国际经济法之国际贸易法(一)

1、Chapter One Introduction to International Trade Law,A. Why Should You Study Law? B. Definitions of International Business Law C. Sources of International Commercial Law D. Comparison of Municipal Legal Systems,A. Why should you study law?The benefits from mastering the knonwledge and skills of law.,

2、In the domain of business, just as the pricing practices of competitors must be taken into account in formulating long- or short-term strategy, so must the legal environment of business be considered. 在商务活动中，制定长期或短期战略时，就像必须考虑竞争者的定价情况一样，法律环境必须加以考虑。,For example, in considering whether to entering a fo

3、reign market, a manager must determine whether contracts entered into in that nation can be enforced, whether intellectual property such as trade secrets, trademarks, and patents can be protected, and whether taxation and the threat of expropriation present intolerable risks.,例如，在考虑是否进入某外国市场是，管理者必须确

4、认在这个国家，合同是否能够执行；商业秘密、商标、专利等知识财产是否受到保护；税收和财产征收的威胁是否处于不能接受的风险之中。,【 Case1 】Microsoft Corporation, a fabulously successful company in many ways, paid little attention to the antitrust laws in its early years. Because of that, it suffered several adverse judgments and spent tens of millions of dollars de

5、fending lawsuits. Yet IBM earns $1.5 billion per year in licensing revenue from its patents, trade secrets, and other forms of intellectual property.,【 案例1】 作为一家在很多方面都极为成功的公司，微软公司在其早期对反垄断法不太关注，因而遭到了几次不利的法庭审判，花去了上千万美元来应诉。而IBM公司每年通过发放专利、商业秘密以及其他形式的知识财产许可赚取了15亿美元。,In everyday life, the law is so pervas

6、ive that almost all human activity is affected by it in one or another , and this alone is adequate explanation for widespread interest in the law. 在日常生活中，法律的存在是如此普遍以致于几乎所有的人类活动都以各种各样的形式受到其影响，仅此而言足以解释人们为什么对法律的存在广泛兴趣。,Beyong the practical effect law has on individual conduct in specific situations, i

7、t possesses additional characteristics that make its study uniquely rewarding. 除了对各种情形下的个人行为具有实际影响外，法律还具有其他一些特点，这些特点使得法律学习能够获得独特的回报。,First, although the law is by no means an occult language understood only by lawyers, it clearly is a subject that is academically stimulating. 首先，虽然法律绝非不是仅仅能够被法律人理解的玄

8、奥语言，但很明显它是一个能够激起学术研究兴趣的学科。,For students to get any real beneft from a course in law, you must at the very least learn to recognize precise legal issues, understand the reasoning of the courts as set forth in their decisions, and subject this reasoning into critical analysis. 对于学生而言，要想从一门法律课程中获得任何实际收

9、益，你们至少必须学会准确辨识法律问题，理解法庭在其判决用的推理方式，并要对这种推理进行批判性分析。,These activities involve varying dgrees of mental exercise; and although this is not always pleasurable, it fosters a degree of mental discipline that is not easily acquired elsewhere。 这些活动都不同程度地需要智力练习；虽然这样做并不总是令人愉快的， 但它可以培养在其他地方不能获得的智力修养。,Second, st

10、udents should have the opportunity to consider the law as a societal institution-to see how it has affected conduct and thought and how how it has been influenced by them in return. 其次，学生有机会把法律看成一种社会制度,即看看法律是怎样影响行为和思想以及行为和思想又是如何影响法律的。 Whatever the law is , it certainly is not static, and it certainl

11、y does not exist in a vacuum. 无论法律是什么，它既不是静止不动的，也非存在于真空里。,This approach, which emphasizes the impact of social and economic changes on the law,gives the subject a liberal arts flavor. When viewed in this light, the law and its processes become rewarding to anyone having even a passing interest in ec

12、onomics, sociology, and political science. 这种强调社会和经济变迁对法律影响的方法给予这个学科以自由艺术的味道。从这个角度来看，法律及其程序对于任何对经济学、社会学和政治学具有兴趣的人是有益的。,B. Definitions of International Business Law 国际商法的定义 【Introdutory Case】In one interview of recruiting deputy judges, an examiner asked every canditate a question: if your mother/fat

