來源：中國證監會

一、案例簡介

小王是(shi)一家企業(ye)的(de)(de)銷(xiao)售人員，平時會做一些股票投(tou)資(zi)，在了解到所投(tou)資(zi)的(de)(de)某上市公司將于明(ming)天召開股東大會后，小王決定現場(chang)參會，正好可(ke)以問(wen)一些他關(guan)心的(de)(de)問(wen)題。

大(da)(da)會(hui)(hui)當天(tian)，小(xiao)王(wang)提前十五分鐘(zhong)到達(da)會(hui)(hui)議(yi)現(xian)場(chang)(chang)，向證(zheng)券(quan)事(shi)務(wu)代(dai)(dai)(dai)表(biao)遞交了股(gu)(gu)(gu)(gu)(gu)票(piao)(piao)(piao)賬戶卡、身份證(zheng)復印(yin)件等材料，證(zheng)券(quan)事(shi)務(wu)代(dai)(dai)(dai)表(biao)核(he)對(dui)(dui)小(xiao)王(wang)的(de)(de)(de)材料后(hou)，問(wen)小(xiao)王(wang)是(shi)否(fou)提前辦理過(guo)現(xian)場(chang)(chang)參會(hui)(hui)手續，小(xiao)王(wang)回答昨天(tian)才知(zhi)道公(gong)司(si)今(jin)天(tian)要開股(gu)(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)會(hui)(hui)，正好(hao)對(dui)(dui)本次股(gu)(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)會(hui)(hui)的(de)(de)(de)兩項議(yi)案(an)有(you)(you)些疑(yi)問(wen)，希(xi)望在(zai)參會(hui)(hui)時(shi)請公(gong)司(si)解釋一下，證(zheng)券(quan)事(shi)務(wu)代(dai)(dai)(dai)表(biao)聽完，拿(na)出一份?某上市(shi)公(gong)司(si)關(guan)于召開２０１７ 年度股(gu)(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)會(hui)(hui)的(de)(de)(de)通(tong)知(zhi)? (以下簡(jian)稱?股(gu)(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)會(hui)(hui)通(tong)知(zhi)?） ，并用筆重點劃出其中(zhong)一條“欲參加(jia)本次股(gu)(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)會(hui)(hui)現(xian)場(chang)(chang)會(hui)(hui)議(yi)的(de)(de)(de)股(gu)(gu)(gu)(gu)(gu)東(dong)(dong)應辦理登記(ji)手續，未在(zai)登記(ji)時(shi)間內登記(ji)的(de)(de)(de)公(gong)司(si)股(gu)(gu)(gu)(gu)(gu)東(dong)(dong)可以列(lie)席(xi)本次現(xian)場(chang)(chang)股(gu)(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)會(hui)(hui)，但對(dui)(dui)會(hui)(hui)議(yi)審議(yi)事(shi)項沒有(you)(you)表(biao)決權”，并稱?股(gu)(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)會(hui)(hui)通(tong)知(zhi)? 已明(ming)確規定沒有(you)(you)提前登記(ji)的(de)(de)(de)股(gu)(gu)(gu)(gu)(gu)東(dong)(dong)可以列(lie)席(xi)股(gu)(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)會(hui)(hui)，但對(dui)(dui)會(hui)(hui)議(yi)審議(yi)事(shi)項沒有(you)(you)表(biao)決權。小(xiao)王(wang)一聽就納悶(men)了，心里(li)犯嘀(di)咕:“我(wo)買他們公(gong)司(si)的(de)(de)(de)股(gu)(gu)(gu)(gu)(gu)票(piao)(piao)(piao)都好(hao)幾(ji)年了，怎么連(lian)投票(piao)(piao)(piao)的(de)(de)(de)權利都沒有(you)(you)?”

