国际商法概念.doc

国际商法概念International business law is the body of rules and norms that regulates business activities carried outside the legal boundaries of states. In particular, it regulates the business transactions of private persons internationally, and the relationship of international commercial organizations.国际商法是调整跨国商事活动的法律规范的总称。它调整的是国际私人商事交易关系和国际商事组织间的关系.Chapter one 第一章Introduction to International Business Law (国际商法总论)III Sources of international business law国际商业法的渊源 A. National law 国内法 The most important source.Take China as an example:The Contract LawTrademark Law 商标法 Chinese-Foreign joint Venture (Cooperative) Law,中外合资企业(合作)法律 The Civil Procedure Law民事诉讼法 Arbitration Law仲裁法律 B. International treaties and conventions国际条约和惯例 Differences between treaties and convention:The most important international conventions:The United nations Convention on Contract for the International Sales of Goods（CISG，联合国国际货物销售合同公约）Convention for the Unification of Certain Rules of Law Relating to Bills of Lading (the Hague rules，海牙规则)The Paris Convention for the Protection of Industrial Property (Paris Convention， 巴黎公约 )Understanding on the Rules and Procedures Governing the Settlement of Disputes (DSU，争端解决规则与程序谅解） C .International model law国际通则 Definition定义: rules and norms worked out and passed by some international organizations for the free choice by nations.Influence: 1. model for national and international legislature;国家与国际立法机构模型 2. a means of interpreting and supplementing existing uniform law; 3. rules governing the contract (situations?); 4. a substitute for the domestic lawD. International trade customs and usages国际贸易惯例 Definition(定义): the general rules and practices in international trade activities that have become generally adopted through unvarying habit and common use. (used to be oral but later compiled into written rules)Influence: not law, but plays an important role.1. as binding rules by agreed upon by the parties to the contract.2. as interpreting or filling the gaps in the contract.(only for usages the parties agreed to be bound or that derive from their past dealings, or the usages the party knew or ought to have known and that are regularly observed in the industry or trade involved.Chapter Two 第二章Forms of international Business 国际商事方式I Some International Trade TheoriesB. Absolute Advantage 绝对优势 Adam Smith 亚当.斯密绝对优势理论（Theory of Absolute Advantage），又称绝对成本说（Theory of Absolute Cost）、地域分工说（Theory of Territorial Division of Labor）。是指某两个国家之间生产某种产品的成本的绝对差异，即一个国家所耗费的成本绝对低于另一个国家。C. Comparative Advantage 相对优势countries will specialize in producing several products and services in which they have lower opportunity costs than their trading partners . David Ricardo提出的贸易理论，该理论认为，国际贸易的基础是生产技术的相对差别（而非绝对差别），以及由此产生的相对成本的差别。每个国家都应根据“两利相权取其重，两弊相权取其轻”的原则，集中生产并出口其具有“比较优势”的产品，进口其具有“比较劣势”的产品。D. opportunity Cost 机会成本 opportunity cost means the value of the benefit that is given up to produce one economic good as opposed to another. Economists measure the “real” cost of doing business by its opportunity cost, not by its direct cost. 机会成本：也叫“择一成本”或“择机代价”，是指利用某种资源生产某种商品时所放弃的可以利用同一资源生产的其他商品的价值。III Government Controls over Trade 国家对国际贸易的管理A. Tariffs 关税：进出口商品在经过一国关境时，由政府设置的海关向进出口国所征收的税收 1. definition: tariffs are taxes imposed on imports or exports when crossing the customs either by value or per unit of quantity.a) ad valorem duty 从价税 ：按照进口商品的价格为标准计征的关税。其税率表现为货物价格的百分率 b) specific duty从量税：按照商品的重量、数量、容量、长度和面积等计量单位为标准计征的税收 B. Nontariff Barriers to Trade 非关税壁垒1. definition: all barriers to import and export other than tariffs. Even greater and more insidious barrier than tariff.2. significance: to protect national economy, social and political interest.3.Types: technical barriers, environment barriers.often disguised in the form of government rules or regulations.Chapter three 第三章Legal System of International Business 国际商事法律体系2. Applicability of the CISGA) Applicability 适用范围a）for commercial sales of goods not for consumer sales用于商业销售不是消费者销售 b) between parties whose places of business are in different countries (natioanality not considered)当事人营业地在不同的国家 C)营业地所在的国家是公约的缔约国B) Sales and issue excluded 排除适用的销售a) consumer goods sold for personal, family or household use.