三、案例分析題

　　1、

　　<1>、

　　【正確答案】 ①A公司不設(shè)立董事會和監(jiān)事會合法。(0.5分)根據(jù)《公司法》規(guī)定，股東人數(shù)較少或者規(guī)模較小的有限責任公司可以不設(shè)董事會和監(jiān)事會。(0.5分)(2014年教材P168)

　�、诩讚喂緢�(zhí)行董事兼任公司監(jiān)事不合法。(0.5分)根據(jù)《公司法》規(guī)定，董事、高級管理人員不得兼任監(jiān)事。(0.5分)(2014年教材P168)

　　<2>、

　　【正確答案】 B公司可以對轉(zhuǎn)賬支票的金額進行補記。(1分)根據(jù)《票據(jù)法》規(guī)定，支票的金額和收款人名稱可由出票人授權(quán)補記。(1分)(2014年教材P355)

　　<3>、

　　【正確答案】 買賣合同有效。(1分)根據(jù)《合同法》規(guī)定，企業(yè)法人的法定代表人超越權(quán)限簽訂的合同，除相對人知道或應(yīng)當知道其超越權(quán)限的以外，該代表行為有效。(1分)(2014年教材P77)

　　<4>、

　　【正確答案】 定金合同有效。(1分)根據(jù)《擔保法》規(guī)定，定金應(yīng)當以書面形式約定，定金合同從實際交付定金之日起生效;定金的數(shù)額不得超過主合同標的額的20%。在本案中，書面簽訂定金合同，于1月28日交付定金，合同標的額為230萬元，雙方約定的定金數(shù)額低于主合同標的額的20%。(1分)(2014年教材P82)

　　<5>、

　　【正確答案】 定金合同從1月28日生效。(1分)根據(jù)《擔保法》規(guī)定，定金合同從實際交付定金之日起生效。(1分)(2014年教材P82)

　　<6>、

　　【正確答案】 運費由B公司承擔。(1分)根據(jù)《合同法》規(guī)定，履行費用的負擔不明確，且通過法律規(guī)定等不能夠確定的，由履行義務(wù)的一方承擔。(1分)(2014年教材P73)

　　2、

　　<1>、

　　【正確答案】 甲買入A公司股票的行為符合法律規(guī)定。(1分)上市公司董事長可以自行買入公司股票，法律未作出限制性規(guī)定。(1分)

　　K’s behavior of buying company A’s stocks meets provisions of law. The listed company’s chairman can buy the company’s stocks and the law does not make restrictive provisions.

　　<2>、

　　【正確答案】 甲出售A公司股票的數(shù)量不符合法律規(guī)定。(1分)根據(jù)規(guī)定，公司董事、監(jiān)事、高級管理人員應(yīng)當向公司申報所持有的本公司的股份及其變動情況，在任職期間每年轉(zhuǎn)讓的股份不得超過其所持有本公司股份總數(shù)的25%。2012年1月5日，甲以每股26元的價格出售了3萬股股票，超過了甲持有公司股份總數(shù)的25%，不符合規(guī)定。(1分)(2014年教材P164)

　　The amount of company A’s stocks sold by company K does not meet provisions of law. According to relevant regulations, directors, supervisors and senior management should declare the company’s stocks they hold and relevant change and stocks they transferred during their term of office cannot exceed 25% of the total amount of the company’s stocks they holD.On January 5th, 2012, K sold 3,000 stocks at the price of 26 Yuan per share, which exceeds 25% of the total amount of the company’s stocks K holD.Therefore, it does not meet relevant regulations.

　　<3>、

　　【正確答案】 丙要求甲將股票買賣所得收益上繳給A公司符合法律規(guī)定。(1分)證券法規(guī)定，上市公司董事、監(jiān)事、高級管理人員、持有上市公司股份5%以上的股東，將其持有的該公司的股票在買入后6個月內(nèi)賣出，或者在賣出后6個月內(nèi)又買入，由此所得收益歸該公司所有，公司董事會應(yīng)當收回其所得收益。(2分)(2014年教材P253)

　　The situation that Q requires K to hand in the gains from dealing shares to company A meets provisions of law. Securities Law regulates that, if directors, supervisors, senior management of listed company and shareholders who hold more than 5% of the listed company’s stocks sell the company’s stocks they hold within 6 months after they buy the stocks, or buy the stocks within 6 months after they sell the stocks, the relevant gains belongs to the company, and the company’s board of directors should take back their gains.

