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1、国际商法,International Business Law,国际商法概述,Introduction of International Business Law,本章要点,1、国际商法的概念 2、国际商法的渊源 3、两大法系及其民商法的特点 4、中国民商法的主要特点,KEY TERMS,1. International business law 2. Civil Law 3. Common Law 4. Precedent 5.CISG (United Nations Convention on Contracts for the International Sales of Goods)

2、6. Trade custom and usage,第一节 商法概念的导入,一、商法的定义 1、什么是商 （1）词义学上的解释 （2）经济学上的解释 （3）文化意义上的商 （4）法学上的商 内涵 外延 2、商法的定义 商法是调整市场经济中商事主体在商业活动中所形成的商事关系的法律规范的总称。,二、商事关系的特征 1、商事关系是人与人之间的社会关系。 2、商事关系是在商事交易中产生的。 3、商事关系是一种财产关系。 三、商行为 商行为是商事主体在商业活动中的法律行为。 四、现代商法的发展趋势 1、 单行化 2、 公法化 3、 国际化,第二节 国际商法的概念,一、Definition of Int

3、ernational Business Law 1.国际商法的概念 Definition of International Business Law 国际商法是调整国际商事关系的法律规范的总称。 由于国际商法调整的国际商事关系既包括国际商事交易关系，又包括国际商事组织关系，所以，它通常又被认为是调整国际商事交易和国际商事组织的法律规范的总称。 It refers to the body of legal rules and norms that regulates international commercial trade and international business organiz

4、ations.,2、对国际性的理解 The Meaning of “international” 在国际商事法律关系的主体、客体和内容三要素中，至少有一个方面是跨越国界的。 A commercial transaction is international if: (1)the parties have their places of business in different States or Countries; (2)the parties have their nationalities from different countries; (3)the commercial acti

5、vities are performed in a State or District outside the Country or Countries of one or more parties; (4)the object of the commercial relationship is located in a State or District outside the Country or Countries of one or more parties.,3、对商事的理解 The Meaning of “Commercial” 有关国际组织或国家大多采取广义的解释。 The te

6、rm “commercial” should be given a wide interpretation so as to cover matters arising from all relationships of a commercial nature, whether contractual or not. Relationships of a commercial nature include, but are not limited to, the following transactions: any trade transaction for the supply or ex

7、change of goods or services; distribution agreement; commercial representation or agency; factoring; leasing; construction of works; consulting; engineering; licensing; investment; financing; banking; insurance; exploitation agreement or concession; joint venture and other forms of industrial and bu

8、siness co-operation; carriage of goods or passengers by air, sea, rail or road.,第三节 国际商法的渊源,Sources of International Business Law 国际商法的渊源 国际商法的渊源是指国际商法产生的依据及其表现形式，主要有三个方面：国际商事条约、国际商事惯例和各国商事立法。 The basic sources of international business law include international conventions and treaties, internation

9、al customs and usages, and international business laws.,一、国际商事条约（International Treaties and Conventions) 国际商事条约是指作为国际商事主体的国家和国际组织缔结的有关国际商业额贸易的条约或公约，它是国际商法的主要渊源。 条约对缔约方有约束力，根据“约定必须遵守”的国际法原则，缔约国家必须遵守条约。Agreement must be kept 国际商法具有私法性，明显提现当事人“意思自治”原则。在某些情况下，有的国际条约只有在当事人之间的法律行为中予以采用时，才适用于当事人之间的法律关系。 Un

10、der some circumstances, only when the parties of an international business transaction have willingly chosen a treaty, the treaty is binding upon the legal relationship between them.,国际商法上的主要国际条约 1、调整代理的国际公约 2、调整国际货物买卖关系的条约 3、调整国际货物运输的国际条约 4、调整国际票据关系的国际公约 5、调整产品责任的国际公约 6、 保护知识产权的公约 7、国际商事仲裁的公约,二、Int

11、ernational Trade Custom and Usage 1、国际商事惯例的概念 International trade custom and usage means the general rules and practices in international trade activities that have become generally adopted through unvarying habit and common use. 国际商事惯例是指具有相对确定的内容、对当事人不具有当然约束力但在一定领域内为大家所普遍遵循的商事性规范。,2、国际商事惯例应具备的条件： a

