设立和
转让前,权利人已经依法占有该动产的,物权自法律行为生效
时发生效力。
(2)指示交
付。动产物权设立和转让前,第三人依法占有该动产的,负有交付义务的人可以通
过转让请求第三人返还
原物的权利代替交付。
(3)占有改定。动产物权转让时,双方又约定由出让人继续占有该动产的
,物权自该约定生效
时发生效力。
Delivery alternative
methods include:
(1)Simple delivery
In
case the right holder has legally possessed the
chattel prior to the creation or
alienation of
a chattel’s real right, the real right shall come
into effect upon the
effectiveness of the
legal action.
(2)Direction delivery
In
case a third party has legally possessed the
chattel prior to the creation or
alienation of
a chattel’s real right, the person assuming the
obligation of delivery may,
instead of
delivery, alien the right to request the third
party to return the original object.
(3)Changeable possession
In case both
parties agree to let the alienator continuously
possesses the chattel when
the real right of a
chattel is alienated, the real right shall go into
effect upon the
effectiveness of the
agreement.
2.不动产物权变动的公示方式——登记
不动产物权的设立
、变更、转让和消灭,经依法登记,发生效力;未经登记,不发生效力,但
法律另有规定的除外。
ation way of immovable real right change:
register
Until it is registered in
accordance with law, the creation, alteration,
alienation
or termination of the real right of
immovable shall come into effect; unless it is
otherwise
prescribed by any law, it shall have
no effect if it is not registered in accordance
with
law.
二、共有
共有人对共有的不动产或者动产没有约定为
按份共有或者共同共有,或者约定不明确的,除共
有人具有家庭关系等外,视为按份共有。按份共有人对
共有的不动产或者动产享有的份额,没有约
定或者约定不明确的,按照出资额确定;不能确定出资额的,
视为等额享有。
Ⅱ Co-ownership
Where it is not
stipulated, or if the stipulation is unclear,
whether the co-owned
immovable or movable is
under divided co-ownership or joint ownership, it
shall be
considered as a divided co-ownership
unless there is a family relationship among the
co-owners.
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A
divided co-owner’s share of an immovable or
movable shall be decided according to
his
amount of capital contribution where no
stipulation or unclear stipulation
it is
impossible to determine the amount of capital
contribution, each divided co-owner
shall
enjoy an equal share.
1.共有物的管理
处分共有的不动
产或者动产以及对共有的不动产或者动产作重大修缮的,应当经占份额三分之
二以上的按份共有人或者全
体共同共有人同意,但共有人之间另有约定的除外。对共有物的管理费
用以及其他负担,有约定的,按照
约定;没有约定或者约定不明确的,按份共有人按照其份额负担,
共同共有人共同负担。
ment of collectively owned properties
As
regards the disposal or major repair of a co-owned
immovable or movable, unless the
co-owners
stipulate otherwise, the consent of at least two-
thirds of the divided co-owners
or all joint
owners shall be obtained.
Where a
stipulation exists in regard to management
expenses or any other liabilities
of a co-
owned immovable or movable, such stipulation shall
no stipulation or
unclear stipulation exists,
expenses shall be assumed by the divided co-owners
in accordance
with their respective shares or
commonly assumed by all joint owners.
2.对外债权债务的效力
因共有的不动产或者动产产生的债权债务,在对外关系上,共有人享有连
带债权、承担连带债
务,但法律另有规定或者第三人知道共有人不具有连带债权债务关系的除外;在共有
人内部关系上,
除共有人另有约定外,按份共有人按照份额享有债权、承担债务,共同共有人共同享有债
权、承担
债务。偿还债务超过自己应当承担份额的按份共有人,有权向其他共有人追偿。
iveness of external creditor’s right and debt
An obligee’s creditor’s right or liabilities
generated from a co-owned immovable or
movable, unless otherwise prescribed by any
law or the third party is aware of the fact
that the co-owner does not have the
relationship of joint or divided creditor’s right
or
liabilities, a co-owner shall hold joint or
divided creditor’s right or undertake joint
or
divided liabilities in terms of an external
relationship.
In terms of an internal
relationship among the co-owners, unless it is
otherwise
stipulated, a divided co-owner shall
hold the creditor’s right or undertake liabilities
on the basis of his own share, while joint
owners shall enjoy the creditor’s right or
undertake liabilities on a common any divided
co-owner overpays his share of
the debt, he
has the right to recover the overpaid amount from
the other co-owners.
三、善意取得制度
1.善意取得的构成要件
无处分权人将不动产或者动产转让给受让人的,所有权人有权追回;除法
律另有规定外,符合
下列情形的,受让人取得该不动产或者动产的所有权:(1)受让人受让该不动产或
者动产时是善意
的;(2)以合理的价格转让;(3)转让的不动产或者动产依照法律规定应当登记的已
经登记,不
需要登记的已经交付给受让人。
Ⅲ System of Bona
Fide Acquisition
constitutive requirements
of bona fide acquisition
Where a person
without disposal rights of an immovable or movable
transfers the
immovable or movable to an
assignee, the owner is entitled to recover the
immovable or
movable.
Unless otherwise
prescribed by law, the assignee shall obtain the
ownership of the
immovable or movable if all
of the following conditions are met: (1)Acceptance
of the
immovable or movable in good
faith;(2)Purchase of the immovable or movable at a
reasonable
price;
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and (3)Registration of the transferred immovable
or movable where registration is
required by
registration is not required, the immovable or
movable has been
delivered to the assignee.
2.遗失物的处理
遗失物不适用善意取得制度,所有权人或者其他权利人有权追回遗
失物。该遗失物通过转让被
他人占有的,权利人有权向无处分权人请求损害赔偿,或者自知道或者应当知
道受让人之日起二年
内向受让人请求返还原物,但受让人通过拍卖或者向具有经营资格的经营者购得该遗
失物的,权利
人请求返还原物时应当支付受让人所付的费用。权利人向受让人支付所付费用后,有权向无
处分权
人追偿。
ents of lost property
Lost
property is not suitable for system of bona fides
owner or any other
right holder has the right
to recover a lost the lost property is possessed
by any other person through transference, the
owner has the right to require the person
without disposal right to compensate for
damages, or, require the assignee to return the
original property within 2 years of the date
the owner becomes aware of the assignee.
Where the assignee purchases the lost property
through auction or from a qualified
operator,
the right holder shall, when requesting the return
of the original property, pay
the assignee the
amount the assignee paid for purchasing the
paying the
amount to the assignee, the owner
has the right to recover said amount from the
person without
disposal right of the property.
3.善意取得的法律效果
善意受让人取得动产后,该动产上的原有权利消灭,但善意
受让人在受让时知道或者应当知道
该权利的除外。原权利人有权向无权处分人请求损害赔偿。
legal effects for the bona fide acquisition
After a bona fide assignee obtains a moveable, the
original rights on the moveable shall
be
terminated, unless the bona fide assignee is
already aware or ought to be aware of the
rights when the transfer is al right holder
has the right to claim compensation
to persons
without disposal rights of the moveable.
四、担保物权之抵押权
1.抵押权的设定
(1)流押条款
抵押权人
在债务履行期届满前,不得与抵押人约定债务人不履行到期债务时抵押财产归债权人
所有。如果在抵押合
同中约定此内容,该内容无效,但不影响抵押合同其他部分的效力。
Ⅳ Real Rights
for Security—Mortgage Right
on of mortgage
right
(1)Liquid mortgage terms
The
mortgagee and the mortgagor may not, prior to the
expiration of the time limit for
paying debts,
stipulate that the ownership of the mortgaged
property will be attributed
to the obligee
when the obligor fails to pay its due debts.
Such stipulation shall become invalid if written
in the mortgage
invalidity of the fluidity
provision does not affect the effectiveness of
other provisions
in the contract.
(2)抵押登记
①登记生效。以建筑物和其他土地附着物、建设用地使用权、以招标、拍卖、公开
协商等方式
取得的荒地等土地承包经营权以及正在建造的建筑物抵押的,抵押权自登记时设立。
(2)Mortgage registration
①Registration
buildings and other objects fixed to land,
construction
land use rights, land contractual
operating rights of land such as barren land, etc
that
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is acquired through invitation to tender,
auction and public consultation, etc., and a
building under construction are mortgaged, the
mortgage right shall be established from
the
date of registration.
②登记对抗。以生产设备、原材料、半成品、产品
、交通运输工具以及正在建造的船舶、航空
器抵押的,抵押权自抵押合同生效时设立,未经登记,不得对
抗善意第三人。
另外,浮动抵押之抵押权亦自抵押合同生效时设立,未经登记,不得对抗善意第三
人。并且,
浮动抵押不得对抗正常经营活动中已支付合理价款并取得抵押财产的买受人。
② Registration manufacturing facilities, raw
materials,
semi-manufactured goods and
finished products, means of communications and
transportation,
vessels and aircraft under
construction are mortgaged, the mortgage right
shall be
established from when the mortgage
contract comes into the mortgage has not been
registered, the parties concerned may not
challenge any bona fide third party.
In
addition, floating mortgage right shall be
established since the mortgage contract
comes
into effect, if the mortgage has not been
registered, the parties concerned may not
challenge any bona fide third regard to
floating mortgage, the parties concerned
may
not challenge a buyer who has paid a reasonable
price and obtained the mortgaged property
in
the course of normal business activities.
2.抵押与租赁
订立抵押合同前抵押财产已出租的,原租赁关系不受该抵押权的影响。抵押权设立
后抵押财产
出租的,该租赁关系不得对抗已登记的抵押权。
ge and lease
Where the mortgaged property has been leased
prior to entering into of the mortgage
contract, the original leasehold relations may
not be affected by the mortgage
it is leased
after the establishment of the mortgage right, the
leasehold relation may not
challenge the
registered mortgage right.
3.抵押物转让的限制
(1)抵押期间,抵押人经抵押权人同意转让抵押财产的,应当将转让所得的价款向抵押权人提
前清偿债
务或者提存。转让的价款超过债权数额的部分归抵押人所有,不足部分由债务人清偿。
(2)抵押
期间,抵押人未经抵押权人同意,不得转让抵押财产,但受让人代为清偿债务消灭抵
押权的除外。
ctions on mortgage transfer
(1)Where a
mortgagor alienates, upon consent of the
mortgagee, the mortgaged property
during the
mortgage period, the money collected from such
alienation shall be used to pay
off debts to
the mortgagee in advance or be submitted to a
competent authority for
value exceeding the
obligee’s rights shall be attributed to the
mortgagor,
and the gap shall be paid off by
the obligor.
