【作者】 郑颖慧；

【导师】 崔永东；

【作者基本信息】 中国政法大学 ， 法律史， 2008， 博士

【摘要】 本论文选取宋代商业法制特定研究范畴,从法律思想视角对其进行解读和审视。运用纵向比较和横向对照的研究方法,举凡关涉市场管理、专卖制度、对外贸易等商业法规,说明宋代商业法制与传统法律思想既有契合之处又存在冲突一面,揭示宋代反传统义利本末观是两者生发矛盾的深层思想根源,进而放置于西方欧洲中世纪同期商法予以对照,探讨中西方商业法制大相径庭的思想内涵和精神面貌。基于上述阐释,笔者力图得出如下结论:约自公元十世纪至十三世纪,中西方都在经历一场所谓的“商业革命”,都制定了空前发达的商业法律制度,但两者的精神内涵根本不同,集中体现于彼此重商本质判然有别、权利本位与义务本位两级对峙等两个基本方面,由此决定中西商业法制在以后呈现出根本不同的发展进路:自宋代以后曾经盛极一时的商业法制为明清时期统治者悍然下令“封关禁海”所扼杀,而欧洲中世纪商法则继续遵循商品经济发展客观规律大踏步前进,确立了西方近代社会独立商法典。正如侯建新先生所说:“中国与西欧存在着实实在在的差异,这种差异从时间上讲并非源自鸦片战争,并非源自满清王朝,它们实际上很早就存在,不论是中国汉唐‘盛世’,还是西欧‘黑暗的中世纪’,都已含蕴其间了!”。而宋代商业法制与欧洲中世纪同期商法截然不同的发展路径充分体现了中国赵宋王朝的保守和封闭、西方欧洲的自由与开放。从这个层面来说,大约至公元十世纪至十三世纪,中西方差距已经开始显现。本论文主要由导论、共五章正文主体内容及结论三大部分组成。下面分别予以简要介绍。导论部分主要介绍论文的选题理由、相关研究综述、学术研究的意义以及主要采用的研究方法,庶几可对论文的总体思路及大意主旨形成一个整体印象。第一章主要论述宋代商业立法活动总体情况,充分说明其已经达到非常发达的程度,进而从经济基础和政治因素等两个层面探讨和分析宋代商业立法之所以发达的历史根源,指出宋代商品经济的空前繁荣以及统治集团形成重法及重商的政治氛围有力推动宋代商业法制不断完善。本章主要为以后章节进一步展开论述做一基础性的铺垫。第二章主要考察宋代商业法制与传统法律思想的契合之处。笔者分别从抑商思想、义务本位思想、重刑思想等三个方面寻迹于宋代商业法制以体现其与传统法律思想的某些暗合关系,进而指出抑商思想、义务本位思想及重刑思想在君主专制政治控制下的宋代商业法制中异体同位,一以贯之。第三章主要论述宋代商业法制与传统法律思想的冲突一面,紧紧围绕宋代重商的总体核心问题,分别从积极改善市场管理、正式确立招商政策及广泛实施通商运营机制等三个方面与汉唐传统做法进行纵向比较,说明宋代商业法制已经发生巨变而渗透重商主义反传统思想。第四章承接第三章,主要深入分析宋代商业法制与传统法律思想之间矛盾产生的深层思想根源,指出在宋学宏观学术背景下,义利和合、本末并重的反传统经济伦理思潮深刻影响其商业法制体现出重商主义反传统色彩。第一章至第四章主要从中国传统法律思想视角对宋代商业法制进行本土化阐释和解读。第五章则将视线转移至西方世界,并选取与宋代大致同期的欧洲中世纪商法进行中西横向比较,从更广阔的思想视野中探讨约公元十至十三世纪中西商业法制各具特色的精神内涵,指出两者重商思想的本质、内容及形式根本不同,形成权利本位和义务本位两级对峙的基本情势,进而揭示宋代君主专制统治以及欧洲中世纪商法鲜有政治干涉是造成两者取径相异的基本根源,从而说明中西商业法制之差距于此时已初露端倪,经济实力强弱之较量暗波涌动,落后挨打之隐患已依稀见于其间。最后结语部分总结说明本论文基于法律思想视角对宋代商业法制的研究得出两点基本结论:一是通过自身纵向比较体现其抑商又重商的冲突的和谐之时代特征;一是通过中西横向比较充分体现其专制主义之君利特色。笔者基于上述两点进一步从两个方面加以补充阐释:一是从王安石变法个案透视宋代商业法制冲突的和谐之整体态势;一是分析中西商业法制取径相异之经济伦理思想根源。前者具体体现为王安石变法中打击大商人而保护中小商人的均输法和市易法等商业改革措施,后者则集中表现为中西思想家对“利”字的不同理解和认识。宋代功利思想家所倡言之利,乃为公利,其实质仍为君利;而同期的欧洲中世纪思想家开始热衷于论证个人私利的合理性和正当性。似此中西截然相反的经济伦理思想是导致两者商业法制各具特色的重要根源。综而观之,本论文基于法律思想视角通过纵横双向比较,意在体现宋代商业法制的时代特征以及世界地位。重在说明约公元十至十三世纪,中国的赵宋王朝与大约同期的欧洲中世纪都迎来了商品经济高度繁荣的“黄金时代”,都制定了高度发达的商业法律。只因中西根本不同的文明发展模式导致两者商业法律相差甚远,并在以后的发展过程中两者差距进一步拉大:一方面,自宋以后曾经辉煌一时的商业法制为明清时期统治者悍然下令“封关禁海”所切断,迟至十九世纪六、七十年代改良派方提出“商战”一说,而拖沓至二十世纪初才颁布有史以来第一部商法典,有如昙花一现,不了了之;另一方面,欧洲中世纪商法则遵循商品经济发展的客观规律,继续跃步前进,最终制定了西方近代社会的独立商法典,积极发挥其促进商品经济发展之奇效,迎来十九世纪西方自由贸易的全盛期。可见,中国自宋代以后商业法制明显滞后欧洲数百年,指出这一点,我们既不能妄自菲薄,亦不可噶然而止,我们应该了解差距,冷静思考,借鉴经验,奋起直追,那么我泱泱中华屹立于强国之列必将不远矣!更多还原

【Abstract】 The Paper selects the commercial legal system in Song Dynasty as study topic based on legal thought angle of view,using the longitudinal and the crosswise comparisons about market,monopoly and foreign trade regulations.The Paper explains that similarity and difference between the commercial legal system in Song Dynasty and Agent Chinese traditional law thought.Meanwhile,it is far different from the commercial legal system in the European Middle Age.In details,it shows two points:one hand,heavy business level is much higher in European Middle Age than in Song Dynasty;on the other hand,the rights of the commercial legal system in European Middle Age and the duties of that in Song Dynasty appear a sort of confronting situation.Based on the above explanation,the author hardly tries to draw the following conclusion:approximately from the 10th century to the 13th century,the West and the East were both experiencing one so-called "the commercial revolution" and formulated the unprecedented developed commercial legal system,but both was widely divergent from spirit and connect which were centrally manifested with this heavy business not that one,two levels confront of the right