12、. 具有确定的商事内容，即具体包括了确定参加国际商事活动的当事人权利和义务的规则； b. 已成为国际商事活动中反复使用的习惯； c. 是各国普遍承认具有拘束力的通例。,3、国际商事惯例的效力 （Effectiveness) As rules and principles developed gradually from the international business practices in the long-turn, international trade customs are, by nature, not law: neither international treaties

13、or conventions, nor national legislations. An international trade custom does not have any legal binding effect until the parties of an international business transaction choose it to apply to their contract, and the court and arbitration institution may decide or enforce accordingly.,4、国际商法相关的主要国际商

14、事惯例 a. Warsaw-Oxford Rules 1932 b. Revised American Foreign Trade Definitions 1941 c. INCOTERMS 2000 d. UCP600,三、Domestic Business Law 各国的商事立法 The national sources of international business law are business laws found within the legal systems of different countries. 一方面，国际条约、国际惯例的适用、效力皆来自于国内立法的规定；另一

15、方面，国内法也直接调整国际贸易或商事关系。再者，当事人从事跨国经贸和商事活动，也可能选择某国的国内法作为准则，此时该商事关系的内容、当事人之间的权利义务等就由该国内法进行调整。,第四节 两大法系的特点,一、英美法系 （Common-Law System） Common law refers to law and the corresponding legal system developed through decisions of courts and similar tribunals, rather than through legislative statutes or executi

16、ve action. 其形成于英国，主要代表是英国和美国，其他国家和地区还有加拿大、澳大利亚、马来西亚、爱尔兰、新加坡、巴基斯坦、我国香港地区等等。,Common Law developed from the rules and principles that judges traditionally followed in deciding court cases. Judges based their decisions on earlier court rulings in similar cases. But judges could expand precedents to make

17、 them suit particular cases. Judges could also reject any precedents that they considered to be in error or outdated. Common law countries have kept the basic feature of the English legal system, which is the power of judges to make laws.,二、大陆法系 （Civil-Law System) 大陆法系，又称民法法系(civil law system)、罗马日耳曼

18、法系或成文法系。指包括欧洲大陆大部分国家从19世纪初以罗马法为基础建立起来的、以1804年法国民法典和1896年德国民法典为代表的法律制度以及其他国家或地区仿效这种制度而建立的法律制度。它是西方国家中与英美法系并列的渊源久远和影响较大的法系。 Civil law is often compared with common law. The main difference is that common law draws abstract rules from specific cases, whereas civil law starts with abstract rules, which

19、judges must then apply to the various cases before them.,大陆法系渊源于罗马，形成于西欧，主要代表是法国和德国，其他国家和地区还有瑞士、意大利、比利时、卢森堡、西班牙、葡萄牙、荷兰、日本、整个拉丁美洲、非洲近东一些国家、美国路易斯安那州、加拿大魁北克省等。 我国也属大陆法系国家。,三、两大法系的比较 1. Different Ways of Reasoning and Determining the Binding Legal Rules,In civil law, the main principles and rules are co

20、ntained in codes and statutes. Civil law is based on the theory of separation of powers, whereby the role of legislator is to legislate, while the courts should apply the law. Lawyers tend to be more conceptual.,In common law, the law has been dominantly created by judicial decisions, while a concep

21、tual structure is often lacking. And the courts are given the main task in creating the law. Lawyers are considered to be more pragmatic.,2、Different Roles of Case Law and Precedent One of the main differences is the binding force of precedents.,The courts apply and interprete legal norms. The case

22、law does not have binding force. The courts decisions are not binding on lower courts in subsequent cases, and it is not uncommon for courts to reach opposite conclusions in similar cases. The courts do not creat the law, but only apply and interpret it.,The courts are supposed not only to decide di

23、sputes between particular parties but also to provide guidance as to how similar disputes should be settled in the future. The interpretation of a legislation given by a court in specific case is binding on lower courts. The courts decisions will make the basis for interpretation of legislation.,3.

