让与担保效力问题研究

发布时间：2018-03-09 15:25

本文选题：让与担保　切入点：效力　出处：《广西师范大学》2017年硕士论文　论文类型：学位论文

【摘要】：让与担保起源于古罗马法上的信托制度,具有悠久的发展历史。让与担保是在民事经济生活中不断发展与演化历程中,已经是比较成熟的类型化和固定化的一种担保形式。让与担保是一种权利转移型担保手段,具有让与的外观形式和担保债权的内含目的。由于民法物权理论无法解决其在公示问题和立法逻辑体系融合问题,以及有部分学者认为抵押制度在很大程度上吸收了让与担保制度优势。因此,在我国现行物权法中尚未规定让与担保制度。然而,该担保方式还具有顽强的生命力,具有扩大融资方式、节约交易成本、债务人占有标的等优势,具有巨大的经济价值、工具价值和独立价值。在经济活动中,民事主体较广泛采用这种担保方式。在法律适用上,因缺少明确的法律规定导致法官适用法律困难。在理论上,论证让与担保制度存废的争议也未曾休止。目前,学界多从让与担保制度构建和立法规制角度探讨让与担保。在本文中,笔者尝试在民法典编纂背景环境中,在物权法定主义与意思自治主义思想博弈下,以物权与债权二元结构理论为支撑,探讨让与担保这种民事行为的效力问题:在民法理论上,让与担保行为是否具有有效性之合理性问题;在现行法下,从民事行为制度角度,让与担保行为是否具有法律效力问题。本文为了解决我国现行法下如何认定让与担保法律效力问题。本文包括三部分:第一部分是引言和提出问题部分。先说明本文的研究背景、研究方法和论文结构,以及认定让与担保有效性的价值:工具价值、经济价值和独立价值。其次,论述界定让与担保概念与法律特征,然后探讨本问论述的让与担保效力的概念和特征,提出自己对让与担保概念和效力的个人见解。接着简述了我国让与担保效力问题的立法现状和司法实践情况,归纳在立法规制让与担保效力问题之实践和理论的争议观点,在理论上探讨让与担保有效性争议问题,以及在法律适用上存在不同的让与担保效力状态问题。最后引出本文在债权说观点下,要研究让与担保法律效力问题的四大相关问题:第一是让与担保的有效性和认定原则的问题,第二是让与担保作为民事法律行为生效特殊要件问题,第三是让与担保的效力范围和效力状态问题,第四是让与担保效力存在效力瑕疵时的责任分配与承担问题。第二部分是对让与担保效力相关问题进行理论分析。本部分有四个重点,如下:第一是论述认定让与担保有效性的原则应采取私法自治原则,阐释私法自治与意思自治的关系,以及让与担保与物权法定原则、公序良俗原则、流质契约禁止原则的关系,提出私法自治原则理应扩张和物权法定原则的限缩的观点,认为私法自治原则作为认定让与担保有效性的原则,具有适应性和合理性。第二是从民事法律行为生效的构成要件角度,详细解析和归纳了让与担保行为生效的构成要件的特殊之处,构建了详细的生效的四要件。第三是在让与担保行为作为债之法律关系的性质,探讨了让与担保行为对当事人以及第三产生的权利义务关系,以及在部分之处简要涉及让与担保与典型担保效力竞合问题解决。第四,从传统民法理论对民事法律行为效力状态的类型化划分角度,在债说观点下,进一步分析了让与担保在生效四要件条件欠缺的效力状态与责任承担问题。最后一部分试图探索现行法下让与担保效力问题的解决。先结合域外对认可法律效力理论与实践利用情况与方法,从英美法系和大陆法系一些代表国家和地区,总结两大法系相关制度的借鉴和启示。如:登记作为公示手段是必要的,具有对抗性;明确让与担保也具有从属性;划清流质型让与担保与清算型让与担保区别范围,在让与担保实行效力时,在选择清算方式上,抛弃流质型让与担保和认可清算型让与担保具有法律效力。接着结合本文探讨让与担保效力问题的目的和我国让与担保现状,提出优化让与担保效力认定制度的四个建议:确定让与担保有效性的认定原则与标准;准确认定让与担保有效性的生效要件;准确认定让与担保的效力范围和归属法域,以及细化让与担保存在效力瑕疵时候的责任归属。拙文虽然不能穷尽所有类型的让与担保的法律效力,主要探讨了清算型让与担保的民事行为在我国现行理论和立法下,应该符合的生效要件。让与担保当事人只有在符合这些要件件时,才可以达到各自设立让与担保的目的,否则目的会落空,以及探讨在当事人在效力瑕疵时应承担的法律责任。
[Abstract]:The transferring guarantee originated from the ancient Rome law, the trust system, with a long history. The transferring guarantee is constantly developing in the civil economic life and the course of evolution, is a form of guaranty type and fixed mature. Cessionary guarantee is a kind of right transfer guarantee means, with the assignment of intron the appearance and form of creditor's rights guaranteed. Because the real right theory of civil law can not solve the problem of integration issues and legislation in the publicity logic system, and some scholars believe that the mortgage system absorbs the advantages of transferring guarantee system to a great extent. Therefore, the guarantee system has not been stipulated in China's current property law. However, the way of security also has strong vitality, has expanded financing, reducing transaction costs, the debtor occupy the subject and other advantages, has great economic value, instrumental value and independent value. In economic activities, the civil subject is widely used by the way of security. In the application of the law, because of the lack of clear legal provisions of the applicable law to judge the difficulty. In theory, demonstrates the controversy over the abolition of the transferring guarantee system have never ending. At present, to guarantee scholars from transferring guarantee system construction and legislation angle. In this paper, the author attempts in the codification of civil law in the background, the legal doctrine of the real right of autonomy and ideology in game, property rights and claims two yuan structure theory, the validity of the guarantee for civil acts: in the theory of civil law, whether the guarantee behavior is reasonable assignment of validity; in the current law, from the perspective of the system of civil action, whether the guarantee behavior has the legal effect. In order to solve the problems in China's current law, how to determine the Guarantee Law Effectiveness of the problem. This paper includes three parts: the first part is the introduction and part of questions. First explain the research background, research methods and thesis structure, as well as the determination of the validity of guarantee value: tool value, economic value and independent value. Secondly, discusses the definition and characteristics of legal concept and guarantee that, then explore the concept and this feature discusses the effectiveness of transferring guarantee question, put forward their own personal opinions on the concept of transferring guarantee and effectiveness. Then introduces