　　<4>、

　　【正確答案】 丙有資格提起訴訟。(1分)根據(jù)規(guī)定，上市公司董事、監(jiān)事、高管、持股5%以上的股東，將其持有的公司股票買入后6個月內(nèi)賣出，或者賣出后6個月內(nèi)買入，由此所得收益歸該公司所有，公司董事會應(yīng)當收回其所得收益。公司董事會不按上述規(guī)定執(zhí)行的，股東有權(quán)要求董事會在30天內(nèi)執(zhí)行，公司董事會未在上述期限內(nèi)執(zhí)行的，股東有權(quán)為了公司的利益以自己的名義直接向人民法院提起訴訟。本題中甲的行為違反了上述短線交易的限制規(guī)定，丙于2012年1月9日要求董事會收回甲的買賣股票收益，董事會一直未予理會。到2012年2月12日已滿30天，董事會未予執(zhí)行，所以丙可以以自己的名義向法院提起訴訟。(3分)(2014年教材P253)

　　Q is qualified for filing the lawsuit. According to provisions, if directors, supervisors, senior management of listed company and shareholders who hold more than 5% of the listed company’s stocks, sell the company’s stocks they hold within 6 months after they buy the stocks, or buy the stocks within 6 months after they sell the stocks, the relevant gains belongs to the company, and the company’s board of directors should take back their gains. If the company’s board of directors do not implement this according to above regulations, shareholders have the right to require the board of directors to implement this within 30 days, and if the board of directors does not implement this within above deadline, shareholders have the right to file a lawsuit in their own name to the court for the company’s sake. In this question, K’s behavior meets the above restrictive provisions about short-swing trading. On January 1st, 2012, Q required the board of directors to take back K’s gains from share dealing, but the board of directors ignored the request. Until February 2nd, 2012， it had been 30 days, but the board of directors did not implement the request, so Q could file a lawsuit to the court in its own name.

　　<5>、

　　【正確答案】 上交所會采取停牌措施并要求A公司在1個月內(nèi)提交解決股權(quán)分布問題的方案，如果公司不按時提交的，其股票會被暫停上市交易。根據(jù)規(guī)定，因股權(quán)分布不具備上市條件的，公司在規(guī)定的1個月內(nèi)應(yīng)向上交所提交股權(quán)分布問題的方案，如果不按時提交的，由上交所決定暫停其股票上市交易。(1分)本題中，由于社會公眾股東持股比例僅為19.85%(社會公眾股東指不包括下列股東的上市公司其他股東：①持有上市公司10%以上股份的股東及其一致行動人;②上市公司董事、監(jiān)事、高級管理人員及其關(guān)聯(lián)人)。由于社會公眾股東持股比例低于了公司總股本的25%，因此不符合上市條件，可能會被上交所實施“退市風險警示”或“暫停上市交易”。(1分)(2014年教材P228)

　　Shanghai Stock Exchange will take the measure of trading suspension and require company A to submit the plan of resolving the problem of shares distribution within 1 month, and if the company does not submit the plan on time, its stocks trading will be suspendeD.According to provisions, if shares distribution does not meet the listing criteria, the company should submit the plan of resolving the problem of shares distribution within 1 month, and if the plan is not submitted on time, Shanghai Stock Exchange will suspend its stocks trading. In this question, because the public’s shareholding ratio (the public shareholders do not include the following shareholders: 1.stockholders who hold more than 10% of the total stock issued and persons acting in concert; 2. directors, supervisors, senior management of listed company and their related persons ) is only 19.85%, which is lower than 25% of the company’s total stock issued, so it does not meet the listing criteria and the company may be given“risk warning of delisting” or“suspending listing and trading”.

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