【作者】 谭阿勇；

【导师】 安国楼；

【作者基本信息】 郑州大学 ， 专门史， 2012， 博士

【摘要】 社会发展的历史进程就是社会制度和国家兴起、发展、不断变化的过程,也是此社会形态向彼社会形态过渡的过程。法律根植于社会经济生活之中并改变着经济生活,宋代市场律法亦是如此。两宋处于中国古代社会历史发展的新阶段,经济基础和上层建筑的变化必然推动民众思想意识的改变,相应地市场立法得以发展和充实,成为中国经济法史上的活跃时期。宋代信用问题是宋代商品经济的重要组成部分,它涉及到政治、法律、经济等多种社会关系。宋代商品经济的迅猛发展促进了信用行为的大量产生,市场立法中必然会出现对此进行规制和约束的法令,为商品经济的进一步发展提供法律上的保障和支持。因此,宋代信用的内容、种类及立法等若干问题,是宋代市场立法不可忽视的重要内容之一。笔者以遵循唯物史观的研究方法,在其他学者的研究基础上,进一步发掘、整理、分析有关史料,对宋代市场立法及信用问题进行梳理和论述。客观再现了宋代社会经济领域财产流转的形态,并归纳了政府对于市场行为及信用行为的法律干预和规范。本论文分为四个部分。一,对立法的概念、市场的范围及信用的范畴进行了界定。希望以此为切入点,分别对宋代自由市场立法、专卖市场立法、海外贸易市场立法,及与其相关的信用问题如高利贷立法、商业信用立法及票据立法,进行专题研究。二,通过对两宋自由市场管理机构的设置,商人的管理,商品的质量、价格进行具体考察。指出政府放松了对市场的管制,提高了商人社会地位并扩大了市场商事主体的范围,在市场准入和商品价格方面亦有前所未有的突破。其市场管理模式演进成为集中决策与市场调节并重的间接管制,达到了获得经济利益和限制商人资本的双重目的；探讨了专营市场及其管理立法。以宋代禁榷品为切入点,对其盐业、茶业、酒、矾、矿等专卖品立法进行具体分析。指出宋代专卖立法虽然复杂多变,缺乏稳定性,但其总的态势是由直接专卖到间接专卖,从官商、官销、官府独利,到官督、商运、商销、官商共利的方向转变；探讨了海外贸易市场及其管理立法。具体分析了宋代市舶机构的职能及市舶条法的具体内容。其内容主要包括机构设置、出入境检查、许可证制度、税收征管和蕃商招徕、管理等方面。指出其偏重于调整和规范官府与经营者之间的纵向法律关系,疏忽了经营者之间的横向法律关系。国家垄断是宋代海外贸易立法的本质特征,其立法内容与调整对象单一且未成系统。三,宋代市场经济中的基本信用行为主要包括高利贷信用行为和商业信用行为两种。高利贷使社会资金进行二次配置,在一定程度上因满足了借贷者的货币需求而暂时缓冲了社会动荡。但总体来看因其利率过高,阻碍了商品经济的发展。宋代商业信用由仅在消费领域大量存在,发展至流通及生产领域,降低了交易成本,加速了商品流通,推动了商品经济的发展。四,宋代土地的商品化推动了商品经济向前发展。与此相适应,更多的社会成员作为平等主体参加商事法律活动。经济关系和政治制度上的变革,推动意识形态发生相应变革,遂有由传统的讳言财利向利义均重思想的转变。这些都为信用行为的增加、信用立法的强化奠定了坚实基础。宋代立法对官营高利贷规定必须明确贷款资金来源、偿还期限、利息计算方法等。对私营高利贷,则侧重于对借放贷者的限制及借贷利率的规制。商业信用借贷几乎都是按照普通债务纠纷来处理,其中市易法、不断修订和变化的茶法、盐法和酒法等专卖法是对商业信用律法的有益补充。朝廷用诏、敕等多种法律形式对交引、交子、会子等的种类、价格、流通的方式及市场进行干预和管理,对明清的货币立法产生深远影响,是其重要渊源。但由于南宋朝廷无视商品经济发展规律,其肆意破坏金融货币制度的短视行为,加速了其国家经济崩溃、政权灭亡。众所周知,法律是建立在一定社会基础之上的上层建筑,其性质与发展规律是由该社会的经济基础所决定的,但它又对经济基础有巨大的反作用。北宋经济的崛起与南宋政权的灭亡,正是印证了这样的历史发展规律。我国现代市场立法更多的借鉴了西方近现代商事法学理论和制度,但中国传统的制度和理论对现代社会的影响依然存在。我们既要吸收西方先进的市场立法制度和法学理念,又要注重对传统的法律制度进行研究、分析和借鉴,全面认识中国商事法律制度的历史发展进程中的得与失,从而建立适应商品经济发展的中国特色法律制度。更多还原

