营业准入制度研究

发布时间：2018-05-09 06:29

本文选题：营业 + 营业准入　；参考：《湖南大学》2007年博士论文

【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。
[Abstract]:As a specific subject, the profit - making activity aimed at seeking property appreciation and wealth growth has the nature of the interdependence of private and sociality, mutual dependence of self-interest and altruism, the integration of national nature and international nature, which determines the legitimacy of the business. The entry of business, namely, the entry of the civil subject Business investment or profit making activities are limited by the limits of the preconditions and procedures of the law or policy. The system of business admittance refers to a series of inherent systematic and behavioral constraints formed in the process of regulating the entry of the civil subject and the transaction object into the business or the trading market. According to the general term of legal norms and policy measures, its elements consist of four aspects, including main elements, business access object, business admittance rules, and business access control measures. The content covers four aspects, such as the system of qualification admittance of the business subject, the system of enterprise organization access, the system of industry admittance and the system of extraterritorial market access. As the most basic part of the economic system, the entry system embodies the economic freedom of the location of the system, which represents the opening of the market, and determines the actual economic and legal status of the national. The system of business admittance essentially reflects the division of power and rights between the state and the civil subject in the field of business and the distribution of interests. From the point of view of the source of rights, the business book is the right of the civil subject and the right. For the purpose of it, the purpose of the system of business admittance does not restrict the business rights of the civil subject, but should not be prohibited arbitrarily, but should be protected, encouraged, promoted and standardized. The establishment of a system of business access determines the entry of investment and business or the entry of business. The system cost is exited, which is the cost of the operating access system, especially as the extra cost of business entry. The cost of the operating access system is mainly composed of two aspects of the cost of extra expenditure and the benefit of no loss in the process of entering the business. The specific form of the extra expenses includes the application expenditure, the administrative license fee, and the power. There are many aspects of the cost of rent-seeking and the consumption of business evasion; the benefits that should not be lost include the loss of opportunity interest, the loss of interest, the idle capital value, and so on. Naturally, the reform or adjustment of the system of business access will inevitably affect the constituent variables of the system of business admittance. At the same time, because of the existence of the cost of the system of business admittance, it determines the effect property of the system of business admittance, that is, freedom. The open type business access system will produce the transformation effect of consumer investment into business investment, the snowball effect of dynamic investment and the capital of industry. There is a positive effect on the agglomeration effect and regional agglomeration effect, while the restrictive or forbidden business access system will produce the reverse effect of business organization form and business mode innovation, capital extrusion effect and reverse selection effect of private capital because of its high access system cost. Therefore, only free and open business admittance will be chosen. System is the best way to stimulate investment accumulation, promote economic development, promote trade growth, promote social welfare and improve national competitiveness. Based on this, our country should choose free and open business access system in the future, from the constitution, civil and commercial law, administrative law, economic law and other different perspectives to the whole construction, namely, "business rights" or " The freedom of business is included in the constitution of our country, which is declared in the highest legal form, is recognized as the basic legal right of the national and lays the foundation for the establishment of the system of business admittance. As a commercial law specially adjusted for business relations, the initial opportunities for business should be allocated equally with the business freedom as the base point, and the freedom of the civil subject should be guaranteed. To get business qualifications to enter the field of business; choose and continuously improve the institutional paradigm of the exceptionalism business administration license, which combine the value of the main investment, the business benefit and the social public interest, the market transaction security and so on, fully release the business power of the investment subject and the main body of the business, and stimulate the creation of the business parties. Through the policy support of the institutional framework for the equality of business competition opportunities, such as the general opening of the business field, the market integration, the anti monopoly legislation, the business promotion policy of small and medium enterprises, the industrial guidance policy, and the support of the policy of continuous business competition efficiency, a self established, fair, dynamic and orderly camp is built. The competitive environment of the industry.

【学位授予单位】：湖南大学
【学位级别】：博士
【学位授予年份】：2007
【分类号】：D922.29

【引证文献】