國際商法概述-經(jīng)濟管理學院

1、國際商法,International Business Law,國際商法概述,Introduction of International Business Law,本章要點,1、國際商法的概念2、國際商法的淵源3、兩大法系及其民商法的特點4、中國民商法的主要特點,KEY TERMS,1. International business law2. Civil Law 3. Common Law4. Precedent

2、5.CISG (United Nations Convention on Contracts for the International Sales of Goods)6. Trade custom and usage,第一節(jié) 商法概念的導入,一、商法的定義 1、什么是商（1）詞義學上的解釋 （2）經(jīng)濟學上的解釋 （3）文化意義上的商 （4）法學上的商 ① 內(nèi)涵 ② 外延 2、商法的定義 商法是調(diào)整市場經(jīng)

3、濟中商事主體在商業(yè)活動中所形成的商事關(guān)系的法律規(guī)范的總稱。,二、商事關(guān)系的特征 1、商事關(guān)系是人與人之間的社會關(guān)系。2、商事關(guān)系是在商事交易中產(chǎn)生的。3、商事關(guān)系是一種財產(chǎn)關(guān)系。三、商行為商行為是商事主體在商業(yè)活動中的法律行為。四、現(xiàn)代商法的發(fā)展趨勢1、  單行化2、  公法化3、  國際化,第二節(jié) 國際商法的概念,一、Definition of International Bu

4、siness Law1.國際商法的概念Definition of International Business Law 國際商法是調(diào)整國際商事關(guān)系的法律規(guī)范的總稱。 由于國際商法調(diào)整的國際商事關(guān)系既包括國際商事交易關(guān)系，又包括國際商事組織關(guān)系，所以，它通常又被認為是調(diào)整國際商事交易和國際商事組織的法律規(guī)范的總稱。It refers to the body of legal rules and norms that regula

5、tes international commercial trade and international business organizations.,2、對國際性的理解The Meaning of “international” 在國際商事法律關(guān)系的主體、客體和內(nèi)容三要素中，至少有一個方面是跨越國界的。A commercial transaction is international if:(1)the parties h

6、ave their places of business in different States or Countries;(2)the parties have their nationalities from different countries;(3)the commercial activities are performed in a State or District outside the Country or Co

7、untries 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、對商事的理解The Meaning of “Commercial” 有關(guān)國際組織或國家大多采取廣

8、義的解釋。 The term “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, b

9、ut are not limited to, the following transactions: any trade transaction for the supply or exchange of goods or services; distribution agreement; commercial representation or agency; factoring; leasing; construction of w

10、orks; consulting; engineering; licensing; investment; financing; banking; insurance; exploitation agreement or concession; joint venture and other forms of industrial and business co-operation; carriage of goods or passe

11、ngers by air, sea, rail or road.,第三節(jié) 國際商法的淵源,Sources of International Business Law國際商法的淵源 國際商法的淵源是指國際商法產(chǎn)生的依據(jù)及其表現(xiàn)形式，主要有三個方面：國際商事條約、國際商事慣例和各國商事立法。The basic sources of international business law include international co

12、nventions and treaties, international customs and usages, and international business laws.,,一、國際商事條約（International Treaties and Conventions)國際商事條約是指作為國際商事主體的國家和國際組織締結(jié)的有關(guān)國際商業(yè)額貿(mào)易的條約或公約，它是國際商法的主要淵源。 條約對締約方有約束力，根據(jù)“約定必須遵守”

13、的國際法原則，締約國家必須遵守條約。Agreement must be kept國際商法具有私法性，明顯提現(xiàn)當事人“意思自治”原則。在某些情況下，有的國際條約只有在當事人之間的法律行為中予以采用時，才適用于當事人之間的法律關(guān)系。 Under some circumstances, only when the parties of an international business transaction have willingl

14、y chosen a treaty, the treaty is binding upon the legal relationship between them.,國際商法上的主要國際條約1、調(diào)整代理的國際公約2、調(diào)整國際貨物買賣關(guān)系的條約3、調(diào)整國際貨物運輸?shù)膰H條約4、調(diào)整國際票據(jù)關(guān)系的國際公約5、調(diào)整產(chǎn)品責任的國際公約6、 保護知識產(chǎn)權(quán)的公約7、國際商事仲裁的公約,二、International Trade Cus

