国际商法英文版.ppt

InternationalBusinessLawTextbookRayAugust DonMayer MichaelBixby InternationalBusinessLaw Text CasesandReadings 6thEditionPearson InternationalBusinessLaw 2Credits Purpose Thiscourseaimstogivestudentsfrommanyculturesandtraditionsagoodlookattheoverallstructureoftheglobal legalenvironment inwhichbusinessoperatestoday Thefocuswillbeongloballegalissuesconcerningstateresponsibilityandenvironmentalregulation disputesettlement tradeinGoods servicesandlabour intellectualproperty sales andtransportation whichshowsboththediversityandsimilarityofbusinessandofthelaw 本课程从多种文化 传统入手 培养学生审视当今企业经营所处的全球 法律环境 的整体结构 重点放在全球性法律问题 涉及国家责任和环境规制 争端解决 货物贸易 服务与劳务 知识产权 销售 运输等业务 揭示商务和法律的多样性与相似性 TheoreticalStudyIntroductiontoInternationalandComparativeLaw国际法与比较法入门StateResponsibilityandEnvironmentalRegulation国家责任和环境规制DisputeSettlement争端解决TradeinGoods货物贸易ServicesandLabour服务与劳务IntellectualProperty知识产权Sales销售Transportation运输 CaseStudy 1 CommissionoftheEuropeanCommunitiesv FederalRepublicofGermany欧共体委员会诉联邦德国案2 China srefusaltoacceptthedoctrineofrestrictivesovereignimmunity中国拒绝接受国家主权有限豁免原则案3 SouthernBluefinTunaCases ProvisionalMeasures南方蓝鳍金枪鱼案 临时措施4 Japan TaxesonAlcoholicBeverages日本 酒精饮料税收案5 UnitedStates ImportProhibitionofCertainShrimpandShrimpProducts美国 虾及虾产品进口限制案 CaseStudy 6 EuropeanCommunities RegimefortheImportation SaleandDistributionofBananas欧共体 香蕉进口 销售 分销制度案7 L Orealv eBay欧莱雅诉eBay案8 TheNaturalGasCase天然气案9 GreatChinaMetalIndustriesCo Ltd V MalaysianInternationalShippingCorp 中国金属工业有限公司诉马来西亚国际航运公司案 1 1 Chapter1 INTRODUCTIONTOINTERNATIONALANDCOMPARATIVELAW 1 2 CHAPTER1 DefiningInternationalLawMakingInternationalLawSourcesofInternationallawScopeofInternationalLawinPracticeInternationalPersonsIndividualRightsUnderInternationalLawComparisonofMunicipalLegalSystems 1 3 InternationalLaw Historically dealtwiththerulesandnormsregulatingtherelationshipsbetweenstates countries ThislawbetweennationsiscalledpublicinternationallawWithgrowthofrelationshipsbetweenpersonsandcorporationsindifferentstates privateinternationallawdevelopedtogoverntheirconduct whatisinternationalbusinesslaw Internationalbusinesslawisthebodyofrulesandnormsthatregulatesbusinessactivitiescarriedoutsidethelegalboundariesofstates Inparticular itregulatesthebusinesstransactionsofprivatepersonsinternationally andtherelationshipofinternationalcommercialorganizations 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 Whatisinternationallaw Internationallawdealswith3kindsofinternationalrelationships thosebetweenstatesandstates thosebetweenstatesandpersons thosebetweenpersonsandpersons Traditionally internationallawwasallabouttherelationshipsbetweenstates Thatis thelawofnationsresolvedissuesbetweentwoormorestates andthelegalrelationshipsbetweenandamongstatesiswhatisgenerallycalledpublicinternationallaw Astransactionsamongprivateentitiesgrew thephraseprivateinternationallawwasappliedtothelawsgoverningconductbetweenpeople andcorporations fromdifferentstates Formany internationallawremainsacontradictioninterms Thereisnosingleworldgovernmenttomakeandenforcelaws andnogloballyrecognizedforuminwhichtobringdisputesbetweencitizensofdifferentnations states Tothosewhoseelawas thecommandofasovereign themoreconsensualnature 诺成性 契约性 ofinternationallawmakesit soft lawornolawatall Moreover thedeclineinthepowerofstatesrelativetotheprivatesectorposesnewchallengestocontemporaryinternationallaw Today theterminternationallawappliestoanyconductoutsidetheboundariesofstates whetherofapublicoraprivatenature Thereareatleast3waysoflookingatinternationallaw Cosmopolitans 世界主义者 claimthatinternationallawisbasedonuniversalhumanrights