合規(guī)解讀 - 一方擅自轉(zhuǎn)讓股權(quán)，需要配偶同意嗎？答案你想不到
在股權(quán)轉(zhuǎn)讓糾紛中，有時會遇到夫妻一方擅自轉(zhuǎn)讓其名下的股權(quán)，另一方向法院提出轉(zhuǎn)讓無效的請求。
In the dispute of equity transfer, sometimes one of the husband and wife transfers the shares in his/her name without authorization, and the other makes a request to the court that the transfer is invalid.
對于該請求，各地法院的判決角度不一，認為夫妻關(guān)系存續(xù)期間取得的股權(quán)或者以夫妻共同財產(chǎn)出資形成的股權(quán)屬于夫妻共同財產(chǎn)，應(yīng)按照《民法典》中關(guān)于夫妻共同財產(chǎn)的規(guī)定處理。
As for the request, the judgment of courts in different places is different. They think that the equity obtained during the existence of the relationship between husband and wife or the equity formed by the joint property of husband and wife belongs to the joint property of husband and wife, which should be dealt with in accordance with the provisions of the Civil Code of the People's Republic of China on the joint property of husband and wife.
還有的認為該類糾紛屬于家庭財產(chǎn)糾紛，首先應(yīng)當(dāng)適用《民法典》的規(guī)定，作為調(diào)整商事行為的《公司法》處于適用的次要地位。
Others think that this kind of disputes belong to family property disputes, and the provisions of the Civil Code of the People's Republic of China should be applied first. The Company Law of the People's Republic of China, which regulates commercial behavior, is in the secondary position
在我們處理的幾起該類案件中，股權(quán)轉(zhuǎn)讓方的配偶提起訴訟，要求確認股權(quán)轉(zhuǎn)讓協(xié)議無效、并返還股權(quán)
In several such cases, the spouse who has transferred the equity filed a lawsuit to confirm the invalidity of the equity transfer agreement and return the equity
該訴請在雙方當(dāng)事人之間形成的是因股權(quán)轉(zhuǎn)讓合同形成的法律關(guān)系，核心為股權(quán)轉(zhuǎn)讓糾紛，根據(jù)案件情況如涉及到夫妻共同財產(chǎn)的，則同時考慮《民法典》的規(guī)定。
The claim between the two parties is the legal relationship of equity transfer contract, which is defined as a dispute of equity transfer. According to the situation of the case, if the joint property of husband and wife is involved, the provisions of the Civil Code of the People's Republic of China shall be considered at the same time.
否則，對該類案件的處理應(yīng)當(dāng)適用我國《公司法》的相關(guān)調(diào)整股權(quán)轉(zhuǎn)讓交易的法律規(guī)范，而不應(yīng)首先適用調(diào)整婚姻及其財產(chǎn)關(guān)系的法律規(guī)定。
Otherwise, The Company Law of the People's Republic of China should be applied to deal with such cases, rather than the marriage and property relationship.
那夫妻一方擅自轉(zhuǎn)讓登記在其名下的股權(quán)，是否需要經(jīng)過配偶同意呢？
When a party transfers its equity , does it need the consent of his/her spouse?
從我們的實踐操作來看，這個問題需要分兩種情況來分析：
From our experience, this problem needs to be analyzed in two situations:
一、夫妻雙方共同出資設(shè)立的公司（即夫妻公司）
1、 Company jointly funded by husband and wife
夫妻雙方共同出資設(shè)立公司的，應(yīng)當(dāng)以各自所有的財產(chǎn)作為注冊資本，并各自承擔(dān)相應(yīng)的責(zé)任。
Where the husband and wife jointly contribute to the establishment of a company, their respective property shall be taken as the registered capital, and they shall bear their respective responsibilities.
因此，夫妻雙方登記注冊公司時應(yīng)當(dāng)提交財產(chǎn)分割證明。
Therefore, the husband and wife shall submit the certificate of property division when registering the registered company.
未進行財產(chǎn)分割的，應(yīng)當(dāng)認定為夫妻雙方以共同共有財產(chǎn)出資設(shè)立公司。
If there is no division of property, it shall be deemed that both husband and wife contribute to the establishment of the company with their common property.
在夫妻關(guān)系存續(xù)期間，夫或妻名下的公司股份屬于夫妻雙方共同共有的財產(chǎn)，作為共同共有人，夫妻雙方對該項財產(chǎn)享有平等的占有、使用、收益和處分的權(quán)利。
During the duration of the relationship between husband and wife, the company shares in the name of husband or wife belong to the common property of both husband and wife. As joint owners, both husband and wife have equal rights to possess, use, benefit and dispose of the property.
同時，《民法典》第一千零六十條第二款，夫妻之間對一方可以實施的民事法律行為范圍的限制，不得對抗善意相對人。
Meanwhile, article 1600, paragraph 2, of the Civil Code of the People's Republic of China, the limits of civil legal acts between husband and wife that one party can carry out shall not be against the opposite person in good faith.
