【作者】 陈超然；

【导师】 张绍谦；

【作者基本信息】 上海交通大学 ， 法学， 2013， 博士

【摘要】 非法经营罪是我国1997年刑法新增设的罪名，但是短短十余年间，国家立法不断扩展非法经营罪的内涵，司法解释无节制地扩大非法经营罪的适用范围，司法实践则进一步加重了非法经营罪扩张的趋势。非法经营罪适用范围的不断扩张引发了学界对此的关注与争论。本文结合司法实践，分析非法经营罪扩张的现状、原因、后果，研究如何对其进行合理限制，冀希望为司法实践提供一个相对合理的释法标准。本文共计20万字，除引言和结语外，共分为六章。引言阐述了本文的研究意义和研究方法，并对论文核心词“扩张”进行界定，“扩张”是指对原有条文字面含义之外的内容的扩充，非法经营适用范围的扩张，包括刑事立法的扩张和刑事司法的扩张。第一章对非法经营罪的扩张历程进行分析。第一节介绍了非法经营罪的立法沿革和创制原因，指出设立非法经营罪的初衷是为了解决投机倒把罪内容宽泛、不适应市场经济发展的问题。第二节和第三节分别分析了非法经营罪在刑事立法和刑事司法上的扩张。经过立法、司法不断的扩张之后，非法经营罪适用范围表现出明显的扩张趋势，已经成为经济犯罪定罪的“万能”条款。第二章在对非法经营罪扩张的原因和利弊论证的基础上，提出对非法经营罪的扩张需要受到合理限制的观点。刑事立法的本意，以及立法用语模糊性，决定了非法经营罪具有必然的扩张性，必要的扩张虽为社会发展所必需，但是立足于刑法人权保障机能和市场经济自由竞争属性的要求，这种扩张必须受到应有的限制，必须确定其扩张适用的标准，以确定其最大的边界。第三章提出限制非法经营罪扩张适用的基本标准在于界定非法经营罪的本质。通过对非法经营罪本质的学说的比较，作者认为将市场秩序作为非法经营罪本质，对解释非法经营罪不具有指导作用，并导致非法经营罪的口袋化；非法经营罪的本质应当是市场准入秩序，即政府对市场主体进入特定市场领域的规制形成的秩序。市场准入秩序在市场秩序中应当处于补充地位，因此，以市场准入秩序为法益的非法经营罪在整个经济犯罪也应当处于次要地位，不应成为经济犯罪的兜底罪名。非法经营罪在近期有存在的必要，不宜一废了之，而应当通过刑法解释方法对其构成要件明确化，达到限制非法经营罪适用范围扩张的目标。随后的三章以非法经营罪本质为标准分别从不同方面对非法经营罪的扩张进行限制。第四章是从非法经营罪的前提条件——违反国家规定角度入手，第一节分析如何正确界定“国家规定”的外延。司法机关从“国家规定”的批准、授权、不抵触等方面扩张“国家规定”的适用范围，这种扩张不仅违反了立法法等规定，而且也不利于刑法的准确适用。刑法中“国家规定”的合理界限应当以制定主体为标准。第二节明确“违反国家规定”的内涵。作者立足于违法统一性与违法相对性的理论争议，从行政犯的双重违法性、行政法规中追究刑事责任的条款、行政法规的修改等方面分析如何准确适用“国家规定”。“违反国家规定”对于非法经营罪来说，绝不是一个形同虚设的规定，它可以通过让司法机关证明行为对“国家规定”的违反性，达到限制非法经营罪肆意扩张的目的。第五章从非法经营罪的基本条件——非法经营行为入手。“经营”这一概念在私法和公法上具有不同意义。根据非法经营罪的罪状设置，非法经营行为并非包括所有的违反法律的经营行为，而是针对违反市场准入秩序，未经许可擅自经营的行为。在具体非法经营行为和非法经营罪的竞合问题上，都必须围绕非法经营行为的特定性来认定。第六章从非法经营罪的程度条件——“情节严重”入手。认定非法经营行为“情节严重”，需要进行两个层面的思考，一方面是非法经营行为对法益侵害的程度的评价，另一方面是对非法经营行为应受刑罚惩罚性的评价，后者更为重要。我们应当从刑法的最后手段性考量“情节严重”，针对不同性质的行政许可，“情节严重”的标准也有所不同。更多还原

