商人习惯法在国际商事仲裁中的适用
摘要
在国际贸易过程中难免会发生一些争议与分歧,当事人在争议解决上更多的是选择仲裁的方式。但对于仲裁中实体法的适用问题,尤其是对于商人习惯法,还存在许多的问题。本文主张商人习惯法在国际商事仲裁中的适用,这与商人习惯法“自治性”的特点是分不开的。在论述过程中,采取循序渐进的方法,从商人习惯法的概念、性质、产生发展及其它相关问题,到国际商事仲裁中商人习惯法的适用逐步展开,对商人习惯法进行了全面的阐述。在文章的结尾处,结合国内国外的理论研究成果及现状,对商人习惯法的发展趋势进行了描述,并展望了商人习惯法在商事仲裁中适用的前景。在全球化高度发展的未来,商人习惯法形成完整的法典,成为一个独立的法律体系将是最终的目标。
As the increasing tendency of globalization, the communications between different countries become more and more closely, and the speed of development of international trade especially rapid. But during this process there will be some disputes and differences inevitably, following by the resolution of disputes. Considering their own interests, some countries resort to law, and more of them adopt the arbitration way to resolve the problems. But can Lex Mercatoria be used in international commercial arbitration? This text will discuss the application of substantive law in international commercial arbitration, and do some sum-up with the concept, nature, appearance, development, prospective and the application of Lex Mercatoria, and among them the application is the key point.
This text consists of four chapters:
Chapter I summarizes the Lex Mercatoria. Talking about the Lex Mercatoria(Lex Mercatoria,law merchant), it is difficult to definite exactly. And the scholars have their own opinion, so the there are different translations. Here we adopt the translation“Lex Mercatoria”. Professor Shendaming and Fengdatong think Lex Mercatoria is the commercial tradition which grown up in the MID age. Professor Schmitthoff’s Clive M. divides Lex Mercatoria into“old”and“new”. The“old”refers to a complete set of international unwritten law widely used among international businessmen who shuttle between ports and bazaars in civilized countries where trade exists. While the“new”is enacted elaborately by a legislature, represent in the form of international pact, demonstration law and documents issued by ICC, etc. This text concludes the following definition of Lex Mercatoria according to scholars’definitions of different countries:“Lex Mercatoria is the autonomous law system, growing up spontaneously for the need of international arbitration practice, with international business relations as its regulating object, and multinational nature independent of any domestic law system.
Chapter II expounds nomological basis of the application of Lex Mercatoria in international commercial arbitration. With regard to the application of Lex Mercatoria, there are a lot of assentors, but objectors also exist. Making a comprehensive view to the theory practice of judicature about the application of Lex Mercatoria, there are three types of them: one is to allow apply Lex Mercatoria and give no consideration to domestic law; the other is to use combining Lex Mercatoria and domestic law together; another is to restrict the application of Lex Mercatoria, but now this kind of way is inclining to flexible in practice. Although it is different for different countries in the practice of legislature, the general trend is towards accepting and admitting the Lex Mercatoria. And the author of the text also advocates applying it actively, and taking it as the substantive law to resolve the disputes. All above is determined by the character of Lex Mercatoria itself. Lex Mercatoria is the inevitable requirement of international commercial arbitration development, and it also show prominent priority comparing with domestic law and conflict law, mainly in two aspects: firstly, it makes the resolution of international commercial disputes more“fair and right”; secondly, it makes the acceptance and enforcement of international commercial disputes more easily.
Chapter III puts emphasize on the application of Lex Mercatoria in international commercial arbitration and the limit to its use. There are two kinds of application ways: to apply when the parties choose it; or applied by arbitrator directly if the parties have not chosen it. Between the two ways, the former is the dominating one, because it reflects fully the parties’willingness. Although the Lex Mercatoria is applied frequently, it is still limited in the application process. First of all, it is limited by domestic compelling law. Compelling law incarnates a country’s fundamental interest and basic social order. The parties can reach an agreement to be governed by Lex Mercatoria at their own willingness, but they cannot completely exclude the control of basic principle of domestic compelling law to contractual relations. Secondly, it is limited by system of reservation of public order. On this point there are two kinds of viewpoints, i.e., supporting and objecting. The reason for objecting application of Lex Mercatoria is: Lex Mercatoria has no relation with sovereignty, while the existing basis of system of reservation of public order is to exclude the application of foreign law. In view of this, the text takes the point of supporting the application of system of reservation of public order, the reason for this is: Lex Mercatoria formed spontaneously in the area having no interest conflict with the country, however, its possible harm to public order cannot be excluded absolutely. Because of different history, culture, economy and society, the“tradition”which is reasonable and legal at one place and time, may be unacceptable completely at another place and time.