供个人、家庭或家庭使用的货物的销售 b) goods bought at auction拍卖的销售 c) stocks, securities, negotiable instruments, or money 有价证券（股票、证券、票据、或货币）的销售 d) ships, vessels, or aircraft船舶、气垫船、或飞机的销售 e) Electricity电力的销售 f) assembly contracts装配合同 g) contracts that are in preponderant part for the supply of labor or other services劳动力的供给或其他服务 h) liability of the seller for death or personal injury caused by the goods卖方责任引起的死亡或个人损害的商品 i) parties agree to exclude the Convention or they choose other law.C. Issues not covered 没有涉及的问题a) the legality of the contract (合同的效力）b) the competency of the parties（当事人的行为能力）c) the rights of third parties （第三方的权利） II UNIDROIT PICCUNIDROIT : the International Institute for the Unification of Private Law. 国际统一私法协会PICC: Principles of International Commercial Contracts. 国际商事合同通则The most important model laws of international commerce. 1. Scope of Application 适用范围The preamble states: “set forth general rules for international commercial contract.”为国际商法确立一般规则 International : involving more than one states or regions.Commercial contracts: (be understood in the broadest possible way) include not only trade transactions for the supply or exchange of goods or serves, but also other types of economic transactions, such as investment and/or concession agreements, contracts for professional services. 2. General Principles基本原则A) Freedom of Contract 合同自由Art.1 (1) reads: “the parties are free to enter a contract and to determine its contents.”当事人有权自由订立合同并确定合同的内容 a) the possibility of concluding contracts with any other person, irrespective of their legal status and their nationality.b) the freedom of the parties to determine the content of their contract.c) the right to exclude UNIDROIT PICC in whole or in part or modify their content.B) Openness to Usages 对惯例的开放态度a) parties are bound by any usage to which they have agreed and any practice which they have established between themselves.当事人各方应受其已同意的任何惯例和其相互之间已建立的任何习惯做法的约束 b) also by a usage that is widely known to and regularly observed in international trade by parties in the particular trade concerned, except where the application of such a usage would be unreasonable.在特定的有关贸易中的合同当事人，应受国际贸易中广泛知悉并惯常遵守的惯例的约束，除非该惯例的适用不合理C) Favor Contractus 有利于合同成立/鼓励合同成立the aim : preserving the contract whenever possible(尽量的使合同成立), thus limiting the number of cases in which its existence or validity存在或有效性may be questioned质疑 or in which it may be terminated before time终结之前.D) Observance of Good Faith and Fair Dealing遵守诚实信用及公平交易原则No definition, referred elsewhere to as “reasonable commercial standards of fair dealing, and not in a subjective sense, as a state of mind or just acting honestly.” a) duty of confidentiality 保密义务b) negotiation in bad faith 恶意磋商: a party enters into or continues negotiations when intending not to reach an agreement with the other party.c) interpreting the intent of the partiesd) force majeure不可抗力III . Incoterms 2000B) Contents of incoterms 200013 trade terms classified into 4 groups.（13个贸易术语分为4组） a) E Group (the seller assumes the least obligations卖方承担最少义务)EXW: Ex Works 工厂交货 Seller: make contracted goods available at its factory( farm, warehouse etc.)卖方在工厂交付合同约定的货物 Buyer: bear all risks and expenses of the journey from that point, including clearing the goods for export.买方承担交货后所有风险和费用，包括清理出口货物b) F Group (main carriage unpaid)主运费未付 FCA: free carrier 货交承运人FAS: free alongside ship 装运港船边交货FOB: free on board 装运港船上交货Similarity: the seller places the goods in the hands of a carrier named by the buyer at a time and place stipulated by the contract, and the risk of loss also passes to the buyer at the time and place.交付时风险转移 c) c group (main carriage paid)主运费已付 CFR: cost and freight 成本加运费CIF: cost, insurance and freight 成本、运费加保险费CPT: carriage paid to 运费付至CIP: carriage and insurance paid to 运费、保险费付至1) shipment contact 装运合同 2) passing of risks: ships rail or receipt of goods by carrier.风险转移:船舷或或交承运人 3) dividing line of fees and risks is inconsistent. 分界线的费用和风险是不一致的。 4)modes of transportation运输方式: CFR/CIF- ocean海运 CPT/CIP-all modes所有运输方式 d) D group (arrival contract到货合同)DAF: delivered at frontier 边境交货DES: delivered ex ship 目的港船上交货DEQ: delivered ex quay 目的港码头交货DDU: delivered duty unpaid 未完税交货DDP: delivered duty paid 完税后交货1) destination(arrival) contract2) under DDP, seller should clear goods for import.3) DES and DEQ for ocean transportation, the rest for all modes .C. FOB 船上交货a) the term is followed by the port of shipment. 