国际商法第二版英文版姜作利课件

,ChapteroneIntroductiontoInternationalBusinessLaw,Iwhatisinternationalbusinesslaw?,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.,Thescopeofinternationalbusinesslaw,LawforinternationaltradingofgoodsCompanylawNegotiableinstrumentlawMaritimelawInsurancelawLawofinternationaltechnologytransferIndustrialpropertylawInternationalinvestmentlawInternationalfinanciallawInternationaltaxlawLawofinternationaldisputessettlement,IIHistoryofInternationalBusinessLaw,1.theorigin:HammurabiCodes汉穆拉比法典2.theRomanlaw:JusCivil(civillaw)市民法andJusGentium(publicinternationallaw)万民法3.theRhodelaw:罗得法4.LawMerchants:商人（习惯）法5.thecommonlaw:普通法,IIISourcesofinternationalbusinesslaw,ANationallawThemostimportantsource.TakeChinaasanexample:TheContractLawTrademarkLawChinese-ForeignjointVenture(Cooperative)Law,TheCivilProcedureLawArbitrationLaw,IIISourcesofinternationalbusinesslaw,BInternationaltreatiesandconventionsDifferencesbetweentreatiesandconvention:Themostimportantinternationalconventions:TheUnitednationsConventiononContractfortheInternationalSalesofGoods（CISG，联合国国际货物销售合同公约）ConventionfortheUnificationofCertainRulesofLawRelatingtoBillsofLading(theHaguerules，海牙规则)TheParisConventionfortheProtectionofIndustrialProperty(ParisConvention，巴黎公约)UnderstandingontheRulesandProceduresGoverningtheSettlementofDisputes(DSU，争端解决规则与程序谅解）,IIISourcesofinternationalbusinesslaw,CInternationalmodellawDefinition:rulesandnormsworkedoutandpassedbysomeinternationalorganizationsforthefreechoicebynations.Examples:1.ModelLawonInternationalCommercialArbitrationbytheUnitedNationsCommissiononInternationalTradeLaw（联合国国际贸易法委员会国际商事仲裁示范法UNCITRALModelLaw）2.PrinciplesofInternationalCommercialContractbytheInternationalInstitutefortheUnificationofPrivateLaw（国际统一私法协会国际商事合同通则,UNIDROITPICC）,IIISourcesofinternationalbusinesslaw,CInternationalmodellawNocertainlegalvalidityInfluence:1.modelfornationalandinternationallegislature;2.ameansofinterpretingandsupplementingexistinguniformlaw;3.rulesgoverningthecontract(situations?);4.asubstituteforthedomesticlaw,IIISourcesofinternationalbusinesslaw,DInternationaltradecustomsandusagesDefinition:thegeneralrulesandpracticesininternationaltradeactivitiesthathavebecomegenerallyadoptedthroughunvaryinghabitandcommonuse.(usedtobeoralbutlatercompiledintowrittenrules)Examples:Warsaw-oxfordRulesbytheInternationalChamberofCommerce（华沙-牛津规则）TheInternationalRulesfortheInterpretationofTradeTerms(INCORMS2010国际贸易术语解释通则）TheUniformedCustomsandPracticeforCommercialDocumentaryCredits（UCP600跟单信用证统一惯例）,IIISourcesofinternationalbusinesslaw,DInternationaltradecustomsandusagesInfluence:notlaw,butplaysanimportantrole.1.asbindingrulesbyagreeduponbythepartiestothecontract.2.asinterpretingorfillingthegapsinthecontract.(onlyforusagesthepartiesagreedtobeboundorthatderivefromtheirpastdealings,ortheusagesthepartykneworoughttohaveknownandthatareregularlyobservedintheindustryortradeinvolved.,VIInternationalOrganizations,A.OrganizationAffiliatedwithUN隶属联合国的组织1.TheUnitedNationsEconomicandSocialCouncil联合国经社理事会2.TheUnitedNationsCommissiononInternationalTradeLaw(UNCITRAL)联合国国际贸易法委员会Objectives:promoteinternationaltradethroughharmonizationoftradelawamongnations.Mostimportantachievements:theentryintoforceofCISG;ModelLawonInternationalCommercialArbitration.,VIInternationalOrganizations,A.OrganizationAffiliatedwithUN3.InternationalMonetaryFund(IMF)(BrettonWoodsConference)国际货币基金组织Objectives:topromoteinternationalmonetarycooperation,tofacilitatetheexpansionandbalancedgrowthofinternationaltradeandtopromotestabilityinforeignexchange.Votingrightsofmembers:250basicvotingright,plusvotingrightscalculatedbytheirquotasubscriptions(onevotingrightsforevery10,000.00SDR.)Chinawithavotingrightsof2.54%.3.72%,特别提款权（specialdrawingright,SDR),国际货币基金组织创设的一种储备资产和记帐单位，亦称“纸黄金(PaperGold)”。