24、General Characteristics of the Two Major Legal System,四、国际商事交易中的法律风险 Legal Risk of International Business Transactions 1、Legal risk is risk from uncertainty due to legal actions or uncertainty in the applicability or interpretation of contracts, laws or regulations. 2、Four categories of internationa

25、l business risks: Cultural and language Currency Legal and political Analyzed transaction risks,国际代理法,Law of Agency,本章要点,代理与国际商事代理的概念 代理权的产生、无权代理、代理权的终止 代理法律关系 代理法律关系当事人的义务 承担特别责任的代理人 我国代理法与外贸代理制,Key Terms,Agency Agent Principal Fiduciary duty Independent contract Agency law,第一节 代理法概述,一、代理的概念 1、代理的概

26、念 代理，是指一方（代理人，又称受托人）按照另一方（被代理人，又称委托人或本人）的授权或法律的规定，代表被代表人同第三人订立合同或为其他的法律行为，由此而产生的权利与义务直接对被代理人发生效力。 Agency is “a fiduciary relationship by express or implied contract or by law, in which one party(the agent)may act on behalf of another party(the principal)and bind that other party by words and actions

27、. The basic theory of the agency device is to enable a person, through the services of another, to broaden the scope of his activities and to receive the products of anothers efforts, paying such other for what he does but retaining for himself any net benefit resulting from the work performed.,大陆法系

28、的代理制度的基础,大陆法系的代理制度建立在区别论的基础上（the theory of separation）：即把委任与授权严格区分开来。委任是代理人与被代理人之间的内部关系。授权则是代理人代表被代理人与第三人签订合同的权力，是代理人与被代理人和第三人之间的外 部关系。 授权 外部,英美法系的代理制度是建立在等同论的基础上（the theory of identity），这个理论可以简单地概括为：通过他人去做的行为是同被代理人亲自所为的行为。 PK,被代理人 代理人,委任 内部,代理人与 被代理人,第三人,被代理人,代理人,第三人,2、国际商事代理的概念 国际商事代理，是指代理人为取得佣金，依

29、被代理人的授权，为被代理人的利益与第三人为商行为，由此在具有国际因素的被代理人、代理人及第三人之间产生权利义务关系的法律制度。 国际商事代理的法律基础一般是委托合同，代理人根据委托合同的授权，取得代理权。,3、Nature of Agency and Agency Law (1) An agency is a relationship between two persons. Either can be natural human beings, artificial entities, or a combination of natural and artificial persons. A

30、n agency is defined as a fiduciary relationship. (2) Agency law is an area of commercial law dealing with a contractual or quasicontractual tripartite set of relationships when one person is authorized to act on behalf of another to create a legal relationship with a Third Party.,二、代理权的产生 （Creation

31、of Agency）,（一）大陆法系的规定,代理权产生的原因,意定代理 Voluntary,法定代理 Statutory,1、意定代理（Voluntary） 是指代理人根据被代理人的授权而产生的代理。基于被代理人的意思表示而产生。是代理关系中最常见且数量最多的一种代理关系。 2、法定代理（Statutory） 是指被代理人于法律上或事实上不能为法律行为时，按照法律直接规定由他人代为进行法律行为的代理。,法定代理权产生的原因,根据法律规定享有 根据法律的选任取得 因私人的选任取得,（二）英美法系的规定 英美法系上的代理主要是契约代理，也称委托代理。 一般代理人与被代理人之间的代理关系可以通过协议

32、产生，但在某些情况下，即使被代理人事实上并未授权给代理人，被代理人也受其代理人行为的约束，另外，代理关系还可以因时候追认而产生。 实际授权（Agency by authority) 表见授权 (Apparent agency) 职业或惯常授权 (Agency by occupation) 必要的授权 (Agency by necessity) 追认授权 (Agency by ratification),1、实际授权 是指被代理人和代理人之间通过协议或合同，在实际上给予代理人的代理权。它包括明示授权和默示授权。 （1）明示授权（ express authority） 是指被代理人和代理人之间以明

33、确的意思表示达成建立代理关系的协议，代理人通过被代理人的明示指定或委任而实际享有的代理权。这是英美法系上产生代理权最基本的途径。 The agency relationship is always consensual. It usually is created by contract ,oral or written.,（2）默示授权 （implied authority) 根据英美等国的判例法规则，代理人在明示授权外，还享有一定程度的默示授权，主要包括：,默示授权,由默示而存在的授权 从当事人在某一特定场合的行为或从当事人之间的某种关系中，可以推定当事人之间存在真实有效的代理关系。,附带

