《民法典》背景下商事外观主义的功能定位与适用进路

Function Orientation and Application Approach of the Rechtsscheintheorie of Commercial Law Under the Background of the Civil Code

商事外观主义在概念构造上与民法外观主义一致,因而被定位为一项例外的矫正法措施,《民法典》民商合一的立法体例更加剧了这种法理认知。但商事外观主义的特殊性应主要基于其内生机理,集中于商法基本价值追求、归责原则、主体能力等方面。商法对于效益价值之追求以及风险责任分配的特点,使得商事外观主义在外观事实构造、相对人的信赖及本人与因基础等三个核心构成要件均天然地倾向于使得外观责任适用的原则化,即由例外适用变为一种商法理念。进而商事领域中以风险规制为核心形成了商事外观主义适用的体系化,一方面在内外不一的一般外观责任基础上增加了举证责任倒置以及商事不利推定的商事外观责任类型,另一方面既有以风险预防为核心的商事登记普遍信赖保护以及商事要式行为等风险预防中的法定外观责任,又有以风险责任分配为核心的因商人高度注意义务等要求商事一般外观责任的普遍适用。即围绕商事风险预防和风险责任分配使得商事领域外观责任呈一般化、普遍化特点,商事外观主义作为一项商法理念甚至是一项原则更符合其外观责任本旨。

The concept of the rechtsscheintheorie of commercial law is positioned as an exceptional corrective measure in terms of its commonality with the rechtsscheintheorie of civil law.The civil and commercial integration legislative system exacerbates this impression,but in essence,the nature of the rechtsscheintheorie of commercial law should originate from the endogenous mechanism of interest measurement which is focused on the pursuit of basic values,the principle of imputation,and the ability of the subject.The characteristics of commercial law’s pursuit of benefit value and the distribution of risk responsibilities make the three core elements of the rechtsscheintheorie of commercial law including the appearance factual structure,the trust of the counterpart,and the basis of the person and cause,which naturally tend to make appearance liability applicable to principles from exception application to a kind of commercial law concept.Furthermore,in the commercial field,risk regulation is the core to form a system of application of the rechtsscheintheorie of commercial law.The inversion of burden of proof and the presumption of commercial unfavorable commercial appearance liability types are added to the general appearance responsibilities that are different internally and externally.There are statutory appearance responsibilities in the risk prevention of commercial registration with risk prevention as the core,general trust protection and important commercial behaviors,and the general application of general appearance responsibilities in commercial affairs,such as the high level of care duty with the distribution of risk responsibilities as the core.That is to say,around the commercial risk prevention and risk responsibility distribution,the appearance responsibility in the commercial field has the characteristics of generalization and universalization.As a commercial law concept or even a principle,the rechtsscheintheorie is more in line with the essence of its appearance responsibility.