【摘要】：抗日戰(zhàn)爭是中國近代以來影響深遠并取得最終勝利的全國性民族戰(zhàn)爭,在戰(zhàn)爭中,國民政府依法實施金融統(tǒng)制,集全國金融之力以支持抗戰(zhàn),成為確保戰(zhàn)爭軍需,夯實抗戰(zhàn)基礎(chǔ)的基本保障�？箲�(zhàn)期間,國民政府實行了一系列戰(zhàn)時緊急金融法律制度,形成了一套高度集中而又靈活方便的國家統(tǒng)制金融體制,總體上可分為三大類:一是戰(zhàn)時金融統(tǒng)制的綜合性基本法律;二是戰(zhàn)時金融統(tǒng)制的領(lǐng)域性專門法律;三是臨時性、執(zhí)行性的戰(zhàn)時金融統(tǒng)制的條令、條例和制度等規(guī)定。以上各類立法的相互協(xié)調(diào)、完整配套,全面而有效的調(diào)動了國統(tǒng)區(qū)財力和物力支援抗戰(zhàn),同時又因時而動、因地制宜,不斷進行修訂和完善,確保了戰(zhàn)時金融統(tǒng)制能夠持續(xù)、穩(wěn)定、有效的推進。這個相對健全、統(tǒng)一、高效(相對近代中國法制而言是健全、統(tǒng)一、高效的,但較同時期的西方法制卻仍顯稚嫩)的戰(zhàn)時金融法律制度,為金融動員準(zhǔn)備與實施提供了基本依據(jù)和保證,使戰(zhàn)時國民政府能組織實施高效的金融動員和保障,支撐長達八年的抗戰(zhàn),最終奪取戰(zhàn)爭的勝利,可以說是通過影響國統(tǒng)區(qū)經(jīng)濟而影響到戰(zhàn)爭的整個進程和結(jié)局。連作為敵人的日本人也坦言:中國抗戰(zhàn)能夠長期堅持,金融鞏固是一個極為重要的因素。 從法律制定和運行的角度來看,抗戰(zhàn)時期戰(zhàn)時金融法律的制度變遷史同時也為現(xiàn)實中國法治發(fā)展提供了一個極具教科書意義的歷史范本,其成敗得失能夠為現(xiàn)實中國完善緊急狀態(tài)立法和推進金融制度現(xiàn)代化提供極具意義的啟示。然而,不無遺憾的是,關(guān)于該論題的系統(tǒng)性研究與論述,在我國的法學(xué)領(lǐng)域尚屬空白。而本文研究的旨趣則在于通過對戰(zhàn)時國民政府金融立法的考辯,揭示戰(zhàn)時金融法制發(fā)展的客觀規(guī)律,并引經(jīng)驗和教訓(xùn)為鑒,以為當(dāng)世之借鑒�；谝陨夏康亩M行的本文研究,其理論價值與實踐意義具體體現(xiàn)在以下三個方面: 史貴言實,本文的研究有助于還原戰(zhàn)時金融立法實踐之原貌。通過對戰(zhàn)時金融機構(gòu)統(tǒng)制、銀行業(yè)統(tǒng)制和非銀行業(yè)統(tǒng)制(包括證券業(yè)和保險業(yè))等基本制度的深入研究,還原“中日兩國雖然遠離戰(zhàn)場血肉廝殺,但同樣充斥刀光劍影的經(jīng)濟領(lǐng)域的斗爭”的基本史實。古人云,“治史如斷獄”,而法律史學(xué)作為法學(xué)與史學(xué)的交叉學(xué)科,對法律歷史現(xiàn)象的重大斷語,應(yīng)當(dāng)客觀理性,力求有相應(yīng)的史實和史料依據(jù),故筆者寄望于本文并非簡單重復(fù)已有的結(jié)論或隨意褒貶、剪裁歷史,然百密或有一疏,如有如史實不符者,仍望諸師友有以教我。 立論公允,本文的研究有助于客觀評價戰(zhàn)時金融法律制度之利弊。從立法技術(shù)上看,抗戰(zhàn)時期的銀行、證券、保險等金融管理立法基本完備,涵蓋抗戰(zhàn)之特殊時期國統(tǒng)區(qū)經(jīng)濟社會發(fā)展與戰(zhàn)備之所需,也確實起到支持八年抗戰(zhàn)、最終取得戰(zhàn)爭全面勝利的積極作用。同時,筆者也無意避諱戰(zhàn)時金融法律制度在制定與實施過程中出現(xiàn)的嚴(yán)重問題,欲借豐富的史料,從法律文本本身、法律價值選擇、法律功能發(fā)揮三個角度,論述戰(zhàn)時金融法律制度的諸多缺陷,揭露制度之弊。 經(jīng)世致用,本文的研究有助于在推進法治建設(shè)過程中汲取教訓(xùn)、總結(jié)經(jīng)驗。分析抗戰(zhàn)時期中國金融法律制度的“供應(yīng)——需求”及其均衡方式,衡量戰(zhàn)時金融法律制度對國統(tǒng)區(qū)經(jīng)濟、政治目標(biāo)反哺的實現(xiàn)情況,總結(jié)戰(zhàn)爭背景下金融法律制度的成因與變遷,從而窺探金融法律制度的發(fā)展規(guī)律。通過筆者對戰(zhàn)時金融制度史進行理性的梳理,我們不僅可以刺探抗日戰(zhàn)爭這一特殊時期金融立法的利弊,而且能總結(jié)經(jīng)驗,用被實踐證明了的合理規(guī)律形成科學(xué)的方法論,這對于我國當(dāng)前和今后緊急狀態(tài)立法與金融立法的改革與完善,促進經(jīng)濟社會協(xié)調(diào)發(fā)展,或有著重要的現(xiàn)實價值和實踐意義。 圍繞戰(zhàn)時金融法律制度這一極具價值的論題,為實現(xiàn)筆者寄以重望的以上目的,本文在廣泛收集和整理戰(zhàn)時金融制度的史料的基礎(chǔ)上,以法學(xué)為研究視角,運用文獻分析、實證分析、跨學(xué)科研究法(交叉研究法)、功能分析法等研究方法,綜合運用歷史學(xué)、經(jīng)濟學(xué)等多學(xué)科的理論、方法和成果,從整體上對戰(zhàn)時金融制度變遷這一歷史課題做一些初涉性的研究。筆者以為,作為法學(xué)領(lǐng)域一個極具開創(chuàng)意義的研究課題,本文研究的創(chuàng)新之處主要表現(xiàn)為: 其一,彌補緊急狀態(tài)立法研究之不足。人類社會是在平時狀態(tài)與緊急狀態(tài)的不斷交織更迭中,不斷向前發(fā)展的。一個國家雖然可以盡量預(yù)防,但絕不可能完全避免緊急狀態(tài)的發(fā)生,這是社會發(fā)展的客觀規(guī)律使然。古人云,“時移則勢異,勢異則情變,情變則法不同。”法律應(yīng)當(dāng)也必須為所有可能發(fā)生的社會現(xiàn)象提供規(guī)范性的解決方案,但實行緊急狀態(tài)對一國的政治、經(jīng)濟和社會傷害都會很大,是不得已采取的斷然措施。這就需要法學(xué)界提前對相關(guān)問題進行研究,以有效預(yù)防、及時應(yīng)對各種突發(fā)事件、減少緊急狀態(tài)的發(fā)生,作為治國理政的重要目標(biāo)。然而,目前我國法學(xué)界對“常態(tài)”法律制度研究較多,對“緊急”狀態(tài)法律制度思考不足。而戰(zhàn)爭狀態(tài)作為一種最典型的緊急狀態(tài),戰(zhàn)爭狀態(tài)下的法律運行規(guī)律應(yīng)該是法學(xué)的重要研究內(nèi)容。