the status of legislation and judicial practice in our country the validity of transferring guarantee, summed up in the legislation of transferring guarantee system effectiveness of the theory and practice of the controversial point of view, to explore the effectiveness of transferring guarantee in dispute in theory, and the existence of the state of effectiveness of different transferring guarantee in legal application. Finally this leads to the creditor's right in perspective, to study the security law. The four major issues related to the problem: the first is to guarantee the validity and the cognizance principle, second is the guarantee of civil legal acts as the validity problem, third is the effectiveness of the scope and effectiveness of state guarantee, the fourth is to guarantee the effectiveness of allocation of responsibilities in the effect of the defect and the second subject. Some related issues on the validity of the guarantee of the theoretical analysis. This part has four key points as follows: the first is about the confirmation of transferring guarantee the validity of the principle should adopt the principle of autonomy of private law, explain the relationship between the autonomy of private law and the autonomy, and secured with the legal principle, the principle of public order and good morals, the principle of prohibiting the fluidity contract the relationship between the principle of private autonomy should be expanded and the legal principle of property right limit point of view, that the principle of autonomy of private law as the basis for the validity of the original mortgage Then, adaptability and rationality. The second is effective from civil legal acts constitute the elements of perspective, detailed analysis and summarizes the special elements of the effective guarantee of the assignment of constructing four effective elements in detail. The third is in the nature of debt guarantee behavior as a legal relationship, discusses the guarantee behavior to produce the third parties and the rights and obligations, and in some place briefly involved with security and solve the problem. The effectiveness of the concurrence of typical security fourth, from the type of division of the traditional civil law theory validity status of civil legal actions, in debt said view, further analysis of the transferring guarantee in the effectiveness of state responsibility and the commencement of the four elements the lack of conditions. The last part attempts to solve the validity of existing law under the transferring guarantee. The first combination of foreign recognition of legal science And use the theory and method of practice, common law and civil law from some representative countries and regions, lessons and inspiration are summarized in two law systems. Such as: registration as a publicity means is necessary, there is antagonism; clear guarantee also has from the draw type liquid attributes; and secured with the liquidation of the transferring guarantee difference the scope of implementing effect in transferring guarantee, in the choice of liquidation mode, abandon the liquid transferring guarantee and the liquidation type approved transferring guarantee has legal effect. Then this paper combined with the status quo of transferring guarantee the validity of the purpose and our guarantee, put forward four proposals to optimize the validity of transferring guarantee system: the cognizance principle and standard cessionary guarantee validity; accurate determination of effective elements of cessionary guarantee validity; accurately identify the scope of validity of the transferring guarantee and belonging to law domain, and refine the assignment The attribution of responsibility to guarantee the existence of the time. Although the effect of the defect can't solve all types of transferring guarantee legal effect, mainly discusses the liquidation of transferring guarantee in our current civil legislation and theory, should be effective with the elements. The guarantee only in accordance with these parties to pieces, to set up their own the purpose of the guarantee, otherwise the purpose will fail, and to investigate the legal responsibility in the party in the effect of the defect should bear.

【学位授予单位】：广西师范大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D923.2

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