(2)Without the mortgagee’s
consent, a mortgagor may not alienate the
mortgaged property
during the mortgage period,
unless the transferee pays off the debts on behalf
of the
mortgagor so as to terminate the
mortgage right.
4.抵押权顺位
抵押权人可以放弃抵押权或者抵
押权的顺位。抵押权人与抵押人可以协议变更抵押权顺位以及
被担保的债权数额等内容,但抵押权的变更
,未经其他抵押权人书面同意,不得对其他抵押权人产
生不利影响。
sequence
of the mortgage right
A mortgagee may
abandon the mortgage right or the sequence
thereof.A mortgagee and a
mortgagor may,
through negotiations, alter the sequence of the
mortgage right or the amount
of secured
obligee’s rights, etc., however, such alteration
may not produce unfavorable
influences on any
other mortgagee without the written consent
thereof.
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债
务人以自己的财产设定抵押,抵押权人放弃该抵押权、抵押权顺位或者变更抵押权的,其他
担保人在抵押
权人丧失优先受偿权益的范围内免除担保责任,但其他担保人承诺仍然提供担保的除
外。
Where an obligor creates the mortgage by itshis
own properties, and the mortgagee
abandons the
mortgage right or the sequence thereof or alters
such mortgage right, other
security providers
shall, within the scope for which said mortgagee
has lost the right to
seek preferred payments,
be exempted from the security liability, unless
any of other
security providers promises to
provide the security all the same.
5.孳息收取权
债务人不履行到期债务或者发生当事人约定的实现抵押权的情形,致使抵押财产被人民法院依
法扣押的,自扣押之日起抵押权人有权收取该抵押财产的天然孳息或者法定孳息,但抵押权人未通
知应
当清偿法定孳息的义务人的除外。抵押权人所收取的孳息应当先充抵收取孳息的费用。
collection right
When the obligor fails to
pay itshis due debts or any circumstance as
stipulated by
the parties concerned for
realizing the mortgage right arises, and the
mortgaged property
is thus seized by the
People’s Court in accordance with law, the
mortgagee has the right
to collect natural or
statutory fruits of the mortgaged property as of
the date of seizure,
unless the mortgagee has
failed to inform the subject liable to pay off
statutory fruits.
The statutory fruits
collected by mortgagee shall be firstly used for
paying the
collection expenses thereof.
6.优先受偿权
债务人不履行到期债务或者发生当事人约定的实现抵押权的情形,抵押权人可以与
抵押人协议
以抵押财产折价或者以拍卖、变卖该抵押财产所得的价款优先受偿。
of
preferential payments
When the obligor fails
to pay his due debts or any circumstance as
stipulated by the
parties concerned for
realizing mortgage rights arises, upon negotiation
with the mortgagor,
the mortgagee may convert
the mortgaged property into cash or seek
preferential payments
from the money generated
from the auction or sale of the mortgaged
property.
7.抵押权的实现
抵押财产折价或者拍卖、变卖后,其价款超过债权数额的部分归抵押人所有,不足部分由债务
人清偿。
同一财产向两个以上债权人抵押的,拍卖、变卖抵押财产所得的价款依照下列规定清偿:
(1)抵押权已登记的,按照登记的先后顺序清偿;顺序相同的,按照债权比例清偿;
(2)抵押权已登记的先于未登记的受偿;
(3)抵押权未登记的,按照债权比例清偿。
ation of mortgage right
The value
exceeding the obligee’s rights shall be attributed
to the mortgagor, and
the gap shall be paid
off by the obligor, after the mortgaged property
has been converted
into money, auctioned or
sold off.
In case the same property is
mortgaged to two or more obligees concurrently,
the proceeds
collected from the auction or
sale of the mortgaged property shall be used for
paying debts
in light of the prescriptions as
follows:
(1)In case all the mortgage rights
have been registered, the payments shall be made
according to the registration sequence; and
where the sequence is the same, the payments
shall be made on the basis of the proportion
of obligee’s rights;
(2)The registered
mortgage right shall be cleared off prior to the
unregistered one;
and
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(3)In case mortgage right has not been registered,
the payments shall be made on basis
of the
proportion of obligee’s rights.
五、担保物权之质权
1.质权的设定
(1)流质条款之禁止
质权人在债务履行期届满前,不得与出质人约定债务人不履行到期债务时质押财产归债权人所
有。
(2)质权的设定
动产质权自出质人交付质押财产时设立。
Ⅴ
Real Right for Security—Pledge Right
right
establishment
(1)Fluidity clause prohibition
The pledgee and the pledgor may not, prior
to the time limit for paying debts
expires,
stipulate that the ownership of
pledged properties will be attributed to the
obligee when
the obligor fails to pay due
debts.
(2)Pledge right establishment
The chattel pledge right shall be established
after the pledgor has delivered the
pledged
properties.
以汇票、支票、本票、债券、存款单、仓单、提单出质的,当事人应当订
立书面合同。质权自
权利凭证交付质权人时设立;没有权利凭证的,质权自有关部门办理出质登记时设立
。
The parties concerned shall conclude a
written contract for the pledge of a money order,
check, cashier’s check, bond, deposit receipt,
warehouse receipt or bill of
pledge right
shall be established after the delivery of the
title certificate to the
case there is no
title certificate, the pledge right shall be
established after
the related department has
handled the registration of the pledge.
以基金份
额、股权出质的,当事人应当订立书面合同。以基金份额、证券登记结算机构登记的
股权出质的,质权自
证券登记结算机构办理出质登记时设立;以其他股权出质的,质权自工商行政
管理部门办理出质登记时设
立。
The parties concerned shall enter into a
written contract for the pledge of fund units
or stock regards the pledge of fund units or
the stock rights that are registered
in the
securities depository and clearing institution,
the pledge right shall be established
after
the securities depository and clearing institution
has handled the registration of
the pledge.
As regards the pledge of other stock rights,
the pledge right shall be established after
the administrations for industry and commerce
has handled the registration of the pledge.
以注册商标专用权、专利权、著作权等知识产权中的财产权出质的,当事人应当订立书面合同。
质权自有
关主管部门办理出质登记时设立。
以应收账款出质的,当事人应当订立书面合同。质权自信贷征信机构办理出质登记时设立。
As
regards the pledge of property rights in the
intellectual property such as registered
trademark rights, patent rights,
copyrights,etc, the parties concerned shall enter
into
a written contract, and the pledge right
shall be established after the related competent
authority has handled the registration of the
pledge.
As regards the pledge of
receivables, the parties concerned shall enter
into a written
contract, and the pledge right
shall be established after the related credit
rating
institution has handled the
registration of the pledge.
2.质物处分限制
质
权人在质权存续期间,未经出质人同意,擅自使用、处分质押财产,给出质人造成损害的,
应当承担赔偿
责任。质权人在质权存续期间,未经出质人同意转质,造成质押财产毁损、灭失的,
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应当向出质人承担赔偿责任。
tion of disposing pledge
Where a
pledgee, without consent of the pledgor, illegally
uses or disposes of the
pledged properties
within the duration of the pledge right, and thus
damages are caused
to the pledgor, he shall
make compensations.
Where a pledgee
transfers, without consent of the pledgor, the
pledge within the
duration of the pledge
right, and thus destroy or loss are caused to the
pledged properties,
he shall make
compensations to the pledgor.
基金份额、股权出质后,不得转
让,但经出质人与质权人协商同意的除外。出质人转让基金份
额、股权所得的价款,应当向质权人提前清
偿债务或者提存。
After the fund units or stock
rights have been pledged, unless it is otherwise
agreed
to by the pledgor and the pledgee upon
negotiations, they may not be regards
the
money incurred from the transfer of fund units or
stock rights, the pledgor shall fulfill
the
obligee’s rights to the pledgee in advance, or
submit it to a competent authority for
keeping.
知识产权中的财产权出质后,出质人不得转让或者许可他人使用,但经
出质人与质权人协商同
意的除外。出质人转让或者许可他人使用出质的知识产权中的财产权所得的价款,
应当向质权人提
前清偿债务或者提存。
After the property
rights in the intellectual property have been
pledged, unless it
is otherwise agreed to
between the pledgor and the pledgee upon
negotiations, the pledgor
may not alienate the
pledge or permit anyone else to use it.
As
regards the money incurred from the alienation of
the pledged intellectual property
or the
permission of anyone else to use it, the pledgor
shall use it to fulfill the obligee’
s rights
in advance, or submit it to a competent authority
for keeping.
应收账款出质后,不得转让,但经出质人与质权人协商同意的除外。出
质人转让应收账款所得
的价款,应当向质权人提前清偿债务或者提存。
After
the receivables have been pledged, unless it is
otherwise agreed on by the pledgor
and the
pledgee upon negotiations, the pledgor may not
alienate the pledged
regards money incurred
form the alienation of accounts receivable, the
pledgor shall use
it to fulfill the obligee’s
rights in advance, or submit it to a competent
authority for
keeping.
3.质权的效力
动产质
权的效力及于质物的从物。但是,从物未随同质物移交质权人占有的,质权的效力不及
于从物。质权人有
权收取质押财产的孳息,但合同另有约定的除外。所收取的孳息应当先充抵收取
孳息的费用。
effectiveness of pledge right
The
effectiveness of chattel pledge affects the
appurtenance of pledged
the appurtenance is
not transferred together with the pledged
properties to the pledgee,
the effectiveness
of pledge does not affect the appurtenance.
Unless it is otherwise stipulated in the contract,
a pledgee has the right to obtain
the fruits
of the pledged fruits received shall be firstly
used for paying
the expenses for collecting
the fruits.
六、担保物权之留置权
1.留置权的成立条件
(1)债权人须合法占有债务人动产。
(2)债权已届清偿期。
(3)债权人留置的动产,应当与债权属于同一法律关系,但企业之间留置的除外。
Ⅵ Real
Right for Security—Lien
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ishing conditions for lien
(1)The creditor
should legally occupy the chattel of debtor.
(2)The liquidation period of the obligatory right
becomes due.
(3)The chattels taken as lien
by the obligee and the obligee’s rights shall fall
into a same legal relationship, except for the
lien between enterprises.
2.留置物的范围
留置财产为可分物的,留置财产的价值应当相当于债务的金额。
scope of lien
object
Where a property under lien is a
divisible object, its value shall be equal to the
amount
of debts.
