国际商法第二版英文版姜作利课件.pptx
Chapter one Introduction to International Business LawI what is international business law? International business law is the body of rules and norms that regulates business activities carried outside the legal boundaries of states. In particular, it regulates the business transactions of private persons internationally, and the relationship of international commercial organizations. 国际商法是调整国际商法是调整跨国商事活动跨国商事活动的法律规范的总称。它调整的法律规范的总称。它调整的是的是国际私人商事交易关系国际私人商事交易关系和国际商事组织间的关系和国际商事组织间的关系. The scope of international business lawLaw for international trading of goodsCompany lawNegotiable instrument lawMaritime law Insurance lawLaw of international technology transferIndustrial property law International investment lawInternational financial lawInternational tax law Law of international disputes settlementII History of International Business Law 1. the origin: Hammurabi Codes 汉穆拉比法典 2. the Roman law: Jus Civil ( civil law)市民法 and Jus Gentium ( public international law)万民法 3. the Rhode law:罗得法 4. Law Merchants: 商人（习惯）法 5. the common law: 普通法III Sources of international business lawA National lawThe most important source.Take China as an example:The Contract LawTrademark LawChinese-Foreign joint Venture (Cooperative) Law, The Civil Procedure LawArbitration LawIII Sources of international business law B International treaties and conventionsDifferences between treaties and convention:The most important international conventions: The United nations Convention on Contract for the International Sales of Goods（CISG，联合国国际货物销售合同公约） Convention for the Unification of Certain Rules of Law Relating to Bills of Lading (the Hague rules，海牙规则) The Paris Convention for the Protection of Industrial Property (Paris Convention， 巴黎公约 ) Understanding on the Rules and Procedures Governing the Settlement of Disputes (DSU，争端解决规则与程序谅解）III Sources of international business lawC International model lawDefinition: rules and norms worked out and passed by some international organizations for the free choice by nations.Examples:1. Model Law on International Commercial Arbitration by the United Nations Commission on International Trade Law （联合国国际贸易法委员会国际商事仲裁示范法 UNCITRAL Model Law）2. Principles of International Commercial Contract by the International Institute for the Unification of Private Law （国际统一私法协会国际商事合同通则, UNIDROIT PICC ）III Sources of international business lawC International model lawNo certain legal validityInfluence: 1. model for national and international legislature; 2. a means of interpreting and supplementing existing uniform law; 3. rules governing the contract (situations?); 4. a substitute for the domestic lawIII Sources of international business lawD International trade customs and usagesDefinition: the general rules and practices in international trade activities that have become generally adopted through unvarying habit and common use. (used to be oral but later compiled into written rules)Examples:Warsaw-oxford Rules by the International Chamber of Commerce （华沙-牛津规则）The International Rules for the Interpretation of Trade Terms (INCORMS2010 国际贸易术语解释通则）The Uniformed Customs and Practice for Commercial Documentary Credits （UCP600 跟单信用证统一惯例）III Sources of international business lawD International trade customs and usages Influence: not law, but plays an important role. 1. as binding rules by agreed upon by the parties to the contract. 2. as interpreting or filling the gaps in the contract. (only for usages the parties agreed to be bound or that derive from their past dealings, or the usages the party knew or ought to have known and that are regularly observed in the industry or trade involved.VI International Organizations A. Organization Affiliated with UN隶属联合国的隶属联合国的组织组织 1. The United Nations Economic and Social Council 联合国经社理事会联合国经社理事会 2. The United Nations Commission on International Trade Law (UNCITRAL) 联合国国际贸易法委员会联合国国际贸易法委员会 Objectives: promote international trade through harmonization of trade law among nations. Most important achievements: the entry into force of CISG; Model Law on International Commercial Arbitration.VI International Organizations A. Organization Affiliated with UN 3. International Monetary Fund (IMF) (Bretton Woods Conference) 国际货币基金组织国际货币基金组织 Objectives: to promote international monetary cooperation, to facilitate the expansion and balanced growth of international trade and to promote stability in foreign exchange. Voting rights of members: 250 basic voting right, plus voting rights calculated by their quota subscriptions (one voting rights for every 10,000.00 SDR.) China with a voting rights of 2.54%.3.72%特别提款权（特别提款权（special drawingright,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(Paper Gold)”。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。 