Thus internationallawshouldrestrainstatesfromviolatingnormsbasedonuniversalhumanrights andtheconsentofastateisirrelevant Bycontrast Positivists 实证主义者 focusonthesovereigntyofstatesandtheirconsenttolimitsonthatsovereignty ThusPositivistsclaimthatinternationallawisbasedon 1 thesovereignequalityofallstatesintheinternationalsystemand 2 stateconsenttoindividualinternationallaws eitherthroughtreatiesorcustoms Positivistsinternationallawcanbeseenasaseriesofcontractsbetweenstates internationallawbecomesbindingonlythroughsuchexplicitorimplicitcontracts IncontrasttoeitherCosmopolitansorPositivists Hobbesians 霍布斯主义 Leviathan 利维坦 aremorecynical believingthatstateswillmakeagreementsandabidebyinternationallawonlywhenitsuitstheirself interests Scholars jurists andpoliticianswillrarelyadoptoneschoolofanotherwithconsistency andcombinationsoftheseviewscancoexistamongprincipalactorsinthesamenation state Ataminimum however internationallawisunderstoodtobemorethanjustgoodmannersormutualrespectbetweenoramongsovereignnation states Comity forexample isthepracticebetweenstatesoftreatingeachotherwithgoodwillandcivility Itisnotlaw however becausestatesdonotregarditassomethingtheyarerequiredtorespect Forexample untilitbecameamatteroflegalobligationunderArt 36ofthe1961ViennaConventiononDiplomaticRelations itwaslongconsideredtobeacustomarycourtesytoallow foreigndiplomatstheprivilegeofimportinggoodstheyintendedfortheirprivateusefreeofcustomsduties Thisprivilegewasnotalegalrightguaranteedbyinternationallaw however becausestatesdidnotfeelcompelledtogranttheprivilegeexceptasacourtesy Suchcourtesycanbeseenasakindofanticipatoryreciprocityinwhichstatesdountootherstatesastheywouldhopetobetreatedinturn Comityisthusunderstoodasaninformalprinciplethatnationswillextendcertaincourtesiestoothernations particularlybyrecognizingthevalidityandeffectoftheirexecutive legislative andjudicialacts Thisprincipleismostfrequentlyinvokedbycourts whichwillnotactinawaythatdemeansthejurisdiction laws orjudicialdecisionsofanothercountry 1 4 SchoolsofThoughtDefiningTheBasisofInternationalLaw IL CosmopolitansarguethatILisbaseduponuniversalhumanrights PositivistssaythatILisbasedonthesovereignequalityofallstatesandstateconsenttoILthroughtreatiesorcustom HobbesiansclaimthatstateswillmakeagreementsandabidebyILonlywhenitsuitstheirself interests 1 5 ExamplesofPublicandPrivateInternationalLaw Case1 1IgnacioSequihuav TexacoInc etal UnitedStatesDistrictCourtfortheSouthernDistrictofTexas HoustonDivision 847F Supp 61 1994 OpinionofJudgeBlackPlaintiffs residentsofEcuador filedthisactioninTexasstatecourtassertingavarietyofcausesofactionarisingoutoftheallegedcontaminationoftheair ground andwaterinEcuador Inadditiontomonetaryrelief PlaintiffsaskedforaninjunctionrequiringDefendantstoreturnthelandtoitsformerconditionandfora trustfund tobeadministeredbytheCourt Thecasewasremovedtofederalcourt andtheCourtfindsthattheremovalwasprocedurallyproper Inconsideringthedefendants motionstodismiss theCourtused comity torulefordefendants Underthedoctrineknownascomityofnations acourtshoulddeclinetoexercisejurisdictionundercertaincircumstancesindeferencetothelawsandinterestsofanotherforeigncountry Section403 3 oftheRestatement Third oftheForeignRelationsLawoftheUnitedStatessetsforthanumberoffactorstobeconsideredindeterminingwhetherthecomityofnationsdeferenceshouldbeapplied TheNinthCircuitappliedsimilarfactorsinTimberlaneLumberCo v BankofAmericaNationalTrustandSavingsAssn 749F 2d1378 9thCir 1984 toaffirmaDistrictCourt sdecisionnottoexercisejurisdiction ConsiderationofthesefactorsleadstotheinescapableconclusionthattheCourtshoulddeclinetoexercisejurisdictionoverthiscase