3.孳息收取权
留置权人有权收取留置财产的孳息。所收取的孳息应当先充抵收取孳息的费用。
to
obtain the fruits
A lienor has the right to
obtain the fruits generated from the property
under
fruits obtained should firstly offset
the expense which is used for collecting fruits.
4.抵押权、质权与留置权的效力等级
同一动产上已设立抵押权或者质权,该动产又被留置的,留置权人优先受偿。
iveness
levels of mortgage right, pledge right and lien
The lienor has the right to seek preferred
payments in case the right to mortgage or
the
right of pledge has been established on a chattel
before it is taken as lien.
5.留置权消灭
留置权人对留置财产丧失占有或者留置权人接受债务人另行提供担保的,留置权消灭。
ation
of lien
The lien shall terminate where a
lienor loses possession of the property under lien
or accepts another form of guarantee from the
obligor.
二、合同法
专业词汇
1
2
3
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contract law
bilateral contract
unilateral contract
gratuitous contract
consensual contract
principal contract
accessory contract
concludeenter into
performfulfill
written form
oral form
relatedconcerning parties
offer
acceptance
offeror
offeree
withdraw
revoke
subject matter
合同法
双务合同
单务合同
无偿合同
诺成合同
主合同
从合同
订立(合同)
履行(合同)
书面形式
口头形式
当事人
要约
承诺
要约人
受要约人
撤回
撤销
标的物
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quality
quantity
remuneration
substantial modification
transaction practices
data-telex
recipient
telegram
postmark
void
contract
voidable contract
counterpart
principal
ratify
valid
invalid
right to defense in the
performance
质量
数量
报酬
实质性变更
交易习惯
电文形式
收件人
电报
邮戳
无效合同
可撤销合同
相对人
委托人,被代理人
追认
有效
无效
履行抗辩权
effectiveness-pending contract 效力待定合同
right to defense of simultaneous
同时履行抗辩权
performance
pre-perform plead rights
先履行抗辩权
right to defense of uncertain
不安抗辩权
performance
evade debts
creditworthiness
supplementary terms
subrogation rights
right of revocation
obligor
obligee
secondary obligor
third party
deliver
escrow
terminate
offset
continue to perform
its
obligations
penalty for breach of
contractliquidated damages
deposit
force majeure
guaranty contract
逃避债务
信誉
协议补充
代位权
撤销权
债务人
债权人
次债务人
第三人
交付
提存
解除
抵销
继续履行
违约金
定金
不可抗力
保证合同
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guarantor
guarantee
warranty
right of plea for
preference
claim
general guaranty
joint liability guaranty
common guaranty
simply guaranty
functional departments
branch
state organs
limitation of
action
judgment
arbitration award
contract for the sale
seller
buyer
the first carrier
risk
sale by
installment payment
sale by trial
inspection
leasing contract
non-term
lease
lessee
lessor
maintenance or
repair
contract for construction
project
sub-contract
sub-package
保证人
被保证人
担保书
先诉抗辩权
一般保证
连带责任保证
共同保证
单独保证
职能部门
分支机构
国家机关
诉讼时效
判决
仲裁裁决
买卖合同
出卖人
买受人
第一承运人
风险
分期付款买卖
试用买卖
检验
租赁合同
不定期租赁
承租人
出租人
维修
建设工程合同
转包
分包
the privilege right for project
工程款优先权
funds
technology contracts 技术合同
technology development contract 技术开发合同
technology transfer contracts 技术转让合同
Monopolize (V.)
impair
job-related
technology
the patent technology
the non-
patent technology
developer
free
垄断
妨碍
职务技术成果
专利技术
非专利技术
开发人
免费
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exploit
commissioned development
cooperative development
assignment of
patent
利用
委托开发
合作开发
专利权转让
assignment of patent application
专利申请权转让
right
patent licensing 专利实施许可
考点详解
一、合同订立程序
1.要约
(1)要约与要约邀请
要约是希望和他人订立合同的意思表示。
要约邀请是希望他人向自己发出要约的意思
表示。寄送的价目表、拍卖公告、招标公告、招股
说明书、商业广告等为要约邀请。商业广告的内容符合
要约规定的,视为要约。
ⅠProcedures of Contract
Formation
(1)Offer and invitation to
offer
An offer is a party’s manifestation of
intention to enter into a contract with the
other party.
An invitation to offer is a
party’s manifestation of intention to invite the
other
party to make an offer there to.A
delivered pricelist, announcement of auction, call
for
tender, prospectus, or commercial
advertisement, etc, is an invitation to offer.
(2)要约的生效时间
要约到达受要约人时生效。采用数据电文形式订立合同,收件
人指定特定系统接收数据电文的,
该数据电文进入该特定系统的时间,视为到达时间;未指定特定系统的
,该数据电文进入收件人的任
何系统的首次时间,视为到达时间。
(2)Effective time of offer
An offer becomes
effective when it reaches the a contract is
concluded
by the data message, if the
recipient of a data message has designated a
specific system
to receive it, the time when
the data message enters into such specific system
is deemed
as its time of arrival; if no
specific system has been designated, the time when
the data
message first enters into any of the
recipient’s systems is deemed as its time of
arrival.
(3)要约的撤回与撤销
要约可以撤回。撤回要约的通知应当在要约到达受要约人之前或者与要约同时到达受要约人。
要约可以撤销。撤销要约的通知应当在受要约人发出承诺通知之前到达受要约人。
有下列情形之一的,要约不得撤销:
①
要约人确定了承诺期限或者以其他形式明示要约不可撤销;
②
受要约人有理由认为要约是不可撤销的,并已经为履行合同作了准备工作。
(3)Offer
withdrawal and revocation
An offer may be
notice of withdrawal shall reach the offeree
before or
at the same time as the offer.
An offer may be notice of revocation shall reach
the offeree before it has
dispatched a notice
of acceptance.
An offer may not be revoked,
if
①it expressly indicates, whether by
stating a fixed time for acceptance or otherwise,
that it is irrevocable;
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②the offeree has reasons to regard the offer as
irrevocable, and has undertaken
preparation
for performance.
(4)有下列情形之一的,要约失效:
①拒绝要约的通知到达要约人;
②要约人依法撤销要约;
③承诺期限届满,受要约人未作出承诺;
④受要约人对要约的内容作出实质性变更。
(4)An offer is extinguished in any of the
following circumstances:
①The notice of
rejection reaches the offeror;
②The offer or
lawfully revokes the offer;
③The offeree
fails to dispatch its acceptance at the end of the
period for acceptance;
④The offeree makes a
material change to the terms of the offer.
2.承诺及承诺的生效
承诺(即接受提议),是指受要约人同意要约的意思表示。
An acceptance is the expression of an intention
that the offeree assents to the offer.
(1)承诺自通知到达要约人时生效。
An acceptance becomes
effective when its notice reaches the offeror.
(2)要约以信件或电报作出的,承诺期限自信件载明的日期或电报交发之日起开始计算;信件未载明日期的,自投寄该信件的邮戳日期开始计算。
Where an offer is
made by letter or telegram, the time limit for
acceptance shall accrue
from the date shown in
the letter or from the date on which the telegram
is handed in for
no such date is shown in the
letter, it shall accrue from the postmark date
on the envelope.
(3)受要约人超过承诺期限发出承诺的,除要约人及时通知受要约人该承诺有效的以外,为新
要约。
Where an offeree makes an acceptance beyond
the time limit for acceptance, the
acceptance
shall be a new offer except that the offeror
promptly informs the offeree of
the
effectiveness of the said acceptance.
(4)受要约
人在承诺期限内发出承诺,按照通常情况能够及时到达要约人,但因其他原因致使
承诺到达要约人时超过
承诺期限的,为迟到承诺,除要约人及时通知受要约人因承诺超过期限不接
受该承诺的以外,该承诺有效
。
If the offeree dispatched the acceptance
within the time limit specified for acceptance,
and under normal circumstances the acceptance
would have reached the offeror in due time,
but due to other reasons the acceptance
reaches the offeror after the time limit for
acceptance has expired, such acceptance shall
be effective, unless the offeror notifies
the
offeree in a timely manner that he does not accept
the acceptance due to exceeding the
time
limit.
二、合同的履行
(一)合同履行的规则
1.约定不明时合同内容的确定规则
合同生效后,当事人就质量、价款或者报酬、履行地点等内容
没有约定或者约定不明确的,可
以协议补充;
Where, after the
contract becomes effective, there is no agreement
in the contract
between the parties on such
contents as quality, price or remuneration, or
place of
performance and so on, or such
agreement is ambiguous, the parties may agree upon
supplementary terms through negotiation;
不能达成补充协议的,按照合同有关条款或者交易习惯确定。
If a
supplementary agreement cannot be reached, such
terms shall be determined in
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accordance with the relevant provisions of the
contract or the transaction practices.
如果仍然不能确定的,适用下列履行规则:
If the methods
mentioned-above fail, they can follow the
regulations below:
(1)质量要求不明确的,按照国家标准、行业标准履行
;没有国家标准、行业标准的,按照通
常标准或者符合合同目的的特定标准履行。
if
quality requirement is not clear, performance
shall be in accordance with the state
standard
or industry standard; if no these standards,
performance shall be in accordance
with the
customary standard or any particular standard
consistent with the purpose of the
contract;
(2)价款或者报酬不明确的,按照订立合同时履行地的市场价格履行。
If
price or remuneration is not clear, performance
shall be in accordance with the
prevailing
market price at the place of performance at the
time the contract was concluded;
(3)履行地点不明确的
,给付货币的,在接受货币一方所在地履行;交付不动产的,在不动产
所在地履行;其他标的,在履行义
务一方所在地履行。
where the place of performance is
not clear, if the obligation is payment of money,
performance shall be at the place where the
payee is located; if the obligation is delivery
of immovable property, performance shall be at
the place where the immovable property is
located; for any other subject matter,
performance shall be effected at the place of
location
of the party fulfilling the
obligations.
(4)履行期限不明确的,债务人可以随时履行,债权人也可以随时要
求履行,但应当给对方必
要的准备时间。
If the time of
performance is not clear, the obligor may perform,
and the obligee may
require performance, at
any time, provided that the other party shall be
given the time
required for preparation;
(5)履行方式不明确的,按照有利于实现合同目的的方式履行。
If the method
of performance is not clear, performance shall be
exercised in a manner
which is benefit to
realize the purpose of the contract;
(6)履行费用的负担不明确的,由履行义务的一方负担。
If the
responsibility for the expenses of performance is
not clear, the party fulfilling
the
obligations shall bear the expenses.