國民政府在抗日戰(zhàn)爭期間所進行的戰(zhàn)時金融立法與實踐,正為本文開展這種創(chuàng)新性研究提供了珍貴的素材。 其二,彌補近代制度史研究之不足。以前學(xué)界對近代法制史的研究,主要集中在憲政、刑民制度的研究,對經(jīng)濟制度史,尤其是金融制度史的研究稍顯不足�？谷諔�(zhàn)爭這一歷史事件對于中國近代史研究的意義不言而喻,而戰(zhàn)時金融法律制度,是國民政府出于支持持久抗戰(zhàn)之需要,通過法律手段強制干預(yù)經(jīng)濟金融活動的一項重要的立法實踐,對于如此重要的研究領(lǐng)域,法學(xué)界卻鮮有涉及。半個多世紀(jì)來,僅有經(jīng)濟史學(xué)界出版少量資料匯編性和史實介紹性的書籍,而且其中從法律角度研究這段歷史制度的著作尚付闕如。據(jù)本人目前收集的資料來看,我國法律史學(xué)界對相關(guān)制度的專門研究基本是空白。本文從制度變遷角度研究抗戰(zhàn)金融法律制度,可以彌補中國近代法史和部門法制史研究的不足。 本文的結(jié)構(gòu)基本遵循提出問題、分析問題、得出結(jié)論的研究三段論邏輯,首先介紹戰(zhàn)時金融法律制度的立法背景、基本演進軌跡與基本特征,繼而具體分析具體統(tǒng)制制度的文本與實踐效果,最后在對整個制度進行辯證分析與評價的基礎(chǔ)上,探求歷史存在制度之現(xiàn)實啟示。 全文總共十二章,基于三段論的研究邏輯,本文可以分為三個大的部分: 第一章、第二章為戰(zhàn)時金融法律制度總論,介紹該制度的深刻歷史背景和法律繼承性特征,簡要描述了立法傳承與歷史動因,并在縱向時間維度簡要研究戰(zhàn)時各階段的金融制度發(fā)展情況的基礎(chǔ)上,初步概括其法律關(guān)系構(gòu)成與法律特征。 第三至十章為戰(zhàn)時金融法律制度分論,從橫向業(yè)務(wù)維度劃分為金融組織管理制度和金融業(yè)務(wù)制度:金融組織管理制度主要對戰(zhàn)時金融機構(gòu)內(nèi)遷制度、戰(zhàn)時金融決策協(xié)調(diào)機制的完善和中央銀行制度完善;金融業(yè)務(wù)制度涉及貨幣、貼放、匯兌、儲蓄、金銀、保險、證券、票據(jù)法等幾個方面,列舉式介紹戰(zhàn)時金融法律制度的各項具體規(guī)定,必要之處也對相應(yīng)制度進行簡單評價。 第十一章、第十二章為戰(zhàn)時金融法律制度評價與啟示,在前文研究的基礎(chǔ)上對該時期金融制度立法與實踐活動進行辯證分析,客觀評價制度的得失,繼而從現(xiàn)實緊急狀態(tài)立法與金融立法兩個維度提出對現(xiàn)代法治建設(shè)的借鑒意義。
[Abstract]:The War of Resistance Against Japan was a national war that had far-reaching influence and won final victory in modern China. During the war, the Kuomintang government exercised financial control according to law and gathered the financial strength of the whole country to support the War of Resistance. It became the basic guarantee to ensure the war munitions and to consolidate the foundation of the War of Resistance. During the War of Resistance Against Japan, the Kuomintang government implemented a series of emergency wartime finance. The legal system has formed a highly centralized and flexible state-controlled financial system, which can be generally divided into three categories: the comprehensive basic laws of financial control in wartime; the specialized laws of financial control in wartime; and the provisional and enforceable regulations, regulations and systems of financial control in wartime. All kinds of legislation coordinated with each other, complete and complete, fully and effectively mobilized the Kuomintang-controlled areas financial and material resources to support the War of Resistance. At the same time, they were constantly revised and perfected according to the times and local conditions to ensure that the wartime financial control can be sustained, stable and effective. This is relatively sound, unified and efficient (compared with the modern Chinese legal system is). A sound, unified, efficient, but still immature legal system in the West at the same time) wartime financial legal system provides the basic basis and guarantee for the preparation and implementation of financial mobilization, enabling the Kuomintang government to organize and implement efficient financial mobilization and guarantee, support the eight-year War of Resistance, and ultimately win the war. Even the Japanese, who were enemies, admitted that China's resistance to Japan could be sustained for a long time and that financial consolidation was an extremely important factor.