會(hui)議(yi)(yi)正式開(kai)始(shi)后，公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)逐項(xiang)宣讀了(le)議(yi)(yi)案，小(xiao)王(wang)就其(qi)關心(xin)的(de)(de)兩項(xiang)議(yi)(yi)案向(xiang)(xiang)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)董(dong)事(shi)長和(he)總經理提問并(bing)得到了(le)回復。在(zai)(zai)投(tou)票(piao)環節，證代向(xiang)(xiang)其(qi)他幾位股(gu)(gu)(gu)(gu)東(dong)(dong)(dong)都發放了(le)紙質(zhi)投(tou)票(piao)意(yi)見(jian)(jian)，唯獨略過(guo)小(xiao)王(wang)。小(xiao)王(wang)向(xiang)(xiang)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)董(dong)秘(mi)提出抗議(yi)(yi): “我(wo)是(shi)你們(men)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)的(de)(de)股(gu)(gu)(gu)(gu)東(dong)(dong)(dong)，已(yi)持有公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)股(gu)(gu)(gu)(gu)票(piao)近兩年，有權參加股(gu)(gu)(gu)(gu)東(dong)(dong)(dong)大(da)(da)會(hui)并(bing)現(xian)(xian)場(chang)(chang)投(tou)票(piao)，你們(men)為(wei)何剝(bo)奪(duo)我(wo)的(de)(de)股(gu)(gu)(gu)(gu)東(dong)(dong)(dong)權利(li)(li)?” 董(dong)秘(mi)稱: “ ?公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)股(gu)(gu)(gu)(gu)東(dong)(dong)(dong)大(da)(da)會(hui)通知? 中已(yi)明(ming)確告知股(gu)(gu)(gu)(gu)東(dong)(dong)(dong)現(xian)(xian)場(chang)(chang)參會(hui)要(yao)提前登記? 如未提前登記的(de)(de)，須承擔不能現(xian)(xian)場(chang)(chang)投(tou)票(piao)的(de)(de)后果。” 王(wang)反駁:“我(wo)大(da)(da)學時學過(guo)一(yi)些(xie)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)法知識，如果公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)不讓(rang)我(wo)投(tou)票(piao)，本(ben)次(ci)股(gu)(gu)(gu)(gu)東(dong)(dong)(dong)大(da)(da)會(hui)的(de)(de)召集程序和(he)表決方式有瑕疵(ci)，我(wo)有權請(qing)求撤銷本(ben)次(ci)股(gu)(gu)(gu)(gu)東(dong)(dong)(dong)大(da)(da)會(hui)決議(yi)(yi)。” 這時候一(yi)名獨立董(dong)事(shi)站出來(lai)當了(le)和(he)事(shi)佬，勸(quan)小(xiao)王(wang)和(he)董(dong)秘(mi)不要(yao)那么(me)僵，并(bing)授意(yi)董(dong)秘(mi)和(he)證代給小(xiao)王(wang)發放了(le)紙質(zhi)投(tou)票(piao)意(yi)見(jian)(jian)。在(zai)(zai)小(xiao)王(wang)的(de)(de)極(ji)力爭取下， 終于(yu)在(zai)(zai)現(xian)(xian)場(chang)(chang)投(tou)了(le)票(piao)。 會(hui)后，小(xiao)王(wang)仍舊氣(qi)憤于(yu)該上市公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)對股(gu)(gu)(gu)(gu)東(dong)(dong)(dong)權利(li)(li)的(de)(de)隨(sui)意(yi)剝(bo)奪(duo)，向(xiang)(xiang)該上市公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)所屬證監局反映了(le)情況，證監局要(yao)求該上市公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)對?股(gu)(gu)(gu)(gu)東(dong)(dong)(dong)大(da)(da)會(hui)通知? 是(shi)否限制股(gu)(gu)(gu)(gu)東(dong)(dong)(dong)權利(li)(li)等情況進行自查(cha)，并(bing)請(qing)公(gong)(gong)(gong)(gong)司(si)(si)(si)(si)律(lv)師(shi)出具法律(lv)意(yi)見(jian)(jian)。