它是基金组织分配给会员国的一种使用资金的权利。会员国在发生国际收支逆差时，可用它向基金组织指定的其他会员国换取外汇，以偿付国际收支逆差或偿还基金组织的贷款，还可与黄金、自由兑换货币一样充当国际储备。但由于其只是一种记帐单位，不是真正货币，使用时必须先换成其他货币，不能直接用于贸易或非贸易的支付。因为它是国际货币基金组织原有的普通提款权以外的一种补充，所以称为特别提款权。,VIInternationalOrganizations,A.OrganizationAffiliatedwithUN4.“WorldBank”(twoinstitutions)世界银行TheInternationalBankforReconstructionandDevelopment国际复兴开发银行（世界银行）(loansatmarketterms,nothigh-riskloans)InternationalDevelopmentAssociation国际发展协会(loanstopoorcountrieswithaveragepercapitalGNPlessthan$410onmorefavorableterms,butonlytogovernment)InternationalFinanceCorporation国际金融公司(loanstoprivateenterprisesindevelopingcountries),VIInternationalOrganizations,B.otherInternationalOrganizations1.GATT/WTO关贸总协定与世界贸易组织(relation,aims,roundsofnegotiation,principles,memberships?)2.TheOrganizationforEuropeanEconomicCooperation欧洲经济合作组织(foundationbackgrounds,memberships,principles?)3.InternationalChamberofCommerce国际商会(purposesandcontributiontoworldtrade?),VComparisonofMunicipalLegalSystem,A)LegalFamilies法系1.theRomano-GermanicCivilLawFamily罗马日尔曼民法法系(theRomanlawfamily,thecontinentallawfamily,thecivillawfamily):France,Germany,andSwitzerlandetc.2.theAnglo-AmericanLawFamily英美法系(thecommonlawfamily,thecaselawfamily):England,America,Indiaetc.3.IslamicLawFamily伊斯兰法系:Islamiccountries.hybrids:elementsofboththecivillawandthecommonlaw.China?,VComparisonofMunicipalLegalSystem,B)thedifferencesbetweenthetwomainlegalfamily1.sourceoflaw法源:inthecommonlawsystem,caselaw（判例法）astheprimarysourcebutalsohasanumberofstatutes;inthecivillawsystemonlystatutes（制定法）.2.categoriesoflaws法律分类:publiclawandprivatelaw;commonlawandequitylaw.3.codification法典化:codification,generallynocodificationbutseparatelaws.4.litigationmodes诉讼模式:authoritymode（职权主义）;litigantmode（当事人主义）,VIInternationalBusinessLawandChina,HowChinacametoacceptinternationalbusinesslaw?A.WhenwasthefirsttimethatChinastartedtointroduceinternationalbusinesslaw?B.WhatledtotheincorporationofinternationalbusinesslawprinciplesandreasonablecontentsintoChinesebusinesslaw?C.WhatcreatedthebestopportunitytoChinafortheapplicationofinternationalbusinesslaw?,ChapterTwoFormsofinternationalBusiness,ISomeInternationalTradeTheories,A.Specialization专业化Specializationmeansthateachnationshouldspecializetoitsresourceendowmentbyapplyingthelawofcomparativeadvantages.专业化是指每一个国家都应该按照相对优势理论专门从事其有资源优势的行业。Itenablesnationstoemphasizetheactivitiesatwhichtheyaremostefficientandatthesametimegaincertainadvantagesthroughtrade.专业化能够使国家专门从事其效率最高的行业并通过贸易获得利益。,ISomeInternationalTradeTheories,A.SpecializationChina:textile,clothing,shoes,toysBrazil:coffeeWhyspecialization:comparativeadvantagespecialization(divisionoflabor)tradeincreasethewealthofallnations,ISomeInternationalTradeTheories,B.AbsoluteAdvantage绝对优势AdamSmith亚当.斯密绝对优势理论（TheoryofAbsoluteAdvantage），又称绝对成本说（TheoryofAbsoluteCost）、地域分工说（TheoryofTerritorialDivisionofLabor）。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。Examples:,ISomeInternationalTradeTheories,C.ComparativeAdvantage相对优势countrieswillspecializeinproducingseveralproductsandservicesinwhichtheyhaveloweropportunitycoststhantheirtradingpartners.DavidRicardo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。P25case:,ISomeInternationalTradeTheories,D.opportunityCost机会成本opportunitycostmeansthevalueofthebenefitthatisgivenuptoproduceoneeconomicgoodasopposedtoanother.Economistsmeasurethe“real”costofdoingbusinessbyitsopportunitycost,notbyitsdirectcost.