【作者】 夏雅丽；

【导师】 白永秀；

【作者基本信息】 西北大学 ， 政治经济学， 2005， 博士

【摘要】 经济增长的源泉来自有效的制度安排,公司发展的关键在于设置合理的制度。由无限责任制度变迁为有限责任制度,是用一种效率更高的制度取代原有制度或对一种更有效制度的生产过程,是制度主体解决制度短缺,从而扩大制度供给以获得潜在收益的行为。 当今企业形态中,有限责任制公司占据主导地位。以有限责任界定企业形态,成为所有企业形态中最为核心的依据,深入对其研究,提高该制度运营绩效,对我国经济建设无疑具有重要的指导意义。 历史发展看,有限责任制度历经无基本原则→单一基本原则→单一基本原则分化的进程,形式从有限责任→有限责任制度→刺破公司的面纱→反向刺破公司面纱的发展表明,制度变迁和创新是一个连续不断的过程。本文明确划分了有限责任制度的发展阶段,梳理出古今中外有限责任制度沿革史的清晰脉络。 制度技术的沿袭上,社会主义国家的有限责任制度是从资本主义国家的该制度沿袭而来的,尤其与大陆法系各国的有限责任制度有同族关系。通过横向比较,将彼此对立但均有合理性的学说予以整合。将对有限责任制度的论述置于广阔的文化背景中,在古今的隧道中交融。揭示了三种制度模式的技术风格以及决定这种风格的社会条件,得出在制度构建中必须引进人的自由裁量因素才能使其免于僵化;而在避免僵化的同时又不能矫枉过正的结论。 方法论运用上,法律为“应然”的规范,经济学乃“实然”叙述。通过方法论创新,把有限责任制度看作经济领域、社会领域或政治交易领域中博弈过程中内生稳定的结果,通过理性分析而不是“工具论”得出最终结论。有限责任作为配置权利义务的有效手段,在每一制度安排的背后,都隐藏着立法者的基本政策考虑,这种政策考虑往往不能通过法律本身加以说明。运用法经济学的方法论证、破解这种本意,可以减少立法的盲目性、提高司法的可操作性和执法的自觉性。 意在构建公平、效率的制度体系。随着现代市场经济和高科技的发展,人类从事经济活动的风险越来越大,各类投资者都期望在经济活动中受到有限责任的更多还原

【Abstract】 Efficient institutional arrangements are the source of economic growth, and the reasonable systems are the key to the development of a company. The Limited Liability System evolutes from the Unlimited Liability System and proves to be a more effective system replacing the original system or producing a new efficient one. It is an activity that the system-subject overcomes the limitation of the system itself and enlarges the institutional supply for the potential earnings.The Limited Liability System takes a dominant place as one of enterprise forms. It is the core evidence that enterprises are conceptualized as Limited Liability System. To do further study on the operating efficiency of the Limited Liability System is crucially important for the economic construction in China.Looking back to history, we can see Limited Liability System has experienced the following stages: no any basic principle → a single basic principle→dividing of the single basic principle. Its forms has changed as Limited Liability Limited Liability System → Piercing the veil of corporation →Adverse-piercing the veil of corporation. It shows that the institutional changes and creation are a continuous process. In this study, the author divided the developing stages and sorts out a clear the evolution locus of the Limited Liability System at different times both at home and in abroad.From the point of technological evolution, the Limited Liability System ongoing in the socialist countries was introduced from the capitalist countries, especially has the same roots with the continental law systems. By a horizontal comparison, the author integrates various theories, which are opposite to each other but being reasonable. Limited Liability System is analyzed on the ground of a wide cultural scope. It reveals the three system models of technical styles and the related social conditions and concludes that introducing freethinking and measurements is important for avoiding the stereotyped conclusion.In terms of methodological application, Law is a norm of "what should be exist", and Economics is narration of "what exists" . This Study, by methodological innovation, takes Limited Liability System as an endogenous stable result in the game programs of such fields as economy, society and politics, drawing the conclusion on the basis of reasonable analysis instead of "tool theory". As an efficient means of allocating the rights and obligations, Limited Liability System reflects the lawmaker’s basic policy-thinking implicitly in any institutional arrangements. Usually, this kind of policy-thinking is unable to be explained through law. While adopting the methodology of law economics, it is significant for a legislation to reduce the blindness, improve serviceability and public awareness.Aiming at building fair and efficient institutional systems . With the development of modern market economy and hi-technology, people are faced to more risks in their economic activities. Investors in different fields need protection under the Limited Liability System. Thus it is necessarily important to design and establish efficient systems motivating the investors and accelerating the company’s development.Designing efficient practical institutional arrangements . The social enterprises always take the path with lower risks, costs and taxes. The Limited Liability System matches this tendency.Suggesting some policy options for preventing the institutional risks of Limited Liability System . Learning new tendencies of Limited Liability System in different countries as modification of the ten percent funds for bankrupt terms , mandatory insurance programs, etc. Based on the Chinese situations, some policy options are suggested.Building the reasonable dynamic operating models of Limited Liability System . One partner’s minimizing-cost choices could be conflicted with the other’s choices. The reasonable institutional arrangements brings not only the short-term but also the long-term benefits for the business partners, moreover, it is a starting point for the better going of the relevant rules and regulations.Promoting the efficiency of Chinese legislation . Company is the core of modern enterprises, while limited liability is the "king rule" of company. This Study takes Limited liability as research subject and adopt empirical and law-economics analysis to reconstruct the limited liability system under the principle of fairness and efficiency. It will produce good social benefits for reducing the inherent conflicts, accelerating company’s operation and the overall economic development in China.Integrating the conflicting but reasonable theories . Law codes are sourced from the accepted everyday common practical rules. The roles of a judge are to seek for solution mechanism, which is suitable to the willingness of the groups around him. The nature of limited Liability system makes it matches the environment of the rational people’s assume. Thus, although seeming to be conflict, the continental law system and that of U.S.-Britain would actually reach the same goal by different routes and finally get common understanding . This Study is intended to make up such limitations as unfairness and low efficiency in both legislation and justice by comprehensive analysis on Limited Liability System.更多还原