13、her and girlfriend/boyfriend who both have no skill at swimming, fall into the river simultaneously, you can rescue only one of them. Who should you save?,【引例】在一次招聘助理法官的面试中，主考官向应聘者出了这样一道考题：“如果你母亲（父亲）和你女朋友（男朋友）同时掉到河里了，且两个都不会游泳，而你只能救其中一个，请问你会救谁？为什么？”。,The Nature of Law 法律的性质 The study of law is referr

14、ed to as jurisprudence. Jurisprudence is also known as the science or philosophy of law. 研究法律的学问称为法理学。法理学也称为法律科学或法哲学,There have been many schools of jurisprudence, which have different definitions of law. 法理学有很多学派，不同的学派对法有不同的定义。,The oldest and one of the most significant schools of jurisprudnce is t

15、he natural law tradition, which believes that government and the legal system should reflect universal moral and ethical principles that are inherent in human nature and that can be discovered by humans through the use of their natural intelligence. 最古老的学派当属自然法传统，它也是最具影响的学派之一。该学派认为政府和法律体系应该反映内在于根植于人

16、性的普适的伦理道德原则，而人类可以由其天赋能力发现这些原则。,Natural law denotes a system of moral and ethical principles that ere inherent in human nature. 自然法表示的是根植于人性的伦理道德原则体系。 Thomas Jefferson wrote in the United States Declaration of Independence over 200 years ago: 200多年前， 托马斯杰弗逊 在独立宣言中写道：,We hold these truths to be self-e

17、vident, that all men are created equal, that they are endowed by their Creator with certain unalienable Rights, that among these are Life, Liberty, and the pursuit of Happiness. That to secure these rights, Governments are instituted among Men, deriving their just powers from the consent of the gove

18、rned.,Third president of the United States from 1801 to 1809,我们认为下面这些真理是不言而喻的：人人生而平等，造物者赋予他们若干不可剥夺的权利，其中包括生命权、自由权和追求幸福的权利。为了保障这些权利，人类才在他们之间建立政府，而政府之正当权力，是经被治理者的同意而产生的。,That whenever any form of Government becomes destructive of these ends, it is the Right of the People to alter or to abolish it, and

19、 to institute new Government, laying its foundation on such principles and organizing its powers in such form, as to them shall seem most likely to effect their Safety and Happiness.,当任何形式的政府对这些目标具破坏作用时，人民便有权力改变或废除它，以建立一个新的政府；其赖以奠基的原则，其组织权力的方式，务使人民认为唯有这样才最可能获得他们的安全和幸福。,In essence, the natural law tr

20、adition presupposes that the legitimacy of positive law derives from natural law . Whenever positive law conflicts whith natural law, positive law loses its legitimacy and should be changed. 总体上看来，自然法传统认为实在法的合法性来源于自然法。当实在法与自然法相抵触时，就丧失其合法性，从而应该被修改。,Positive law is the body of conventional, or written

21、, law of a particular society at a particular point in time. 实在法就是特定社会在特定时期存在的习惯法或成文法。 Legal positivism is another influential school of legal thought, which believes that there is no law higher than positive law created by the government. 另一个具有影响的法律思想流派是实在法学派，该流派认为没有什么能够高于政府创制的实在法。,Essentiallly, fr

22、om the legal positivist perspective, laws must be obeyed on pain of punishment to prevent anarchy. Whether a particular law is bad or goods is irrelevant. The merits or demerits of a given law can be discussed, and the laws can be changed in an orderly manner through a legitimate lawmaking process.

23、总体上说，在法律实在主义者看来，法律必须以惩罚的痛苦来保证被遵守以防止无政府主义。法律是好还是坏跟它是不是法无关。一个既定的法律的优点和缺点是可以讨论的，而且法律也可以通过合法的立法程序以有序的方式进行修改。,Max Weber (1864-1920) One of the most famous Classical Social Theorists,An order will be called law if it is externally guaranteed by the probability that coercion (physical or psychological), to

24、 bring about conformity or avenge violation, will be applied by a staff of people holding themselves specially ready for that purpose.,这样一种指令可以称为法律，它由一群秉持着促进社会和谐和惩罚违令行为目的的人通过外部的身体或心理的强制的可能性来保证实施。,Law has three basic features that, taken together, distinguish it from other normative orders, such as c