15、tom and Usage1、國際商事慣例的概念I(lǐng)nternational 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.國際商事慣例是指具有

16、相對確定的內(nèi)容、對當事人不具有當然約束力但在一定領(lǐng)域內(nèi)為大家所普遍遵循的商事性規(guī)范。,2、國際商事慣例應具備的條件：a. 具有確定的商事內(nèi)容，即具體包括了確定參加國際商事活動的當事人權(quán)利和義務的規(guī)則；b. 已成為國際商事活動中反復使用的習慣；c. 是各國普遍承認具有拘束力的通例。,3、國際商事慣例的效力 （Effectiveness)As rules and principles developed gradually from

17、 the international business practices in the long-turn, international trade customs are, by nature, not law: neither international treaties or conventions, nor national legislations.An international trade custom does no

18、t 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、國際商法相關(guān)的主要國際商

19、事慣例a. Warsaw-Oxford Rules 1932b. Revised American Foreign Trade Definitions 1941c. INCOTERMS 2000d. UCP600,三、Domestic Business Law 各國的商事立法The national sources of international business law are business laws found w

20、ithin the legal systems of different countries.一方面，國際條約、國際慣例的適用、效力皆來自于國內(nèi)立法的規(guī)定；另一方面，國內(nèi)法也直接調(diào)整國際貿(mào)易或商事關(guān)系。再者，當事人從事跨國經(jīng)貿(mào)和商事活動，也可能選擇某國的國內(nèi)法作為準則，此時該商事關(guān)系的內(nèi)容、當事人之間的權(quán)利義務等就由該國內(nèi)法進行調(diào)整。,第四節(jié) 兩大法系的特點,一、英美法系 （Common-Law System）C

21、ommon law refers to law and the corresponding legal system developed through decisions of courts and similar tribunals, rather than through legislative statutes or executive action.其形成于英國，主要代表是英國和美國，其他國家和地區(qū)還有加拿大、澳大利亞、馬來

22、西亞、愛爾蘭、新加坡、巴基斯坦、我國香港地區(qū)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

23、 could expand precedents to make 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

24、 system, which is the power of judges to make laws.,二、大陸法系 （Civil-Law System)大陸法系，又稱民法法系(civil law system)、羅馬－日耳曼法系或成文法系。指包括歐洲大陸大部分國家從19世紀初以羅馬法為基礎(chǔ)建立起來的、以1804年《法國民法典》和1896年《德國民法典》為代表的法律制度以及其他國家或地區(qū)仿效這種制度而建立的法律制度。它是西方國家

25、中與英美法系并列的淵源久遠和影響較大的法系。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 judges must then ap

26、ply to the various cases before them.,大陸法系淵源于羅馬，形成于西歐，主要代表是法國和德國，其他國家和地區(qū)還有瑞士、意大利、比利時、盧森堡、西班牙、葡萄牙、荷蘭、日本、整個拉丁美洲、非洲近東一些國家、美國路易斯安那州、加拿大魁北克省等。我國也屬大陸法系國家。,三、兩大法系的比較1. Different Ways of Reasoning and Determining the Binding L

27、egal Rules,In civil law, the mainprinciples and rules are contained 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 sho

28、uld apply the law.Lawyers tend to be more conceptual.,In common law, the law has been dominantly created by judicial decisions, while a conceptual structure is often lacking. And the courts are given the main task

29、in creating the law.Lawyers are considered to be more pragmatic.,2、Different Roles of Case Law and PrecedentOne of the main differences is the binding force of precedents.,The courts apply and interprete legal norms.