2.向第三人履行和由第三人履行
(1)当事人约定由债务人向第三人履行债务的,债务人未向第
三人履行债务或者履行债务不符
合约定,应当向债权人承担违约责任。
Where
the parties agree that the obligor shall perform
the obligations to a third party,
and the
obligor fails to perform its obligations to such
third party or its performance
of the
obligations is not in conformity with the
agreement, the obligor shall be liable
to the
obligee for breach of contract.
(2)当事人约定由第三人
向债权人履行债务,第三人不履行债务或者履行债务不符合约定,债
务人应当向债权人承担违约责任。
Where the parties agree that a third party
performs the obligations to the obligee,
and
the third party fails to perform the obligations
or the performance is not in conformity
with
the agreement, the obligor shall be liable to the
obligee for breach of contract.
(二)代位权
1.代位权行使的条件
债权人提起代位权诉讼,应当符合下列条件:(1)债权人对债务人的债权
合法。(2)债务人
怠于行使其到期债权,对债权人造成损害。(3)债务人的债权已到期。(4)债务
人的债权不是专
属于债务人自身的债权。所谓专属于债务人自身的债权,是指基于扶养关系、抚养关系、
赡养关系、
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赔
偿请求权等权利。
Subrogation right
Conditions
of executing subrogation right
If creditor
files a suit relating to subrogation right, the
following conditions should
be met:
(1)Obligatory right to the debtor enjoyed by
creditor is legal
(2)The obligor is remiss
in exercising its due creditor’s right, thereby
harming
the obligee’s interests (3)Obligatory
right of the debtor becomes due (4)The
creditor’
s right does not exclusively belong
to the obligor.
The creditor’s right
exclusively belongs to the obligor, which means
payments rights
based on support relationship,
fostering relationship and inheritance
relationship, and
compensation rights based on
remuneration, pension, annuity, consolation money,
settlement
allowance, life insurance and
personal injury, etc.
2.代位权诉讼中的主体及管辖
在
代位权诉讼中,债权人是原告,次债务人是被告,债务人为诉讼上的第三人。因此在代位权
诉讼中,如果
债权人胜诉的,由次债务人承担诉讼费用,且从实现的债权中优先支付。其他必要费
用则由债务人承担。
代位权诉讼由被告住所地人民法院管辖。
Subject and
administration in subrogation right suit
In
subrogation right suit, the creditor is plaintiff,
sub-debtor is defendant, the
debtor is third
the creditor wins the case, the sub-debtor shall
bear the litigation
expenses which shall be
paid as a priority from the realized creditor’s
right.
The rest necessary expenses shall be
borne by the subrogation right suit
is
administrated by the People’s Court where the
defendant is located.
3.代位权行使的法律效果
债权人的债权就代位权行使的结果有优先受偿权利。
Legal effectiveness
of executing subrogation right
The creditor
has the right of preferred payment for its
creditor’s right as a result
of subrogation.
(三)撤销权
债权人可以行使撤销权的情形有:
(1)放弃债权(到
期、未到期均可)、放弃债权担保或者恶意延长到期债权的履行期,对债权
人造成损害;
(2)无偿转让财产,对债权人造成损害;
(3)以明显不合理的低价转让财产或者以明显不合理
的高价收购他人财产,对债权人造成损害,
并且受让人知道该情形。
Right of
rescission A creditor may exercise the right of
rescission in the following
circumstances:
(1)Waiving creditor’s rights (due and undue
rights are all included), creditor’
s right
security or postpone the term of creditor’s right,
which results in damage to the
creditor;
(2)Transferring the property free of charge, which
results in damage to the creditor;
(3)Transferring the property at an obviously
unreasonable low price or purchasing
the
property of others at an obviously reasonable high
price, which results in damage to
the creditor
and the transferee knows the situation.
三、合同的担保之保证
1.保证合同
保证合同为要式合同,但在实践中要注意下列
问题:(1)保证人在债权人与被保证人签订的订
有保证条款的主合同上,以保证人身份签字或者盖章的
,保证合同成立。(2)第三人单方以书面形
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式向债权人出具担保书,债权人接受且未提出异议的,保证合同成立。(3
)主合同中虽然没有保证
条款,但是,保证人在主合同上以保证人的身份签字或者盖章的,保证合同成立
。
Contract Warranty—Guarantee
Guarantee contract
Guarantee contract is
formal contract, the following problems should be
paid attention:
(1)guarantee contract is
established when the warrantor signs or stamps on
the principle
contract between the creditor
and the warrantee where there are warranty
provisions.
(2)Where a creditor accepts,
without objection, a written guarantee that is
unilaterally provided by a third party, the
guarantee contract shall be regarded as
valid.
(3)A guarantee contract is also
established even if there are no warranty
provisions in
the principal contract, provided
that the warrantor signs or stamps on the
principal
contract.
2.保证方式
因为保证人承担
责任方式的不同,可以将保证分为一般保证和连带责任保证。如果当事人在保
证合同中对保证方式没有约
定或者约定不明确的,按照连带责任保证承担保证责任。一般保证的保
证人享有先诉抗辩权,连带责任保
证的保证人则不享有。
Methods of guarantee
Guarantee can be classified into ordinary guaranty
and joint liability guarantee
according to the
methods of assuming liabilities by warrantor.
Where there is no arrangement or no clear
arrangement on the methods of guarantee, the
debtor and the warrantor shall assume joint
guarantee warrantor involved
in an ordinary
guarantee has the pre-litigation demur right
against the creditor while the
warrantor
involved in a joint liability guarantee does not
have the pre-litigation demur
right.
但有下
列情形之一的,保证人不得行使先诉抗辩权:(1)债务人住所变更,致使债权人要求其
履行债务发生重
大困难的;(2)人民法院受理债务人破产案件,中止执行程序的;(3)保证人以
书面形式放弃先诉抗
辩权的。
The warrantor may not exercise the pre-
litigation demur right in any of the following
circumstances: (1)The debtor changes its
domicile, resulting in major difficulty for the
creditor to request debt repayment; (2)The
bankruptcy procedures are suspended after the
People’s Court accepts the debtor’s bankruptcy
application; (3)The warrantor gives up
the
pre-litigation demur right in written form.
3.保证责任
(1)保证责任的范围
保证担保的责任范围包括主债权及利息、违约
金、损害赔偿金和实现债权的费用。保证合同对
责任范围另有约定的,按照约定执行。当事人对保证担保
的范围没有约定或者约定不明确的,保证
人应当对全部债务承担责任。
Guarantee liabilities
(1)The scope of
guarantee liabilities
The scope of guarantee
includes the principal debts and interest, default
fine, damage
compensation and expenses for the
realization of the creditor’s guarantee
contract regulates the contract liability
additionally, it should be performed according
to the agreement.
If parties involved do
not agree on or do not clearly agree on the scope
of guarantee
liabilities, the warrantor should
assume the liability as to whole debt.
(2)主合同变更与保证责任承担
保证期间,债权人依法将主债权转让给第三人,保证债权同时转
让,保证人在原保证担保的范
围内对受让人承担保证责任。
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(2)Alternation of principal contract and guarantee
liabilities assumption
When the creditor
transfers the principal creditor’s right to a
third party according
to legal procedures
during the guaranty period and the guarantee
obligation is transferred
simultaneously, the
guarantor shall continue to assume the guarantee
liabilities within
the original scope.
保
证期间,债权人许可债务人转让债务的,应当取得保证人书面同意,保证人对未经其同意转
让的债务部分
,不再承担保证责任。
保证期间,债权人与债务人协议变更主合同的,应当取得保证人书面同意。
未经保证人同意的
主合同变更,如果减轻债务人的债务的,保证人仍应当对变更后的合同承担保证责任;
如果加重债
务人的债务的,保证人对加重的部分不承担保证责任。
When the
debtor, with the approval of the creditor,
transfers the debt during the
guaranty period,
it shall obtain a written approval from the
warrantor, otherwise the
warrantor will assume
no more guarantee liability over the debts
transferred without its
approval.
When
the creditor and the debtor change the principal
contract during the guaranty
period, they
shall obtain a written approval from the for the
change without
the warrantor’s written
approval, the warrantor shall continue to assume
the guarantee
liabilities if the guaranteed
debts are made lighter, and shall assume no
guarantee
liabilities for the extra part if
the guaranteed debts are made heavier.
(3)保证期间与保证的诉讼时效
保证期间为保证责任的存续期间,是债权人向保证人行使追索权
的期间。债权人没有在保证期
间主张权利的,保证人免除保证责任。
(3)Guaranty period and the limitation period for
action
The guaranty period is the duration
of guaranty liability, which is the period that
the creditor can exercise right of recourse to
the the creditor does not claim
its right
within the period, the warrantor will not assume
guaranty liabilities.
当事人可以在合同中约定保证期间。如果没有约定
的,保证期间为6个月。在连带责任保证的
情况下,债权人有权自主债务履行期届满之日起6个月内要求
保证人承担保证责任;在一般保证场
合,债权人应自主债务履行期届满之日起6个月内对债务人提起诉讼
或者申请仲裁。保证合同约定
的保证期间早于或者等于主债务履行期限的,视为没有约定。保证合同约定
保证人承担保证责任,
直至主债务本息还清时为止等类似内容的,视为约定不明,保证期间为主债务履行
期届满之日起2
年。
The parties may make
arrangement as to guaranty period in the it is
not
arranged, the guaranty period is 6 joint
liability guaranty, the creditor shall
be
entitled to have the right within 6 months from
the date of expiration of the principal
debt
performance time limitation to demand the
guarantor to bear the guaranty liability.
For general guaranty, the creditor shall be
entitled to have the right within 6 months
from the date of expiration of the principal
debt performance time limitation to file a
case against the debtor or apply for the the
guaranty period arranged in
guaranty contract
is earlier than or equal to the performance
duration of principal debt,
it can be seen as
no arrangement.
Any stipulation in guaranty
contract that the warrantor shall be liable under
the
guarantee until the principal debt and
interest have been paid shall be deemed as an
unclear
guaranty period shall be two years
from the date on which the principal
debt
becomes due and payable.
保证人对债务人的注册资金提供保证的,债
务人的实际投资与注册资金不符,或者抽逃转移注
册资金的,保证人在注册资金不足或者抽逃转移注册资
金的范围内承担连带保证责任。
Where a warrantor guarantees
a debtor’s registered capital, and the debtor’s
actual
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investment does not accord with the registered
capital or the debtor withdraws or transfers
the registered capital, the guarantor shall be
jointly liable to the extent of the capital
shortfall or the amount of capital
transferred.