【Abstract】 The crime of illegal business operation is a new additional charge inP.R. China’s Criminal Law of1997, but within a decade, national legislationcontinued to expand its connotation, judicial interpretation expanded itsscope without control, judicial practice further aggravated its expansion trend.The expansion of the boundary of the crime of illegal business operationcauses the concern and controversy in academia. Combining with judicialpractice, this dissertation researches the current situations, the reasons and theconsequences of the expansion of the boundary of the crime of illegalbusiness operation and studies the solutions of limitation, in order to putforward a relatively reasonable standard for the judicial practice.Apart form the introduction and postscript, the dissertation is composedof six chapters, with approximately200,000words.The introduction describes the research value and method of the dissertation, and defines the core word expansion. Expansion means theextension beyond the literal meaning of the original provision, whichincludes criminal legislation expansion and criminal justice expansion.The first chapter analyses to the expansion process of the crime ofillegal business operation. The first section introduces the legislative historyand creation reason of the crime of illegal business operation, and points outthe establishment of this crime of illegal business operation is to solve theproblem of the crime of speculation, which had a broad content and didn’tadapt the development of market economy. The second and third sectionanalyzes the expansion in the criminal legislation and justice. After theincreasing expansion of legislation and justice, the crime of illegal businessoperation becomes a universal clause of economic crime conviction.Basing on the causes and the pros and cons of the crime of illegalbusiness operation, the second chapter puts forward the view that theexpansion of the crime of illegal business operation should be limitedreasonably. The criminal legislative intent and legislative terminologyvagueness determine the expansion of the crime of illegal business operationunavoidably, which is necessary for social development, but based on thehuman rights protection function of the criminal law and the free competitionnature of the market economy, the expansion should be limited to some extent and establish of applicable standards to determine the maximumboundary.The third chapter puts forward fundamental standard of the restrictionis to define the nature of the crime of illegal business operation. Bycomparison with different theories about the nature of this crime, the authorputs forward that taking market management order as the nature does nothave the function of guiding the practice, which leads to the broad definitionof this crime. The nature of the crime of illegal business operation is the orderof market access, which means the government’s regulation of marketer toenter specific market field. The order of market access should be asupplementary role in the order of market; therefore, the crime of illegalbusiness operation in the whole economic crime is in the secondary position,which is not the miscellaneous provision of the economic crime. The crime ofillegal business operation is necessary in the near future and should not beabolished, but the constitution of the crime should be explicitly explained bythe criminal law interpretation in order to limit the expansion of the boundaryof the crime of illegal business operation.The following three chapters restrict the expansion of the crime fromdifferent aspects by this fundamental standard. The fourth chapter discussesthe precondition of the crime of illegal business operation: the violation of State Regulation. The first section analyses how to correctly define theextension of State Regulation. The judicial organs expand the boundary fromthe approval, authorization and accordance, which violates the legislative lawand militates against the application of the criminal law. The reasonableboundary of State Regulation should be in accordance with formulationdepartment. The second section analyses the connotation of the violation ofState Regulation. The author puts forward the theory controversy betweenillegal unity and illegal relative, and analyzes how to apply administrativeregulations accurately in the criminal justice from three aspects: the doubleillegality of administrative crime, the criminal responsibility clause ofadministrative regulations and the amendment of administrative regulations.This provision is not useless, which makes the judicial organs prove theviolation of State Regulation to achieve the purpose of restriction.The fifth chapter discusses the basic condition of the crime: the illegalbusiness behavior. The concept of business has different meanings betweenPrivate Law and Public Law. According to the provision, the illegal businessbehavior does not contain all of the management behavior in violation of thelaw, but against the violation of market access order without the permissionof government. The studies on the specific illegal business behaviors and theconcurrences of this crime should be on the basis of the nature of the behavior.The sixth chapter discusses the degree condition of the crime: seriouscircumstances. How to explain serious circumstances reasonably, we needtwo levels of thinking, the first is the damage degree of the legal interest ofthe crime, and the second is the culpability of punishment in criminal law, thelast is more important. We should concern serious circumstances from theperspective of the last resort of criminal law. Due to differences in theadministrative licenses, the standard of serious circumstances is alsodifferent.更多还原