【作者】 杨芳；

【导师】 李宏图；

【作者基本信息】 华东师范大学 ， 专门史， 2007， 博士

【摘要】 十八世纪的西欧，既是启蒙的时代，也是商业社会渐渐兴起的时代。斯密正是在这种社会状况中，围绕“商业社会”这一概念开始其思想之旅，探究人类幸福的关键性原则。20世纪70年代以前，西方学界对斯密的解读大多限于经济学和伦理学。之后，斯密研究出现异彩纷呈的态势，但是以启蒙为视角，以“商业社会”为主题，对斯密的思想进行综合性的整体研究，还没有发现。因此，这一课题即为本论文的研究取向。本文第一章，作者将从历史和理论二维角度，来导出亚当·斯密的“商业社会”观。首先，通过描述斯密的“商业社会”思想与十八世纪西欧尤其是苏格兰的社会发展状况之间的关系，说明斯密的“商业社会”思想并非空穴来风，而是对当时时代的回应和重构。其次，通过考察十八世纪苏格兰启蒙思想家们共同沿用的“推测的历史”方法，来描述斯密的人类社会发展四阶段论——狩猎社会、游牧社会、农耕社会以及商业社会阶段，并由此推导出，“商业社会”是斯密关注的落脚点。本文第二章，作者将从人性与伦理的角度来阐明斯密的“商业社会”是一个人的自利倾向充分得到释放的社会，也是一个公益通过自利的释放得到充分实现的社会。认为，斯密通过分析人的“同情”与“合宜”天性，纠正过去人们对传统美德观的理解，从而把普通大众从传统道德观念的束缚中解放出来，并进一步说明“审慎”与“正义”是商业社会最根本的美德；最后作者认为，斯密所指的人的“自利”包括两层涵义——“自保”和“虚荣”，并从斯密的“看不见的手”出发，来证明，人的“自利”倾向与社会公益的实现并不矛盾，反而可以也应该结合在一起。人的“自利”倾向获得充分释放的同时，社会的进步也得到了真正推动。但是有一个条件，那就是个人自利行为必须受到制度的规约，不得违背正义之法。本文第三章，作者将从政治与法律的角度来阐述斯密的“商业社会”是一个政府权限受到极大限制的法治社会。作者认为，斯密从“实利”原则与“权能”原则入手阐明政府出现和存在的客观必然性，由此批判以洛克为代表的社会契约论；并根据他对政府起源的理解来阐明其“商业社会”政府的职能范围，因此推导出，在这样的社会，政府的责任主要是保证公民享有法律之下的安全，让公民根据自己的意愿追求自身幸福的改善。再者，斯密认为每个人最熟悉的是自己的事务，因此政府无权亦无能力干预公民的私人空间，公民只需依法行动即可。最后，进入斯密的自然法理论，具体探讨斯密所理解的自然法体系，借以表明，斯密认为在“商业社会”里，公民享有的自由存在于具体的法律条例中，而不是存在于实际参与立法过程中。本文第四章，作者将从财富及其增长的角度来阐明斯密的“商业社会”是一个“自然”丰裕而非“人为”丰裕的社会。作者认为，斯密首先通过确立自己的财富观，来批判当时西欧尤其是英国普遍盛行的贸易管制政策，最终确立起“自由贸易”的富国原则。然后，斯密通过研究劳动分工和资本积累，来确立正确的财富增长理论，把财富的增长定为自发秩序下的增长，并以此批判当时阻碍财富增长的消费政策，树立起正确的生产和消费原则。最后，斯密为了彻底贯彻其“自由竞争”的思想，把批判的焦点对准当时英国的北美殖民地问题这一重商主义之集中表现，警示人们尤其是政治家们应该让人们享有“自然自由”，即让他们按照自己的方式追求自己利益的权利。这样，斯密从理论到现实，从生产到消费，确立起“商业社会”的“经济自由”观念。本文第五章，作者从斯密同时代思想家对现实“商业社会”的不同态度入手，凸现斯密对同时代思想家的超越。他一方面热烈欢迎为人类带来富裕和自由的“商业社会”，另一方面，他带着现实的冷静态度，对“商业社会”已经和将要出现的弊端进行了深刻剖析，并提出了相应的解决办法。这些弊端主要体现在劳动分工引起的三大缺陷上：普通劳动者智力愚钝、大众精神和身体柔化、国家的债务沉重。斯密提出的解决办法分别是：采取新型的国民教育方法；以常备军取代国民军，担负起国家防御任务；利用开源节流的方式来解决公共债务问题。不过，斯密并不是乌托邦主义者，他对商业社会的弊端的解决并不持完全乐观态度，而是认为，和其他社会相比，它能更好地实现人类的福祉。综之，尽管斯密经常涉及的个人自由似乎主要是指“经济自由”，但是鉴于经济自由不仅是自由的主要组成部分，还是公民获得其他自由的基础，这决定了斯密的“商业社会”思想不仅在古典自由主义思想史上占有不朽地位，而且为后人提供了一个追求幸福的恒久理念：在自由中获得富裕，在富裕中走向自由。更多还原

