试论拍卖结束后竞投保证金的处理——兼析拍卖活动中的多重法律关系  

作　　者：张峥[1] 刘鹏 

机构地区：[1]北京市高朋律师事务所 [2]北京仲裁委员会

出　　处：《北京仲裁》2013年第4期85-92,共8页Beijing Arbitration Quarterly

摘　　要：按照目前我国大陆地区拍卖行业的通常做法,拍卖公司会在拍卖规则中规定预先向竞买人收取竞投保证金,以作为其获得竞拍资格的前提条件。现行法律法规并未对竞投保证金制度作出明文规定,其具体安排属于意思自治范畴,通常以拍卖规则为确定依据。但目前各拍卖公司制定的拍卖规则对于拍卖结束竞买人成功竞得拍品后,特别是出现种种付款不能的情形时竞投保证金应当如何处理的问题大多语焉不详。本文在厘清同一拍卖活动中存在的三个主体及三重法律关系的基础上,区分竞买人竞得一件拍品和竞得多件拍品的不同情形具体分析竞投保证金的不同处理方法。确定竞投保证金归属的关键在于判断拍卖成交后竞投保证金是否发生了向预付款、保证金或者违约金的转化。In accordance with the general auction practice in China's Mainland, auction companies provide in their auction rules that a bidding deposit shall be collected as a precondition for bidding in the auction. The existing laws and rules did not address such bidding deposit, and thus the auctions rules of individual auction companies became the basis for its practice. Nevertheless, currently such auction rules are either silent or ambiguous on the disposal of the bidding deposit in circumstances where the bidder won the auction but failed to make the payment. This essay analyzed the triple legal relationships in auction, and on this ground discussed the disposal of the bidding deposit after the winning bid in different circumstances where the bidder purchased one sale of more sales. The belonging of the bidding deposit will depend on whether the deposit has been transformed into the advance payment, performance security or liquidated damages.

关 键 词：拍卖 竞投保证金 拍卖规则 法律关系 违约金 

分 类 号：F832.5[经济管理—金融学]