25、ustom or convention. First, pressures to comply with the law must come externally in the form of actions or threads of action by others regardless of whether a person wants to obey the law or does so out of habit.,Second, these external actions or threats always involve coercion or force. Third, tho

26、se who implement the coercive threats are individuals whose official role is to enforce the law.,法律有三个特征，这三个特征加起来就可以将法律和其他社会规范比如习俗和惯例区分开来： 遵循法律的压力来源外部其他人的行动或行动的威胁，不管一个人是否只是屈从还是出于习惯而遵守； 外部的行动或行动的威胁通常涉及强制或暴力； 实施暴力威胁的人是那些具有正式执法权的个人。,On the contrary,the natural law tradition encourages individuals to di

27、sobey positive law if those individuals believe that the laws are in conflict with natural law. 相反，自然法传统鼓励个体不遵守那些被他们认为是背离自然法的实在法。,Legal realism is a school of legal thought which became popular later than the natural law tradition and legal positivism. Legal realists advocate a less absract and more

28、 realistic approach to the law, approach that takes into account customary practices and the circumstances in which transactions take place. 法律现实主义学派的流行晚于自然法传统和法律实在主义。法律现实主义者反对过于抽象的法律方法而提倡现实的法律方法。法律的现实方法就是要考虑到习惯做法和交易发生的环境。,According to the legal realists, impartial and uniform application of the law

29、 is not possible. 法律现实主义者认为，公正而统一地适用法律是不可能的。,Firstly, after all, judges are human beings with unique personalities, value systems, and intellects. Therefore, it would impossible for any two judges to engage in an identical reasoning process when evaluating the same case. 首先，毕竟，法官也是人，他们也有着自己的个性、价值观和智

30、慧。因此，在评价同一案件时，任何两个法官不可能采用同一推理过程。,Secondly, each case also involves a unique set of circomstances -no two cases, no matter how similar, are exactly the same. Therefore, judges should take into account the specific circumstances of each case, rather than rely on some abstract rule that might not relat

31、e to those particular circumstances. 其次，每个案件都发生于独特的环境之中，无论怎样相似，没有两个案件是完全相同的。所以，法官应该考虑每个案件的特殊情况而不能仅依赖可能与案件的特定情境不大相关的抽象规则。,When making decisions, judges should also consider extra-legal sources, such as economic and sociological data, to the extent that such sources could illuminate the circumstances

32、and issues involved in specific cases. In other words, tha law should take social and economic realities into account. 在做出司法裁决时，法官也应当考虑法律之外的如经济和社会数据等渊源，以致于使这些渊源能够显示特定案件所遇到的具体环境和问题。换句话说，法律应当把社会和经济现实考虑进去。,Oliver Wendell Holmes, Jr. American Jurist 1841 -1935 The life of the law has not been logic, but

33、 experience. “Young man, the secret of my success is that at an early age I discovered that I was not God. ” Oliver Wendell Holmes, Jr.,The prophecies of what the courts will do in fact, and nothing more pretentious, are what I mean by the law.,我所认为的法律就是法庭是即将做什么裁决的预言，除此以外，就没有什么值得夸耀的了。 法律的生命不在于逻辑，而在于

34、经验。,No matter what the nature of law is considered as, almost all schools of legal thought agree that law is a body of enforceable rules governing relationships among individuals and between individuals and their society. 无论对法律的性质是怎样认识的，几乎所有的的法学流派都同意：法律是调整个人之间以及个人与社会之间的关系的规则体系。,Commercial law 商法 Com

35、mercial law (sometimes known as business law) is the body of law which governs business organizations and commercial transactions. It is often considered to be a branch of civil law and deals both with issues of private law and public law. 商法是规范商事组织和商务交易的法律体系。商法通常被认为是民法的一个分支，而同时解决私法和公法问题。,Commercial

36、 law is derived from The Law Merchant, or Lex Mercatoria, which was originally a body of rules and principles laid down by merchants themselves to regulate their dealings. 商法来源于商人法，而商人法最初商人们自己为处理他们之间的事务而确立的规则和原则的体系。,The Law Merchant was administered by merchant courts, set up along trade routes and

