【作者】 谢舟；

【导师】 王立民；

【作者基本信息】 华东政法大学 ， 法律史， 2013， 博士

【摘要】 近代中国货币法制变迁历程，从小的角度说，是近代中国金融法制发展变化的一个重要组成部分；从大的方面来说，反映出了近代中国社会和法制转型变化的鲜明特点。可以这么说，对近代中国货币法制的研究构成了理解近代中国金融和社会法制变迁不可或缺的一环。更重要的是，历史总有惊人相似之处，今天我国面临之货币和货币法制发展中的种种问题，却能够从近代中国货币和法制的若干历史中找到相仿之处作为经验教训。以史为鉴，研究近代中国货币法制历程中的若干问题，也是为着今天我们能够不再迷惑困顿于这些问题，而能进一步发展完善人民币的法律制度。近代中国货币法制变迁历程，是一个宏大的叙事。从这段货币法制变迁所涵盖的逻辑范畴来看，它既包括货币权的立法变迁，也包括货币发行流通的程序定制发展，还包括货币发行组织机构建制、货币流通管理行政法制、货币发行流通的决策机制和货币违法行为的法律惩处制度等等方面的内容。从这段变迁的历史维度来看，从晚清到民国这百年时间里头，历史事件层出不穷，法制变迁频仍。若要完全叙述近代中国货币法制的变迁历程的方方面面，恐怕一篇论文里头是力有不及的。但近代中国货币法制变迁历程却是有着自己的主线特点的，那就是在受到西方国际货币法制的影响下逐步向近代西方国际货币制度学习和转型。这一转型历程可以浓缩于三个基本问题上：货币主权、货币本位制度和金银货币进出口管理制度。货币主权问题是货币近代法制之源泉，货币本位制度是货币近代法制的基础制度，而金银货币进出口管理是近代中国货币法制变迁中的特色制度。认识了这三个问题，就把握住了近代中国货币法制变迁的主要特点。同时，要为今天面临国际金融风云变幻的人民币提供制度变革的历史借鉴，也得研究这三个问题。所以论文重在整理受西方国际货币制度影响下的近代中国货币法制变迁历史，并以分析研究货币主权制度、货币本位制度和金银货币进出口管理制度这三个问题来管中窥豹，反映出近代中国货币法制的主旋律，并启示当代。论文既然立足于近代西方国际货币制度影响下的近代中国货币法制变迁的历史变化，所以对近代西方货币制度及国际货币制度的演进史的介绍，就构成了分析近代中国货币法制问题的重要前件内容。在对三个基本问题的研究中，论文都是先介绍了近代西方和国际货币制度的一般理念和原理，再演进到受其影响下的中国货币制度的演变历程的梳理。同时论文从这三个基本问题对近代中国货币法制变迁的意义不同轻重，先着重于法制所由来的主权问题，后分析作为法制基石的本位制度，再是具有其历史特点的金银货币进出口管理制度。由里及表，由基础权源分析到具体制度梳理。这样一种论述手法，希望求得对近代中国货币法制变迁主要问题介绍的周延。同时论文也思考了与主要问题相关的一些问题，诸如法制变迁中的理论争论，政策与制度的互动关系，并对近代中国货币法制的实施和整体特点做出了一定分析和评价。这些分析和评价丰满了对近代中国货币法制变迁的认识，进一步完善了论文论题。论文由此采取“总——分——总”的整体论证进路：论文第一章着重介绍从货币到国际货币制度的一些基本概念和规则。揭示了制度变迁的一般发展特征。本章为全文界定了以国家法定货币为货币概念的货币定义，并由此延展到货币法和近代货币法的介绍，进而分析了近代中国货币法变迁历程的近代化和国际化的特征。另一方面，对近代国际关系和国际货币制度的分析，构成分析近代中国货币法制变迁的重要背景。并由此论证了论文选取货币主权、本位制度、贵金属和货币跨国流动管制等三个问题作为论文“近代中国货币法变迁问题研究”全文研究论题的缘由。第二章论述货币主权与近代中国货币法制变迁。以清代为例的传统货币制度，是纷乱而缺乏主权认识的。连对内货币管理权都没有统一中央，就遑论面对外来政治金融经济的入侵，能知道如何维护自己的货币对外主权。在外忧内困的痛苦中，中国逐渐意识到主权和货币主权及其重要性。经过抗争、摸索和不断的学习的过程，首先是试图修补传统币制以期对内币制权力的统一。其次是在屡经挫折之中，不断学习近现代西方货币制度，执政者也就开始越来越清晰的意识到需要以国际货币体系的视野，来建设货币制度，同时获得对内对外之货币主权，币改才能得以功成。法币的产生有其历史的偶然性，但却是中国币制变革和对货币主权不懈追求的必然产物。只有理解了我国货币主权追求的这一历史问题，才能对我国近代那段货币法律的变迁予以认识，才能更客观更全面的去评价那段历史。第三章货币本位制度是近代货币制度和当时国际货币制度中的重要部分。在从金属货币走向纸币的过程中，本位制度支撑着货币的信用，也联结了各国的货币币制稳定的调控方法。我国从清末到民国法币改革之前，一直以金本位制度的货币制度为梦想，梦想着能有一天实现货币的内外稳定，同世界各国货币自由汇兑。在经历了银本位制度的风霜雪雨之后，南京国民政府以开创的精神实施了即便是当时也是比较前卫的法币制度改革。对内实行通货发行准备制度，对外盯住主要外汇汇率，并能采取自由的汇率市场操作。但之后的恶意通货膨胀及其号称金本位银本位的金圆券银元券的制度倒退却给我们以深刻的教训。第四章是论述近代中国的金银和货币进出口的管理制度。以清朝传统的银铜管制制度为源头，经历了北京政府到南京政府的发展。这一制度的发展演变上也突出体现了追随国际货币制度的变化，受各国外汇管制思想和经验影响的特点。近代中国的这一制度，却也明显受到中国政局变换的影响重大。尤其是国民政府金银和外汇进出口制度的松松紧紧，紧密切合政局形势变化，甚至沦为了国民政府恣意妄为的工具。最终被人民毁弃。这一段近代中国金银和外汇管理制度的历史变迁必为我们今天的外汇管理提供前车之鉴。第五章是与主要问题相关的一些思考。本位制度中的大争论反映了近代中国货币法制历史变迁中的外来法制移植与适应国情的思索，制度与政策的互动与冲突揭示了政府的理性和恣意对近代中国货币法制变化的重要影响。该章也是总结。对近代中国货币法制的变迁的一些总体性和规律性问题做出分析和评断，这包括对近代中国货币法制的实施性做分析和评价，也包括对这一法制的总体特点的分析和评断。论文将近代中国货币法制同传统币制相比较，提出了以近代化为路径，以国际化为视野，实现制度独立自主等三个鲜明历史特点。第五章的第五节也可算作结语。它点到了近代中国货币法制变迁的时代意义和对当代的启示，是对近代中国货币法制变迁的最终价值评价。尤其认为以史为鉴，坚持独立自主的货币主权、坚持稳定的货币决定制度和实施灵活的货币国际汇兑制度是今天人民币国际化的制度建设也不可或缺的。若以“近代中国货币法制研究”为题，论文未必周延，所涉及到三个主要问题也难免有以偏概全之嫌。论文以“问题研究”为限定，选取三个基本问题来论述。就是希望大中取小，论证有力，小中见大，论文有意义。此次论文研究可视为对近代中国货币法制研究的一个开端。在此基础上，对其他具体制度和问题诸如币制组织法制、币制行政法制和货币决策法制等等还可进行广泛和不断深入的分析和研究，这将成为今后的努力方向和长远目标。更多还原

【Abstract】 The course of modern Chinese currency legal system changes is an importantpart in modern China’s financial legal system development and changes from a smallperspective, while from large terms, it reflects the distinctive characteristics oftransformation and changes in modern Chinese society. To some extent, the researchon modern Chinese currency legal system constitutes an indispensable link ofunderstanding the changes of modern China’s financial and social legal system. Moreimportantly, there have been always surprising similarities in history. Variousproblems of currency and currency legal system development faced by China todaycan find