股权质押的法律风险分析本科生毕业（设计）论文.doc

摘 要 随着《物权法》以及《工商行政管理机关股权出质登记办法》的颁布实施，广大企业逐渐认识到股权质押作为融资方式的重要作用。物权法实施几年来，股权质押制度在实践中被大量运用，随之产生了大量的法律纠纷，股权质押制度法律规定的不足也相应暴露了出来。在对股权质押实践进行调查的基础上，笔者发现相比于上市公司股权质押，非上市公司股权质押因其对质权人的风险更大而难以为融资方所接受，但是实践中广大的中小企业又亟需利用该方式贷款以解决资金缺乏的问题。因此，本文主要从质权人利益保护的角度对非上市公司股权质押的风险防范进行研究。由于股权质押的风险在股权质押的过程中都有风险存在的可能性，因此本文主要分析股权质押过程中可能存在的风险及防范。 关键词：非上市公司 股权质押 法律风险 风险防范 ABSTRACT After the property law and some other related legal provisions were successively issued, the importance of the system has been gradually realized by the companies, especially which have fell into the funding crisis. In recent years the implementation of property law, equity pledge system have been widely used in practice, followed generated a lot of legal disputes, lack of institutional equity pledge law accordingly exposed. Through the survey of the system, I found that the stock of the unlisted companies is hard to be accepted by the lenders. The reason is that there exits much more risks when take the stock of unlisted companies as the object of the pledge. However, the unlisted companies are more anxious to get money using this system compared with the listed companies. Therefore, this paper mainly from the perspective of protecting the interests of the pledgee unlisted companies pledged equity risk prevention research.Because of the possibility of risk in the equity pledge equity pledge process has risks, so the main analysis in this article may share pledge process risk and prevention. Key Words：目 录 摘 要 1 ABSTRACT 2 文献综述 1 引 言 3 1.非上市公司股权质押风险防范概论 4 1.1非上市公司股权质押的基本理论 4 1.2.非上市公司股权质押的风险及判断 5 2.出质人欺诈的风险及防范 7 2.1出质人欺诈的类型 7 2.2降低出质人欺诈风险的措施 7 3.股权质押标的隐含的风险及防范 9 3.1质押标的不适格的风险分析 9 3.2质押股权的选择 10 4.质权人权利体系不规范的风险及防范 14 4.1质权人权利缺陷的风险分析 14 4.2完善质权权利体系 16 结 语 20 参考文献 21 致谢辞 23 附录 24  文献综述 股票作为一种财产权利开始成为了财产权利质押担保的重要组成部分，股权质押以一种全新的面貌出现在财产权利质押领域，尤其是与股权质押相关的法律制度开始出现在不同法系国家的法典和公司制度立法中。在大陆法系国家，股权质押制度开始在民法典和独立的公司法中体现。而在英美法系国家，股权质押是以股票按揭的形式出现的，而这种股票按揭的形式有可以分为法定按揭与股票的衡平法按揭。可以说，股权质押的出现，丰富了权利质权的内容，也促进了公司的建立和商业贸易的繁荣，是市场经济发展的必然条件，也是进