30、The case 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 c

31、reat the law, but only apply and interpret it.,The courts are supposed not only to decide disputes between particular parties but also to provide guidance as to how similar disputes should be settled in the future.The

32、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. General Characteristics of the Two Major Legal

33、 System,四、國際商事交易中的法律風險Legal Risk of International Business Transactions1、Legal risk is risk from uncertainty due to legal actions or uncertainty in the applicability or interpretation of contracts, laws or regulations

34、.2、Four categories of international business risks:Cultural and languageCurrencyLegal and politicalAnalyzed transaction risks,國際代理法,Law of Agency,本章要點,代理與國際商事代理的概念代理權(quán)的產(chǎn)生、無權(quán)代理、代理權(quán)的終止代理法律關(guān)系代理法律關(guān)系當事人的義務承擔特別責任的代理人我

35、國代理法與外貿(mào)代理制,Key Terms,AgencyAgentPrincipalFiduciary dutyIndependent contractAgency law,第一節(jié) 代理法概述,一、代理的概念1、代理的概念 代理，是指一方（代理人，又稱受托人）按照另一方（被代理人，又稱委托人或本人）的授權(quán)或法律的規(guī)定，代表被代表人同第三人訂立合同或為其他的法律行為，由此而產(chǎn)生的權(quán)利與義務直接對被代理人發(fā)生效力。Age

36、ncy 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.The basic theory of

37、 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 another’s efforts, paying such other for what he does but retaining for him

38、self any net benefit resulting from the work performed.,大陸法系的代理制度的基礎(chǔ),,大陸法系的代理制度建立在區(qū)別論的基礎(chǔ)上（the theory of separation）：即把委任與授權(quán)嚴格區(qū)分開來。委任是代理人與被代理人之間的內(nèi)部關(guān)系。授權(quán)則是代理人代表被代理人與第三人簽訂合同的權(quán)力，是代理人與被代理人和第三人之間的外部關(guān)系。授權(quán) 外部,英美法系的代理制

39、度是建立在等同論的基礎(chǔ)上（the theory of identity），這個理論可以簡單地概括為：通過他人去做的行為是同被代理人親自所為的行為。 PK,被代理人 代理人,,委任 內(nèi)部,代理人與被代理人,第三人,,被代理人,代理人,,第三人,2、國際商事代理的概念國際商事代理，是指代理人為取得傭金，依被代理人的授權(quán)，為被代

40、理人的利益與第三人為商行為，由此在具有國際因素的被代理人、代理人及第三人之間產(chǎn)生權(quán)利義務關(guān)系的法律制度。國際商事代理的法律基礎(chǔ)一般是委托合同，代理人根據(jù)委托合同的授權(quán)，取得代理權(quán)。,3、Nature of Agency and Agency Law(1) An agency is a relationship between two persons. Either can be natural human beings, arti

41、ficial entities, or a combination of natural and artificial persons.An agency is defined as a fiduciary relationship.(2) Agency law is an area of commercial law dealing with a contractual or quasicontractual tripartite

42、 set of relationships when one person is authorized to act on behalf of another to create a legal relationship with a Third Party.,二、代理權(quán)的產(chǎn)生 （Creation of Agency）,（一）大陸法系的規(guī)定,代理權(quán)產(chǎn)生的原因,意定代理Voluntary,法定代理Statutory,,,1、意定代理（

43、Voluntary）是指代理人根據(jù)被代理人的授權(quán)而產(chǎn)生的代理?；诒淮砣说囊馑急硎径a(chǎn)生。是代理關(guān)系中最常見且數(shù)量最多的一種代理關(guān)系。2、法定代理（Statutory）是指被代理人于法律上或事實上不能為法律行為時，按照法律直接規(guī)定由他人代為進行法律行為的代理。,,法定代理權(quán)產(chǎn)生的原因,根據(jù)法律規(guī)定享有根據(jù)法律的選任取得因私人的選任取得,（二）英美法系的規(guī)定英美法系上的代理主要是契約代理，也稱委托代理。一般代理

44、人與被代理人之間的代理關(guān)系可以通過協(xié)議產(chǎn)生，但在某些情況下，即使被代理人事實上并未授權(quán)給代理人，被代理人也受其代理人行為的約束，另外，代理關(guān)系還可以因時候追認而產(chǎn)生。實際授權(quán)（Agency by authority)表見授權(quán) (Apparent agency)職業(yè)或慣常授權(quán) (Agency by occupation)必要的授權(quán) (Agency by necessity)追認授權(quán) (Agency by ratificatio