紧随其后的是这个词的装运港b) place of delivery交货地点: on board the ship named by buyer at the contracted port of shipment.在指定的装运港，将货物交至买方指定的船只上 c) passing of risks风险转移: ships rail 船舷 d) specific obligations for each party (p64)e) loading expense装货费用: FOB liner terms, FOB stowed, FOB trimmed, FOB stowed and trimmedf) other issues: class of carrying ship, arrival time of carrying ship (demurrage?), additional serviceFOB的变形含义及解决问题（1）FOB liner terms 班轮条件 装船费含在班轮运费中，由买方承担 （2）FOB stowed 理舱费在内 卖方承担装船费包括理舱费 （3）FOB trimmed 平舱费在内 卖方承担装船费包括平舱费 （4）FOB stowed and trimmed平仓和理舱费在内 卖方承担装船费包括理舱费和平舱费 注：（1）只为明确装船费而设 （2）不改变货物的风险以船舷为转移，买方租船订舱 D) CIF 成本、保险费加运费付至.指定目的港a) the term is followed by the port of destination.紧随其后的是这个词的目的港b) shipment contract.装运合同 c) place of delivery交货地点: on board the ship named by seller at the contracted port of shipment. 卖方自己租船订舱，并交货到装运港船上 Symbolic delivery 象征性交货：卖方在按期在约定的地点完成装运，并向买方提交合同规定的包括货物所有权凭证在内的有关单据，就算完成了交货义务而无需保证到货。 d) passing of risks: ships rail at shipment port.卖方承担货物在装运港越过船舷前一切风险。 注： CIF是一种典型的象征性交货 ，卖方凭单交货，买方凭单付款。e) expenses费用: carriage and insurance to destination.f) specific obligation for each party(p67)g) unloading expense卸货费用: CIF liner terms, CIF landed, CIF ex tackle, CIF ex ships holdh) other issues: insurance premiem-110%invoice value at FPA terms; type, class and nationality of vessel.CIF的变形含义及解决问题（1）CIF Liner Terms（班轮条件）（2）CIF Landed（卸到岸上）（3）CIF EX Tackle（吊钩下交货）(码头或驳船)（4）CIF Ex Ships Hold（舱底交货） 注：（1）变形并不改变交货地点和风险转移的划分 （2）变形解决卸货费用的负担卖方的义务：关于租船订舱(按惯常情况行事,对于买方限制船舶国籍、船型、船龄、船级或船运公司的要求可以拒绝，也可以给于通融） Chapter Four 第四章 Contract law for the International Sale of Goods国际货物买卖合同I Definition and Form of Contract1. Definition of ContractA) English Law: “A promise or a set of promises, for breach of which the law gives a remedy, or the performance of which the law in some way recognizes as a duty.” B) American Law: “A promise or a set of promises that the law will enforce or at least recognize in some way.” D) China Contract Law: “A contract is an agreement establishing, modifying and terminating the civil rights and obligations between natural persons, legal persons or other organizations.”合同是平等主体的自然人、法人、其他组织之间设立、变更、终止民事权利义务关系的协议 2. Offer 要约A) the concept of offerAn offer is a proposal by one person to another indicating an intention to enter into a contract under specified terms 要约是当事人一方向对方发出的希望与对方订立合同的意思表示B) Requirements of Offer 要约的构成要件a) an offer must be addressed to one or more specific persons.应向一个或一个以上特定的人提出 Different attitude of laws toward advertisement:b) an offer must be sufficiently definite and indicates the intention of the offeror to be bound 内容必须十分明确.Definiteness: description of goods, expressly or implicitly specifies the quantity and price etc.c) an offer becomes valid when it arrives at the offeree（受要约人）.要约受其约束的意思表示到达受要约人时必须有效 The Mirror Image Rule 镜像原则:The mirror image rule requires that an acceptance be unconditional and that it not attempt to change any of the terms proposed in the offer. ( Acceptance matches the offer exactly)一方对另一方所发出的交易要约施加责任于前者，除非后者根据要约的条款对其予以承诺。任何对这些条款的修改和背离都将使要约无效，除非要约方同意这种修改和背离。” “镜像规则”，要求承诺严格地与要约相符，否则将被视为反要约. Criticism （批评）to the Mirror Image RuleInflexible, cant meet the need of the trade-encouraging principle.Consideration in Common Law对价:A) Definition:指当事人一方在获得某种利益时，必须给付对方相应的代价。 Consideration is some benefit received by a party who gives a promise or performs an act, or some detriment suffered by a party who receives a promise. (the price you pay to buy another persons promise) P92Under common law, it is one of the three elements of contract formation.Chapter Five 第五章Contract Law for the International Sale of Goods 国际货物销售合同I、 Remedies for Breach of Contract违约救济 A) Concept of breach of contract违约的概念 A party without lawful excuse fails or refuses to perform what is due from him under the contract, or performs defectively or incapacitates himself from performing.一方当事人没有合法理由不履行合同、拒绝履行、对履行有缺陷或者使自己丧失履行能力的行为 The objective of remedies补救措施的目的: to put the injured person in the same position as if the contract has been performed.