【作者】 吴浩；

【导师】 赵新华；

【作者基本信息】 吉林大学 ， 民商法学， 2012， 博士

【摘要】 商法原则研究近年来,由于建设社会主义市场经济对于相关理论的需求,商法的研究呈持续繁荣状态,这主要体现在作为商法组成部分的各具体制度上。学者们对公司法、票据法、保险法、海商法及破产法等的研究成果非常丰富,但对于作为他们统一整体的商法的基础理论的研究则略显不足,尤其对可以说是商法基础理论中的基础的商法原则的研究更是匮乏。在方法论上,原则实质上是本质问题,也是价值问题。现有理论已然给出了一个商法原则的基本框架,并对其内涵进行了一定的阐释,但对整体意义上的商法原则,或者说,商法原则的本体还缺乏细致的理论阐述,这导致了三个方面的问题。第一,商法的独立性问题缺乏有力的理论支撑。商法的独立性问题主要是商法与经济法,商法与民法之间的关系问题。商法若独立,那么它必然存在与经济法或民法不同的本质,在促进价值的分工中的不同。第二,商法体系范围难以确定。商法的体系范围即商法是由哪些具体的制度组成的。这需要商法原则这条线索将它们串起来。第三,商法的实践缺乏充分的理论指导。即商事司法和商事立法体制架构乃至具体发展或许会缺少明确的标准和方向。本文针对商法原则的理论根源及应用问题展开了研究。对于商法原则的来源问题,本文采用的是马克思主义哲学上的“从现象到本质”的分析方法。商法为社会科学,那么其现象应表现为它的发展历史。而本质则为将抽象出来的经验的规律性的东西上升为人类的价值。商法的历史分为三个阶段。第一阶段为公元500年左右至公元1500年左右,即从蛮族入侵和西罗马帝国灭亡至土耳其人攻陷君士坦丁堡罗马帝国灭亡为止的这一千年,为中世纪；由于商人行会和商人法庭的共同作用使近代西方商法的基本概念和制度得以形成。这一时期的商法的主体为海商事制度。本文对船舶抵押权、船舶优先权及留置权、船舶碰撞、海事赔偿责任限制、共同海损等制度的产生及发展过程进行了详细的分析。此外这一时期资本集中形式立法及票据法也有了初步的发展,这一部分亦对康曼达和索赛特这些最初的资本集中形式以及票据法的产生进行了的分析。商法发展的第二阶段为十六世纪至十九世纪初。这一时期,商法有了长足的进步,公司制度、票据制度、海商制度及保险制度都有较大发展,但保险与公司并未被普遍纳入商法体系之内,破产法则被纳入商法体系范围,因此,这一部分只是对破产法的产生历史进行了分析。商法发展的第三阶段为十九世纪初到第一次世界大战时期,是商法典编撰高度繁荣时期,保险法被普遍纳入商法体系,并且公司有限责任已经形成,至此商法的体系性相对确定。本文对这一系列制度的发展历史进行了细致的分析,通过抽丝剥茧发现,它们具有两个普遍的特征。一为它们都是由商人创造的。二为它们都是商人在实践中自行创造的。理论阐述过程实质上是价值分析过程。根据法理学对人类价值观的概括,人类价值主要包括正义、秩序及效率。商法与正义的对应关系应进一步细化为商法与自由、平等与安全的关系。由于商法是商人在实践中自行创造的,商法的发展过程最集中的体现就是自由,并且在商人践行自由意志的过程中,他们是平等的,因此,商法体现了自由的平等,以诚实信用和平等互利为内涵。商法对安全的促进表现在促进交易,增进财富上,这与标准的安全内涵是不完全一致的。通过分析,商法与秩序的关系则体现在两方面：一为商事习惯的秩序性；二为商法的秩序性。商法与效率的关系是本文分析的重心。商法是市场交易法,而效率是市场存在的理由。本文以对作为效率理论前提的“经济人”假设理论的否定为切入点,证明了人的非理性导致了市场中交易费用出现或阻碍某些交易实现,因此,商事制度中所体现的那些手段正是用来降低交易费用或促使交易实现,进而促进效率。那么,从这个角度上讲,商法体现的应是自由的、平等的效率。在商法的价值分析的基础上,本文对分析出的价值片段进行了整理,最终通过通俗的语言将其表述出来,至此完成了在商法中提炼商法原则的工作,将商法与商法原则有机联系起来。第三部分为商法原则理论的应用部分。商法原则的首要应用为确定商法的独立性,即确定商法与民法及经济法之间的关系。本文首先将经济法和民法的原则还原为价值,并对分析出的价值与商法进行了对比。经过对比确定,商法与民法的关系为相对独立关系,商法以民法为基础发展而来,但基于商事实践的特点,商法又表现出了与民法不同的地方,但万变不离其宗,商法应始终坚持民法的特别法的地位。而商法与经济法则是两种完全独立的事物,它们的共同目标都是市场效率,但它们在促进效率的过程中则是互补的,并且是有明确界限的。在确定商法相对独立地位的基础上,本文亦对商法的范围体系进行了概括的界分。商法原则的另一种应用是指引商事立法与商事司法。商法原则对商事司法的指引提供了模拟交易的审判方法；而对于商事立法则提出了应对商事习惯进行确认并需对上升立法过程进行成本与收益分析的要求。总体看,商法原则的研究初步解决了四个方面的问题。第一,将商法原则与商法建立了血肉联系,使我们对商法原则的理解不再只是停留在意会层面上,即从经验中推演出来。第二,被充实内涵的商法原则帮助我们重新审视了商法独立性。第三,商法相对独立性地位的确立使我们找到了认清商法体系范围的方法,即从某法与商人的相关性及为商人所创造的特征中来识别它。第四,为商事司法与商事立法提供了指引的方法。更多还原