standard and the voluntary standard between the East and the West.The basic difference of the commercial legal system in the East and the West decided the later basic different development admission passage.Once prevailed for a time of Song Dynasty commercial legal system,it was closed forcefully in the later Ming and Qing Dynasties time,which was symbol of the outrageous order "the shutdown forbidden water".But the European Middle Ages commercial law followed the commodity economy development objective principle to continue to go forward in big strides.Just like Mr. HOU-jianxin said:"China and Western Europe have the solid difference. This kind of difference comes from the Opium War by no means time,also comes from the Qing Dynasty by no means.They all exist very early in fact about during Tang Dynasty in China and during the Western European dark middle ages".Meanwhile,the entire different development ways of commercial legal system between Song Dynasty and the European Middle Ages same time fully manifest the conservative and the seal in Song Dynasty commercial legal system,but the freedom and the opening in European Middle Ages same time commercial law.From this point, approximately from the 10th century to the 13th century,the disparity between the West and the East obviously gets to formation.The Paper is mainly made of five chapters and brief introduction of each chapter as follows:The introductory part mainly introduces the Paper’s selected topic reason,the related research situation,the research scholarly significance and the research methods.Thus,the overall appearance of the Paper should be probably grasped.The first chapter mainly elaborates the Song Dynasty commercial legislation in the whole,pointing out its unprecedented developed characteristic and then,analyzing the reasons from commercial economic prosperity and political loose in Song Dynasty.This chapter mainly will further launch the elaboration for the later chapter to make basic upholstery.The next chapter mainly inspects that the Song Dynasty commercial legal system agrees with the traditional law thought.The following chapter elaborates the conflicts between the Song Dynasty commercial legal system and the traditional law thought,closely regarding the heavy business’s core question.The forth chapter continues the upper one,mainly analyzing deeply the reasons why the Song Dynasty commercial legal system contradicts with the traditional law thought.New scholarly research way in Song Dynasty forms the whole counter-traditional ideological trend which is showed of the unification of rights and duties,also the same importance of agriculture and trade.All of that decides the counter-traditional color in Song Dynasty commercial legal system.From the first chapter to the fourth one,the author mainly explains the Song Dynasty commercial legal system based on the Chinese traditional legal thought angle of view from the locality.The fifth chapter begins to take the line of sight shift to the Western world,and selects European Middle Ages commercial law with Song Dynasty same time as approximately reference of the crosswise comparison discuss commercial legal system unique mental outlook between China and the West approximately from the 10th century to the 13th century from the broader thought field of vision.It is pointed that essence,content and form of heavy business thought have basic difference which forms basic circumstance of the right standard and