ThechallengedactivityandtheallegedharmoccurredentirelyinEcuador PlaintiffsareallresidentsofEcuador DefendantsarenotresidentsofTexas enforcementinEcuadorofanyjudgmentissuedbythisCourtisquestionableatbest thechallengedconductisregulatedbytheRepublicofEcuadorandexerciseofjurisdictionbythisCourtwouldinterferewithEcuador ssovereignrighttocontrolitsownenvironmentandresources andtheRepublicofEcuadorhasexpresseditsstrenuousobjectiontotheexerciseofjurisdictionbythisCourt Indeed noneofthefactorsfavortheexerciseofjurisdiction Accordingly thecaseshouldbedismissedunderthedoctrineofcomityofnations CasepointUnderthedoctrineknownascomity acourtshoulddeclinetoexercisejurisdictionundercertaincircumstancesindeferencetothelawsandinterestsofanothercountry 1 7 Case1 1IgnacioSequihuav TexacoInc Comityappliedtoprivatedispute CourtinTexasdeclinedtoexercisejurisdictionoveractivityandharmthatoccurredinEcuador TakingjurisdictioninU S wouldhaveinterferedwithEcuador ssovereignrighttocontrolitsownenvironment Casedismissedunderthedoctrineofcomityofnations 1 6 GoodwillandCivilityBetweenStates Comity RepublicofthePhilippinesv WestinghouseElec Corp 43F3d65 3rdCir 1994 U S trialcourtorderedthePhilippinegovernmenttonotharasswitnessesinvolvedinthecase CourtofAppealsoverturnedtheorder Heldthatacourtcouldrequestcompliancebyaforeignsovereignasamatterofcomity butcouldnotordercompliance Comityrequiresthatwerespectothercountries sovereigntyandlawsothattheywillrespectours 1 8 U S CourtsApplyComityandRefusetoTakeJurisdictionWhen ThedefendantisasovereignstateDefendanthasinsufficientcontactswiththeU S AnotherjudicialforumismoreconvenientCongressdidnotintendU S statutetoapplyextraterritoriallyCaseconcernsactofsovereignstateonitsownterritory 1 9 TheMakingofInternationalLaw Generally ILcomesintoeffectonlywhenstatesconsenttoit Generalconsentfoundinstatepractice theconductandpracticesofstatesintheirdealingswitheachother Evidenceofgeneralconsent DecisionsoftheInternationalCourtofJusticeResolutionspassedbytheUNGeneralAssemblyMultilateraltreaties conclusionsofinternationalconferences andprovisionsrepeatedoverandoveragaininbilateraltreaties 1 10 SourcesofInternationalLaw TreatiesorconventionsInternationalcustomGeneralprinciplesoflawrecognizedbycivilizednationsJudicialdecisionsandteachingsofhighlyqualifiedlegalwriters Thislist ascontainedinArticle38 1 oftheStatuteoftheInternationalCourtofJustice impliesahierarchy ororder inwhichthesesourcesaretobereliedon 1 11 TreatiesandConventions EquivalentsoflegislationinILare Treaties legallybindingagreementbetweentwoormorestates Conventions legallybindingagreementbetweenstatessponsoredbyaninternationalorganization CustomaryrulesthatgoverntreatiesarecontainedintheViennaConventionontheLawofTreaties ratifiedby108countries 1 12 CustomAsSourceofInternationalLaw Custom along establishedtraditionorusagethatbecomescustomarylawifitis Consistentlyandregularlyobserved and Evidenceofthisfoundinofficialstatementsofgovernments opinionsoflegaladvisors executivedecrees orderstomilitaryforces andcourtdecisions Recognizedbythosestatesobservingitasapracticethattheymustobligatorilyfollow 1 13 GeneralPrinciplesofLawandJusCogens Courtswilloftenrelyupongeneralprinciplesoflawthatarecommontothelegalsystemsoftheworldtosolveinternationaldisputes Juscogens 强制性法规 isaperemptorynormofgeneralinternationallaw recognizedbytheinternationalcommunityasanormfromwhichnoderogationispermitted Juscogens statesmustrespectcertainfundamentalprinciples Treatiesarevoidiftheyconflictwithjuscogens Ex Treatybytwonationstouseviolenceagainstathirdnationviolateshigherstandardofjuscogens 