三、案例分析题

　　1、

　　<1>、

　　【正确答案】 ①A公司不设立董事会和监事会合法。(0.5分)根据《公司法》规定，股东人数较少或者规模较小的有限责任公司可以不设董事会和监事会。(0.5分)(2014年教材P168)

　　②甲担任公司执行董事兼任公司监事不合法。(0.5分)根据《公司法》规定，董事、高级管理人员不得兼任监事。(0.5分)(2014年教材P168)

　　<2>、

　　【正确答案】 B公司可以对转账支票的金额进行补记。(1分)根据《票据法》规定，支票的金额和收款人名称可由出票人授权补记。(1分)(2014年教材P355)

　　<3>、

　　【正确答案】 买卖合同有效。(1分)根据《合同法》规定，企业法人的法定代表人超越权限签订的合同，除相对人知道或应当知道其超越权限的以外，该代表行为有效。(1分)(2014年教材P77)

　　<4>、

　　【正确答案】 定金合同有效。(1分)根据《担保法》规定，定金应当以书面形式约定，定金合同从实际交付定金之日起生效;定金的数额不得超过主合同标的额的20%。在本案中，书面签订定金合同，于1月28日交付定金，合同标的额为230万元，双方约定的定金数额低于主合同标的额的20%。(1分)(2014年教材P82)

　　<5>、

　　【正确答案】 定金合同从1月28日生效。(1分)根据《担保法》规定，定金合同从实际交付定金之日起生效。(1分)(2014年教材P82)

　　<6>、

　　【正确答案】 运费由B公司承担。(1分)根据《合同法》规定，履行费用的负担不明确，且通过法律规定等不能够确定的，由履行义务的一方承担。(1分)(2014年教材P73)

　　2、

　　<1>、

　　【正确答案】 甲买入A公司股票的行为符合法律规定。(1分)上市公司董事长可以自行买入公司股票，法律未作出限制性规定。(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>、

　　【正确答案】 甲出售A公司股票的数量不符合法律规定。(1分)根据规定，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%。2012年1月5日，甲以每股26元的价格出售了3万股股票，超过了甲持有公司股份总数的25%，不符合规定。(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>、

　　【正确答案】 丙要求甲将股票买卖所得收益上缴给A公司符合法律规定。(1分)证券法规定，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。(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>、

　　【正确答案】 丙有资格提起诉讼。(1分)根据规定，上市公司董事、监事、高管、持股5%以上的股东，将其持有的公司股票买入后6个月内卖出，或者卖出后6个月内买入，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。公司董事会不按上述规定执行的，股东有权要求董事会在30天内执行，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。本题中甲的行为违反了上述短线交易的限制规定，丙于2012年1月9日要求董事会收回甲的买卖股票收益，董事会一直未予理会。到2012年2月12日已满30天，董事会未予执行，所以丙可以以自己的名义向法院提起诉讼。(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>、

　　【正确答案】 上交所会采取停牌措施并要求A公司在1个月内提交解决股权分布问题的方案，如果公司不按时提交的，其股票会被暂停上市交易。根据规定，因股权分布不具备上市条件的，公司在规定的1个月内应向上交所提交股权分布问题的方案，如果不按时提交的，由上交所决定暂停其股票上市交易。(1分)本题中，由于社会公众股东持股比例仅为19.85%(社会公众股东指不包括下列股东的上市公司其他股东：①持有上市公司10%以上股份的股东及其一致行动人;②上市公司董事、监事、高级管理人员及其关联人)。由于社会公众股东持股比例低于了公司总股本的25%，因此不符合上市条件，可能会被上交所实施“退市风险警示”或“暂停上市交易”。(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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