因此，夫或妻一方轉(zhuǎn)讓共同共有的公司股權(quán)的行為，屬于對夫妻共同財產(chǎn)作出重要處理，應(yīng)當(dāng)由夫妻雙方協(xié)商一并共同在股權(quán)轉(zhuǎn)讓協(xié)議、股東會決議和公司章程修正案上簽名。
Therefore, the act of husband or wife transferring the equity of the joint company is an important disposal of the joint property of husband and wife. Both husband and wife should negotiate and sign the equity transfer agreement, the resolution of the shareholders' meeting and the amendment to the articles of association together.
綜上，夫妻雙方共同共有公司股權(quán)的，夫或妻一方與他人訂立股權(quán)轉(zhuǎn)讓協(xié)議的效力問題，應(yīng)當(dāng)根據(jù)案件事實，結(jié)合另一方對股權(quán)轉(zhuǎn)讓是否明知、受讓人是否為善意等因素進行綜合分析。
To sum up,if both husband and wife share the company shares, the validity of the husband or wife to conclude an equity transfer agreement with others shall be comprehensively analyzed based on the facts of the case and the other party's knowledge of the transfer of shares and whether the assignee is in good faith.
如果能夠認定另一方明知股權(quán)轉(zhuǎn)讓，且受讓人是基于善意，則股權(quán)轉(zhuǎn)讓協(xié)議對于另一方具有約來力，無須經(jīng)過配偶一方的同意和確認。
If it can be found that the other party knows the equity transfer well and the transferee is in good faith, the equity transfer agreement has contractual force for the other party, without the consent and confirmation of the spouse.
二、夫妻一方與他人共同設(shè)立公司，股權(quán)登記在該夫或妻一人名下
2、 One of the husband and wife establishes a company with others, and the equity is registered in the name of the husband or wife
此種情形下，對于轉(zhuǎn)讓方配偶提出的股權(quán)轉(zhuǎn)讓未經(jīng)其同意，股權(quán)轉(zhuǎn)讓協(xié)議無效的訴請理由，法院一般認為，股權(quán)作為一項特殊的財產(chǎn)權(quán)，除其具有的財產(chǎn)權(quán)益內(nèi)容外，還具有與股東個人的社會屬性及其特質(zhì)、品格密不可分的人格權(quán)、身份權(quán)等內(nèi)容。
In this case, the court generally holds that the equity, as a special property right, has not only the content of property rights, but also the content of personality rights and identity rights, which are closely related to the social attribute and character of shareholders.
如無特別約定，對于自然人股東而言，股權(quán)仍屬于商法規(guī)范內(nèi)的私權(quán)范疇，其各項具體權(quán)能應(yīng)由股東本人獨立行使，不受他人干涉。
Without special agreement, for natural person shareholders, the equity is still the private right within the norms of commercial law. All specific rights and powers of the shareholders shall be exercised independently by the shareholders themselves and shall not be interfered by others.
在股權(quán)流轉(zhuǎn)方面，我國《公司法》確認的合法轉(zhuǎn)讓主體也是股東本人，而不是其所在的家庭。
In terms of equity transfer, the legal transfer subject confirmed by The Company Law of the People's Republic of China is also the shareholder himself, not his family.
因此，只要轉(zhuǎn)讓方在簽署股權(quán)轉(zhuǎn)讓協(xié)議時是適格的民事主體，意思表示真實、明確，協(xié)議內(nèi)容不違反我國《民法典》《公司法》的強制性規(guī)定，該股權(quán)轉(zhuǎn)讓協(xié)議應(yīng)認定有效。無須經(jīng)過配偶一方的同意和確認。
Therefore, as long as the transferor is a qualified civil subject when signing the equity transfer agreement, the meaning is true and clear, and the content of the agreement does not violate the mandatory provisions of the civil code and the company law of our country, the equity transfer agreement should be recognized as valid. Without the consent and confirmation of one spouse.
特別聲明Notes：
以上文章僅代表作者本人觀點，不代表上海錦坤律師事務(wù)所或其律師出具的任何形式之法律意見或建議。如需轉(zhuǎn)載或引用該等文章的任何內(nèi)容，請私信溝通授權(quán)事宜。如您有意就相關(guān)話題進一步交流或探討，歡迎與本所或律師本人聯(lián)系。
This article only represents the author's own views, and does not represent any form of legal opinions or suggestions issued by Shanghai Jinkun Law Firm .If you need to reprint or quote any content of these articles, please contact us. If you are interested in further exchange or discussion on related topics, please contact the lawyer or us.
作者:徐寶同 Author：XuBaotong
日照仲裁委員會 仲裁員
Arbitrator of RIZHAO Arbitration
上海錦坤律師事務(wù)所 合伙人
Partner of Shanghai JinKun Law firm
業(yè)務(wù)方向: 民商事類、訴訟仲裁爭議解決
Commercial Arbitration and Litigation
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