（补偿守约方因违约行为所受损失 ）B) General principles of Remedies违约救济的原则 a) The doctrine of compensation 补偿原则1) the doctrine of expectation interest（预期利益）: the injured party is entitled to his expectation interest lost by the party in breach. (be in as good position as that party would have been in had the contract been performed)Expectation interest: benefit of the bargain. Eg: the difference between the market price and the contract price at the date of the breach.2) the doctrine of reliance interest （信赖利益）The defendant promised to perform his contractual obligations, the claimant has acted to his detriment in entering into the contract and the award of damages should compensate the claimant.Objective: to put the claimant in as good a position as he was in before the defendants promise was made3) the doctrine of restitution interest 归还利益 A claimant claiming the protection of his restitution interest does not wish to be compensated for the loss which he has suffered, he wishes to deprive the defendant of a gain which he has made at the claimants expanse.Comparison between expectation interest, reliance interest and restitution interest.( eg: p123)b) The Doctrine of Limitations on Damages限制损失扩大的原则 1) Non-breaching party has the duty to mitigated damages; (the enlarged damages are not compensated) 非违反方有义务来减轻损害 2) Damages must be established with a reasonable degree of certainty; (may not be awarded on a purely speculative basis. eg:p124) 赔偿金必须合理、确定 3) Damages must be either foreseeable to the breaching party or would naturally flow from the breach. (p124) 损害必须是可预见的 Case 5-1 Prutch v. Ford Motor CompanyPrutches purchased tractor,plow Baldridge Implement Company (produced by Ford Motor Company) After crop damages Prutch sue seller and producerTrial court support the plaintiffThe appellate court overturned the verdictThe denfendant appeal to the higest court Issue: Can the manufacturer be expected to foresee the defects of its productsThe denfendants argument:Decision: yes Reasoning:C) Buyers Remedies 买方的补救措施Sellers usual breach:卖方通常的违约 1) failing to make delivery; 未能交货 2) non-conformity; 交货不合格 3) indicating an intention not to fulfill the obligation未按合同约定履行义务 Buyers remedies:买方的补救措施 1) specific performance实际履行（特殊履行、强制履行） 2) avoidance of the contract合同无效 ( for fundamental breach根本性违约)3) to reduce price降价 (for non-conformity不一致) 4) to refuse early delivery拒绝提前交付 5) to refuse excess quantities拒绝额外的数量a) specific performance 实际履行1) common law and civil lawcivil law: specific performance is the usual remedycommon law: the usual remedy is damages. Specific performance is considered a harsh remedy to be used only where money damages cannot be calculated or are inadequate, eg: the subject matter of the contract is unique. (artist work, real estate etc.)3) the UNIDROIT PICC PICC国际统一私法协会 Permitting specific performance, but with exceptions: performance is impossible in law or in fact; performance or enforcement is unreasonably burdensome or expensive; the party entitled to performance may reasonably obtain performance from other source; performance is of an exclusively personal character; the party entitled to performance does not require performance within a reasonable time after it has become aware of the non-performance.4) China Contract LawArticle 110: if one party to a contract fail s to perform the non-monetary debt or its performance of non-monetary debt fails to satisfy the terms of the contract, the other party may request it to perform except under any of the following circumstances: (1) it is unable to be performed in law or in fact; (2) the object of the debt is unfit for compulsory performance or the performance expenses are excessively high; or (3) the creditor fails to request for performance within a reasonable time period.中国合同法关于实际履行第一百一十条 当事人一方不履行非金钱债务或者履行非金钱债务不符合约定的，对方可以要求履行，但有下列情形之一的除外：（一）法律上或者事实上不能履行；（二）债务的标的不适于强制履行或者履行费用过高；（三）债权人在合理期限内未要求履行。D) Sellers Remedies （卖方救济）1) compel specific performance 强迫强制履行 2) avoidance （废止）of the contract 合同无效 ( for fundamental breach根本性违约 or failure to cure a defect补救失败)3) obtain（获得） missing specifications（规格）E) Remedies Available to Both Buyers and Sellers 买卖双方都可适用的补救措施1) suspension of performance中止履行 2) avoidance in anticipation of a fundamental breach预期违约（根本违约） 3) avoidance of an installment contract 分期履行 4) avoidance合同无效 5) damages损害赔偿 III liquidated Damages 违约金A) Common Law：a) concept: liquidated damages refer to the amount of money which shall be payable in the event of a