【Abstract】 In Western Europe, the Eighteenth-century, not only is an enlightened century, but also a century when a commercial society is rising gradually. Just in such a background, Adam Smith sets about his travel of thinking which centers on the notion of "a commercial society", and studies the essential principles about the mankind’s blessedness. About before 1970s, in Western academic circles, Adam Smith is only read as an economist or an ethicist. From then on, the study about him appears extraordinary splendor, but there is still no the study in which from the viewpoint of the Scottish Enlightenment, and by virtue of the theme of "a commercial society", the ideas of Adam Smith is comprehensively surveyed as a whole. So, the above task will be as the object of the study of this treatise.In the first chapter, I will try to educe Adam Smith’s idea of "a commercial society", from the two viewpoints of history and theory. Firstly, by describing the background of the Western Europe, especially Scotland, of the eighteenth century, I want to discuss that Adam Smith’s "commercial society" is a reflection and reconstruction of that time. Secondly, by surveying the "conjectural history" or "theoretical history" which is often used by many Scottish thinkers of that time, I want to describe Adam Smith’s the four-stages theory, that is there are in turn the nations of hunters, shepherds, husbandmen, and merchants in mankind’s history, and accordingly, I will infer that Adam Smith regards the "commercial society" as the center of his study.In the second chapter, I will try to illustrate Smith’s "commercial society" is a one where the self-interest nature of man can be released enough, and public good can be realized enough by this means. Smith corrects the traditional moral ideas by revealing man’s two nature of "sympathy" and "propriety", and so, frees the people from the traditional view about virtue, and further show "prudence" and "justice" is the essential virtue in the "commercial society". At last, I want to point out that the "self-interest" mentioned by Smith includes two meanings-"self-preservation" and "vanity", and by the theory of the "invisible hand", I want to argue that the society will obtain improve if mankind’s self-interest nature can be released enough. But. there is a condition that individual’s actions must be restricted by a system, that is to say, he must obey the law of justice.In third chapter, I will try to illustrate Adam Smith’s "commercial society" is such a society where citizens are ruled by law, so the range of the government’s power is limited largely, beginning with the two principles of utility and power, Smith illustrates it is necessary that the civil government appears and exists, and accordingly, criticizes the contract theory about the origin of society which is represented by the theory of Lock, In view of his theory on the government how to origin, Smith discusses the range of the government’s function in the "commercial society". He concludes that in such society, the duty of the government is to insure the citizens can enjoy the safety under the law, and to let them improve themselves’ condition according to themselves’ will. And believing in everyone is best familiar in his own affairs, Smith concludes that the government neither has the power and nor the capability to interfere in the citizens’ private space, and the citizens need only act by law. Accordingly, Smith thinks the citizen’s liberty lies in the specific items of the law, not in the participation in the process of lawmaking.In the fourth chapter, from the viewpoint of the wealth of nations and its growth, I will try to illustrate Smith’s "commercial society" is a opulent one, but the opulence results from "spontaneousness" not from "artificiality". I consider that Smith firstly advances his view about wealth of nations, in order to criticize the policies of the restraint of trade prevailing in eighteenth-century West, and finally has established the principle about nations how to become wealthy, that is the one of "free trade". Then, by surveying division of labour and the accumulation of capital, Smith establishes the new theory on how to increase wealth, according to which the increase should be realized by the spontaneous order. In this way, he has established the correct view of production and consumption by criticizing the consumptive policies of that time, which has obstructed the increase of wealth of nations. Finally, to completely carry out his idea of "free competition", Smith focuses on the question of English Northern American Colonies, which is the concentrated reflection to the mercantile system. He warns that citizens should enjoy "natural liberty", that is to say, they have the right to pursue themselves’ blessedness according to themselves’ way .In this way, Adam Smith has established the "economic free" idea of the "commercial society" on theoretical and practical dimensions.In the fifth chapter, I will try to show Smith has surpassed the contemporary thinkers in the aspect of the ideas of the "commercial society", by showing several different kinds of attitudes that the contemporary thinkers holds about it. One side, Smith praises the "commercial society" for that it can bring opulence and liberty to mankind, and anther side, with the very calm attitude, he profoundly analyzes the evils which have appeared or will appear in the "commercial society". He thinks, as the result of the division of labour, these evils represent mainly in three aspects: the common labourers is stupid and silly; the people become weak in both their bodies and their spirits; the public debts become heavy and have the danger to destroy the nations. But aiming at the problems, Smith advances corresponding methods, namely, adopting new type of the method of civic education; replacing a militia with a standing army which takes on the task of the national defence; using the policies that can increase the sources of income and decrease the expenses. But Smith is not a superficial optimist, so he never believes in that these evils can be resolved completely. He believes only in that by contrast of the other three societies, the "commercial society" can better realize the mankind’s blessedness.In a word, although the individual "liberty" that Smith often refers to seems only the individual "economic liberty", Smith’s idea of a "commercial society" not only holds the immortal status in the history of the idea of classic liberalism, but also has established a eternal truth for mankind: people should obtain opulence through liberty, and lead to liberty in the opulence, in view that economic liberty is not only the main part of the liberty, but also is the basis on which citizens possess the other parts of liberty.更多还原