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。cases:p25-p26,IIExporting,A.DirectExportingTerms:domesticbuyer:prospectivecustomer:full-timeexportermanager:exportmarketing:foreignsalesagents:distributorModesofexporting:ForeignsalesagentswhoworkoncommissionSellingdirectlytoforeigndistributorsDifferencesbetweenthetwo?,IIExporting,B.IndirectExporting1.throughETCs(exporttradingcompany)2.throughEMCs(exportmanagementcompany)3.SituationinChina,IIIGovernmentControlsoverTrade,A.Tariffs关税1.definition:tariffsaretaxesimposedonimportsorexportswhencrossingthecustomseitherbyvalueorperunitofquantity.a)advaloremduty从价税b)specificduty从量税2.Thesignificanceoftariffsa)increasegovernmentrevenueb)protectdomesticindustryc)politicalcontrol,Tariff,TariffisacceptedmeasuresbyWTO,butmustfollowtheprincipleofdeduction.Atpresent,theaveragetariffofindustrialproductsfordevelopedcountriesisabout3%,whiledevelopingcountries10%,andtransitionalcountries6%.,IIIGovernmentControlsoverTrade,B.NontariffBarrierstoTrade非关税壁垒1.definition:allbarrierstoimportandexportotherthantariffs.Evengreaterandmoreinsidiousbarrierthantariff.2.significance:toprotectnationaleconomy,socialandpoliticalinterest.3.Types:technicalbarriers,environmentbarriers.oftendisguisedintheformofgovernmentrulesorregulations.,ChinesemoocakeencountersAmericantechnicalbarriers,Chinesetoysencounterstechnicalbarriers,中国显然希望利用北京奥运的机会强化中国主导的3G网络TD-CDMA在中国市场上的地位。不过，这令掌握着3G其他两个国际标准WCDMA、CDMA2000的欧美国家及其厂商感到紧张。他们担心中国是在以此建立“技术壁垒”。,Environment(green)barriers,IIIGovernmentControlsoverTrade,absolutequotaa)quota配额tariffquotaquotasarenotacceptedmeasuresasalawfulmeansofregulatingtradeexceptinsomespecialcases.,Quotasforcarsimported,2004年中国汽车及汽车配件的进口配额增加到104.9亿美元.从2005年1月1日起，我国将取消汽车及其关键件的进口配额管理。,IIIGovernmentControlsoverTrade,b)embargo禁运:atotalorneartotalbanontradewithaparticularcountry,sometimesenforcedbymilitaryactionandusuallyimposedforpoliticalpurposes.C)boycott贸易抵制:arefusaltotradeordobusinesswithcertainfirms,usuallyfromaparticularcountry,onpoliticalorothergrounds.4.influenceoftariffandnon-tariffbarriers:P29Pa2,IIIGovernmentControlsoverTrade,C.ExportRestrictionsAnexportrestrictionlimitscertaintypeofproductshippedtoanyparticularcountry,whichareusuallyimposedforeconomicorpoliticalpurposes.High-techcomputersmightnotbeallowedtobeshippedfromtheUnitedStatestoanothercountrywithoutalicense.ChinesegovernmentdoesnotallowsomevaluabletraditionalChinesemedicinestobeexported.,IV.InternationalLicensingAgreement,1.InternationalLicensingAgreements:arecontractsbywhichtheholderofintellectualpropertyrightwillgrantcertainrightsinthatpropertytoaforeignfirmunderspecifiedconditionsandforaspecifiedtime.国际许可协议是知识产权的持有人把部分权利授予外国公司在一定条件和一定时间内使用的协议。Amoreimportantmethodthanexportingtogainentryintoforeignmarket.,IV.InternationalLicensingAgreement,2.Intellectualpropertyrights:areagrantfromagovernmenttoanindividualorfirmoftheexclusivelegalrighttouseacopyright,patenortrademarkforaspecifiedtime.知识产权是一国政府授予个人或公司对版权、专利或商标在一定时间内享有的专有权。