Chapter IV illustrates the trend of application in international commercial arbitration and its prospect, and at the end, the author put forward some advices regarding to the situation of our country. In recent years, as the accelerating of world economic globalization, in order to make the global economy and legal order stable relatively, some international organizations who bend themselves to coordination and unification of law draft a great deal of international pact, traditions and demonstration law, thus, the trend of unification of international commercial legislation is more and more evident. As the theory of Lex Mercatoria becomes more mature and perfect gradually, and it’s dynamic in the international commercial arbitration, people begin to pay attention to the research on application of Lex Mercatoria. Only Lex Mercatoria has formed a independent department or system, can it adjust international economic and trade relations really and effectively, and show its charming in international commercial arbitration. Our country has made great efforts in the legislation of arbitration law, and success obtained is obvious to all. But compared with countries whose Lex Mercatoria is relatively developed, the scopes involved in our country’s Lex Mercatoria is comparatively narrow. Here we suggest that we should accept Lex Mercatoria with an attitude of tolerance, and begin to apply it boldly in some areas where Lex Mercatoria is comparatively mature. First of all, we should stipulate specifically on the application of Lex Mercatoria in our arbitration legislation. Secondly, the court can give arbitration proper supervision, and do not intervene excessively with the arrangement made by the parties for the disputes, including the parties choose to apply Lex Mercatoria Finally, suggest apply comparatively mature l Lex Mercatoria in dealing with international business disputes, such as CISG pact.
As the increasing tendency of globalization, the communications between different countries become more and more closely, and the speed of development of international trade especially rapid. But during this process there will be some disputes and differences inevitably, following by the resolution of disputes. Considering their own interests, some countries resort to law, and more of them adopt the arbitration way to resolve the problems. But can Lex Mercatoria be used in international commercial arbitration? This text will discuss the application of substantive law in international commercial arbitration, and do some sum-up with the concept, nature, appearance, development, prospective and the application of Lex Mercatoria, and among them the application is the key point.
This text consists of four chapters:
Chapter I summarizes the Lex Mercatoria. Talking about the Lex Mercatoria(Lex Mercatoria,law merchant), it is difficult to definite exactly. And the scholars have their own opinion, so the there are different translations. Here we adopt the translation“Lex Mercatoria”. Professor Shendaming and Fengdatong think Lex Mercatoria is the commercial tradition which grown up in the MID age. Professor Schmitthoff’s Clive M. divides Lex Mercatoria into“old”and“new”. The“old”refers to a complete set of international unwritten law widely used among international businessmen who shuttle between ports and bazaars in civilized countries where trade exists. While the“new”is enacted elaborately by a legislature, represent in the form of international pact, demonstration law and documents issued by ICC, etc. This text concludes the following definition of Lex Mercatoria according to scholars’definitions of different countries:“Lex Mercatoria is the autonomous law system, growing up spontaneously for the need of international arbitration practice, with international business relations as its regulating object, and multinational nature independent of any domestic law system.
Chapter II expounds nomological basis of the application of Lex Mercatoria in international commercial arbitration. With regard to the application of Lex Mercatoria, there are a lot of assentors, but objectors also exist. Making a comprehensive view to the theory practice of judicature about the application of Lex Mercatoria, there are three types of them: one is to allow apply Lex Mercatoria and give no consideration to domestic law; the other is to use combining Lex Mercatoria and domestic law together; another is to restrict the application of Lex Mercatoria, but now this kind of way is inclining to flexible in practice. Although it is different for different countries in the practice of legislature, the general trend is towards accepting and admitting the Lex Mercatoria. And the author of the text also advocates applying it actively, and taking it as the substantive law to resolve the disputes. All above is determined by the character of Lex Mercatoria itself. Lex Mercatoria is the inevitable requirement of international commercial arbitration development, and it also show prominent priority comparing with domestic law and conflict law, mainly in two aspects: firstly, it makes the resolution of international commercial disputes more“fair and right”; secondly, it makes the acceptance and enforcement of international commercial disputes more easily.
