本文關(guān)鍵詞： 強制性規(guī)定 合同效力 實務價值 案例分析　出處：《杭州師范大學》2013年碩士論文　論文類型：學位論文

【摘要】：強制性規(guī)定對于合同效力具有哪些影響?違反強制性規(guī)定導致合同無效的情形在哪些情形下成立?理論界各學者對于上述問題的意見諸多,無法形成統(tǒng)一的意見,同時在實務判例中法官也礙于現(xiàn)行法律對于上述問題的規(guī)定不夠清晰明確導致認識也各有不同,同案不同判的案例也較多地存在。這樣的一個司法環(huán)境是遠遠不能達到維護我國經(jīng)濟秩序穩(wěn)定的目的的。當然我國也在立法上對合同法律制度中的強制性規(guī)定進行多次的改革和創(chuàng)新。通過一系列的法律制度改革結(jié)束了我國長期以來合同法律制度內(nèi)強制性規(guī)定的零散、甚至是相互沖突的局面。取得這樣的成果一定程度上意味著我國合同法律制度中關(guān)于強制性規(guī)定的規(guī)范漸趨完善。 在法律改革過程中,《合同法》以及兩個司法解釋明確了“強制性規(guī)定”這一概念的性質(zhì),但是其并未對我國現(xiàn)行法律中數(shù)量龐大的強制性規(guī)定進行分類,同時也未對現(xiàn)實生活中的合同行為違反不同的強制性規(guī)定所帶來的后果進行區(qū)分對待。這樣的籠統(tǒng)的立法現(xiàn)狀就導致了在司法實務中,對規(guī)定合同無效的《合同法》第52條第5款進行了擴大適用,并且在適用該條規(guī)定時往往憑借的是法官主觀上對法律的理解,而不是適用統(tǒng)一的判斷標準。更有甚者,法院的判決中直接依據(jù)《合同法》第52條第5款的規(guī)定,認定當事人之間訂立的合同無效。實務中出現(xiàn)這種做法的主要原因在于對《合同法》第52條第5款的規(guī)定本身直接認定其為一條強制性規(guī)定條款。這種錯誤的認定完全沒有理解《合同法》第52條第5款設立的目的及立法者期待其應起的作用。實務審判中這樣草率的做法與私法自治和合同自由的立法精神不符,而且也導致了私法領(lǐng)域當中公權(quán)力的過多干預,使得一些不是必須被確認無效的合同中途夭折,這樣輕易否定合同效力的做法是與我國發(fā)展市場經(jīng)濟的社會大環(huán)境所逆的。所以,筆者認為在尊重現(xiàn)行法律法規(guī)的前提下認清《合同法》第52條第5款作為一種引致條款存在的狀況,而后對強制性規(guī)定的概念以及其與合同無效之間的關(guān)系進行重新的認識是非常有現(xiàn)實意義的。在認清《合同法》第52條第5款的性質(zhì)后,進一步探討“強制性規(guī)定”這一概念的適用范圍、分類及區(qū)分標準,最終歸納得出本文的核心觀點“違反強制性規(guī)定的合同效力體系”。使得理論研究的成果能帶來司法實踐中的可行性。 在本篇文章中筆者將綜合運用案例分析、歷史分析及綜合歸納分析等研究方法從以下四個部分來分析《合同法》第52條第5款的性質(zhì)以及強制性規(guī)定的分類定義,進而分析各種類型的強制性規(guī)定與合同無效之間的關(guān)系。 第一部分,對強制性規(guī)定的概念及《合同法》》第52條第5款進行闡釋,明確《合同法》》第52條第5款作為引致條款的作用,及其與具體強制性規(guī)定的區(qū)別。進而對實務判例中對認定合同無效依據(jù)的概括方式提出自己的見解。 第二部分,整理分析各自時期合同法律規(guī)范的發(fā)展,以及民法典修訂進程中關(guān)于強制性規(guī)定和合同無效的發(fā)展趨勢,明確合同無效規(guī)定的大方向。并且基于目前我國合同法律規(guī)范的制定情況,以及實務中在運用這些法律規(guī)范所得到的判例,分類分析現(xiàn)今實務適用強制性規(guī)定所存在的缺陷。 第三部分,分析強制性規(guī)定區(qū)分種類、區(qū)分標準以及區(qū)分的原因及價值,并通過案例分析的方法印證筆者提出的區(qū)分標準在實務中的可操作性。 第四部分,基于前文中的論述,細化違反不同類型的強制性規(guī)范所導致合同效力結(jié)果的不同情形。通過綜合分析制定出一套違反強制性規(guī)定的合同效力體系,加強司法實踐中此類案件的可操作性,從而改變實務中審判結(jié)果單一化對經(jīng)濟環(huán)境產(chǎn)生負面影響的不利狀況。
[Abstract]:What are the implications for the mandatory provisions of the validity of the contract? In violation of the mandatory provisions of the contract invalid establishment in what circumstances? Academic scholars to the problem of the opinions of many, does not form a unified opinion, at the same time in the practice of judge in the case specified due to the current law for the problem of lack of clarity leads to understanding of the there are different, different codefendant cases are more present. Such a legal environment is not enough to maintain the stability of economic order of our country to our country. Of course in the legislation on the mandatory provisions in the contract law reform and innovation. Through the reform of the legal system has a series of end scattered in our country for a long time in the mandatory provisions of contract law, and even conflicting situation. Such achievements to a certain extent, means The norms of compulsory provisions in the legal system of contract in China are becoming more and more perfect.
In the process of law reform, "contract law" and the two clear judicial interpretation of "mandatory provisions" of the concept of nature, but it is not a mandatory requirement of a large number of China's current law classification, but also not to contract behavior in real life with the violation of the mandatory provisions of the consequences to differentiate. Such general legislation resulted in the judicial practice, the provisions of the contract invalid < contract law > fifty-second paragraph fifth to extend, and often with the applicable regulations of the judge is the subjective understanding of the law, and not be a unified standard more. What, in the judgment of the court in accordance with the