37、trade centres. A distinct feature of the Law Merchant was the reliance by merchants on a legal system developed and administered by them. 商人法由设在贸易沿线和贸易中心的商人法庭实施。商人法的一个显著特征就是商人信赖由他们自己制定和实施的法律体系。,【Case】1292年，一位名叫卢卡斯的伦敦商人从德国商人那里买了31镑的货物，他没付钱就偷偷地离开了里恩的集市，也没有按照商人法到集市法庭去回应对他的指控，在那以后，任何异国商人都不愿意在伦敦市民未付足货款的情

38、况下就把东西卖给他们，这些商人称他们为弄虚作假的债务人。卢卡斯从里恩逃到圣博托尔，然后又逃到林肯、赫尔，最后逃回伦敦，那个德国人一路追来。在担心名誉受损的伦敦商人的提议下，卢卡斯被关进了伦敦塔。,Commercial law includes within its compass such titles as contracts; principal and agent; carriage by land and sea; guarantee; marine, fire, life and accident insurance; negotiable instruments ; partner

39、ship; corporate; and the manufacture and sales of consumer goods. 商法的范围涵盖这些主题，如合同，委托代理、海陆运输，保证，海上、火灾、人寿与意外事故保险，可转让票据、合伙、公司以及消费品的生产和销售。,Many countries have adopted commercial codes which contain comprehensive statements of their commercial law. 很多国家制定了商法典，商法典是商法的综合性规范。,domestic law v. international l

40、aw 国内法和国际法 International law can be defined as “the body of rules and norms that regulate international relationships between individuals，businesses，other organizations，as well as nations. 国际法可以定义为调整个人、商事组织、其他组织以及国家之间的国际关系的规则和规范的体系。,Domestic law is the rules that govern actions of people , organizat

41、ions and governments within a country. 国内法是规范一国之内个人、组织和政府行为的规则。,The difference between international law and national law is that national law can be fully enforced by government authorities, but international law is voluntarily agreed to and obeyed by independent nations because there is no world g

42、overnment. 国际法与国内法的差别在于国内法可以由政府机构全权实施，而国际法则只能由独立主权的国家自愿同意和遵守，因为不存在世界政府。,procedural law,substantial law,public law,custom law,statute law,case law,private law,civil law,administrative law,constitutional law,criminal,criminal procedure,civil procedure,图1-1 Classifications of Law,national/domesic law,i

43、nternational law,程序法,International Commercial law international commercial law, also referred as international business law, is the body of rules and norms that regulates activities of international commercial organizations and international business transactions between individuals and commercial o

44、rganizations . 国际商法是调整国际商事组织行为和个人之间、商事组织之间以及他们相互之间的国际商事交易的规则和规范的体系。,【Case】 A公司是美国商人在中国厦门设立的独资企业。同年3月，A公司与营业地位于福州B公司签订1000台电脑买卖合同，同年6月前交货，交货地点在B公司营业地。除其他条款外，合同还约定：因本合同发生纠纷，双方应友好协商解决。若协商不成，则提交厦门市中级人民法院根据联合国国际货物买卖合同公约解决。后由于A公司无法按时交货，福州B公司向A公司提出索赔要求，双方因赔偿金额问题发生争议，诉至厦门市中级人民法院。请问：本案中，A与B所签合同对适用法律的约定是否有效?,

45、案例分析：A公司作为在中国设立的外商独资企业，是中国企业法人，其与同属中国企业法人的B公司之间的买卖关系，属于国内商事关系，而不是国际商事关系。联合国国际货物买卖合同公约作为调整国际商事关系的国际公约，适用于营业地在不同国家的当事人之间所订立的货物买卖合同。 因此，上述合同对适用法律的约定无效。本案不能适用联合国国际货物买卖合同公约，而应适用中华人民共和国合同法。,C. Sources of International Commercial Law 国际商法的渊源 The expression “sources of law “ refer to the body of rules and n

46、orms which judges and other arbitrators will draw upon in deciding a case, and where these rules and norms are to be found. 法律的渊源这个词是指法官和其他裁判者的裁决一个案件时所依赖的规则和规范体系，从中可以找到具体的规则和规范。,The sources of international commercial law include domestic law and international law 国际商法的渊源包括国内法和国际法 Domestic law (1) c

47、onstitutional law 宪法 (2) statute law: the body of law enacted by legislative bodies. 法律，特指由立法机关通过的法律,(3) adminstrative law: regulations created by administrative agency. 行政法规，即由行政机关创立的规则。 (4) case law. Case law is law based on decisions made by judges in early cases. Those early cases are known as p