1 14 ScopeofInternationalLawinActualPractice Internationaltribunalsregardmunicipallawassubservienttointernationallaw Stateshaveobligationtobringtheirmunicipallawintocompliancewithinternationalnorms Municipalcourtsoftenbalkatthisobligationbaseduponstrongfeelingsofnationalismandbeliefinpriorityforthesovereignstate sownlaw 1 15 PracticeinMunicipalCourts Inmunicipalcourts internationallawgenerallytreatedascorrelative Iftheinternationallawisbasedoncustomarypractice itisreceivedinaccordancewiththedoctrineofincorporation 纳入原则 CustomaryILispartofdomesticlawtotheextentthatitisnotinconsistent Minorityofcourts doctrineoftransformationCustomaryILisapplicabledomesticallyonlyafteradoptedbylegislation courtdecision orlocalusage 1 16 MunicipalCourtReceptionRulesFoundinTreaties TwoFactors Natureofthetreaty Self executing 自动执行条约 containsaprovisionstatingthatthetreatywillapplytothepartieswithouthavingtoadoptdomesticenablinglegislation 自行生效的 无需立法手续即可生效的Non Self Executing 非自动执行条约 requiresenablinglegislationbeforeeffectivedomestically Constitutionalstructureoftheratifyingstate InU S PresidentnegotiatesconstitutionaltreatiesthatarethenratifiedbytheSenate Executiveagreements treatiesenteredintobythePresident notratified noteffectivedomestically 1 17 Case1 2SeiFujiiv Statepp 10 12 ExamineswhetherprovisionsofUNCharterpromotingfundamentalfreedomswithoutdistinctionastoraceareself executingornot CaliforniaappellatecourtruledthatlandpurchasedbyFujii aJapanesealien violatedalienlandlawandescheatedtostate CASupremeCourtaffirmedthatUNCharterwasnotself executingbecauselanguagewasnotmandatoryandrequiredadditionalimplementinglegislation However lawviolated14thAmend Fujii smoneyreturned 1 18 InternationalPersonspp 12 42 StatesIndependentstatesDependentstatesInchoatestatesp 12InternationalOrganizationsIntergovernmentalorganizations IGO Nongovernmentalorganizations NGO 1 19 InternationalPersons States State politicalentitycomprisingaterritory apopulation agovernmentcapableofenteringintointernationalrelations andagovernmentcapableofcontrollingitsterritoryandpeoples Anindependentstateissovereignandoperatesindependentlyinternationally Adependentstate PuertoRico hasformallysurrenderedsomeaspectoftheirpoliticalandgovernmentalfunctionstoanotherstate Aninchoatestatelacksattributesofindependentstate suchasterritoryorpopulation 1 20 CaseMatimakTradingCo v KhalilyandD A Y KidsSportswearInc Matimak aHongKongcorporation suedinfederalcourtinNYunderdiversityjurisdictionasacitizenofforeignstate Thoughnotformallyrecognizedbyexecutivebranch MatimakargueddefactorecognitionofHongKong Ruling HongKongnotanindependentstate MatimaknotacitizenorsubjectofUnitedKingdomoranyforeignstate Suitdismissedforlackofjurisdiction 1 21 Case1 4pp 31 33CourtofJusticeoftheEuropeanCommunitiesCase274 87CommissionoftheEuropeanCommunitiesv FederalRepublicofGermany欧共体委员会诉联邦德国案 1 21 JudgmentCase1 4examinesboththeobligationofmemberstatestobringtheirlawsintoaccordwiththeEUtreaties inparticulartheEuropeanCommunityTreaty thenknownastheEECTreaty andthedirecteffectofthosetreaties 1 21 JudgmentByapplicationlodgedattheCourtRegistryon16September1987 theCommissionoftheEuropeanCommunitiesbroughtanactionbeforetheCourtunderthesecondparagraphofArticle169oftheEECTreatyforadeclarationthatbyprohibitingtheimportationandmarketinginitsterritoryofmeatproductsfromotherMemberStateswhichdonotcomplywith 1 21 Paragraphs4and5oftheFleisch Verordnung MeatRegulation of21January1982theFederalRepublicofGermanyhasfailedtofulfillitsobligationsunderArticle30oftheEECTreaty Theregulationinquestionprohibitsthemarketingofmeatproductswhichcontainingredientsotherthanmeat