the voluntary standard two levels confront.What’s more,Song Dynasty absolute monarchy to rule as well as the European trade rare political interference creates the both way chosen different basic root.Thus disparity of commercial legal system between China and the West start to show which reveal strong or weak economic potentiality.Finally the conclusion part summarily shows that by own longitudinal comparison manifests the generation of characteristic of the conflict and the harmony in the Song Dynasty commercial legal system,By China and the West crosswise comparison appears absolute monarchy in Song Dynasty commercial legal system different from European Middle Ages one.Further the author supplements the explanation from two aspects:one hand,take Wang Anshi’s political reform case to perspective overall situation of the suppressor and heavy business in Song Dynasty commercial legal system,on the other hand,analysis economic ethics thought root of chosen different commercial legal system between China and the West.The former lies specifically in attacking the big merchant and protecting the small-scale merchant about commercial reform measure in Wang Anshi political reform,the latter distinctively manifests the advantage of different understanding in China and the West.One hand,the utility thinkers in Song Dynasty initiates the advantage is still the prescribed interest rates,which is crowned head benefit in essence,on the other hand,the circle of thinkers in European Middle Ages starts to prove the rationality and the validity of individual personal gain.To some extent, The different economic ethics thought causes both commercial legal system in Song Dynasty and the European Middle Ages same time.All in all,approximately from 10th to the 13th century,both Chinese Song Dynasty and the European Middle Ages welcomed to the golden age of commodity economy development,and once made the highly developed commercial law,the basic different civilization development ideological between the West and China caused both obvious different commercial legal systems,which decided both different development ways,also the disparity will further enlarge in the later development.The once magnificent commercial legal system in Song Dynasty is shut off outrageously by an order of the shutdown forbidden water form the ruler in Ming and Qing Dynasties time.It is not issued proposed "the commercial war" until the 1860s-1870s from the reformists in China.At the initial period of 20th century,the first code of mercantile law dilatory is carried out in the throughout Chinese history,which is disappeared rapidly and let it go.In the contrast,the European Middle Ages commercial law following the commodity economy development objective principal continues to go forward in big strides,forms independent code of mercantile law in the Western modern times society,displays effect of its enormous promotion on commodity economy development,finally welcomed to full development of free trade in the West in 19th century.Through the crosswise comparison between China and the West commercial legal system,China obviously lagged from the Europe about for several hundred years.To Point out this,we can neither improperly belittle oneself nor stop our foot,what we must do is to find out the disparity and absorb profits and lessons from the experience of history.It is believed that our country will catch up with the West powerful nations certainly not to be far!更多还原