48、recedents. 判例法，即由法官在先前的案件判决中所确立的法律规范。这些先前的案件被称为先例。,International law The hierarchy in which the sources of international law are to be relied on is the following: 国际法渊源的效力层次按一下顺序排列,treaties and conventions. 条约和公约 Treaty: legally binding agreements between two or more states. 条约是指约束两个或更多的国家的法律协议。 Con

49、vention: legally binding agreements between states sponsored by an international organization. 公约是指由国际组织发起的约束两个或更多的国家的法律协议。,(2) custom Custom is a long-established tradition or usage that becomes customary law if it is (a) consistently and regularly observed and (b) recognized by those states observ

50、ing it as a practice that they must obligatorily follow. 习惯是长期形成的传统和实践做法，如果满足以下条件，习惯就变成习惯法： （1）持续和经常性地遵守； （2）在实践中被义务性地遵从的国家承认。,(3) general principles 法律的一般的原则 General principles of law are common to the legal systems of the world. 法律的一般原则是世界上各法系普遍存在的规则。,(4) judicial decisions or publicists writings，

51、as subsidiary means for the determination of rules of law. 作为确定法律规则含义的辅助手段的司法判决或法学家的学说。,【Case2】2001年12月，中国深圳某进出口公司与某德国公司签订了6万箱芦笋罐头出口合同，价格条件为FOB青岛，目的港为汉堡，装船时间为2002年6月。深圳公司负责联系船舶，德国公司开立以深圳公司为受益人的不可撤销信用证。合同签订后，深圳公司依约备好了货物，德国公司也开立了信用证。但由于船舶紧张，深圳公司联系不到运载船舶，就致函要求德国公司派船，并声称：根据Incoterms2000，作为买方的德国公司必须自负费用订

52、立货物运输合同。德国公司回复：双方合同并未约定应用Incoterms2000，所以，深圳公司不能将其作为依据。请问：本案可否适用Incoterms2000？,案例分析：联合国国际货物买卖合同公约第9条规定：除非另有协议，双方当事人应视为已默示地同意对他们的合同或合同的订立适用双方当事人已知道或理应知道的惯例，而这种惯例，在国际贸易上，已为有关特定贸易所涉同类合同的当事人所广泛知道并为他们所经常遵守。 Incoterms2000是国际贸易领域最具影响且为此领域当事人所广泛知道和经常遵守的国际商事惯例。,从本案来看，由于中国和德国都是联合国国际货物买卖合同公约的成员国，该公约适用于本案。 根据联合

53、国国际货物买卖合同公约第9条之规定，本案当事人选用了FOB术语，而无其它另行约定，所以，应当认定Incoterms2000适用于本案。按照Incoterms2000的有关规定，FOB术语项下，联系船舶、签订运输合同是买方的义务。,但是，作为国际商事惯例， Incoterms2000的规定可以被当事人通过明确约定而加以修改，即当事人另行明确约定的效力高于Incoterms2000的效力。在本案中，因为双方合同明确约定由作为卖方的深圳公司负责联系船舶其无权再以Incoterms2000的一般规定来推脱自己的责任。所以，德国公司关于要求深圳公司承担联系船舶的主张应该得到支持，深圳公司应承担合同未能履

54、行的违约责任。,D.Comparison of Municipal Legal Systems 国内法体系的比较 Comparative law Comparative law is the study, analysis, and comparison of the worlds municipal law systems. Comparative lawyers classify countries into legal families. 比较法是对世界上国内法体系进行研究、分析和比较的学科。比较法学家把国家分成不同的法系。,The two most widely distributed

55、 families are the Romano-Germanic Civil Law system and the Anglo-American Common Law system. 分布最广的两大法系是罗马-日耳曼法系和盎格鲁-美利坚法系。 Another family that has become important internationally in recent years is the Islamic Law system. 另一个近年来在国际上变得日益重要的法系就是伊斯兰法系。,Romano-Germanic Civil Law system （also known as C

56、ivil law system ， continental law system) refers to the legal system derived from roman and Germanic practice and set out in national law codes. 罗马-日尔曼法系，又称为民法法系，它们源自罗马和德国的法律实践，其国内法律规则通常都体现在法典之中。,Anglo-American Common Law system （also known as Common law system ） is the legal system of England and countries were once English colonies, which is based prima