论文总字数：20366字

摘 要

20世纪以来，国际民商事往来日益频繁，整个社会也因此对法律适用的规范性和合理性提出更高的要求，而传统法律选择规范由于过于生硬、呆板，很难顺应变动中的新形势，在此情形下最密切联系原则便诞生了。最密切联系原则就犹如一个“汇合器”，汇合了多种价值和原理，其实质上是一种增加冲突规范灵便性的法律选择方式，顺应了时代发展的要求，对国际公约的制订、各国国际私法立法和司法都产生了深刻影响。但同时也因为其给予法官过宽的自由裁量权，易导致结果的不一致性、适用范围扩大和法院地主义倾向。

我国有关“最密切联系原则”的立法和司法实践也在一步步发展完善。以2010年出台的《涉外民事关系法律适用法》为界，之前的立法呈现多层次、分散性、适用集中的趋势；而《法律适用法》中把“最密切联系原则”上升到“补充性法律选择原则”的高度，加以归纳完善，为司法实践中的案例提供法律依据，推动该原则在实践中的合理运用。

本文分为五个部分进行描述：

第一章首先对最密切联系原则的定义加以概述，国际社会在理论与实践的发展中对该原则作了更加精准的定义，但在移植入我国的过程中理解有些许偏差。回顾历史沿革，从“法律关系本座说”的理论起源 ，到英美法系国家的司法判例打下实践基础，最后到美国《第二次冲突法重述》的正式确立。

第二章介绍了最密切联系原则的实践分析方法。首先对其客体的指向对象加以讨论，不仅包括“法域”也包括了“法律”；其次探讨了该原则的判断标准，学界大体上有两种观点：依客观连接点和依价值因素，二者各有所长。

第三章对最密切联系原则的优势和不足加以总结分析，弥补硬性冲突规范的不足、平衡各种价值取向、适用法律调整社会的需要等优点日益凸显，但同时也容易导致法官滥用手中的自由裁量权、法院地法的扩大适用，且在大陆法系下生存存在困难。

第四章详细描述最密切联系原则在外国国家的国际私法立法、国际公约以及国内立法、司法中的适用情形，重点整理了我国对“最密切联系原则”的立法，并分别对《法律适用法》颁布前后的立法状况及特点加以归纳；统计分析和个案分析相结合，并以2011年为例，对我国司法实践中的应用状况加以评述，同时总结问题不足；又着重分析对合同领域的适用和新发展作一展望。

第五章结合上文中所述种种问题，归结国内外对最密切联系原则的合理运用方法，并提出完善最密切联系原则如何在我国运用的建设性意见。

关键词：最密切联系原则 冲突规范 法律适用法 特征性履行

The Doctrine of the Most Significant Relationship in private international law

Abstract

Since the 20th century, the international civil and commercial exchanges have become increasingly frequent, and therefore the international community put forward higher request of the standardization and rationality of the applicable law. The traditional conflict rules are too rigid and inflexible, and it is difficult to adapt to changes in the new situation, then the most significant relationship theory arises. The Doctrine of the Most Significant Relationship works as a “collection set” which is essentially a way to increase the flexibility of applicable rules to collect different theories and values. At the same time, it needs more judges’ power of discretion and is easier to cause wrong results.

The Chinese practice about the theory is also developing step by step. Regarding Law of Application of Laws which was promulgated in 2010 as the boundary, the previous legislation presented multi-level and dispersion, suitable concentration trend. This law rose the Doctrine of the Most Significant Relationship to the height of the “complementary choice-of-law principles”. Therefore, it promoted reasonable application in practice.

There are five parts in this article:

Chapter one overviewed on the definition of the theory, the community makes a more precise definition of the doctrine in the development of theory and practice, but in the process of transplantation into China there was a little deviation. Review the historical evolution, from “Legal Relationship Seat Theory”, to the countries of Anglo-American law system of judicial precedent practice foundation, to formal establishment in the United States the Second Restatement of Law of Conflict.

Chapter two presents the practical analysis method the Doctrine of the Most Significant Relationship. First we discussed on its object to objects, including the “field” and the “law”; Secondly, this paper discussed the principle of the judgment standard, and academic circles have two ideas: in accordance with the objective connection point and in accordance with the value factors. Both have advantages.

Chapter three discussed on the advantages and disadvantages of the Doctrine of the Most Significant Relationship. It made up the lack of rigid conflict rules, balanced the different value orientation and applied to law to adjust to the need of the society. But it also easily led to judge the abuse of discretion, the expansion of the law of court, and under the continental law system it is difficult to survive.

Chapter four detailed described the Most Significant Relationship theory in the international private law legislation in foreign countries, international treaties and domestic practice. Especially the article enumerated Chinese legislation, and respectively analyzed the provisions before and after 2010. The article used statistical analysis and case analysis, and in 2011, for example, summarized the problems in the judicial practice of our country. Then emphatically analyzes on the application of the contract area and the new outlook.

Chapter five made an analysis, the article induced the reasonable method of using the Doctrine of the Most Significant Relationship, and put forward to some constructive suggestions to improve it as a system.

Key Words: Doctrine of the Most Significant Relationship; Conflict rules; Applicable Law; Characteristic performance;

目 录

中文摘要 I

英文摘要 III

一、最密切联系原则的概述 1

（一）最密切联系原则的含义 1

（二）最密切联系原则的历史发展进程 1

1．理论渊源：萨维尼确立的“法律关系本座说” 1

2．实践判例：美国司法实践 2

3．正式确立：美国的《第二次冲突法重述》 2

二、最密切联系原则的实践分析方法 3

（一）最密切联系原则的客体 3

（二）最密切联系原则的衡量标准 4

1．依客观连结因素的判断标准 4

2．依价值因素的判断标准 4

三、最密切联系原则的利弊分析 5

（一）优势所在 5

1．符合法律调整社会的功能要求 5

2．平衡多种价值取向 5

3．弥补硬性冲突规范的不足 6

（二）实践运用中的缺陷 6

1．产生法官无限制的自由裁量权 6

2．大陆法系下生存与发展的困境 6

3．造成法院地法适用的扩大 7

四、最密切联系原则在国际与国内的适用情形 7

（一）最密切联系原则在部分外国国家的适用 7

1．部分外国国家不同的适用情形 7

2．以美国为例：以分析政府利益为前提的分割方法 7

（二）最密切联系原则在国际条约中的体现 8

（三）最密切联系原则在中国立法过程中的适用 9

1．2010年之前的立法状况 9

2．《法律适用法》的颁布及特点 10

3．涉外合同领域的立法现状 11

（1）立法概况 11

（2）引入“特征性履行”方法 11

（3）“强制性规则”概念的提出 11

（4）合同立法中存在的缺陷及对策 12

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