45、n),1、實際授權(quán) 是指被代理人和代理人之間通過協(xié)議或合同，在實際上給予代理人的代理權(quán)。它包括明示授權(quán)和默示授權(quán)。（1）明示授權(quán)（ express authority） 是指被代理人和代理人之間以明確的意思表示達成建立代理關(guān)系的協(xié)議，代理人通過被代理人的明示指定或委任而實際享有的代理權(quán)。這是英美法系上產(chǎn)生代理權(quán)最基本的途徑。The agency relationship is always consensua

46、l. It usually is created by contract ,oral or written.,（2）默示授權(quán) （implied authority) 根據(jù)英美等國的判例法規(guī)則，代理人在明示授權(quán)外，還享有一定程度的默示授權(quán)，主要包括：,默示授權(quán),由默示而存在的授權(quán)從當事人在某一特定場合的行為或從當事人之間的某種關(guān)系中，可以推定當事人之間存在真實有效的代理關(guān)系。,附帶授權(quán)由于被代理人的明示委任并不一定能詳盡地

47、說明代理人在實際行動中所應具有的一切權(quán)力，因此受委托從事某種特殊任務的代理人，可以享有合理地附屬于其履行明示代理權(quán)所必不可少的默示行為的權(quán)力。,習慣授權(quán)在代理人被授權(quán)為被代理人在某一特殊市場進行活動情況下，他享有按該市場的先關(guān)習慣進行活動的默示代理權(quán)，無論被代理人是否知曉該習慣，被代理人均受其約束。,2、表見授權(quán)（Apparent agency） 又稱不容否認的代理權(quán)，是指被代理人雖沒有對代理人加以明示委托，但如果他處于故意

48、或疏忽，通過其言行使第三人有理由相信某人是其代理人而采取行動時，則他便不能否認其言行，而必須視為已向該代理人授權(quán)，并不得否認該代理人為其設(shè)定的與第三人的權(quán)利和義務關(guān)系。Apparent agency is conduct by one person that causes another person, reasonably relying on this conduct, to act to his or her detriment

49、 or to change his or her position. An agent cannot give himself apparent authority; instead, he acquires apparent authority from his/her principal if the principal, by his/her conduct, leads another to reasonably believe

50、 that the agent is in fact authorized to act on the principal’s behalf.,3、職業(yè)或慣常授權(quán) 是指以某種代理行為為職業(yè)的人，其所享有的代理權(quán)可以擴大到這類代理人的職業(yè)通常所享有的權(quán)利范圍。4、必要的授權(quán)（agency by necessity) 又稱客觀必要的代理權(quán)，是指在特定緊急情況下，某人依法律推定取得一種代理別人進行活動的代理權(quán)，他所實施的處分

51、行為的結(jié)果及于被代理人。,產(chǎn)生的四必要條件,事由實際、確定、必需,事由發(fā)生時，無法聯(lián)系,行為出于善意,合理而謹慎的行為,,5、追認授權(quán)（Agency by ratification) 是指代理人未經(jīng)被代理人明示或默示授權(quán)或超越代理權(quán)，而以被代理人的名義實施代理行為，被代理人事后對此予以追認或不明示否認，代理人由此獲得了追認的代理權(quán)。There is no ratification unless the party that s

52、upposedly ratified:(1) was in existence when the “agent” acted;(2) had full knowledge of all material facts before it ratified;(3) ratified the entire act of a would-be agent, not simply the favorable parts.,三、無權(quán)代理（Un

53、authorized Agency）,無權(quán)代理是指欠缺代理權(quán)的人所作的代理行為。 無權(quán)代理的產(chǎn)生有四種情形： without implied authority condition; invalid authority； beyond the scope of the authority； After the termination of agency,1、大陸法系的規(guī)定 無權(quán)代理的問題，大陸法

54、系各國大都在民法典中加以規(guī)定。 無權(quán)代理人的責任，大陸法系各國法律的規(guī)定不完全相同。 無權(quán)代理人對第三人是否承擔責任，大陸法系各國的法律規(guī)定一致： 取決于第三人是否知道該代理人有沒有代理權(quán)。 如果第三人不知道該代理人沒有代理權(quán)而與之訂立了合同，無權(quán)代理人就要對第三人承擔責任；反之，不承擔責任。2、英美法系的規(guī)定 在英美法系中稱為違反有代理權(quán)的默示擔保（breach of implied warranty o