similarities in the history of modern Chinese currency and legal system aslessons. Learning from history, the study of a number of issues in modern Chinesecurrency legal system course is to help us to conquer the confusion on these issuestoday, thereby further developing and improving the legal system of RMB.The course of modern Chinese currency legal system changes is a grandnarration. View from the logical category covered by the changes, it includesmonetary rights legislation changes, customization and development of currencyissuance and circulation procedure, currency issuing organization, currencycirculation administrative legal system, decision-making mechanism of currencyissuance and circulation, and legal disciplinary system of currency violations, etc.From the perspective of historical dimension of this change, in the century from lateQing Dynasty to the Republic of China, there was an endless stream of historicalevents accompanied by frequency legal system changes. It is almost impossible for a thesis to cover all the aspects of the course of modern Chinese currency legal systemchanges. However, the course has its own main line characteristics, that is, the graduallearning from and transition to modern Western international currency system underthe influence of Western international legal system. This transition process can beconcentrated on three basic issues: currency sovereignty, currency standard system,and gold and silver currency import and export management system. The issue ofcurrency sovereignty is the source of modern currency legal system, currencystandard system is the basic system of modern currency legal system and gold andsilver currency import and export management system is a characteristic system in thechanges of modern Chinese currency legal system. The understanding of the threeissues is essential to the grasp of modern Chinese currency legal system changes.Meanwhile, it is necessary to study the three issues to provide historical reference toRMB system changes facing the vicissitude of international finance. Therefore, thethesis focuses on sorting out the history of modern Chinese currency system changesunder the influence of Western international currency system. It aims to have arestricted view of the history through currency sovereignty, currency standard system,and gold and silver currency import and export management system to reflect thetheme of modern Chinese currency legal system and enlighten the contemporary era.Since the paper is based on the historical changes of modern Chinese currencylegal system under the influence of Western international currency system, itsintroduction of modern Western currency system and international currency systemevolution constitute the important antecedent of the analysis of modern Chinesecurrency legal system. In the study of the three basic questions, the thesis firstlyintroduces the general concepts and principles of modern Western internationalcurrency system, and then evolves to the combing of Chinese currency systemevolution. Meanwhile, proceeding from the different significances of the three issueson modern Chinese currency legal system changes, the thesis firstly focuses on theissue of sovereignty, the origin of the legal system, second, it analyzes the standardsystem as the legal system cornerstone, and then converts to the gold and silvercurrency import and export management system with strong historical features, frominside to outside, from basic sovereign source analysis to specific system combing. Itaims to seek the extension of the main issues of modern