摘要
穿透式监管理念自2016年被正式提出以后,广泛适用于金融监管领域,并逐渐延伸至司法审判领域。但是,直接用穿透式监管理念认定商事合同效力无论是通过“法律、行政法规的强制性规定”路径,还是通过“公共利益”路径,都存在解释论上的困难。因此,应当从合同效力与合同能否履行两个层面分别探讨穿透式监管的适用问题:对于合同效力,应当遵循私法自治原则,不宜过多穿透;对于合同履行,为了防止金融审判为违反金融监管规定的交易行为开辟“合法化通道”,应当以“规章的效力性强制性规定”为限进行穿透。
Since the concept of penetrating supervision was formally put forward in 2016,it has been widely applied in the field of financial supervision and gradually extended to the field of judicial trials.However,it is difficult to determine the validity of commercial contracts directly with the concept of penetrating supervision,whether through the path of violating the mandatory provisions of laws and administrative regulations or through the path of violating the public interest.Therefore,the application of penetrating supervision should be explored from two aspects:the validity of contracts should follow the principle of autonomy in private law without excessive penetration;and the performance of contracts should be penetrated within the limits of“mandatory provisions on the validity of regulations”,in order to prevent financial trials from opening up a“legalized channel”for transactional acts that violate the provisions of financial supervision.
作者
胡萍
HU Ping(Law School,Central University of Finance and Economics,Beijing 100089,China)
出处
《成都理工大学学报（社会科学版）》
2020年第4期17-24,共8页
Journal of Chengdu University of Technology:Social Sciences
关键词
穿透式监管
商事合同
合同效力
股权代持
双重合同关系
penetrating supervision
commercial contracts
the validity of contract
equity holding agreements
dual contractual relationships
