权利质权公示制度研究

【作者】 赵英；

【导师】 孙宪忠；

【作者基本信息】 中国社会科学院研究生院 ， 民商法学， 2009， 博士

【摘要】 我国物权法就权利质权部分对担保法进行了大幅修改,除了扩大权利质权的适用范围,将几种实践中已经出现而未明确规定的财产权(例如基金份额、应收账款等)予以明文化以外,对于权利质权的另一个重要方面——公示也做了较大的调整。这种调整一方面是为了配合理论的更新,主要是物权法确认了区分原则,体现在物权法上即第9条、15条。另一方面配合各种不同的权利类型,依其特点,分别采取不同的公示方式,以最大限度的发挥权利质权的作用并且便利实际操作。但物权法对于权利质权公示制度的规范过于原则,缺乏操作性,如何落实各种权利质权的公示有待于进一步的研究和立法规范。立法当中针对不同的权利类型设计了不同的公示方式,并且以登记为主,但是,现有的理论研究未能为权利质权的公示提供一个强有力的理论支撑,没有对某种权利类型选择登记或交付作为公示方式作出理论上的阐释。另外,目前实践中权利质权公示制度存在着不足之处,也严重影响了权利质权制度作用的发挥。本论文拟从权利质权公示的一般理论和各论两部分来展开论述。第一至四章相当于本文的总论部分,就权利质权公示的历史发展、比较法上的现状和各种公示方式的一般规则及其经济分析进行探讨。第五至八章相当于分论部分,就物权法中规定的权利质权的公示方式逐一分析检讨,分析的对象不仅限于物权法的规定,更主要的是以各相关主管部门所制定的规则和各个权利质权公示方式的实际“生存状态”为主要的研究对象,探究其是否有改进的余地,为未来的修法提供可能的方案。本文首先在第一章中探讨权利质权公示的一般理论。本文从罗马法上的相关制度入手,分析物权公示尤其是权利质权公示方式在历史上的发展脉络,分析探究为何会形成今天的这种权利质权公示方式。并着重分析权利质权公示制度在我国的发展过程。第二章则从比较法的角度进行分析。归纳了以德国法为代表的大陆法系和美国法为代表的英美法系在权利质权公示制度上存在的差异,前者是一种分散的公示方式,仅列举了一般债权质权和有价证券质权及其公示方式,其他的质权类型及公示方式则是通过动产质权规则的准用和权利让与规则的准用,来弥补其他权利质权类型的规范需要。而美国法上则是以《统一商法典》第九编为核心,在废止原有的各种担保制度,统一以“担保权益”(security interest)构建起动产担保交易制度,将普通法下的繁杂登记制度整合成全国统一的登记制度,以发挥担保的效能。本文在比较分析各该制度优劣的基础上,借鉴其有益成份,为分析检讨我国的相关理论和实践提供参考。第三章就权利质权公示的基本问题进行探讨,在这一章,本文试图运用物权公示原理来阐释包括占有、交付和登记在内的权利质权公示制度的一般规则。在此基础上形成权利质权公示的一般框架。第四章运用经济分析的方法对权利质权公示制度进行产能与效率的分析。相比较于民法上的其他制度,权利质权公示可以说是一个技术性较强的制度,较少涉及伦理性。因此,经济分析方法的运用应当有助于我们重新审视这一制度。第五章探讨有价证券质权的公示。权利证券化后,权利质权的公示方式演变成为以对其证券化的载体的交付或占有,如何实现这种交付和占有以及这种交付和有价证券背书、核押等的关系如何,本章进行了说明。另外以仓单质押为例,简要说明质押过程中仓单交付及相关环节的具体程序。随着电子科技和互联网的发展,出现了证券权利的无纸化,权利质权的公示也发展出了电子登记的方式,本文对登记机构、登记程序、登记内容及登记效力等问题进行了分析。第六章探讨基金份额、股权质权的公示。本章在对证券登记结算机构、证券交易所、工商行政管理部门等登记机构的规则和操作实际进行调查的基础上,从登记的范围、登记主体、登记内容、登记程序等方面对相关的规则和做法进行了分析检讨。第七章探讨知识产权质权的公示。本章是在对三大登记机构的规则和操作流程分析检讨的基础上,结合前面关于权利质权登记的一般理论,探讨登记的范围、登记程序等基本问题,同时指出专利权、商标权二者与著作权在转让方式上的区别及由此带来的质押公示方式上的问题。第八章探讨应收账款质押登记。本章结合人民银行《应收账款质押登记办法》及美国的应收账款质押登记制度,以质押登记的一般理论为基础,探讨应收账款质押登记的基本问题。更多还原