【Abstract】 On the Principles of Commercial LawIn recent years, due to the demand of the theory of construction of socialist market economy, commercial research had a continuous boom, This is mainly reflected in the specific component of commercial law system. The scholars of company law, negotiable instruments law, insurance law, maritime law and bankruptcy law and other research results are very rich, but the research of the basic theory of whole commercial law is relatively inadequate, especially,the principles of commercial law. On methodology, principles of things is in fact the essence of things, also the value of thing. The existing theory has given a basic framework of commercial principles, and analyzes its connotation, but the commercial principles causes is lack of detailed explanation. This leads to three problems. Firstly, the independence of commercial law cannot be determined.The problem of independence of commercial law is the relationship between commercial law and economic law and the relationship between commercial law and civil law. If the commercial law is independent,it must be different of the essence of economic law or civil law In the promotion of value. Secondly, the system of commercial law is difficult to determine. The system of commercial law is consist of what specific system. This requires that the commercial principles get them together. Thirdly, the practice of commercial law lack of effective guidance. Commercial legislation,Judicial trial and development may lack of clear standards and directions. In this paper,we thoroughly study the theoretical source of the principles of commercial law.For the source of the principles of commercial law,we use Marx Philosophy’s "from phenomenon to essence" method to analysis. Commercial Law is social sciences,so its phenomenon should be performed for the history of its development,and the essence is its embodiment of human value. The history of commercial law is divided into three stages. The first stage was from about 500 A.D. to 1500 A.D.,that is the medieval times. As a result of the joint action of merchant guild and merchant court, the basic concept and rules of modern western commercial law was formed. During this period, the main body of commercial law was the maritime system. This paper meticulously analyse the generation and development of the system of maritime mortgage, Maritime priority, Maritime lien,,ship collision, general average and so on. In addition, during this period, the rules to concentration of capital and negotiable instruments also have Initial development., this part also analyse the history of "commenda", "society" and negotiable instruments law.The second period of the development of commercial law is from sixteenth century to the beginning of nineteenth century.In this period, commercial law has made great progress, company system, negotiable instruments system, maritime system and insurance system all have a great development,but insurance system and company system has not been universally brought into the commercial law system, bankruptcy law was brought in,so in this part,we only analyse the history of bankruptcy law. The third period of development of commercial law was from the beginning of nineteenth Century to time of the first World War,.In this period, commercial law codification is highly prosperously, insurance law is generally incorporated into the commercial law system, and company limited liability has been formed, at this point,the system of commercial law is determined.Through making a painstaking investigation,we have found all commercial law have two common characteristics,one is that they are made by merchant,the second is that they are created by the merchant in the progress of their business practice.Theoretical exposition is in essence value analysis. According to research of human value in jurisprudence, human value mainly includes justice, order and efficiency. The relationship between commercial law and justice must be divided into the relationship between commercial law and freedom, equality, security. Because of that commercial law are created by the merchant in the progress of their business practice, the development of commercial law concentratedly express freedom;and in this progress,merchant are equal,so commercial law embodies equal equality,and take good faith and mutual benefit as connotation. Commercial law in the promotion of safety value is to promote trade and increase wealth. Through the analysis, the relationship between commercial law and order are reflected in two aspect.The first one iscommercial custom’s order.The second is commercial law’s order. The relationship between commercial law and efficiency is the focus of this paper. Commercial law is market transaction law,while efficiency is the reason for the existence of market.This paper take the negation to "rational man" hypothesis as entry point to prove that human irrationality lead to transaction cost or hinder transaction,so the means in commercial law is to realize them,and then promote efficiency. Then from this angle, commercial law reflect equal,free efficiency. On the basis,commercial law and the principles of commercial law link up organicly.The third part is application of the principles of commercial law.The primary application of the principles of commercial law is to determine that whether commercial law is independent,that is the relationship between commercial law and civil law and economic law.Firstly,we revert principles of economic law and civil law to value,and compare them with commercial law. The relationship between commercial law and civil law is relatively independent, commercial law develop in the foundation of civil law.Commercial law and economic law are different things, there mutual target is to promote efficiency, only the realization ways are different.In this paper,we also generally define the range of commercial law. Another application of the principles of commercial law is to provide guidelines for commercial legislation and commercial trial.The effect to commercial trial is to provide "mocking trial"method,and to commercial legislation is to provide a series of method for distinguishing commercial custom and analyse of legislative benefit and cost.Overall,the research of the principles of commercial law solve four problems.Firstly,we establish the connection of commercial law and its principle,and it make us have a deeper understanding of principle. Secondly,it help us review the independence of commercial law. Thirdly,it help us recognize commercial law’s range. Fourthly,it provide us the methods of guiding commercial legislation and commercial trial.更多还原