,Copyrights,Copyrightsarelegalrightstoanartisticorwrittenwork,(includingbooks,software,films,music),ortoalayoutdesignofacomputerchip.,Trademarks,Trademarksincludethelegalrighttouseanameorsymbolthatidentifiesafirmoritsproduct.,Patents,Patentsaregovernmentalgrantstoinventorsassuringthemoftheexclusivelegalrighttoproduceandselltheirinventionsforaperiodofyears.InventionpatentspatentforutilitymodelsPatentforindustrialDesigns,IV.InternationalLicensingAgreement,3.paymentforInternationalLicensingContractA)lumpsumprice一次总付B)Royalty提成a)fixedroyaltyb)slidingroyaltyC)initialprice+royalty入门费+提成,IV.InternationalLicensingAgreement,4.TechnologyTransfer技术转让definition:theexchangeoftechnologyandknow-how(专有技术）througharrangementssuchasinternationallicensingcontracts.Problems:governmentcontrol,thegapsbetweenthedesireoftheinvolvedparties.,IV.InternationalLicensingAgreement,5.InternationalFranchising国际特许Themostcommonformoffranchisingisknownasabusinessoperationfranchise,usuallyusedinretailing.Underatypicalfranchising,thefranchiseeisallowedtouseatradenameortrademarkinofferingroyaltybasedonapercentageofsalesorotherfeestructure.最常见的特许形式是在零售领域的商业方式的特许。典型的国际特许是被特许方支付销售额一定百分比的提成费或其他费用方式而获得某个商号或商标的使用权,ChapterthreeLegalSystemofInternationalBusiness,I.UnitedNationsConventiononContractsforInternationalSalesofGoods(CISG),1.TheDevelopmentofInternationalBusinessLawA)Formationofcustomsforexchangeofgoodsunwrittencodes,knownasLexmercatoriaorlawmerchantself-ruledlawB)InEngland,by18thcentury,lawmerchantbecameapartofthecommonlaw.C)SalesofGoodsAct(England1894)UniformSalesAct(USA1906,nolongerineffect)UniformCommercialCode(USA1951)D)DraftingoftheCISGreasonandpurpose?Whichorganizationdraftedit?,2.ApplicabilityoftheCISG,A)Applicability适用范围a)forcommercialsalesofgoods:notforconsumersalesb)betweenpartieswhoseplacesofbusinessareindifferentcountries(natioanalitynotconsidered)C)theplacesofbusinessareinacontractingstate,orapplicablebyrulesofprivateinternationallaw国际司法规则导致适用（允许保留）Howisthesituationwhenapartyhasplacesofbusinessinmorethanonecountry(multinationalcorporation)?principleofclosestrelationship(tothecontractplaceofperformance),2.ApplicabilityoftheCISG,B)Salesandissueexcluded排除适用的销售a)consumergoodssoldforpersonal,familyorhouseholduse.b)goodsboughtatauctionc)stocks,securities,negotiableinstruments,ormoneyd)ships,vessels,oraircrafte)electricityf)assemblycontractsg)contractsthatareinpreponderantpartforthesupplyoflabororotherservicesh)liabilityofthesellerfordeathorpersonalinjurycausedbythegoodsi)partiesagreetoexcludetheConventionortheychooseotherlaw.,2.ApplicabilityoftheCISG,C.Issuesnotcovered没有涉及的问题a)thelegalityofthecontract(合同的效力）b)thecompetencyoftheparties（当事人的行为能力）c)therightsofthirdparties（第三方的权利）Doyouknowthereason?Lawsofdifferentcountriesdiffergreatlyontheseissues,whichmightjeopardizetheadoptionoftheCISG.,3.InterpretingoftheCISG,A)TheConvention公约a)situation:thewordsitselfrequireinterpretationb)methods:theinternationalcharacteroftheconventiontheneedtopromoteuniformityintheconventionsapplication;theobservanceofgoodfaith(theplainmeaningrule字面意思规则);Travauxpreparatoire(preparatorywork);legislativehistory?Caselaw?,Caselaw?,Theneedtopromoteuniformityintheconventionsapplicationcompelscourtstoexamineandfollowthedecisionsofthecourtsinothercontractingstates.Therequirementtousegoodfaithmeansthatcourtsmustacceptforeigndecisionsasprecedentsanddepartfromthemonlywhentheyareclearlydistinguishable,clearlyerroneous,ornolongerapplicabletochangedinternationalcircumstances.,3.InterpretingoftheCISG,B)GeneralPrinciples一般原则CISGcallsforcourtstolooktothegeneralprinciplesonwhichtheConventionisbased,butgivesnolistofgeneralprinciples.Itdoessetoutmechanismfordeterminingthem:theymustbederivedfromparticularsectionswithintheConvention,andthenextended,byanalogy,tothecaseathand.Twoprinciplessuggested:a)thedutytocommunicateinformationneededbytheotherparty;b)theobligationtomitigatedamagesresultingfromabreach.,3.InterpretingoftheCISG,C)RulesofPrivateInternationallaw国际私法规则UsedonlywhenCISGitselfdoesnotdirectlysettleamatter,orwhenthemattercannotberesolvedbytheapplicationofageneralprinciplederivedfromtheConventionitself.privateinternationallawrulesvaryfromcountrytocountry.PrivateinternationallawcodesVscaselaw.Purpose:toavoidthepossibilitythatcourtswilladoptinterpretiveaidsonanadhocbasis.,3.InterpretingoftheCISG,D)statementsandConductoftheParties当事人的陈述和行为Approachtodetermine“meetingofminds”or“commonintent”意思一致或合意:subjectiveintentapproach主观意思主义objectiveintentapproach客观意思主义.OliverWendellHolmescomment:“thelawhasnothingtodowiththeactualstateofthepartiesminds.Incontract,aselsewhere,itmustgobytheexternals,andjudgepartiesbytheirconduct.”,CISG,subjectiveintentfirst:ifitcanbefairlyascertainedandtheotherpartykneworcouldnothavebeenunawareofthespeakersintent.objectiveintent:whenaspeakersintentisnotclear.Apartysstatementandotherconductare“tobeinterpretedaccordingtotheunderstandingthatareasonablepersonofthesamekindastheotherpartywouldhavehadinthesamecircumstances.”,3.InterpretingoftheCISG,E)Negotiations谈判Article8(3)oftheCISG:Whendetermineapartysintent,thefollowingconsiderationshouldbetakenintoaccount:a)thenegotiationsleadinguptothecontractb)thepracticeswhichthepartieshaveestablishedbetweenthemselves.c)thepartiesconductaftertheyagreetothecontract.Purpose:todoawaywiththetechnicalrulesthatdomesticcourtsusetointerpretcontract.,theparolevidencerule口头证据规则,theparolevidenceruleforbidsacourtfromconsideringany“prior”or“contemporaneousoralunderstanding”whenitisinterpretingawritingthatthepartiesintendedasa“finalexpressionoftheiragreement”SICGsattitude:Ifthepartieschoosetoadopttheparolevidencerule,theycandoso,however,unlesstheyspecificallydoso,thecourtwilllookatalltherelevantcircumstancesofthecase.,3.InterpretingoftheCISG,F)PracticesandUsages惯例Art.8(3)and9(1):anypracticetheyhaveestablishedbetweenthemselves.(bound)Art.9(1):anyusagewhichthepartiesagreedto.(bound)Art.9(2):ausagewhichthepartieskneworoughttohaveknownandwhichiswidelyknowntoandregularlyobserved.(letcourtsconsider),IIUNIDROITPICC,UNIDROIT:theInternationalInstitutefortheUnificationofPrivateLaw.国际统一私法协会PICC:PrinciplesofInternationalCommercialContracts.国际商事合同通则Themostimportantmodellawsofinternationalcommerce.,1.ScopeofApplication适用范围,Thepreamblestates:“setforthgeneralrulesforinternationalcommercialcontract.”International:involvingmorethanonestatesorregions.Commercialcontracts:(beunderstoodinthebroadestpossibleway)includenotonlytradetransactionsforthesupplyorexchangeofgoodsorserves,butalsoothertypesofeconomictransactions,suchasinvestmentand/orconcessionagreements,contractsforprofessionalservices.,2.GeneralPrinciples,A)FreedomofContract合同自由Art.1(1)reads:“thepartiesarefreetoenteracontractandtodetermineitscontents.”a)thepossibilityofconcludingcontractswithanyotherperson,irrespectiveoftheirlegalstatusandtheirnationality.b)thefreedomofthepartiestodeterminethecontentoftheircontract.c)therighttoexcludeUNIDROITPICCinwholeorinpartormodifytheircontent.,2.GeneralPrinciples,B)OpennesstoUsages对惯例的开放态度a)partiesareboundbyanyusagetowhichtheyhaveagreedandanypracticewhichtheyhaveestablishedbetweenthemselves.b)alsobyausagethatiswidelyknowntoandregularlyobservedininternationaltradebypartiesintheparticulartradeconcerned,exceptwheretheapplicationofsuchausagewouldbeunreasonable.,2.GeneralPrinciples,C)FavorContractus有利于合同成立theaim:preservingthecontractwheneverpossible,thuslimitingthenumberofcasesinwhichitsexistenceorvaliditymaybequestionedorinwhichitmaybeterminatedbeforetime.Eg:acontractmaybeconcludedeitherbytheacceptanceofanofferorbyconductofthepartiesthatissufficienttoshowagreement.Eg:about“modifiedacceptance”:iftheaddit