34、授权 由于被代理人的明示委任并不一定能详尽地说明代理人在实际行动中所应具有的一切权力，因此受委托从事某种特殊任务的代理人，可以享有合理地附属于其履行明示代理权所必不可少的默示行为的权力。,习惯授权 在代理人被授权为被代理人在某一特殊市场进行活动情况下，他享有按该市场的先关习惯进行活动的默示代理权，无论被代理人是否知晓该习惯，被代理人均受其约束。,2、表见授权（Apparent agency） 又称不容否认的代理权，是指被代理人虽没有对代理人加以明示委托，但如果他处于故意或疏忽，通过其言行使第三人有理由相信某人是其代理人而采取行动时，则他便不能否认其言行，而必须视为已向该代理人授权，并不得否认该

35、代理人为其设定的与第三人的权利和义务关系。 Apparent agency is conduct by one person that causes another person, reasonably relying on this conduct, to act to his or her detriment or to change his or her position. An agent cannot give himself apparent authority; instead, he acquires apparent authority from his/her princi

36、pal if the principal, by his/her conduct, leads another to reasonably believe that the agent is in fact authorized to act on the principals behalf.,3、职业或惯常授权 是指以某种代理行为为职业的人，其所享有的代理权可以扩大到这类代理人的职业通常所享有的权利范围。 4、必要的授权（agency by necessity) 又称客观必要的代理权，是指在特定紧急情况下，某人依法律推定取得一种代理别人进行活动的代理权，他所实施的处分行为的结果及于被代理人。

37、,产生的四必要条件,事由实际、确定、必需,事由发生时，无法联系,行为出于善意,合理而谨慎的行为,5、追认授权（Agency by ratification) 是指代理人未经被代理人明示或默示授权或超越代理权，而以被代理人的名义实施代理行为，被代理人事后对此予以追认或不明示否认，代理人由此获得了追认的代理权。 There is no ratification unless the party that supposedly ratified: (1) was in existence when the “agent” acted; (2) had full knowledge of all ma

38、terial facts before it ratified; (3) ratified the entire act of a would-be agent, not simply the favorable parts.,三、无权代理（Unauthorized Agency）,无权代理是指欠缺代理权的人所作的代理行为。 无权代理的产生有四种情形： without implied authority condition; invalid authority； beyond the scope of the authority； After the termination of agency

39、,1、大陆法系的规定 无权代理的问题，大陆法系各国大都在民法典中加以规定。 无权代理人的责任，大陆法系各国法律的规定不完全相同。 无权代理人对第三人是否承担责任，大陆法系各国的法律规定一致： 取决于第三人是否知道该代理人有没有代理权。 如果第三人不知道该代理人没有代理权而与之订立了合同，无权代理人就要对第三人承担责任；反之，不承担责任。 2、英美法系的规定 在英美法系中称为违反有代理权的默示担保（breach of implied warranty of authority） 当代理人同第三人订立合同时，代理人对第三人有一项默示的担保，即保证他有代理权。因此，如果某人冒充是别人的代理人，但实际

40、上并没有得到被代理人的授权，或者是越出了他的授权范围行事，则与其订立合同的第三人就可以以其违反有代理权的默示担保对他提起诉讼，该冒牌的代理人或越权的代理人就需要对第三人承担责任。,四、代理权的终止（Termination of Agency）,大陆法系,英美法系,法定代理 a.被代理人取得或恢复民事行为能力。 b.被代理人死亡、破产或丧失行为能力 c.代理人死亡、破产或丧失行为能力 d.其他原因,委托代理 a.因被代理人或代理人的行为而终止。 b.因被代理人或代理人死亡或丧失行为能力而终止。 c.因条件或期限届满而终止。,表见代理 a.被代理人以意思表示通知了第三人 b.被代理人以特别通知或公

41、告通知第三人 c.代理人将被代理人给他的委托代理书展示给第三人,基于法律程序 a.被代理人死亡 b.被代理人破产 c.被代理人精神失常 d.被代理人成为本国的敌对国公民,基于当事人的行为 两种特殊限制： 对表见代理权的 撤销 b. 对附条件代理权的撤销,第二节 代理法律关系Legal Relations in Agency,Agency law is mainly concerned with three types of relationships: Principal-agent Principal-the third party Agent-the third party 一、被代理人与