VI International Organizations A. Organization Affiliated with UN 4. “ World Bank” (two institutions) 世界银行世界银行 The International Bank for Reconstruction and Development 国际复兴开发银行（世界银行）国际复兴开发银行（世界银行） (loans at market terms, not high-risk loans) International Development Association 国际发展协会国际发展协会 (loans to poor countries with average per capital GNP less than $ 410 on more favorable terms, but only to government) International Finance Corporation 国际金融公司国际金融公司 ( loans to private enterprises in developing countries)VI International Organizations B. other International Organizations 1. GATT/WTO 关贸总协定与世界贸易组织关贸总协定与世界贸易组织 (relation, aims, rounds of negotiation, principles, memberships?) 2. The Organization for European Economic Cooperation 欧洲经济合作组织欧洲经济合作组织 ( foundation backgrounds, memberships, principles?) 3. International Chamber of Commerce 国际商会国际商会 (purposes and contribution to world trade?)V Comparison of Municipal Legal System A) Legal Families 法系法系 1. the Romano-Germanic Civil Law Family 罗马日尔曼民罗马日尔曼民法法系法法系( the Roman law family, the continental law family, the civil law family): France, Germany, and Switzerland etc. 2. the Anglo-American Law Family 英美法系英美法系 ( the common law family, the case law family): England, America, India etc. 3.Islamic Law Family 伊斯兰法系伊斯兰法系: Islamic countries. hybrids: elements of both the civil law and the common law. China?V Comparison of Municipal Legal System B) the differences between the two main legal family 1.source of law 法源法源: in the common law system, case law （判例法）as the primary source but also has a number of statutes; in the civil law system only statutes（制定法）. 2. categories of laws 法律分类法律分类: public law and private law; common law and equity law. 3. codification 法典化法典化: codification, generally no codification but separate laws. 4. litigation modes 诉讼模式诉讼模式: authority mode（职权主义）; litigant mode（当事人主义）VI International Business Law and China How China came to accept international business law? A. When was the first time that China started to introduce international business law? B. What led to the incorporation of international business law principles and reasonable contents into Chinese business law? C. What created the best opportunity to China for the application of international business law?Chapter Two Forms of international BusinessI Some International Trade Theories A. Specialization 专业化专业化 Specialization means that each nation should specialize to its resource endowment by applying the law of comparative advantages. 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。 It enables nations to emphasize the activities at which they are most efficient and at the same time gain certain advantages through trade. 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专门从事其效率最高的行业并通过贸易获得利益。获得利益。I Some International Trade Theories A. Specialization China: textile, clothing, shoes, toys Brazil: coffee Why specialization: comparative advantage specialization (division of labor) trade increase the wealth of all nationsI Some International Trade Theories B. Absolute Advantage 绝对优势绝对优势 Adam Smith 亚当.斯密绝对优势理论（Theory of Absolute Advantage），又称绝对成本说绝对成本说（Theory of Absolute Cost）、地域分工说地域分工说（Theory of Territorial Division of Labor）。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:I Some International Trade Theories C. Comparative Advantage 相对优势相对优势 countries will specialize in producing several products and services in which they have lower opportunity costs than their trading partners . David Ricardo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。 P25 case: I Some International Trade Theories D. opportunity Cost 机会成本机会成本 opportunity cost means the value of the benefit that is given up to produce one economic good as opposed to another. Economists measure the “real” cost of doing business by its opportunity cost, not by its direct cost. 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-p26II Exporting A. Direct Exporting Terms: domestic buyer: prospective customer: full-time exporter manager: export marketing: foreign sales agents: distributorModes of exporting:Foreign sales agents who work on commissionSelling directly to foreign distributorsDifferences between the two?II Exporting B. Indirect Exporting1. through ETCs (export trading company)2. through EMCs (export management company)3. Situation in ChinaIII Government Controls over Trade A. Tariffs 关税关税1. definition: tariffs are taxes imposed on imports or exports when crossing the customs either by value or per unit of quantity. a) ad valorem duty 从价税 b) specific duty从量税2. The significance of tariffs a) increase government revenue b) protect domestic industry c) political controlTariff Tariff is accepted measures by WTO, but must follow the principle of deduction. At present, the average tariff of industrial products for developed countries is about 3%, while developing countries 10%, and transitional countries 6%.III Government Controls over Trade B. Nontariff Barriers to Trade 非关税壁垒非关税壁垒 1. definition: all barriers to import and export other than tariffs. Even greater and more insidious barrier than tariff. 