Chapter III puts emphasize on the application of Lex Mercatoria in international commercial arbitration and the limit to its use. There are two kinds of application ways: to apply when the parties choose it; or applied by arbitrator directly if the parties have not chosen it. Between the two ways, the former is the dominating one, because it reflects fully the parties’willingness. Although the Lex Mercatoria is applied frequently, it is still limited in the application process. First of all, it is limited by domestic compelling law. Compelling law incarnates a country’s fundamental interest and basic social order. The parties can reach an agreement to be governed by Lex Mercatoria at their own willingness, but they cannot completely exclude the control of basic principle of domestic compelling law to contractual relations. Secondly, it is limited by system of reservation of public order. On this point there are two kinds of viewpoints, i.e., supporting and objecting. The reason for objecting application of Lex Mercatoria is: Lex Mercatoria has no relation with sovereignty, while the existing basis of system of reservation of public order is to exclude the application of foreign law. In view of this, the text takes the point of supporting the application of system of reservation of public order, the reason for this is: Lex Mercatoria formed spontaneously in the area having no interest conflict with the country, however, its possible harm to public order cannot be excluded absolutely. Because of different history, culture, economy and society, the“tradition”which is reasonable and legal at one place and time, may be unacceptable completely at another place and time.
Chapter IV illustrates the trend of application in international commercial arbitration and its prospect, and at the end, the author put forward some advices regarding to the situation of our country. In recent years, as the accelerating of world economic globalization, in order to make the global economy and legal order stable relatively, some international organizations who bend themselves to coordination and unification of law draft a great deal of international pact, traditions and demonstration law, thus, the trend of unification of international commercial legislation is more and more evident. As the theory of Lex Mercatoria becomes more mature and perfect gradually, and it’s dynamic in the international commercial arbitration, people begin to pay attention to the research on application of Lex Mercatoria. Only Lex Mercatoria has formed a independent department or system, can it adjust international economic and trade relations really and effectively, and show its charming in international commercial arbitration. Our country has made great efforts in the legislation of arbitration law, and success obtained is