Chinese currency legalsystem changes by such a discourse technique. At the same time, the thesis alsoponders on the issues associated with the major issues, such as the theoretical debate in the changes of legal system, the interaction between policy and system, and makessome analysis and evaluation on the implementation and overall characteristics ofmodern Chinese currency legal system. The analysis and evaluation enriches theunderstanding of modern Chinese currency legal system changes, further improves thethesis topic. Thus the paper takes the overall argument approach of “total-sub-total”.The first chapter highlights some basic concepts and rules from currency tointernational currency system and reveals the general development characteristics ofsystem changes. This chapter makes the currency definition of national legal currency,and thus extends to the introduction of Currency Act and modern currency law, andthen analyzes the modernization and internationalization features of the course ofmodern Chinese currency changes. On the other hand, the analysis of moderninternational relations and international currency system constitutes the importancebackground of Chinese currency legal system changes. And thus demonstrate thereasons for selecting the three issues of currency sovereign, standard system, preciousmetal and currency transnational flow control as the research topics of this thesis.Chapter two expounds the changes of modern Chinese currency legal system andcurrency sovereignty. The traditional currency system in Qing Dynasty was in chaosand lack of sovereignty awareness. There was no unified central authority of domesticmonetary management rights, so the Qing government had no idea of how to maintainits currency sovereignty in face of foreign political, financial and economic invasion.Suffering from internal and external hardships, China gradually became aware of theimportance of sovereignty and currency sovereignty. After struggle, exploration andlearning, the first was trying to repair the traditional currency system to achieve theunified power of internal currency system. Second, after suffering from setbacks, thegovernment continuously learned from modern Western currency system, and therulers were also increasingly aware of the view of international currency system tobuild currency system. At the same time, the obtaining of the internal and externalcurrency sovereign was the premise of successful currency reform. The generation ofcurrency has its historical contingency, but was the inevitable product of Chinesecurrency system reform and relentless pursuit of currency sovereignty. Only byunderstanding of the historical issue of China’s currency sovereignty pursuit can weknow the changes of modern Chinese currency laws, and thus evaluating the period ofhistory more objectively and comprehensively.The third chapter currency standard system is an important part of modern Chinese currency system and the international currency system at that time. In theprocess from metal currency to paper currency, monetary stand supported the credit ofcurrency and also connected the regulation and control methods of stable currencysystem of different countries. From late Qing Dynasty to the reform of RepublicChina currency reform, the gold standard monetary system was the dream of China.At that time, China was looking forward to the achievement of internal and externalcurrency stability and realized free exchange with currencies around the world. Afterexperiencing the hardships of silver standard system, Nanjing National Governmentimplemented