55、f authority） 當代理人同第三人訂立合同時，代理人對第三人有一項默示的擔保，即保證他有代理權(quán)。因此，如果某人冒充是別人的代理人，但實際上并沒有得到被代理人的授權(quán)，或者是越出了他的授權(quán)范圍行事，則與其訂立合同的第三人就可以以其違反有代理權(quán)的默示擔保對他提起訴訟，該冒牌的代理人或越權(quán)的代理人就需要對第三人承擔責任。,四、代理權(quán)的終止（Termination of Agency）,,大陸法系,英美法系,法定代理a.被

56、代理人取得或恢復民事行為能力。b.被代理人死亡、破產(chǎn)或喪失行為能力 c.代理人死亡、破產(chǎn)或喪失行為能力d.其他原因,委托代理a.因被代理人或代理人的行為而終止。b.因被代理人或代理人死亡或喪失行為能力而終止。c.因條件或期限屆滿而終止。,表見代理a.被代理人以意思表示通知了第三人b.被代理人以特別通知或公告通知第三人c.代理人將被代理人給他的委托代理書展示給第三人,基于法律程序a.被代理人死亡b.被代理人破

57、產(chǎn)c.被代理人精神失常d.被代理人成為本國的敵對國公民,基于當事人的行為兩種特殊限制：對表見代理權(quán)的撤銷b. 對附條件代理權(quán)的撤銷,第二節(jié) 代理法律關(guān)系Legal Relations in Agency,Agency law is mainly concerned with three types of relationships:Principal-agentPrincipal-the third partyA

58、gent-the third party一、被代理人與代理人之間的法律關(guān)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

59、 of a principal-agent relationship.二、代理人與第三人之間的法律關(guān)系（agent-3rd party relationship)The agent will be liable to the third party only when he or she acts without authority from the principal or beyond the limits of authori

60、ty or in case of apparent authority.,三、被代理人與第三人之間的法律關(guān)系（Principal-3rd party relationship)（一）大陸法系的規(guī)定Under civil law, the relationship between principal and third party is divided into two kinds: direct agency and indirec

61、t agency. The principal owes quite different liabilities to the third party under the two kinds of agency.1、直接代理 direct agency即代理人在代理權(quán)限內(nèi)以代理人的身份，與第三人訂立合同的行為。Agents contract with a third party in principal’s name within

62、 their authority and the contract directly binds on the principal and the third party. The parties to the contract are the principal and the third party.2、間接代理 indirect agency即代理人以自己的名義，但是為了被代理人的利益與第三人簽訂合同，日后再將其權(quán)利與義務通過

63、另外一個合同讓與被代理人的行為。The agent contracts with the third party in his own name within his authority. The contract will not bind the principal unless the contractual rights and obligations are assigned and delegated to the pri

64、ncipal. The parties to the contract are the agent and the third party.,（二）英美法系的規(guī)定Under Common Law, the relationship between principal and the third party is divided into three kinds: agency for a named principal, agency

65、 for an unnamed principal and agency undisclosed.1、顯名代理 Agency for a named principal是指代理人在訂約時不但表明了自己的代理身份，而且還表明了被代理人的身份或姓名、商號。在這種情況下，所訂立的合同就是被代理人與第三人之間的合同，被代理人應對合同負責，代理人不承擔個人責任。The agent acts on behalf of a principal

66、 and within the scope of its authority and the third party knows or should 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

67、 party. Thus a contract made by the agent directly binds the principal and the third party to each other.2、隱名代理 Agency for an unnamed principal即代理人在訂約時只披露代理關(guān)系的存在，沒有披露被代理人的姓名、商號。在這種情況下所訂立的合同，仍被認為是第三人與被代理人之間的合同，應由被代理人對合

68、同負責，代理人不承擔個人責任。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)即代理人在訂約時根

69、本不披露有代理關(guān)系的存在，既不表明自己的代理身份，也不標明被代理人的存在。在這種情況下，即使代理人得到了被代理人的授權(quán)，代理人原則上也要對第三人承擔履行合同的責任。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

70、 as agent, the acts of the agent shall only affect the relations between the agent and the third party, and do not directly bind the principal and the third party.Under an undisclosed agency, the principal has the righ