(4)保证人的抗辩权
由于保证人承担了对债务人的保
证责任,所以保证人享有债务人的抗辩权。如债务人放弃对债
务的抗辩权,保证人仍有权抗辩,因其保证
责任并未免除。
保证人对已经超过诉讼时效期间的债务承担保证责任或者提供保证的,不得又以超
过诉讼时效
为由提出抗辩。
(4)Warrantor’s right of
defense
As warrantor assumes the guarantee
liability to the debtor, the warrantor has the
right
of defense, even if the debtor gives up
such right, the warrantor still has right of
defense
because the guarantee liability is not
exempted.
Where a warrantor assumes
liability under a guarantee or provides a
guarantee for a
debt after the limitation
period for action has expired, a defense based on
the limitation
period will not be entertained
by the People’s Court.
(5)共同担保下的保证责任
被
担保的债权既有物的担保又有人的担保的,债务人不履行到期债务或者发生当事人约定的实
现担保物权的
情形,债权人应当按照约定实现债权;没有约定或者约定不明确,债务人自己提供物
的担保的,债权人应
当先就该物的担保实现债权;第三人提供物的担保的,债权人可以就物的担保
实现债权,也可以要求保证
人承担保证责任。提供担保的第三人承担担保责任后,有权向债务人追
偿。
(5)Joint guarantee liabilities
Where the
same debt is guaranteed by both a warrantor and a
property, and in case of
the debtor failing to
repay the due debts or any other pre-agreed
circumstance for the
realization of the real
right for security: the creditor shall realize the
pre-agreed
creditor’s right;
when,
without agreement or clear agreement, the debtor
has provided a property guaranty
for itself,
the creditor shall realize the creditor’s right on
such property guaranty first;
where property
guaranty is provided by a third party, the
creditor may realize the creditor’
s right as
to property guaranty or require the warrantor to
fulfill its obligation; the
third party may
seek recourse against the debtor after fulfilling
his guarantee liabilities.
4.保证人的追偿权
保
证人承担保证责任后,有权向债务人追偿其代为清偿的部分。保证人对债务人行使追偿权的
诉讼时效,自
保证人向债权人承担责任之日起开始计算。保证人自行履行保证责任时,其实际清偿
额大于主债权范围的
,保证人只能在主债权范围内对债务人行使追偿权。
tor’s right of
recourse
After the warrantor has borne the
guaranty liability, he shall be entitled to claim
repayment from the limitation period for the
warrantor to take action to recover
from the
debtor is calculated from the date on which the
warrantor fulfills liabilities
to the
creditor.
Where a warrantor performs its
liability independently and the payment he makes
exceeds
the amount of the principal
obligation, he may exercise the right of recourse
against the
debtor only to the extent of the
principal obligation.
四、合同的担保之定金
1.定金的生效
定金合同从实际交付定金之日起生效。
Contract warranty
deposit
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Effective date
Deposit contract goes
into effect on the date when the deposit is
actually delivered.
2.定金的效力
(1)定金一旦交付,定金所有权发生移转。
(2)给付定金的一方不履行约定的债务的,无权要
求返还定金;收受定金的一方不履行约定的
债务的,应当双倍返还定金。当事人一方不完全履行合同的,
应当按照未履行部分所占合同约定内
容的比例,适用定金罚则。
Effectiveness of deposit
(1)The ownership of
deposit is transferred once the deposit is
delivered.
(2)If the party paying the
deposit fails to perform its contracted
obligation, it
has no right to demand for the
return of deposit;
if the party accepting
the deposit fails to perform its contracted
obligations, it shall
refund twice the value
of the deposit; if either party performs part of
its contracted
obligations, the deposit
penalty rule shall apply to the proportion of that
party’s
obligations that remain unperformed.
(3)当事人约定的定金数额不得超过主合同标的额的20%。如果超过20%的,超过部分无效。
(4)因不可抗力、意外事件致使主合同不能履行的,不适用定金罚则。因合同关系以外第三人的过错,致使主合同不能履行的,适用定金罚则。受定金处罚的一方当事人,可以依法向第三人追
偿
。
(5)当事人既约定违约金,又约定定金的,一方违约时,对方可以选择适用违约金或者定金条
款。
(3)The amount of a deposit shall not exceed
20% of the value of the subject matter
of the
principal part which exceeds 20% of the value of
the subject matter
is invalid.
(4)Where
the principal agreement is not fulfilled due to
force majeure or any accident,
the deposit
penalty rule shall not apply.
Where the
principal agreement is not fulfilled due to the
conduct of a third party
outside the
contractual relationship, the deposit penalty rule
shall party taking
a deposit penalty may
pursue recourse against the third party according
to law.
(5)If the contracting parties agree
on both breach penalty and deposit penalty, and
either party is in breach, the other may only
choose to apply either the breach penalty
or
the deposit penalty to the beaching party.
五、违约责任
(一)违约责任的承担方式
违约责任的承担方式主要有:继续履行、补救措施、损害赔偿三种方式。
1.继续履行
当事人一方未支付价款或者报酬的,对方可以要求其支付价款或者报酬。
当事人一方不履行非金钱
债务或者履行非金钱债务不符合约定的,对方可以要求履行,但有下列
情形之一的除外:(1)法律上或
者事实上不能履行;(2)债务的标的不适于强制履行或者履行费用
过高;(3)债权人在合理期限内未
要求履行。
Ⅴ.Liability for Breach of Contract
ⅰ.Methods to undertake the liabilities for
breach of contract
Methods to undertake the
liabilities for breach of contract mainly include:
continuing
to perform, remedial measures and
compensation.
ue to perform
If a party
fails to pay the price or remuneration, the other
party may request it to
make the payment.
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If a party fails to perform the full or part of
its non-monetary obligations or the
non-
monetary obligations performed do not comply with
the agreement, the counterparty may
request it
to perform its obligations, except in any of the
following circumstances: (1)
It is unable to be
performed in law or in fact; (2)The object of
liability is unfit for
compulsory performance
or the expenses are excessively high; (3)The
creditor does not
require performance within
reasonable period of time.
2.补救措施
当事人履
行合同义务,质量不符合约定的,应当按照当事人的约定承担违约责任。对违约责任没
有约定或者约定不
明确,受损害方根据标的的性质以及损失的大小,可以合理选择要求对方承担修
理、更换、重作、退货、
减少价款或者报酬等违约责任。
al measures
Where the
parties perform contract obligation and the
quality fails to satisfy the
agreement, the
breach of contract damages shall be borne in the
manner as agreed upon by
the there is no
agreement in the contract on the liability for
breach of
contract or such agreement is
unclear, the damaged party may, in light of the
nature of
the subject matter and the degree of
loss, reasonably choose to request the other party
to bear the liabilities for the breach of
contract such as repairing, substituting,
reworking, returning the goods, or reducing
the price or remuneration.
3.损害赔偿
(1)赔偿损失
损失赔偿额应当相当于因违约所造成的损失,包括合同履行后可以获得的利益,但
不得超过违约
方订立合同时预见到或者应当预见到的因违反合同可能造成的损失。
sation
(1)Compensation for losses
The
amount of compensation for losses shall be equal
to the losses caused by the breach
of
contract, including the interests receivable after
the performance of the contract,
provided not
exceeding the probable losses caused by the breach
of contract which has been
foreseen or ought
to before seen when the party in breach concludes
the contract.
(2)支付违约金
约定的违约金低于造成的损失的,
当事人可以请求人民法院或者仲裁机构予以增加;约定的违约
金过分高于造成的损失的,当事人可以请求
人民法院或者仲裁机构予以适当减少。
(2)Breach penalty
If
the agreed amount of penalty is lower than the
losses incurred, the party concerned
may
submit an application to the People’s Court or
arbitration institution to request an
increase; if the agreed amount of penalty is
higher than the losses incurred, the party
concerned may submit an application to the
People’s Court or arbitration institution to
request a reduction.
(3)定金
(3)Penalty on deposit
(二)免责事由
法定的免责事由仅限于不可抗力。
因不可抗力不能履行合同的,根据不可抗力的影响,部分或者全
部免除责任。当事人迟延履行后
发生不可抗力的,不能免除责任。不可抗力事件发生后,主张不可抗力一
方要履行两个义务:一是及时
通报合同不能履行或者需要迟延履行、部分履行的事由;二是取得有关不可
抗力的证明。
ⅱ.Exemptions
The legal
exemptions are only limited to force majeure.
A party who is unable to perform a contract due to
force majeure is exempted from
liability in
part or in whole in light of the impact of the
event of force
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an
event of force majeure occurs after the party’s
delay in performance, it is not exempted
from
such party claiming an event of force majeure
shall: notify the other
party of the cause of
non-performance, partial performance or delayed
performance; provide
evidence of such event of
force majeure.
六、买卖合同
(一)转移标的物的所有权
1.一般规定
(1)标的物的所有权自标的物交付时起转移,但法律另有规定的除外。
(2)出卖具有知识产权
的计算机软件等标的物的,除法律另有规定或者当事人另有约定的以外,
该标的物的知识产权不属于买受
人。在此类无需以有形载体交付的电子信息产品,当事人对交付方式
约定不明确,且依照合同法第61条
的规定仍不能确定的,买受人收到约定的电子信息产品或者权利
凭证即为交付。
and
Purchase Contract
ⅰ.Transferring ownership
of subject matter
l provision
(1)The
ownership of subject matter will be transferred
when delivered unless it is
otherwise
prescribed by any law.
(2)For selling
subject matters which are computer software with
intellectual property
rights, unless it is
otherwise prescribed by any law or promised from
parties, the
intellectual property right of
subject matter does not belong to the electronic
information products which need not to deliver
via tangible carrier and there is no clear
rule stated by parties, moreover, cannot be
confirmed even according to Article 61 in
Contract Law, delivering is finished when
vendee receives promised electronic information
products or document of title.