the currency system reform which was even avant-garde at that time in apioneering spirit. It implemented domestic currency issuance reserve system, whereasfocused on the foreign exchange rates of major currencies and took free exchange ratemarket operations. But the subsequent malicious inflation and the system backwardsof called gold standard and silver standard gold yuannotes&silver yuannotes, give usprofound lessens.Chapter four expounds the management system of Chinese gold, silver andcurrency import and export. It originated from the traditional silver-copper controlsystem in Qing Dynasty, underwent the development of Beijing government andNanjing government. The development and evolution of this system also highlightedthe characteristics of following the changes of international currency system, andbeing influenced by foreign exchange control ideas and experience. The system ofmodern China also significantly subjected to the impact of China’s politicaltransformation. In particular, the gold, silver and foreign exchange import and exportsystem of the government was closely related to the changes of political situation, andeven became the tool of the government’s reckless practice, which was finallyabandoned by the people. The historical changes of modern Chinese gold, silver andforeign exchange management system is bound to provide a lesson to today’s foreignexchange management.Chapter five is some thinking related to main issues. The debate of the standardsystem reflects the thinking of the foreign legal system transplantation in the historychanges of modern Chinese currency legal system and national condition adaption, aswell as the interaction between system and policy. It reveals the important impact ofgovernment rationality and wanton practice on the changes of modern Chinesecurrency legal system. It is also the summary. It makes analysis and judgment onsome overall and regularity issues, including the analysis and evaluation of the implementation of modern Chinese currency legal system, and the analysis andjudgment of the general characteristics of this legal system. The thesis makescomparison of the modern Chinese currency legal system with the traditional currencysystem, proposing three distinctive historical features, namely, taking modernizationas the path, internationalization as the vision, and the achievement of independentsystem.The conclusion of this thesis mentions the era significance of modern Chinesecurrency legal system changes and the contemporary revelation, and constitutes thefinal valuation. In particular, it holds that learning from history, adhering toindependent currency sovereignty, stable currency decision system and theimplementation of flexible currency international exchange system is an integral partof today’s construction of RMB internationalization system.If the thesis is entitled by “Research on Modern Chinese Currency LegalSystem”, it may not have enough extension, and the three major issued involvedwould be inevitably impressed with hasty generalization. Limited by “issues research”,the thesis selects three basic issues for expounding to achieve much in little bypowerful argument. The thesis can be regarded as a beginning of the research onmodern Chinese currency legal system. On this basis, it can carry out extensive andin-depth analysis and research on other specific systems and problems such ascurrency organizational legal system, currency administrative legal system andmonetary policy-making system, etc, which will be the direction of future efforts andlong-term objective.更多还原