【作者】 肖海军；

【导师】 李步云；

【作者基本信息】 湖南大学 ， 经济法学， 2007， 博士

【摘要】 营业作为特定主体谋求以财产增值和财富增长为目的的营利性活动,具有私人性与社会性的相互统一、自利性与利他性的互为依存、国别性与国际性的一体互通等本质属性,此属性决定了营业本身的正当性。营业准入,即民事主体进入营业领域进行营业性投资或从事营利性活动受法律或政策预设条件和程序之限制程度的概称。营业准入制度是特指国家在规制民事主体和交易对象进入营业领域或交易市场过程中所形成的一系列具有内在系统性与行为约束性的相关法律规范、政策措施之总称,其要素构成包括主体要素、营业准入对象、营业准入规则、营业准入管制措施等四个方面,其内容涵盖营业主体资格准入制度、企业组织准入制度、产业领域准入制度和域外市场准入制度等四个方面。营业准入制度作为经济制度最为基础的组成部分,集中体现了制度所在地的经济自由,代表其市场开放程度,决定着国民实际的经济、法律地位。营业准入制度实质上反映了国家与民事主体在营业领域的权力与权利的划分和利益分配关系,从权源的角度来分析,营业本为民事主体之应然的、正当的权利,因之,营业准入制度的目的意义就不应对民事主体的营业权利进行限制,更不得任意禁止,而是应当保护、鼓励、促进和规范。设立营业准入制度,就决定了投资和营业的进入或退出存在制度成本,此即营业准入制度成本,特别作为营业进入的额外代价,营业准入制度成本主要由营业进入过程中额外支出的费用和不应损失的利益两方面构成,其中额外支出的费用之具体形态包括申请支出、行政许可费用、权力寻租费用以及营业规避所发生的消耗等多个方面;不应损失的利益则包括机会利益丧失、期待利益损失、资本价值闲置等多项内容,自然,改革或调整营业准入制度,就必然会对营业准入制度成本的构成变量产生影响,从而或刺激、鼓励交易,或阻碍、限制营业。与此同时,因有营业准入制度成本的存在,从而决定了营业准入制度的效应属性,即自由、开放型营业准入制度由于其准入制度成本低,会产生消费性投资向营业性投资的转化效应、动态投资的雪球效应、产业的资本集聚效应和地区集聚效应等正向效应;而限制或禁止型营业准入制度因其准入制度成本高,则会产生营业组织形式和营业方式创新的抑制效应、资本挤出效应、民间资本逆向选择效应等反向效应。因此,只有选择自由的、开放的营业准入制度,才是刺激投资积累、推动经济发展、促进贸易增长、增进社会福利、提高国家竞争力的最佳途径。基于此,我国未来应选择自由、开放型营业准入制度,从宪法、民商法、行政法、经济法等不同视角对其进行整体构建,即把“营业权”或“营业自由”载入我国宪法,以最高法律形式把应然的营业权利宣示、确认为国民基本的法定权利,为营业准入制度的设置奠定权利基础;作为专门调整营业关系的商法应以营业自由为基点来平等分配营业初始机会,保障民事主体自由获得营业资格以进入营业领域;选择并不断完善例外主义营业行政许可的制度范式,把主体投资自由、企业营业效益与社会公共利益、市场交易安全等价值有机地统合起来,充分释放投资主体和营业主体的营业权能,激发营业当事人的创业积极性;通过营业领域的普遍开放、市场一体化建设、反垄断立法等营业竞争机会平等化的制度构架和中小企业营业促进政策、产业指导政策等营业竞争效益持续化的政策支持,来构建一个自由的、公平的、既充满活力又井然有序的营业竞争环境。更多还原

【Abstract】 As a profit-activity engaged by the specified subject for the purpose of the property increment and the wealth growth, business is of a series of essential attributes such as the unification of personality and sociability, interdependence of self-interest and altruism, intercommunication of nationalism and internationalism and so on, which decides the justice of business itself. Business access is the limited degree of conditions and procedures pre-set by law and policies that civil subject who engages in the business investments or the profitable activities in business area Business access system in particular refer to a series of related systematic and bound legal norm or policy, which is rooted in the course of governmental regulation to activities which civil subject and transaction object enter into the business area or transaction market. Its essential factors include subject, business access object, the rules of business access, and the regulative measures of business access and so on. Its contents is composed of four aspects, namely the access system of the business subject’s qualifications, the access system of the establishment of enterprise, the access system of the industrial area and the access system of the overseas market. As the basic part of economic system, business access system manifests the freedom of economy, represents the open degree of market and actually decides the economic and legal status citizen’s. It essentially reflects the distribution of interest, power and right between government and civil subject in the domain of business. From the point of the source of right, it is analyzed that business should be the natural and legitimate right. Therefore; the purpose of business access is not to limit the right of business of civil subject, let alone forbid it arbitrarily, but to protect, encourage, promote and regulate it instead. Establishment of business access system decides the system cost exists in the course of entrance or exit of the investment and business, i.e. business access system cost. Especially as the extra expenses of business entrance, business access system cost in the process of business entrance mainly consists of two parts: the extra expenditure and the evitable damage interest, in which the former include the application costs, the administrative license charges, the expenses of power rent-seeking as well as business circumvention expenses and so on; the latter include the loss of opportunity interest, the damage of the expectation interest, the capital value idle and so forth. Naturally, the reform or the adjustment of business access system inevitably influences the constitutive variables of business access system cost, thus which may either stimulate and encourage transaction, or hinder and limit business. Meanwhile, the cost of business access system determines the efficiency of it. The free and open business access system, due to its low cost of access system, would produce a series of positive effect, for instance, the transformation effect from the consumption investment to the business investment, the dynamic investment snowball effect, the industrial capital accumulative effect, the area accumulative effect and so on. On the contrary, the restrictive or the prohibitive business access system, due to its high cost of access system, would produce a series of negative effect, for example, the restraining effect of innovation of business organizational form and business pattern, the capital squeeze-out effect, the reversion choice effect of the folk capital and so forth. Therefore, it is the best way for the accumulation of investment, the development of economy, the growth of trade, the promotion of social welfare and the competitiveness of the state to choose a free and open business access system. Consequently, we should choose the business access system mentioned above in the future and construct it from the different angles such as Constitution Law, Civil and Commercial Law, Administrative Law and Economic Law.“The right of business”or“the freedom of business”should be written into Constitution, thus, the natural right of business turns to be the basic legal right of citizen in the form of fundamental law, which sets up the right foundation for the establishment of business access system. Commercial Law that dedicates to adjust business relations should distribute the initial opportunity equally on the basis of the freedom of business so that civil subject would be ensured to freely obtain business qualifications to enter business area. In term of Administrative Law, we should choose and continually perfect the system model of the exceptional business administrative permission, and combine the freedom of investment and the business efficiency of enterprises with social public interest and market transaction security so as to fully release business right and capability of the investment and business subject, and to inspire the business subject to set himself up in business. Through construction of the legal systems of business competitive opportunity equalization, e.g. widespread opening of business area, market integration construction and the legislation of Anti-trust Law, and formulation of policy to ensure the business competitive benefits sustainable, e.g. the policy to promote business of the small and medium-sized enterprises, industrial instruction policy, a free, fair, vigorous and systematic business competitive environment would be constructed.更多还原