2.订立多重买卖合同的规定
(1)出卖人就同一普通动产订立多重买卖合同,在买卖合同均有效
的情况下,买受人均要求实际
履行合同的,应当按照以下情形分别处理:①先行受领交付的买受人请求确
认所有权已经转移的,人
民法院应予支持;②均未受领交付,先行支付价款的买受人请求出卖人履行交付
标的物等合同义务的,
人民法院应予支持;③均未受领交付,也未支付价款,依法成立在先合同的买受人
请求出卖人履行交
付标的物等合同义务的,人民法院应予支持。
g rules of
multiple sale and purchase contract
(1)Vender sets multiple sale and purchase
contracts on the same general chattel, in
the
case of the contracts are valid, vendee requires
specific performance of contract, which
shall
be dealt with separately according to the
following situations: ① The Peoples Court
shall favor that vendee who takes delivery in
advance requires that confirming the ownership
has been transferred;
② The Peoples
Court shall support that vendee who pays price in
advance requires
specific performance of the
contract as to delivering the subject matter if
both parties
do not take delivery; ③ The
People’s Court shall support that vendee of
contract requires
specific performance of the
effective contract as to delivering the subject
matter after
if both parties do not take
delivery nor pay price.
(2)出卖人就同一船舶、航空器、机动车等
特殊动产订立多重买卖合同,在买卖合同均有效的
情况下,买受人均要求实际履行合同的,应当按照以下
情形分别处理:①先行受领交付的买受人请求
出卖人履行办理所有权转移登记手续等合同义务的,人民法
院应予支持;②均未受领交付,先行办理
所有权转移登记手续的买受人请求出卖人履行交付标的物等合同
义务的,人民法院应予支持;
③均未受领交付,也未办理所有权转移登记手续,依法成立在先合同
的买受人请求出卖人履行交
付标的物和办理所有权转移登记手续等合同义务的,人民法院应予支持;④出
卖人将标的物交付给买
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受人之一,又为其他买受人办理所有权转移登记,已受领交付的买受人请求将标的物所有权登记在
自
己名下的,人民法院应予支持。
(2)Vender sets multiple
sale and purchase contracts on the same specific
chattel which
are ships, aircraft, motor
vehicle and so on, in the case of the contracts
are valid, vendee
requires vender to actually
perform contract, which shall be dealt with
separately according
to the following
situations:① The People’s Court shall support that
vendee who takes
delivery in advance requires
vender to perform contractual obligations of
transferring and
registering ownership;
② The Peoples Court shall support that vendee who
transfers and registers ownership
in advance
requires vender to perform contractual obligations
of delivering subject matter
and so on if both
parties do not take delivery;
③ The Peoples
Court shall support that vendee who sets contract
in advance based on
laws requires vender to
perform contractual obligations of taking delivery
subject matter
and transferring and
registering ownership if both parties do not take
delivery and
transferring and registering
ownership;
④The Peoples Court shall support
that vender delivers subject matter to one of
vendees
moreover transfers and re-registers
ownership under the name of another vendee, the
vendee
who has taken delivery and paid price
requests that rendering ownership of subject
matter
register under his own name.
(二)标的物的风险承担
(1)标的物毁损、灭失的风险,在标的物交付之前由出卖人承担,交付
之后由买受人承担,但法
律另有规定或者当事人另有约定的除外。
ⅱ.Risk
taking of subject matter
(1)Risk of damage
and loss of subject matter should be taken by
vender before delivering
subject matter and
taken by vendee after delivering subject matter,
unless it is otherwise
prescribed by any law
or promise from parties.
(2)因买受人的原因致使标的物不能按照
约定的期限交付的,买受人应当自违反约定之日起承
担标的物毁损、灭失的风险。
(2)Due to the reason of vendee that results in
subject matter can not be delivered
as
promised time limit, the risk of damage and loss
of subject matter should be taken by
vendee
since the date of breach.
(3)出卖人出卖交由承运人运输的在途
标的物,除当事人另有约定的以外,毁损、灭失的风险自
合同成立时起由买受人承担。但如果出卖人出卖
交由承运人运输的在途标的物,在合同成立时知道或
者应当知道标的物已经毁损、灭失却未告知买受人,
买受人可以主张由出卖人负担标的物毁损、灭失
的风险。
(3)For subject
matter which is handed over from vender to carrier
in transportation,
unless it is otherwise
prescribed by any parties, vendee should take the
risk of damage
and loss since the contract is
if subject matter which is handed over from vender
to carrier in transportation, vender knew or
should know that the subject had damaged or
lost since contract set then did not tell
vendee, vendee could assert that the risk of
damage
and loss should be taken by vender.
(4)当事人没有约定交付地点或者约定不明确,标的物需要运输的,出卖人将标的物交付给第一<
br>承运人后,标的物毁损、灭失的风险由买受人承担。
(4)If parties do
not prescribe delivery point or convention is not
clear, and subject
matter need be transported,
after subject matter is transferred by vender to
first carrier,
vendee should take risk of
damage and loss of subject matter.
(5)出卖人按照约
定或者依照规定将标的物置于交付地点,买受人违反约定没有收取的,标的物
毁损、灭失的风险自违反约
定之日起由买受人承担。
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(5)Vender puts subject matter in delivery place
which is stated in convention or in
accordance
with provisions, if vendee does not receive, in
other words, he breaks promise,
vendee should
take the risk of damage and loss of subject matter
since the date of breach.
(6)标的物毁损、灭失的风险由买受人
承担的,不影响因出卖人履行债务不符合约定,买受人要
求其承担违约责任的权利。
(6)The risk of damage and loss taken by vendee
will not affect the right which does
not
comply with the provisions as vender performs
debts and vendee requests him to bear
liability of breach.
(三)无权处分人订立的买卖合同的效力
当事人一方以出卖人在缔约时对标的物没有所有权或者处分权为由主张合同无效的,人民法院
不予支持。出卖人因未取得所有权或者处分权致使标的物所有权不能转移,买受人要求出卖人承担违
约
责任或者要求解除合同并主张损害赔偿的,人民法院应予支持。
ⅲ.The
effectiveness of sales contract signed by the
person who does not have right
to dispose
The People’s Court shall not support that one of
parties asserts contract is invalid
because
vender has no ownership and disposition right of
subject matter when signing a
contract.
The People’s Court should support that the vendee
requests the vendor to assume the
liability
for breach of contract or to terminate the
contract and assert the compensation
because
the vendor does not obtain ownership or
disposition right which results in the
ownership of the subject matter can not be
transferred.
(四)试用买卖合同。
买卖合同存在下列约定内容之一的,不属于试用买卖:
(1)约定标的物经过试用或者检验符合一定要求时,买受人应当购买标的物;
(2)约定第三人经试验对标的物认可时,买受人应当购买标的物;
(3)约定买受人在一定期间内可以调换标的物;
(4)约定买受人在一定期间内可以退还标的物。
ⅳ.Trial business
contract
It is not a trial business when
meeting one of followings:
(1)Vendee should
purchase subject matter if it is tried and
examined moreover meets
certain requirements.
(2)Vendee should purchase subject matter
when the third party approves.
(3)It is
agreed vendee could exchange subject matter with
in a certain period.
(4)It is agreed vendee
could return subject matter within a certain
period.
(2010年)2009年4月,甲公司因欠乙公司货款100万元不能按时偿还
,向乙公司请求延期至
2010年4月1日还款,并愿意以本公司所有的3台大型设备进行抵押和1辆轿
车进行质押,为其履
行还款义务提供担保。乙公司同意了甲公司的请求,并与甲公司订立了书面抵押和质
押合同。甲公
司将用于质押的轿车的机动车登记证书交乙公司保管,但未就抵押和质押办理任何登记手续
,也未
向乙公司交付用于抵押的设备和质押的轿车。2009年5月,甲公司将用于抵押的3台设备出租
给丙
公司,将用于质押的轿车出租给丁公司,租期均为1年。
2009年8月,甲公司隐
瞒有关事实,与戊公司订立合同出售其用于抵押的3台设备。随后,甲
公司通知丙公司:本公司已将出租
的3台设备卖给戊公司,要求解除租赁合同,丙公司可不再支付
剩余9个月的租金,并请其将这3台设备
交付给戊公司。丙公司表示同意,且立即向戊公司交付了
这3台设备。
2009年9月1
日。甲公司再次隐瞒了有关事实,与乙公司订立合同出售其用于质押的轿车。双
方办理了过户登记手续,
并约定9月15日之前交付。甲公司在通知丁公司向己公司交付出租的轿车
时,丁公司拒绝了甲公司的要
求,并向甲公司主张同等条件下的优先购买权。9月30日,丁公司工
作人员在驾驶该轿车时外出时,遭
遇罕见泥石流,车毁人亡。
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2
010年4月1日,甲公司仍无力向乙公司偿还货款。乙公司在调查了解甲公司资产状况得知:
甲公司出
资200万元设立的全资子公司庚经营状况良好,资金充裕;另外,庚公司欠甲公司到期货
款150万元
,尚未偿还。2010年4月15日,乙公司发函给庚公司,要求其偿还甲公司所欠本公司
债务。
根据上述内容,分别回答下列问题:
(1)甲公司是否有权将用于抵押的3台设备出租给丙公司?并说明理由。
(2)乙公司是否有权就用于抵押的3台设备向戊公司行使抵押权?并说明理由。
(3)在用于质押的轿车灭失前,谁是其所有权人?乙公司是否对该轿车享有质权?并分别说明
理由。
(1)甲公司有权将用于抵押的3台设备出租给丙公司。根据规定,抵押权设定后,由于抵押物仍然归抵押人占有,因此抵押人有权将抵押物出租。
A company has
right to three devices which will be used for
mortgage rent to C
the hypothecation has been
established on, because of the mortgaged property
is still belong to the mortgagor possession,
so the mortgagor has the right to the mortgaged
property for rent.
(2)乙公司无权就用于抵押的3台设备向戊公
司行使抵押权。根据规定,当事人以生产设备设
定抵押的,抵押权自抵押合同生效时设立,未经登记,不
得对抗善意第三人。在本题中,乙公司以
设备设定抵押,但是未办理登记手续,其抵押权不得对抗善意的
戊公司。
B Company has no right to 3 device
which is used for mortgage to E company to
exercise
ing to the provisions, the parties
concerned to production equipment
set
mortgage, the mortgage shall be established when
the mortgage contract comes into
the mortgage
has not been registered, the parties concerned may
not challenge
any bona fide third this
subject,B company with equipment set mortgages,
since
it has not been registered ,it concerned
may not challenge E company.
(3)①用于质押的轿车灭失前,
甲是该轿车的所有权人。根据规定,动产物权的转让,自交付
时发生效力,但法律另有规定的除外。在本
题中,甲与己虽然已经办理了过户登记手续,但是轿车
尚未交付,所有权未发生转移。
Before car which is used for hypothecation loss, A
is the car ing to the
provisions, the transfer
of the movable property, it shall come into effect
upon the delivery,
except otherwise provided
by this subject, A has operated the transfer
registration
formalities with F, but the car
has not been delivered, the ownership has not been
transferred.