2. significance: to protect national economy, social and political interest. 3.Types: technical barriers, environment barriers. often disguised in the form of government rules or regulations. Chinese moocake encounters American technical barriersChinese toys encounters technical barriers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) barriersIII Government Controls over Trade absolute quota a) quota 配额 tariff quota quotas are not accepted measures as a lawful means of regulating trade except in some special cases. Quotas for cars imported 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。 III Government Controls over Tradeb) embargo禁运: a total or near total ban on trade with a particular country, sometimes enforced by military action and usually imposed for political purposes. C) boycott 贸易抵制: a refusal to trade or do business with certain firms, usually from a particular country, on political or other grounds. 4.influence of tariff and non-tariff barriers: P29 Pa2III Government Controls over Trade C. Export Restrictions An export restriction limits certain type of product shipped to any particular country, which are usually imposed for economic or political purposes. High-tech computers might not be allowed to be shipped from the United States to another country without a license. Chinese government does not allow some valuable traditional Chinese medicines to be exported.IV. International Licensing Agreement 1. International Licensing Agreements: are contracts by which the holder of intellectual property right will grant certain rights in that property to a foreign firm under specified conditions and for a specified time. 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。 A more important method than exporting to gain entry into foreign market.IV. International Licensing Agreement 2. Intellectual property rights: are a grant from a government to an individual or firm of the exclusive legal right to use a copyright, paten or trademark for a specified time. 知识产权是一国政府授予个人或公司对版权、专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。利或商标在一定时间内享有的专有权。Copyrights Copyrights are legal rights to an artistic or written work,(including books, software, films, music), or to a layout design of a computer chip.Trademarks Trademarks include the legal right to use a name or symbol that identifies a firm or its product.Patents Patents are governmental grants to inventors assuring them of the exclusive legal right to produce and sell their inventions for a period of years. Invention patents patent for utility models Patent for industrial Designs IV. International Licensing Agreement3. payment for International Licensing ContractA) lumpsum price 一次总付B) Royalty 提成 a) fixed royalty b) sliding royaltyC) initial price + royalty 入门费+提成IV. International Licensing Agreement4. Technology Transfer 技术转让技术转让a)definition: the exchange of technology and know-how (专有技术）专有技术）through arrangements such as international licensing contracts.b) Problems: government control, the gaps between the desire of the involved parties.IV. International Licensing Agreement 5. International Franchising 国际特许国际特许 The most common form of franchising is known as a business operation franchise, usually used in retailing. Under a typical franchising, the franchisee is allowed to use a trade name or trademark in offering royalty based on a percentage of sales or other fee structure. 最常见的特许形式是在零售领域的商业方式的特许。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费或其他费用方式而获得某个商号或商标的使用权 Chapter three Legal System of International BusinessI. United Nations Convention on Contracts for International Sales of Goods (CISG) 1. The Development of International Business LawA) Formation of customs for exchange of goods unwritten codes, known as Lex mercatoria or law merchant self-ruled lawB) In England, by 18th century, law merchant became a part of the common law. C) Sales of Goods Act(England 1894) Uniform Sales Act ( USA 1906,no longer in effect) Uniform Commercial Code(USA 1951)D) Drafting of the CISG reason and purpose? Which organization drafted it ?2. Applicability of the CISG A) Applicability 适用范围适用范围a) for commercial sales of goods: not for consumer salesb) between parties whose places of business are in different countries (natioanality not considered)C) the places of business are in a contracting state, or applicable by rules of private international law 国际司法规则导致适用（允许保留）How is the situation when a party has places of business in more than one country (multinational corporation)? principle of closest relationship ( to the contractplace of performance)2. Applicability of the CISG B) Sales and issue excluded 排除适用的销售排除适用的销售a) consumer goods sold for personal, family or household use.b) goods bought at auctionc) stocks, securities, negotiable instruments, or moneyd) ships, vessels, or aircrafte) electricityf) assembly contractsg) contracts that are in preponderant part fo