provisions of paragraph fifth of the direct < contract law > fifty-second, that the contract between the parties is invalid. The main reason lies in the practice of "contract law" fifty-second The provisions of paragraph fifth of the directly identified it as a mandatory provisions. This error that no fifth understanding of < contract law > fifty-second purpose and legislators expect its role to be played. In such a hasty trial practice the spirit of the legislation practice and autonomy and freedom of contract is inconsistent, and also led to private law field of public power is not too much intervention, making some must be confirmed invalid contract aborted, so easily deny the validity of the contract is the social environment of China's market economy and the development of the inverse. Therefore, the author believes that in the premise of respecting the existing laws and regulations under the "Contract Law" to recognize the fifth paragraph of article fifty-second exist as a cause in terms of the situation, and then to the mandatory provisions of the concept and its re cognition and the relationship between the contract is very practical. Understand the nature of the fifth paragraph of article < contract law > fifty-second, to further explore the application scope of "mandatory provisions" of the concept, classification and criteria to distinguish between the core viewpoint "eventually concluded that the effectiveness of contract violating mandatory provisions system". The results of theoretical research can bring the feasibility in the judicial practice.
In this article the author will make comprehensive use of case analysis, the definition of the research methods of historical analysis and comprehensive analysis from the following four parts to analyze the properties of the fifth paragraph of article < contract law > fifty-second and mandatory provisions, and then analyzes the various types of mandatory provisions and the relationship between the same invalid.
The first part explains the concept and the "contract law" article fifty-second paragraph fifth of the mandatory provisions of the fifth paragraph of article clear, "contract law" fifty-second clause as lead role, and its difference with the specific regulations. And then put forward their own views on the basis of the summary that the contract is null and void in case party practice.
The second part analyzed the development of their respective period of contract law, on the mandatory provisions and invalid contract as well as the development trend of the civil code revision process, a clear direction of the provisions of the contract is invalid. And at present our country contract law based on the practice, and in the use of these laws and regulations are case analysis defects of current practice for the classification of mandatory provisions.
The third part analyzes the distinction between mandatory provisions, distinguishes the criteria and the reasons and values of distinction, and confirms the operability of the proposed criterion in practice by case analysis.
The fourth part, the above discussion based on the different situations of different types of refinement in violation of mandatory rules due to the validity of the contract results. Through comprehensive analysis to develop a system of effectiveness of contract violating mandatory provisions, strengthen the judicial practice in such cases the operability, so as to change the unfavorable situation in the practice of trial results of single negative impact of the economic environment.

【學位授予單位】：杭州師范大學
【學位級別】：碩士
【學位授予年份】：2013
【分類號】：D923.6

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