②乙公司对该轿车不享有质权。根据规定,质权自质物移交给
质权人占有时设立。在本题中甲
公司仅将用于质押的轿车的机动车登记证交给乙公司保管,并未实际交付
该轿车,质权尚未设立。
B company does not own pledge
for the ing to provisions, when the pledged
property is transferred to the pledge the
movable pledge is this subject, A
company
transfer motor vehicle registration certificate to
B company only, not actual
delivery of the
car, the pledge has not been created yet.
专题五 票据法
专业词汇
1
2
3
4
5
6
negotiable instruments
promissory notes
bills of exchange
cheque check
promissory note
bank
draft
票据
本票
汇票
支票
期票
银行汇票
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7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
47
48
49
50
commercial
bill
bankers' acceptance bill
trader’s
acceptance bill
banker’s note
rubber
cheque
acts involving negotiable
instruments
relationship between the
creditor and the debtor
issuedraw
Endorsement
Acceptance
Guaranty
Payment
Recourse
Drawer
Drawee
Holder
Acceptor
Payee
Endorser
Endorsee
the prior party
the
subsequent party
Agent
principalclient
civil rights
Signature
Particular
absolute records matters
relative records
matters
any records matters
unauthorized
agency
ultra vires agency
right of
recourse
entrusted agency
loss report for
suspending
payment
executive measure
Defense
defense against real
defense
against people
商业汇票
银行承兑汇票
商业承兑汇票
银行本票
空头支票
票据行为
债权债务关系
出票
背书
承兑
保证
付款
追索
出票人
付款人
持票人
承兑人
收款人
背书人
被背书人
前手
后手
代理人
被代理人
民事权利
签章
记载事项,详细说明
绝对记载事项
相对记载事项
非法定记载事项
无权代理
越权代理
追索权
委托代理
挂失止付
执行措施
抗辩
对物抗辩
对人抗辩
the person
subject to recourse 被追索人
the right of claim
for payment 付款请求权
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51
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
Negotiate
presentment for
acceptance
Dishonour
the place of delivery
Discount
Consideration
Disappear
Forfeit
Forge
Alter
equal to
Capital
Unconditionally
be entitled to
make a refund
in succession
转让
提示承兑
拒绝付款
支付地
贴现
对价
消失
(因某种原因)丧失(权利等)
伪造
变造
等于
大写
无条件地
有权、有资格
返还
连续地
考点详解
一、票据权利的取得
1.票据行为的实质要件
除了形式要件外,票据行为还必须满足诸多的实质要件才能生效。
(1)票据行为能力。无民事行
为能力人或者限制民事行为能力人在票据上签章的,其签章无效,
但是不影响其他签章的效力。
Ⅰ Acquisition of Bill Right
ntial
elements of bill behavior
Except for formal
elements, bill behavior could be effective after
meeting lots of
substantial elements.
(1)Bills behavior ability If a negotiable
instrument bears the signature or seal of
a
person who is incapable of civil acts or of a
person whose civil acts have been restricted,
the signature or the seal is invalid, but that
shall not affect the validity of other
signatures and seals on the same instrument.
(2)意思表示真实。以欺诈、偷盗或者胁迫等手段取得票据的,或者明知有前列情形,出于恶意取得票据的,不得享有票据权利。持票人因重大过失取得不符合法律规定的票据的,也不得享有
票
据权利。
(2)True declaration of the case of
obtaining a negotiable instrument by
deception, theft or coercion, or obtaining a
negotiable instrument which has been knowingly
obtained by deception, theft or coercion out
of malicious motives, the holder shall not
enjoy the rights associated with the
negotiable instruments.
A person who
acquires a negotiable instrument by means of
fraud, theft, or coercion,
or with knowledge
of the aforementioned situations, acquires the
instrument out of ill
intention shall have no
right thereon.
(3)如果票据行为由代理人进行,则代理权的欠缺也会影响票据行为的效力。
(4)如果背书转
让票据的背书人并不享有处分权,则背书行为无效。但是,如果符合善意取得
的要件,则转让背书行为可
以有效。
(3)If bill behavior is performed by
agent, the lack of power of attorney also has
affect effectiveness of bill behavior.
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(4)If the endorser who endorses the bill does not
have the right of disposing, the
endorsement
behavior is r the elements of good faith
acquisition are met,
endorsement behavior may
be effective.
(5)基础关系对票据行为效力的影响。票据的签发、取得和转让,
应当遵循诚实信用的原则,
具有真实的交易关系和债权债务关系。票据的取得,必须给付对价,即应当给
付票据双方当事人认
可的相对应的代价。
(5)The effects of
basic relationship on the effectiveness of bill
draft,
acquisition and transfer of a
negotiable instrument shall follow the principle
of
authenticity and creditability and be
treated as a real act of trading or debt payment.
A negotiable instrument shall be acquired
against a corresponding price, that is, the
price acknowledged by both parties to a
negotiable instrument.
2.票据行为的代理
票据当事人
可以委托其代理人在票据上签章,并应当在票据上表明其代理关系。没有代理权而
以代理人名义在票据上
签章的,应当由签章人承担票据责任;代理人超越代理权限的,应当就其超
越权限的部分承担票据责任。
of bill behavior
Parties to a
negotiable instrument may entrust their agents to
put their signatures
or seals on the
instruments and clearly indicate their agency
relationship.
If a negotiable instrument
bears the signature or seal in the name of an
agent without
the power of attorney, the
obligations associated with the negotiable
instrument shall be
performed by the person or
persons who have put the signatures or seals on
the negotiable
instrument.
If an agent
has gone beyond hisher attorneyship, heshe shall
perform the obligations
associated with the
negotiable instrument on the part that exceeds
hisher term of
reference.
二、票据抗辩
(一)物的抗辩
票据上的物的抗辩,是指票据所记载的债务人可以对任何持票人所主张的抗辩。其
具体情形可
以包括以下三类:
1.票据所记载的全部票据权利均不存在
(1)出票行为因为法定形式要件的欠缺而无效。
(2)票据权利已经消灭。
Ⅱ
Defense in Instruments
ⅰ Real defense
Real defense refers to defense claimed by obligor
recorded on the bill to any holder
of the
mainly includes the following 3 categories:
the bill rights recorded on the paper do not exist
(1)The issuance of the bill is invalid
because of lack of legal form.
(2)The bill
rights have been eliminated.
2.票据上记载的特定债务人的债务不存在
(1)签章人是无民事行为能力或者限制民事行为能力人的,票据行为无效,不承担票据责任。
(2)狭义无权代理情形下,本人不承担票据责任,或者仅对不超越代理权限的部分承担票据责
任。
certain obligor’s obligation recorded on
the bill does not exist
(1)The signature is
signed by person without capacity or with limited
capacity for
civil conduct, thus the bill is
invalid and the signer does not bear paper
liability.
(2)Under the narrow definition of
unauthorized agency, the agent does not bear bill
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liability or bear limited liability for the
part that does not exceed authorized agent right
only.
(3)票据伪造的被伪造人,不承担票据责任。
(4)票据被变造时,变造前在票据上签章的债务人,可以拒绝依照变造后的记载事项承担票据
责任。
(3)The person forged in the bill does not
bear the bill liability.
(4)When the bill is
forged, the obligor who signed on the bill before
the forgery
may refuse to bear the bill
liability of the forged items recorded.
(5)对特定债务人的票据时效期间经过,其票据债务消灭。
(6)对特定票据债务人的追索权,因为持票人未进行票据权利的保全而丧失。
3.票据权利的行使不符合债的内容
(5)If statute of
limitations has run for certain obligor, his bill
obligation will
eliminate.
(6)Recourse
right on the certain obligor will be lost because
of the holder not
preserving the bill right.
execution of the bill right does not comply
with the content of the obligation.
(二)人的抗辩
票据上的人的抗辩,是指票据债务人仅可以对特定的持票人主张的抗辩事由。其具体情形可以
包括以下几类:
ⅱ Personal defense
Personal
defense refers to defense claimed by obligor
recorded on the bill to the special
holder
specific circumstance may include the following
categories:
1.基于持票人方面的原因
(1)持票人不享有票据权利
。票据上仍有权利存在,只是现在占有并主张票据权利的持票人并
非真正的权利人。
(2)持票人不能够证明其权利。
(3)背书人记载了“不得转让”字样的情形下,记载人对于其直接后手的后手不承担票据责任。
’s reasons
(1)The holder is not entitled to
the bill right of the bill still exists,
but
the holder of the bill who claims the right is not
the real obligee.
(2)The holder of the bill
cannot prove his right.
(3)Endorser
writes“non-negotiable” on the bill, the writer
does not bear liability
for his direct
subsequent party’s subsequent party.
2.在票据行为的直接当事人之间,票据债务人可以基于基础关系上的事由对票据权利人进行抗
辩。
obligor of the bill may raise defense
against the holder of the bill who does
not
perform the agreed obligation and who has direct
debtorcreditor relationship with
the obligor
among direct parties of bill behavior.
3.票据债务人以其对持票人的前手之间的抗辩事由对抗持票人的情形
(1)持票人未给付对价而
取得票据。因税收、继承、赠与可以依法无偿取得票据的,不受给付
对价的限制。但是,所享有的票据权
利不得优于其前手的权利。
ions where the obligor of the
bill defenses against the holder of the bill using
the same defense reason against the prior
holder of the bill
(1)The holder of the bill
obtains the bill without the bill is freely
obtained according to the law because of tax,
inheritance and donation, it is not limited
by
the r the bill right entitled should not be
superior to the right
of remote holder.
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(2)明知出票人对持票人的前手存在抗辩事由而取得票据。
持票人明知票据债务人与出票人或者
与持票人的前手之间存在抗辩事由,而仍然受让票据权利
的,票据债务人可以以该事由对抗持票人。
(2)The holder obviously knows that the
drawer and the prior holder have defenses against
each other but still acquires the bill.
If the current holder acquires the instrument with
knowledge of the defenses between
debtor and
drawer or the remote holder and still transfers
the bill right, the obligee of
the bill may
use it to defense against the holder.
4.抗辩切断制度
票据债务人原则上不得以自己与出票人或者与持票人的前手之间的抗辩事由,对抗持票人。
e
cutting system
The obligor of the bill may
not defense against the holder of the bill using
the same
defense reason against the bill
drawer or the prior holder of the bill.