obvious to all. But compared with countries whose Lex Mercatoria is relatively developed, the scopes involved in our country’s Lex Mercatoria is comparatively narrow. Here we suggest that we should accept Lex Mercatoria with an attitude of tolerance, and begin to apply it boldly in some areas where Lex Mercatoria is comparatively mature. First of all, we should stipulate specifically on the application of Lex Mercatoria in our arbitration legislation. Secondly, the court can give arbitration proper supervision, and do not intervene excessively with the arrangement made by the parties for the disputes, including the parties choose to apply Lex Mercatoria Finally, suggest apply comparatively mature l Lex Mercatoria in dealing with international business disputes, such as CISG pact.
引文
[1] ICC 第 3327 号案件(1998)。
[2] 沈达明、冯大同:《国际贸易法新论》,法律出版社 1989 年版,第2-3 页。
[3] [英]施米托夫:《国际贸易法文选》,赵秀文译,中国大百科全书出版社 1993 年版,第 247 页。
[4] 米歇尔.维拉利:《国际商事法--第三种法律秩序的理论探讨》,李泽锐译,《法学译从》1986 年第 6 期,第 61-67 页。
[5] [英]施米托夫:《国际贸易法文选》,程家瑞编,赵秀文选译,中国大百科出版社 1996 年版,第 246 页。
[6] [英]施米托夫:《国际贸易法文选》,赵秀文译,中国大百科全书出版社 1993 年版,第 16-19 页。
[7] 朱克鹏:《国际商事仲裁的法律适用》,法律出版社 1999 年版,第208 页。
[8] 朱克鹏:《国际商事仲裁的法律适用》,法律出版社 1999 年版,第 213页。
[9] 黄进、陈卫佐:《国际商事仲裁的法律适用》,载于黄进主编的《国际私法与国际商事仲裁》,武汉大学出版社 1994 年版,第 160-162页。
[10]朱克鹏:《国际商事仲裁的法律适用》,法律出版社 1999 年版,第212-221 页。
[11]于有:《谈国际商事仲裁的法律适用问题》,载于《河北法学》1994年第 1 期,第 39 页。
[12]郭国汀:《从一起国际商事仲裁案析国际商事仲裁的几个法律问题》,载于《仲裁与法律通讯》1993 年第 3 期,第 17、31 页。
[13]第一步也被称为解决仲裁法律适用中的“冲突规范的冲突”(au dcuxieme degre)。
[14]李双元:《国际民商新秩序的理论构建》,武汉大学出版社 1998 年版,第 364 页。
[15]肖永平:《国际私法原理》,法律出版社 2003 年版,第 134 页。
[16]郑远民:《现代商人法研究》,法律出版社 2001 年版,第 357-359 页。
[17]宋连斌:《刍议国际商事仲裁的价值取向》,中国国际私法协会.中国国际私法与比较法年刊 2000 年(第三卷),法律出版社 2000 年版,第162 页。
1. [英]施米托夫:《国际贸易法文选》,赵秀文译,中国大百科全书出版社 1993 年版。
2. 赵秀文:《国际商事仲裁及其适用法律研究》,北京大学出版社 2002年 1 月版。
3. 沈达明、冯大同:《国际贸易法新论》,法律出版社 1989 年版。
4. 程德钧主编:《涉外仲裁与法律》第一辑,中国人民大学出版社 1992年版。
5. 赵秀文主编:《国际商事仲裁案例评析》,中国法制出版社 1999 年版。
6.[英]雷德芬,[英]亨特等著:《国际商事仲裁法律与实践》,林一飞,宋连斌译,北京大学出版社 2005 年版。
7.赵秀文:《国际商事仲裁法》,中国人民大学出版社 2004 年版。
8.石育斌:《国际商事仲裁研究》(总论篇),华东理工大学出版社 2004年版。
9.朱克鹏 :《国际商事仲裁的法律适用》,法律出版社 1999 年版。
10.黄进:《国际私法与国际商事仲裁》,武汉大学出版社 1994 年版。
11.郑远民:《现代商人法研究》,法律出版社 2001 年版。
12.黄进主编:《国际私法》(第二版),法律出版社 2005 年版。
13.林一飞:《国际商事仲裁法律与实务》,中信出版社 2005 年版。
14.韩健:《现代国际商事仲裁法的理论与实践》,法律出版社 2000 年版。
1.Lando,The Lex Mercatoria in International Commercial Arbitration,In International and Comparative Law Quarterly 34,1985.
2.B.Goldlnan,The applicable Law: General Principles of Law--The Lex Mercatoria,in J.Lew ed.,Contemporary Problems in International Arbitration,1986
3.K.Highet, The Enigma of the Lex Mercatoria, in Thomas E.Carbonneau ed.,Lex Mercatoria and Arbitration, New York Press,1990.
4.Clive M.Schmitthoff, ed. Schmitthoff’s Export Trade: the Law&Practice of International Trade, Stevens&Sons,1986.
1.许旭,杨超,夏雪峰:《论国际商事仲裁中的现代商人法》,载于《郑州航空工业管理学院学报》,2004 年 4 月第 23 卷第 2 期。
