商事主体登记与备案之辨——兼评《商事主体登记管理条例(草案)》

Analysis of Commercial Subject Registration and Commercial Record-filing Rules——Comments on the Registration Ordinance of Commercial Subjects(Draft)

在商事主体的信息事项管理上,我国长期以来采登记与备案的双轨制,然理论与实务上对二者的差异关注不足。《商事主体登记管理条例(草案)》详细规定了商事主体登记制度,同时规定了部分信息的备案制度,但对于二者的功能差异、效力区分及分工配合关系未予明确,具体事项的分配合理性也存在疑问。登记是经行政机关对相应事项进行形式审查后确认并将登记事项予以公示的行为,其功能在于市场准入、信息公示,体现维护交易安全和商事交易效率的价值;而备案制度是向行政机关披露相应信息以留档备查,其功能在于便利行政机关对商事主体进行监督和管理,提高行政管理效率,其本身并不具备私法效力。因此,对于登记事项与备案事项的划分,应当以其对民商事交易的影响程度作为判断和甄别标准。当前《商事主体登记管理条例(草案)》中所规定备案事项中的公司章程、董事、监事、高级管理人员和农民专业合作社(联合社)成员、个体工商户中参加经营的家庭成员等信息应当作为登记事项予以公示,以维护商事交易的高效性和安全性。

In the information regulation of commercial subjects, China has adopted both of registration rules and record-filing rules for a long time, but the differences between them are not well established. The Registration Ordinance of Commercial Subjects(Draft) stipulates in detail the registration rules of commercial subjects, leaving the record-filing rules into pieces. Commercial registration is the act of confirming and publicizing the registered items after the formal examination of the relevant matters by the administration. Its function lies in market access and information publicizing, and embodies the value of maintaining transaction security and commercial transaction efficiency. The record-filing rules are to disclose relevant information to the administrative organs to keep files for future reference. Its function is to facilitate the administration to supervise and manage commercial subjects and improve the efficiency of administrative management. It does not have the effect of private law itself. Therefore, the classification of registered items and recorded items should be based on their impact on civil and commercial transactions as a screening standard. In the Registration Ordinance of Commercial Subjects(Draft), the articles of association, the company’s directors, supervisors and senior management personnel and the farmers’ professional co-operatives(association) members, individual businesses members shall be classified as registered items, in order to maintain the efficiency of commercial transaction, and security.