三、票据的伪造和变造
票据伪造是指假冒或者虚构他人的名义而为的票据行为。票据变造是指没有
变更权限的人变更
票据上签章以外的其他记载事项的行为。
Ⅲ Forging and
Alternation of Instruments
Forging of
instruments refers to instrument behaviors in
other persons’ name or in
a fabricated ation
of instruments refers to alteration of items on an
instrument
(except the stamp)by persons
untitled to do so.
票据上的记载事项应当真实,不得伪造、变造。伪造、变
造票据上的签章和其他记载事项的,
应当承担法律责任。票据上有伪造、变造的签章的,不影响票据上其
他真实签章的效力。票据上其
他记载事项被变造的,在变造之前签章的人,对原记载事项负责;在变造之
后签章的人,对变造之
后的记载事项负责;不能辨别是在票据被变造之前或者之后签章的,视同在变造之
前签章。
Matters recorded on the negotiable
instruments shall be true to the g or
alteration is not who forge or alter the
signatures or seals or other items
recorded on
the negotiable instruments shall bear legal
responsibilities
The forged or altered
signatures or seals do not affect the validity of
the true
signatures or seals on the same
negotiable any item recorded on the
negotiable instruments has been altered, the
person who signs the instrument before the
alteration shall be responsible for the
matters originally recorded.
The person who
signs the instruments after the alteration shall
be responsible for the
matters recorded after
the it is impossible to tell whether the
signatures
or seals are made before or after
the alteration, they are regarded as being made
before
the alterations.
四、票据权利的消灭
票据权利在下列期限内不行使而消灭:
(1)持票人对票据的出票人和承兑人的权利,自票据到期
日起2年。见票即付的汇票、本票,
自出票日起2年;
(2)持票人对支票出票人的权利,自出票日起6个月;
Ⅳ Negotiable
Instruments Right Expiration
The rights to
the negotiable instruments shall expire if not
exercised within the
following time limits:
(1)Within two years from the time of the
maturity of the negotiable instruments for
the
right of the holder to the drawer and acceptor,
or, within two years from the date of
draft
for bills and promissory notes payable at sight;
(2)Within six months from the date of draft
for the right of the holder to the drawer;
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(3)持票人对前手的追索权,自被拒绝承兑或者被拒绝付款之日起6个月;
(4)持票人对前手的再追索权,自清偿日或者被提起诉讼之日起3个月。
持票人因超过票据权利
时效或者因票据记载事项欠缺而丧失票据权利的,仍享有民事权利,可
以请求出票人或者承兑人返还其与
未支付的票据金额相当的利益。
(3)Within six months from the
date of non acceptance or dishonor for the right
of
recourse of the holder to the prior holder;
(4)Within three months from the date of
liquidation or the date of indictment for
the
right of re-recourse.
Holders who have lost
the right to the negotiable instruments due to the
expiry of the
validity period for the exercise
of the rights to the negotiable instruments or due
to the
inadequacy of the recordings on the
negotiable instruments still enjoy the civil
rights
and may request the drawers or
acceptors to return the interests in equal amount
specified
in the negotiable instruments
unpaid.
五、汇票
1.汇票背书
(1)背书不得附有条件。
背书时附有条件的,所附条件不具有汇票上的效力。将汇票金额的一
部分转让的背书或者将汇票金额分别
转让给二人以上的背书无效。
Ⅴ Bill of Exchange
of
exchange endorsement
(1)An endorsement shall
not have conditions attached, if an endorsement
has conditions
attached, the conditions do not
have the effect on the endorsement which
transfers
part or the entire amount on the
draft to two or more persons is invalid.
(2)
出票人在汇票上记载“不得转让”字样的,汇票不得转让。背书人在汇票上记载“不得转
让”字样,其后
手再背书转让的,原背书人对后手的被背书人不承担保证责任。
(2)Where a
drawer writes
be an endorser writes the words
is transferred by the subsequent endorser, the
original endorser shall not bear the
liability
of guarantee to the subsequent endorsee.
(3)
背书记载“委托收款”字样的,被背书人有权代背书人行使被委托的汇票权利。但是,被
背书人不得再以
背书转让汇票权利。汇票可以设定质押;质押时应当以背书记载“质押”字样。被
背书人依法实现其质权
时,可以行使汇票权利。
(3)Where in an endorsement is
entitled to
exercise the mandated rights on
the bill of exchange on the endorser’s r,
the
endorsee may not negotiate the rights on the bill
by endorsement.
A bill of exchange may be
laid in pledge, provided that
in the
endorsement when the bill is laid in endorsee may
exercise the rights
on the bill when
exercising his right of pledge according to law.
(4)汇票被拒绝承兑、被拒绝付款或者超过付款提示期限的,不得背书转让;背书转让的,背书人应当承担汇票责任。
(4)A draft shall not be
endorsed over to others when it has been refused
to accept
or pay or the time of payment as
indicated is such a draft is endorsed over to
others, the endorser shall bear the liability
of the draft.
2.汇票承兑
定日付款或者出票后定期付款的汇票,
持票人应当在汇票到期日前向付款人提示承兑。见票后
定期付款的汇票,持票人应当自出票日起1个月内
向付款人提示承兑。汇票未按照规定期限提示承
兑的,持票人丧失对其前手的追索权。见票即付的汇票无
需提示承兑。
付款人承兑汇票,不得附有条件;承兑附有条件的,视为拒绝承兑。
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ance
For a draft payable on a fixed date or
on a fixed date set after the date of draft,
the holder shall make presentation for
acceptance to the payer before the due date of
a draft payable on a fixed date after sight,
the holder shall present it for
acceptance to
the payer within one month starting from the date
of draft.
If a holder has failed to make
presentation for acceptance according to the
prescribed
time limit, that holder shall lose
the right of recourse against the prior holder.
No presentation for acceptance is necessary
for a draft payable at shall
be no conditions
attached in accepting a there are conditions
attached in
acceptance, it shall be regarded
as refusal of acceptance.
3.汇票保证
保证人在汇
票或者粘单上未记载被保证人的,已承兑的汇票,承兑人为被保证人;未承兑的汇
票,出票人为被保证人
。保证人在汇票或者粘单上未记载保证日期的,出票日期为保证日期。
tee
If
a guarantor has failed to record warrantee on the
draft or allonge, the acceptor
shall be the
guaranteed party of the accepted draft; and the
drawer shall be the guaranteed
party for the
draft not the guarantor has failed to record date
of guaranty,
the date of draft shall be the
date of guaranty.
保证不得附有条件;附有条件的,不影响对汇票的保证责任。
被保证的汇票,保证人应当与被保证
人对持票人承担连带责任。汇票到期后得不到付款的,持
票人有权向保证人请求付款,保证人应当足额付
款。
保证人为二人以上的,保证人之间承担连带责任。
保证人清偿汇票债务后,可以行使持票人对被保证人及其前手的追索权。
A guarantor
shall guarantee that there are no conditions
conditions have
been attached, they shall not
affect the liability of guaranty for the bill of
exchange.
Where a bill of exchange is
guaranteed, the guarantor shall, together with the
guarantee,
undertake joint and several
liabilities to the holder payment is not made
at the maturity of such bill, the holder is
entitled to demand payment from the guarantor
and the latter shall pay the bill in full.
Where there are two or more guarantors, they
shall undertake joint and several
liabilities.
After the guarantor pays off the debt of the
bill of exchange, the guarantor may exercise
the right of recourse as enjoyed by the holder
against the guarantee and his prior parties.
4.汇票付款
持票人应当按照下列期限提示付款:
(1)见票即付的汇票,自出票日起1个月内向付款人提示付款;
t
A
holder of a bill of exchange shall make
presentation for payment according to the
following time limits:
(1)Presentation
for payment shall be made to the payer within one
month starting from
the date of draft for a
bill of exchange payable at sight;
(2)定日付款、出
票后定期付款或者见票后定期付款的汇票,自到期日起10日内向承兑人提
示付款。持票人未按照前款规
定期限提示付款的,在作出说明后,承兑人或者付款人仍应当继续对
持票人承担付款责任。
对定日付款、出票后定期付款或者见票后定期付款的汇票,付款人在到期日前付款的,由付款
人自行承担
所产生的责任。
(2)Presentation for payment shall be
made to the acceptor within 10 days starting
from the due date for a bill of exchange
payable on a fixed date or on a fixed date after
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the
date of draft or on a fixed date after sight.
When the holder has failed to make presentation
for payment within the time limited
prescribed
in the preceding paragraph and some explanations
are made, the acceptor or payer
shall continue
to undertake the liability of payment to the
holder.
Where the drawee makes payment
before the date of maturity for a bill of exchange
payable
at a fixed date, at a fixed period
after the date of issue, or at a fixed period
after sight,
the drawee shall bear the
liability by himself.
5.票据追索权
追索权的取得:(
1)汇票到期被拒绝付款;(2)汇票在到期日前被拒绝承兑;(3)在汇票到
期日前,承兑人或付款人
死亡、逃匿的;(4)在汇票到期日前,承兑人或付款人被依法宣告破产或
因违法被责令终止业务活动。
of Recourse
Right of recourse derives
from: (1)Payment of a bill of exchange is refused
at the
date of maturity;(2)The bill is
dishonored by non-acceptance before the date of
maturity;
(3)The acceptor or the drawee has
died or escaped before the date of maturity;
(4)The acceptor or the drawee is declared bankrupt
according to law or is ordered
to stop
business activities for violation of law before
the date of maturity.
汇票的出票人、背书人、承兑人和保证人对持票人
承担连带责任。持票人可以不按照汇票债务
人的先后顺序,对其中任何一人、数人或者全体行使追索权。
持票人对汇票债务人中的一人或者数
人已经进行追索的,对其他汇票债务人仍可以行使追索权。被追索人
清偿债务后,与持票人享有同
一权利。
持票人为出票人的,对其前手无追索权。持票人为背书人的,对其后手无追索权。
The
drawer, endorser, acceptor and guarantor shall
bear joint and several liabilities
with regard
to the holder.A holder may exercise the right of
recourse against one person
or several persons
or all the draft debtors in disregard of the
sequential order of the
debtors.
After a
holder has exercised the right of recourse against
one person or several persons
involving in the
draft, the holder may also exercise the right of
recourse over others
involved in the person
against whom the right of recourse has been
exercised will
enjoy the same right as the
holder after the debt has been cleared.
In
the case in which the holder is the drawer, the
holder has no right of recourse to
the prior
the case in which the holder is the endorser, the
holder has no right
of recourse against the
subsequent holders.
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