二、案例分析和啟示

?公(gong)司(si)(si)(si)法(fa)(fa)(fa)? 第(di)(di)一百(bai)零三條規(gui)(gui)定(ding)(ding)，股(gu)(gu)(gu)(gu)東(dong)(dong)出(chu)席股(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)(da)會(hui)(hui)(hui)(hui)會(hui)(hui)(hui)(hui)議(yi)(yi)，所持每一股(gu)(gu)(gu)(gu)份(fen)有(you)(you)一表(biao)決(jue)(jue)(jue)權(quan)(quan)(quan)(quan)(quan)(quan)。?上市(shi)公(gong)司(si)(si)(si)股(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)(da)會(hui)(hui)(hui)(hui)規(gui)(gui)則(ze)?第(di)(di)二十三條規(gui)(gui)定(ding)(ding)，股(gu)(gu)(gu)(gu)權(quan)(quan)(quan)(quan)(quan)(quan)登(deng)(deng)記日登(deng)(deng)記在冊(ce)的(de)(de)所有(you)(you)普通股(gu)(gu)(gu)(gu)股(gu)(gu)(gu)(gu)東(dong)(dong)或(huo)其(qi)代(dai)理人(ren)，均(jun)有(you)(you)權(quan)(quan)(quan)(quan)(quan)(quan)出(chu)席股(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)(da)會(hui)(hui)(hui)(hui)，公(gong)司(si)(si)(si)和召集人(ren)不得(de)以任何理由拒絕。上海證券交易所在２０１７ 年６ 月發(fa)布的(de)(de)?信(xin)息披(pi)露(lu)監管(guan)問答(da)? 中(zhong)明確(que)：實踐中(zhong)，為方(fang)便(bian)會(hui)(hui)(hui)(hui)議(yi)(yi)組織(zhi)，上市(shi)公(gong)司(si)(si)(si)往往會(hui)(hui)(hui)(hui)在股(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)(da)會(hui)(hui)(hui)(hui)召開前設置一個現場參(can)(can)會(hui)(hui)(hui)(hui)登(deng)(deng)記環節，這一登(deng)(deng)記并(bing)非召開股(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)(da)會(hui)(hui)(hui)(hui)的(de)(de)法(fa)(fa)(fa)定(ding)(ding)環節，只(zhi)要是股(gu)(gu)(gu)(gu)東(dong)(dong)登(deng)(deng)記日在冊(ce)的(de)(de)股(gu)(gu)(gu)(gu)東(dong)(dong)，不進(jin)行(xing)現場參(can)(can)會(hui)(hui)(hui)(hui)登(deng)(deng)記，也不妨礙該(gai)股(gu)(gu)(gu)(gu)東(dong)(dong)及其(qi)代(dai)理人(ren)現場出(chu)席股(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)(da)會(hui)(hui)(hui)(hui)并(bing)行(xing)使表(biao)決(jue)(jue)(jue)權(quan)(quan)(quan)(quan)(quan)(quan)。該(gai)公(gong)司(si)(si)(si)?公(gong)司(si)(si)(si)章程? 亦規(gui)(gui)定(ding)(ding)，股(gu)(gu)(gu)(gu)權(quan)(quan)(quan)(quan)(quan)(quan)登(deng)(deng)記日收市(shi)后登(deng)(deng)記在冊(ce)的(de)(de)股(gu)(gu)(gu)(gu)東(dong)(dong)為享有(you)(you)相關(guan)權(quan)(quan)(quan)(quan)(quan)(quan)益(yi)的(de)(de)股(gu)(gu)(gu)(gu)東(dong)(dong)，公(gong)司(si)(si)(si)股(gu)(gu)(gu)(gu)東(dong)(dong)有(you)(you)權(quan)(quan)(quan)(quan)(quan)(quan)依法(fa)(fa)(fa)請求、召集、主持、參(can)(can)加或(huo)者委托股(gu)(gu)(gu)(gu)東(dong)(dong)代(dai)理人(ren)參(can)(can)加股(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)(da)會(hui)(hui)(hui)(hui)，并(bing)行(xing)使相應(ying)的(de)(de)表(biao)決(jue)(jue)(jue)權(quan)(quan)(quan)(quan)(quan)(quan)。小王是該(gai)上市(shi)公(gong)司(si)(si)(si)股(gu)(gu)(gu)(gu)權(quan)(quan)(quan)(quan)(quan)(quan)登(deng)(deng)記日登(deng)(deng)記在冊(ce)的(de)(de)普通股(gu)(gu)(gu)(gu)股(gu)(gu)(gu)(gu)東(dong)(dong)，有(you)(you)權(quan)(quan)(quan)(quan)(quan)(quan)出(chu)席股(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)(da)會(hui)(hui)(hui)(hui)并(bing)行(xing)使相應(ying)的(de)(de)表(biao)決(jue)(jue)(jue)權(quan)(quan)(quan)(quan)(quan)(quan)，該(gai)上市(shi)公(gong)司(si)(si)(si)?關(guan)于召開２０１７ 年度股(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)(da)會(hui)(hui)(hui)(hui)的(de)(de)通知? 的(de)(de)有(you)(you)關(guan)規(gui)(gui)定(ding)(ding)，限(xian)制了股(gu)(gu)(gu)(gu)東(dong)(dong)出(chu)席股(gu)(gu)(gu)(gu)東(dong)(dong)大(da)(da)(da)會(hui)(hui)(hui)(hui)和投票(piao)的(de)(de)權(quan)(quan)(quan)(quan)(quan)(quan)利，違(wei)反(fan)了關(guan)法(fa)(fa)(fa)律法(fa)(fa)(fa)規(gui)(gui)和公(gong)司(si)(si)(si)自己制訂的(de)(de)章程，侵害了中(zhong)小投資者的(de)(de)合(he)法(fa)(fa)(fa)權(quan)(quan)(quan)(quan)(quan)(quan)益(yi)，應(ying)當進(jin)行(xing)修改(gai)。