42、代理人之间的法律关系（principal-agent) Principal-agent relationship is the arrangement that exists when one person or entity acts on behalf of another. In general, a contract is used to specify the terms of a principal-agent relationship. 二、代理人与第三人之间的法律关系（agent-3rd party relationship) The agent will be liable

43、to the third party only when he or she acts without authority from the principal or beyond the limits of authority or in case of apparent authority.,三、被代理人与第三人之间的法律关系（Principal-3rd party relationship) （一）大陆法系的规定 Under civil law, the relationship between principal and third party is divided into two

44、kinds: direct agency and indirect agency. The principal owes quite different liabilities to the third party under the two kinds of agency. 1、直接代理 direct agency 即代理人在代理权限内以代理人的身份，与第三人订立合同的行为。 Agents contract with a third party in principals name within their authority and the contract directly binds

45、on the principal and the third party. The parties to the contract are the principal and the third party. 2、间接代理 indirect agency 即代理人以自己的名义，但是为了被代理人的利益与第三人签订合同，日后再将其权利与义务通过另外一个合同让与被代理人的行为。 The agent contracts with the third party in his own name within his authority. The contract will not bind the pr

46、incipal unless the contractual rights and obligations are assigned and delegated to the principal. The parties to the contract are the agent and the third party.,（二）英美法系的规定 Under Common Law, the relationship between principal and the third party is divided into three kinds: agency for a named princi

47、pal, agency for an unnamed principal and agency undisclosed. 1、显名代理 Agency for a named principal 是指代理人在订约时不但表明了自己的代理身份，而且还表明了被代理人的身份或姓名、商号。在这种情况下，所订立的合同就是被代理人与第三人之间的合同，被代理人应对合同负责，代理人不承担个人责任。 The agent acts on behalf of a principal and within the scope of its authority and the third party knows or sh

48、ould know that the agent is acting as an agent. In such agency, the acts of an agent directly affects the legal position of the principal to the third party. Thus a contract made by the agent directly binds the principal and the third party to each other. 2、隐名代理 Agency for an unnamed principal 即代理人在

49、订约时只披露代理关系的存在，没有披露被代理人的姓名、商号。在这种情况下所订立的合同，仍被认为是第三人与被代理人之间的合同，应由被代理人对合同负责，代理人不承担个人责任。 The agent acts on behalf of a principal but not tell the third party the name of the principal. The contract will still bind the principal and the third party.,3、未披露被代理人身份的代理（Agency undisclosed) 即代理人在订约时根本不披露有代理关系的存

50、在，既不表明自己的代理身份，也不标明被代理人的存在。在这种情况下，即使代理人得到了被代理人的授权，代理人原则上也要对第三人承担履行合同的责任。 Where an agent acts within his scope of its authority and the third party neither knew or should not have known that the agent was acting as agent, the acts of the agent shall only affect the relations between the agent and the

51、third party, and do not directly bind the principal and the third party. Under an undisclosed agency, the principal has the right to intervene（介入权），claiming to assume liability directly to the third party. The third party has the right to the elect（选择权），choosing to bring an action directly against t

52、he principal.,第三节 代理法律关系当事人的义务Duties of the Parties in an Agency,一、代理人的义务 1. Duty of personal performance 亲自履行 Sub-agent(转委托） can be accepted unless: A. allowed by trade custom B. by necessity C. neither the agent or the principal can solve a certain problem. 2、Duty to obey instructions 按被代理人意志或利益履行

53、 3、Duty of care 注意义务 4、Duty of loyalty 忠实义务 A. notify all information that is useful to the principal B. avoid conflict of interest C. avoid self-dealing 5、Duty to protect confidential information 严守商业秘密 6、Duty to account 汇报并结清账目,二、 被代理人的义务 1、Duty to compensate 支付佣金 2、Duty to performance the contrac

54、t 履行代理合同 3、Duty to reimburse and indemnify 弥补代理人因履行代理义务而产生的费用及损失 4、Duty to keep accounts 保留并允许代理人核查账册 三、第三人的义务 In principle, once the contract is concluded, the principal and the third person undertakes the respective obligations according to the contract, the third party does not take personal resp