From the point of view of law making and operation, the history of the institutional changes of the financial laws during the Anti-Japanese War also provides a textbook-meaningful historical model for the development of the rule of law in China. Its success or failure can provide significant enlightenment for the perfection of emergency legislation and the modernization of the financial system in China. Unfortunately, the systematic research and Discussion on this topic is still blank in the legal field of our country, and the purpose of this paper is to reveal the objective law of the development of the financial legal system in wartime through the debates on the financial legislation of the Kuomintang government in wartime, and to draw lessons from the experience and lessons for the reference of the times. The theoretical value and practical significance of this study are embodied in the following three aspects:
Shi Guiyan is convinced that this study is helpful to restore the original appearance of the wartime financial legislation practice.Through the in-depth study of the basic systems of the wartime financial institution control, banking control and non-banking control (including securities and insurance industry), this paper restores the economic collar of "China and Japan, although far from the battlefield of bloody battles, but also full of sword shadow." As the interdisciplinary subject of law and history, legal historiography should be objective and rational, and strive to have the corresponding historical facts and historical data basis. Therefore, the author hopes that this article is not simply to repeat the existing conclusions or arbitrarily praise and disparage, cutting history. However, if there is a lack of consistency, if the historical facts do not agree with each other, teachers and friends are still expected to teach me.
From the point of view of legislation technology, the legislation of banking, securities, insurance and other financial management during the Anti-Japanese War is basically complete, covering the needs of economic and social development and war readiness in Kuomintang-controlled areas during the special period of the Anti-Japanese War, and indeed supporting the Eight-Year War of Resistance and ultimately achieving war. At the same time, the author has no intention to avoid serious problems in the process of formulation and implementation of the financial legal system in wartime. I would like to use abundant historical materials to discuss the defects of the financial legal system in wartime and expose the drawbacks of the system from three perspectives: the legal text itself, the choice of legal value and the exertion of legal functions.
