论代持金融机构股权合同的效力
On the Validity of Equity Holding Contracts in Financial Institutions
朱程涛1
作者信息
- 1. 武汉大学 法学院,湖北 武汉 430000
- 折叠
摘要
基于金融监管的需要,代持金融机构股权被大量部门规章所禁止.由于部门规章的低位阶性及代持行为对经济安全与社会公共秩序的影响,以公序良俗否定合同效力具备合理性.相较于以个案思维、比例原则作为判断合同是否违背公序良俗的一般路径,"原则+例外"的认定思路更有助于司法审判与行政监管相向而行.原则上代持金融机构股权合同的效力应被否定,而当出现案涉行为不属于股权代持、股权代持已获得行政许可、股权代持未达到一定比例、股权代持未危及金融安全时,则应以行为不违反公序良俗为由作为否定合同效力的例外.
Abstract
Based on the needs of financial supervision,holding the equity of financial institutions is prohibited by a large number of departmental rules.Because of the low rank of the departmental rules and the influence ofequ-ity holding on economic security and social public order,it is reasonable to negate the validity of the equity con-tract of financial institutions with public order and good custom.Compared with case thinking,the proportionality principle is the general way to judge whether a contract violates public order and good customs,the idea of"prin-ciple+exception"is more helpful for judicial trial and administrative supervision to move towards the same di-rection.In principle,the validity of the equity contract of financial institutions should be denied,and when the be-havior involved in the case does not belong to equity holding,equity holding has obtained administrative permis-sion,equity holding has not reached a certain proportion,and equity holding has not threatened financial security,the exception should be taken as the reason that the behavior does not violate public order and good customs.
关键词
股权代持/金融机构/效力/部门规章/公序良俗Key words
equity holding/financial institutions/validity/departmental rules and regulations/public order and good custom引用本文复制引用
出版年
2024
NETL
NSTL
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