55、onsibility for the agent.,第四节 承担特别责任的代理人Agent under Special Liabilities,一、对被代理人承担特别责任的代理人（ Credit Guarantee Agent） 信用担保代理人的责任是：在他所介绍的买方（即第三人）不付货款时，由他赔偿被代理人因此遭受的损失。,我介绍的，你放心。他不给钱，我赔你。,万一买家不给钱咋办？,忧心忡忡的本人,自信侧漏的代理人,不熟悉的第三人（买方）,二、对第三人承担特别责任的代理人 1、保付代理人 （confirming agent） 代理国外的买方（被代理人）向本国的卖方（第三人）订货，并在订单上加

56、上保付代理人的保证，担保被代理人将履行合同，如果国外的被代理人不履行合同或拒绝支付货款，将由保付代理人向本国的买方（第三人）支付货款。 2、保兑银行 （confirming bank） 对L/C 进行保兑的银行 3、运输代理人 （forwarding agent） a person, agency, or enterprise engaged in the collection, shipment, and delivery of goods 客户（被代理人），运输公司（第三人） 4、保险代理人 （insurance agent）,第五节 我国代理法与外贸代理制Agency Law of Ch

57、ina,一、我国的代理法律制度 General Principles of the Civil Law of China Article 63Article 70 从法理上讲，这种代理制度是属于直接代理，其特点是代理人必须以被代理人的名义行事，从而才能使代理行为所产生的效力直接归属于被代理人。,二、我国外贸代理制 Contract Law of China Article402，403 Article 402 Agents Act Binding on Principal; Exceptions Where the agent, acting within the scope of autho

58、rity granted by the principal, entered into a contract in its own name with a third person who was aware of the agency relationship between the principal and agent, the contract is directly binding upon the principal and such third person, except where there is conclusive evidence establishing that

59、the contract is only binding upon the agent and such third person. 然而，在实践中，外贸公司都是以自身的名义作为卖方或者买方，同外商签订进出口合同，而不是以被代理人的名义（国内供货或用货部门）订立进出口合同。这样一来，外贸公司在这种进出口合同中所处的地位就不是处于代理人的地位，而是处于合同当事人的地位（卖方或者买方），结果外贸公司就必须对这种进出口合同承担法律责任。对外贸公司来说，这种责任有时可能是很重的，与其所收取的佣金是不相称的。,Article 403 Agents Non-performance toward Princ

60、ipal Due to Act of Third Person; Non-performance toward Third Person Due to Act of Principal Where the agent entered into a contract in its own name with a third person who was not aware of the agency relationship between the agent and the principal, if the agent failed to perform its obligation tow

61、ard the principal due to any reason attributable to such third person, the agent shall disclose the third person to the principal, allowing it to exercise the agents rights against such third person, except where the third person would not have entered into the contract with the agent had it known t

62、he identity of the principal. Where the agent failed to perform its obligation toward the third person due to any reason attributable to the principal, the agent shall disclose the principal to the third person, allowing the third person to select in alternative either the principal or the agent as

63、the other contract party against whom to make a claim, provided that the third person may not subsequently change its selection of the contract party. Where the principal exercises the rights of the agent against the third person, the third person may avail itself of any defense it has against the a

64、gent. Where the third person selects the principal as the other party to the contract, the principal may avail itself of any defense it has against the agent as well as any defense the agent has against the third person.,国际商事合同法,International Contract Law,本章要点,合同的订立 合同生效的必要条件 合同的履行 合同的变更和转让 合同的消灭 违约

65、形式和救济方法,Key Terms,Contract Offer Acceptance Counteroffer Invitation to treat/invitation offer Withdrawal of offer Revocation of offer Consideration,Cause Promissory estoppel Misrepresentation Duress Remedy,第一节 概述 Introduction,Under Common Law, contract means a promise or set of promises, for breach

66、of which the law gives a remedy. Under Civil Law, contract is a “mutual assent” or “meeting of minds”. Chinese Contract Law states that a contract is an agreement between natural persons, legal persons or other organizations with equal standing, for the purpose of establishing, altering, or discharging a relationship of civil rights and obligations.,第二节 合同的订立Formation of Contract,一、要约（Offer） 1、要约 An offer is a statement by one party of a willingness