【Abstract】 The Real Right Law of the People’s Republic of China has substantially revised the part of right pledge of Security Law. In addition to expanding the rights of the scope of right pledge (such as the fund share, accounts receivable, etc.), the publicity of the right pledge has done a larger adjustment. On the one hand, such an adjustment is in line with the updated theory. The Real Right Law recognizes the principle of distinction, reflected in the Real Right that is on section 9, 15. On the other hand the different way of publicity with the rights of various types, depending on their characteristics respectively, is to maximize to exert the effect of the right pledge and to facilitate the actual operation.However, the regulation of publicity of the right pledge in the Real Right Law is too simple to be lack of interoperability. Therefore, further research and legislation should be needed to implement the publicity of the right pledge. The legislation confirmed different types of publicity methods for different rights, which is mainly registration, but the existing theoretical studies have failed to provide a strong support for the publicity of the right pledge, which does not explain theoretically the reason of selecting registration or delivery as a public method. In addition, the current practice of publicity system exist inadequacies, which seriously affected the right pledge. This dissertation expands discussion starting on two parts: the general theory and sub-theory.The first four chapters as the general part of this dissertation explore on the historical development of publicity of the pledge on right, comparative law of the publicity system of the pledge on right, the general rules of various publicity methods and its economic analysis. The last four chapters as the sub-part review the different methods of publicity in the Real Right Law. The target of analysis is not limited to the provisions of the Real Right Law, but also the rules and regulations enacted by different authorities and the practice, which is to explore whether there is room for improvement of amending the law in the future and provide possible options.Chapter I explores the general theory of publicity of pledge on right. It analyzes the historical development of publicity of property, particularly the publicity of pledge on right from the Roman law on the relevant system, explores the reason that such publicity system formed today, and focuses on analysis of the development process of the publicity system in China.Chapter II compares and reviews the institutional differences in civil law and common law, represented by Germany and the United States respectively from the perspective of comparative law analysis. The former take a decentralized way in publicity of pledge on right. A general provision that the publicity of transfer property is applied to the publicity of pledge on right makes up requirement of publicity of pledge on right. The publicity in the U.S. is based on the Uniform Commercial Code, Article 9. A uniform secured transaction was established based on the“security interest”in tangible and intangible property and a unified national registration system in the U.S. is complicated with abolition of the various security systems. The Article 9-type filing system promotes information exchange and acts as a“bulletin board”by providing credit information to interested parties. In this paper, the reference of its useful components, would like to give a reference for analyzing and reviewing the relevant theory and practice in China, based on a comparative analysis of the advantages and disadvantages between the two different systems.Chapter III explores some basic questions of publicity of pledge on right. It attempts to form the general framework of publicity of pledge on right on the basis of explaining the general rules of publicity of pledge on right including possession, delivery and registration by the general principle of publicity in the Real Right Law.Chapter IV explores the efficiency of the publicity of pledge on right by economic approach. Compared to the other systems in civil law, the publicity could be a more technical system, less involved with ethics. Therefore, the application of economic analysis should help us re-examine the system.Chapter V explores the publicity of pledge on securities. The publicity methods become delivery or possession of the paper after rights securitization, representing the delivery or possession of the rights. It explains how to realize such delivery and possession and the relationship with endorsement. In addition, it takes the pledge of warehouse receipts as an example to make a brief description of the delivery of warehouse receipts in the pledge process and the related specific procedures. With the development of electronic technology and internet, paperless securities rights emerged, which results to the development of electronic registration as public method, this chapter studies on the authorities, process, content and effectiveness of such registration.Chapter VI discusses the publicity of pledge on fund share and equity. This chapter reviews the relevant rules and practices of the scope, principal, content, procedures of registration on the basis of investigation on rules and operations in China securities depository and clearing corporation limited, stock exchange, the industrial and commercial administration department and other agencies of the registration.Chapter VII explores the publicity of pledge on intellectual property. This chapter explores the scope, procedures and other basic questions of registration and points out the issue of publicity resulting from the distinction in the rights transfer between patent, trademark and copyright on and the at the same time on the basis of investigation the rules and operation of the three authorities, combined with general theory of the publicity of pledge on right.Chapter VIII explores the registration of pledge on accounts receivable. It researches the basic problems combined with“the Rules of Registration of Pledge on Accounts Receivable”of the PBC, the accounts receivable pledge registration system in the United States and the general theory of pledge registration.更多还原