【Abstract】 The historical process of social development is the process of social system and country’s rise, development, and changes and also the process of social form’s transition from one to another. The law is rooted in the social economic life and changes social and economic life, the market law of Song also does so.The two Song Dynasties in the Chinese ancient social history is in the new stage of development, economic base and superstructure changes will promote people’s change of ideology, the corresponding market legislation was developed and enriched, this period become the active period. The credit problem is one important component of Song Dynasty Commodity Economy, which relates to the political, legal, economic and other social relations. The fast development of Song Commodity Economy promotes the credit behavior of large produce, market legislation will inenvitably arise in the regulation and restraint of law, which will provide legal protection and support for the further development of the Commodity Economy. Therefore, the credit content, type and legislative problems are the importment contents which can’t be ignored in the market legislation of Song Dynasity.This paper is divided into four parts.Guided by historical materialism method and on the basis of other scholars study, this paper conducted collation and analysis of the relevant historical data and carried on more analysis and discuss on the market law and credit problems.This paper Represents the property circulation patterns in social economy of Song Dynasty and induces the government’s legal intervention and specification on market behavior and credit behavior.In the first part, this paper defines firstly on the legislative concept, market scope and credit categories, and takes which as the breakthrough point to conducted further research on the free market legislation, monopoly market legislation, overseas trade market legislation, and its related problems such as usury credit, credit legislation and legislative bill legislation.In the second part the paper discusses on the free market management legislation, business management, product quality, price, and weights and measures of control for a concrete investigation. Pointing out the government to relax the control to the market, improve the social status of businessmen and the expansion of the market, in the market access and the price also has hitherto unknown breakthrough. The management mode of evolution as" centralized decision-making and market regulation "pays equal attention to indirect regulation, to obtain economic benefits and limitations of the dual purpose of merchant capital.And it talks more about the franchise of market and management legislation. Taking Jinque products of Song Dynasty as the breakthrough point, it undertakes concrete analysis on the salt industry, tea, wine, alum, ore and other monopoly legislation. This paper Pointed out that the Song Dynasty monopoly legislation while complex, lack of stability, but total trend is from direct to indirect monopoly, from businessmen, official sales, government only, to the supervision of the government, shipping, business marketing, business benefit change of direction. It discusses the overseas trade market and its management legislation. It conducts specific analysis of the Song Dynasty’s city ship body functions and the city ship of the specific content of law. Its content mainly includes institutional settings, entry-exit inspection, permit system, taxation and foreign business to attract, management etc.Noted for its emphasis on adjusting and standardizing government between the operators and the longitudinal legal relationship, neglect between the operator and the transverse legal relations; national monopoly is the essential feature of its overseas trade legislation, the legislative content and the adjusting object of single and did not become a system.In the third part, this paper points out that the basic credit behavior of marketeconomy includes the usury and commercial credit. Usury makes two times allocation of social funds, and, to some extent, because of the demand for money to meet lenders, it temporarily cushion the social unrest. But because of the interest rate is too high, it blocked up the development of commodity economy in the Song Dynasty. The commercial credit existed not only in the field of consumption but also developed into the circulation and production areas, which reduced the transaction cost, accelerate the circulation of commodities, promoted the rapid development of commodity economyIn the fourth part, it pointed out that the Song Dynasty land commercialization promoted the rapid development of commodity economy. Suiting with this photograph, more community members as equal subjects took part in commercial law activities. The changes of Economic and political system promoted the corresponding changes of ideology. And then, thought transformation came from the traditional none interests to heavy benefit and justice which laid solid foundation for credit behavior increase and credit legislation strengthening. In Chapter two, it discusses the application of Song Dynasty credit in the market credit legislation. The rules of Song legislation on the official ruling usury must be clear in capital source, time limit for repayment of loan, interest calculation method. On the private usury, it focuses on borrow lenders limit and the loan interest rate regulation. Commercial credit was handled almost in accordance with the ordinary debt disputes, wherein the market exchange law, monopoly law of tea, salt and wine were useful complement to the Credit law. Imperial court used legal forms to interfere and manage the category, prize, way of circulation of Jiaoyin, Jiaozi and Huizi, which produced far-reaching effect on Ming and Qing Dynasties’ legislation and was the important origin. But since the Southern Song Court disregarded the rules of commodity economy and destroyed financial and monetary system wantonly, the country economic collapsed.As everyone knows, the law is based on certain social basis of the superstructure,the nature and law of development are determined by the social economic basis, but it will react to the economic base.The rise of Northern Song Dynasty’s economy and the collapse of Southern Song Dynasty’s regime proved the law of historical development.China’s modern market legislation learned more from the western modern commercial law theory and system, but the impact of traditional Chinese system and theory on modern society still exists. We should not only absorb the western advanced market legislation and the concept of law, but also pay more attention to the study, analysis and reference of the Chinese traditional system. We should comprehensively understand the gain and loss in the development process of Chinese legal system to establish the legal system with Chinese characteristics suiting for the development of commodity economy更多还原