This study is helpful to draw lessons and sum up experience in the process of promoting the rule of law. It analyzes the "supply-demand" and its balanced mode of China's financial legal system during the Anti-Japanese War, measures the realization of the financial legal system's feeding back to the economic and political goals of the controlled areas in wartime, and summarizes the financial law under the background of the war. Through the author's rational combing of the history of the financial system in wartime, we can not only probe into the advantages and disadvantages of the financial legislation in the special period of the Anti-Japanese War, but also sum up experience and form a scientific methodology with the reasonable laws proved by practice. The reform and perfection of emergency legislation and financial legislation in our country at present and in the future will promote the coordinated development of economy and society, or have important realistic value and practical significance.
Around the valuable topic of the wartime financial legal system and in order to realize the above-mentioned purposes, this paper, on the basis of collecting and collating the historical data of the wartime financial system extensively, makes a comprehensive study from the perspective of law, using the methods of literature analysis, empirical analysis, interdisciplinary research (cross-research method), functional analysis and so on. By using the theories, methods and achievements of history, economics and other disciplines, the author makes a preliminary study on the historical subject of the change of the financial system in wartime.
The first is to make up for the deficiency of the study on the legislation of state of emergency.Human society is constantly developing in the interweaving and changing of state of peacetime and state of emergency.Although a country can prevent as much as possible, it is impossible to avoid the occurrence of state of emergency completely, which is the objective law of social development. The law should and must provide a normative solution to all possible social phenomena, but the implementation of a state of emergency will cause great political, economic and social harm to a country, which is an absolute measure that must be taken. To prevent and respond to various emergencies in time and to reduce the occurrence of emergencies is an important goal of governing our country. However, at present, the legal circles in our country have done a lot of research on the "normal" legal system and have not given enough consideration to the "emergency" legal system. The wartime financial legislation and practice carried out by the Kuomintang government during the Anti-Japanese War provided valuable material for this innovative research.
Secondly, it makes up for the deficiency of the research on the history of modern system.The previous studies on the history of modern legal system mainly focused on the constitutional government, the criminal and civil system, and the study on the history of economic system, especially the history of financial system. It is an important legislative practice for the national government to forcibly intervene in economic and financial activities through legal means in support of the protracted War of Resistance Against Japan. However, for such an important research field, the legal circle has rarely touched upon it. For more than half a century, only a few books on Compilation and introduction of historical facts have been published by the economic history circle. According to the data collected by me at present, there is basically no special research on the relevant systems in the field of legal history in China. This paper studies the financial and legal system of the Anti-Japanese War from the perspective of institutional change, which can make up for the deficiency of the research on the history of modern Chinese law and the history of departmental legal system.
The structure of this paper basically follows the logic of syllogism that raises questions, analyzes problems and draws conclusions. First, it introduces the legislative background, basic evolution and basic characteristics of the financial legal system in wartime. Then it analyzes the text and practical effects of the specific control system concretely. Finally, it makes a dialectical analysis and evaluation of the whole system. Above all, we should explore the realistic enlightenment of the historical existence system.
There are twelve chapters in this paper. Based on the logic of syllogism, this paper can be divided into three parts:
The first chapter and the second chapter are the general introduction of the wartime financial legal system, introducing the profound historical background and legal inheritance characteristics of the system, briefly describing the legislative inheritance and historical motivation, and on the basis of a brief study of the development of the wartime financial system in the vertical time dimension, preliminary summary of its legal relationship and legal characteristics.
The third to tenth chapters are about the division of the wartime financial legal system, which is divided into the financial organization management system and the financial business system from the horizontal business dimension: the financial organization management system mainly refers to the wartime financial institution relocation system, the wartime financial decision-making coordination mechanism and the central bank system; the financial business system involves the currency, the discount and release, the foreign exchange. This paper introduces the specific provisions of the wartime financial legal system from several aspects, such as exchange, savings, gold and silver, insurance, securities and bill law, and makes a brief evaluation of the corresponding systems where necessary.
Chapter 11 and Chapter 12 are the evaluation and Enlightenment of the financial legal system in wartime. On the basis of the previous study, the author makes a dialectical analysis of the legislative and practical activities of the financial system in this period, objectively evaluates the gains and losses of the system, and then puts forward the reference significance for the construction of modern rule of law from the two dimensions of the legislation of the realistic state of emergency and the financial legislation.
【學(xué)位授予單位】：西南政法大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2011
【分類號】：K265

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