subjecttoexceptionsinrespectof 1 21 specifiedproductsthecompositionofwhichisdefined witharequirement incertaincases forspecificinformationtobeshownonthepackagingordisplayedonsigns ThebanonmarketingthoseproductsissupplementedbyParagraph47 subparagraph1 oftheLebensmittelundBedarfsgegenstaendegesetz Lawonfoodstuffsandnecessities of15August1974 whichprohibitstheimportationoffoodstuffswhichdonot 1 21 complywithGermanstandards Compliancewiththoserulesisensuredbymeansofcriminaloradministrativepenalties ItshouldbenotedattheoutsetthatitisundisputedthatthecontestedruleshavearestrictiveeffectonimportsofmeatproductslegallymanufacturedandmarketedinotherMemberStates Theissuebetweenthepartiesiswhetherornotthemeasuresinquestionare 1 21 justifiedonthegroundsputforwardbytheGermanGovernment thatistosaytheprotectionofhealthandmandatoryrequirementsrelatingtoconsumerprotection fairtradingandthecommonagriculturalpolicy ItshouldalsobenotedattheoutsetthatthecontestedrulesprohibitthemarketingoftheproductsconcernedinGermanterritoryregardlessofwhethertheyarenationalorforeignproducts 1 21 JustificationBasedontheProtectionofHealthWithintheMeaningofArticle36oftheTreatyBeforeconsideringtheargumentsputforwardbythedefendantGovernmentinthisregard itmustbepointedoutthattheCourthasconsistentlyheldthat whilsthumanlifeandhealthareamongthemattersprotectedbyArticle36anditisthereforefortheMemberStatestodecidewithinthelimitssetbytheTreatythe 1 21 degreeofprotectionwhichtheywishtoensure nationalrulesrestrictingimportsarecompatiblewiththeTreatyonlyinsofarastheyarenecessaryfortheeffectiveprotectionofhumanlifeandhealthandonlyifthatobjectivecannotbeachievedbymeasureslessrestrictiveofintra Communitytrade judgmentsof20May1976inCase104 75 DePeijper 1976 ECR613andof4February1988inCase261 85 Commissionv UnitedKingdom 1988 ECR547 1 21 TheGermanGovernmentmaintainsthatthecontestedprohibitionofimportationisjustifiedongroundsrelatingtotheprotectionofhealthwithinthemeaningofArticle36oftheTreatybecauseitisnecessarytoensureasufficientintakeofcertainessentialnutrientscontainedinmeat especiallyproteins Itmustbepointedoutatoncethatthatargumentiscontradictedbyinformationwhichappearsinreportsonnutrition 1 21 publishedin1980and1984bytheGermanGovernmentitself ThosereportsshowthatproteinintakelevelsinGermanyareingeneralmorethanadequateandthateveninthecaseofcertaingroupsofthepopulation particularlyyoungpeople whoseproteinintakeislowerthantherecommendedlevel thelowerintakeposesnothreattohealthinviewofthesafetymarginsincorporatedintherelevantrecommendations 1 21 Itisalsoclearfromthosereportsthatsomemeatingredientscontainharmfulsubstancessuchaspurine 嘌呤 cholesterol 胆固醇 andsaturatedfattyacids 饱和脂肪酸 thereportsthereforeexpresssomeconcernaboutanyfutureincreaseintheconsumptionofmeatandmeatproducts Finally withregardtotheGermanGovernment sargumentthatvegetableproteinshavealowernutritionalvalue 1 21 thananimalproteins itmustbestressedthat astheCourthasalreadystatedinitsjudgmentof23February1988inCase216 84 Commissionv France 1988 ECR793 aMemberStatemaynotinvokepublichealthgroundsinordertoprohibittheimportationofaproductbyarguingthatitsnutritionalvalueislowerthananotherproductalreadyavailableonthemarketinquestion sinceitisplainthatthechoiceoffoodstuffsavailableto 1 21 consumersintheCommunityissuchthatthemerefactthatanimportedproducthasalowernutritionalvaluedoesnotposearealthreattohumanhealth ItfollowsfromtheforegoingthatthecontestedprohibitionofimportationmaynotbejustifiedongroundsrelatingtotheprotectionofhealthwithinthemeaningofArticle36oftheTreaty 1 21 JustificationBasedonImperativeRequir