2.朱克鹏:《论商事习惯法的性质与地位》,载于《法学评论》1997 年06 期。
3.郑远民:《现代商人法理论的提出及其对国际仲裁法的影响》,载于《湖南大学学报》2002 年第 6 期。
4.陈斌:《现代商人法在国际仲裁中的适用问题分析》,载于《仲裁研究》第七辑。
5.郑远民:《现代商人法理论的提出及其对我国的影响》,载于《法学评论》2002 年第 3 期。
6. 徐国建:《现代商人法论》,载于《中国社会科学》1993年第3期。
7. 张江敏:《国际商事仲裁中的法律适用的若干问题探析》,载于《武汉大学学报》2003年11月第56卷第6期。
8.伍露:《论现代商人法在国际商事仲裁中的运用》,载于《辽东学院学报》第 7 卷第 6 期。
9.郭国汀:《从一起国际商事仲裁案析国际商事仲裁的几个法律问题》,载于《仲裁与法律通讯》1993 年第 3 期。
10.于有:《谈国际商事仲裁的法律适用问题》,载于《河北法学》1994年第 1 期。
[2] 沈达明、冯大同:《国际贸易法新论》,法律出版社 1989 年版,第2-3 页。
[3] [英]施米托夫:《国际贸易法文选》,赵秀文译,中国大百科全书出版社 1993 年版,第 247 页。
[4] 米歇尔.维拉利:《国际商事法--第三种法律秩序的理论探讨》,李泽锐译,《法学译从》1986 年第 6 期,第 61-67 页。
[5] [英]施米托夫:《国际贸易法文选》,程家瑞编,赵秀文选译,中国大百科出版社 1996 年版,第 246 页。
[6] [英]施米托夫:《国际贸易法文选》,赵秀文译,中国大百科全书出版社 1993 年版,第 16-19 页。
[7] 朱克鹏:《国际商事仲裁的法律适用》,法律出版社 1999 年版,第208 页。
[8] 朱克鹏:《国际商事仲裁的法律适用》,法律出版社 1999 年版,第 213页。
[9] 黄进、陈卫佐:《国际商事仲裁的法律适用》,载于黄进主编的《国际私法与国际商事仲裁》,武汉大学出版社 1994 年版,第 160-162页。
[10]朱克鹏:《国际商事仲裁的法律适用》,法律出版社 1999 年版,第212-221 页。
[11]于有:《谈国际商事仲裁的法律适用问题》,载于《河北法学》1994年第 1 期,第 39 页。
[12]郭国汀:《从一起国际商事仲裁案析国际商事仲裁的几个法律问题》,载于《仲裁与法律通讯》1993 年第 3 期,第 17、31 页。
[13]第一步也被称为解决仲裁法律适用中的“冲突规范的冲突”(au dcuxieme degre)。
[14]李双元:《国际民商新秩序的理论构建》,武汉大学出版社 1998 年版,第 364 页。
[15]肖永平:《国际私法原理》,法律出版社 2003 年版,第 134 页。
[16]郑远民:《现代商人法研究》,法律出版社 2001 年版,第 357-359 页。
[17]宋连斌:《刍议国际商事仲裁的价值取向》,中国国际私法协会.中国国际私法与比较法年刊 2000 年(第三卷),法律出版社 2000 年版,第162 页。
1. [英]施米托夫:《国际贸易法文选》,赵秀文译,中国大百科全书出版社 1993 年版。
2. 赵秀文:《国际商事仲裁及其适用法律研究》,北京大学出版社 2002年 1 月版。
3. 沈达明、冯大同:《国际贸易法新论》,法律出版社 1989 年版。
4. 程德钧主编:《涉外仲裁与法律》第一辑,中国人民大学出版社 1992年版。
5. 赵秀文主编:《国际商事仲裁案例评析》,中国法制出版社 1999 年版。
6.[英]雷德芬,[英]亨特等著:《国际商事仲裁法律与实践》,林一飞,宋连斌译,北京大学出版社 2005 年版。
7.赵秀文:《国际商事仲裁法》,中国人民大学出版社 2004 年版。
8.石育斌:《国际商事仲裁研究》(总论篇),华东理工大学出版社 2004年版。
9.朱克鹏 :《国际商事仲裁的法律适用》,法律出版社 1999 年版。
10.黄进:《国际私法与国际商事仲裁》,武汉大学出版社 1994 年版。
11.郑远民:《现代商人法研究》,法律出版社 2001 年版。
12.黄进主编:《国际私法》(第二版),法律出版社 2005 年版。
13.林一飞:《国际商事仲裁法律与实务》,中信出版社 2005 年版。
14.韩健:《现代国际商事仲裁法的理论与实践》,法律出版社 2000 年版。
1.Lando,The Lex Mercatoria in International Commercial Arbitration,In International and Comparative Law Quarterly 34,1985.
2.B.Goldlnan,The applicable Law: General Principles of Law--The Lex Mercatoria,in J.Lew ed.,Contemporary Problems in International Arbitration,1986
3.K.Highet, The Enigma of the Lex Mercatoria, in Thomas E.Carbonneau ed.,Lex Mercatoria and Arbitration, New York Press,1990.
4.Clive M.Schmitthoff, ed. Schmitthoff’s Export Trade: the Law&Practice of International Trade, Stevens&Sons,1986.
1.许旭,杨超,夏雪峰:《论国际商事仲裁中的现代商人法》,载于《郑州航空工业管理学院学报》,2004 年 4 月第 23 卷第 2 期。
2.朱克鹏:《论商事习惯法的性质与地位》,载于《法学评论》1997 年06 期。
3.郑远民:《现代商人法理论的提出及其对国际仲裁法的影响》,载于《湖南大学学报》2002 年第 6 期。
4.陈斌:《现代商人法在国际仲裁中的适用问题分析》,载于《仲裁研究》第七辑。
5.郑远民:《现代商人法理论的提出及其对我国的影响》,载于《法学评论》2002 年第 3 期。
6. 徐国建:《现代商人法论》,载于《中国社会科学》1993年第3期。
7. 张江敏:《国际商事仲裁中的法律适用的若干问题探析》,载于《武汉大学学报》2003年11月第56卷第6期。
8.伍露:《论现代商人法在国际商事仲裁中的运用》,载于《辽东学院学报》第 7 卷第 6 期。
9.郭国汀:《从一起国际商事仲裁案析国际商事仲裁的几个法律问题》,载于《仲裁与法律通讯》1993 年第 3 期。
10.于有:《谈国际商事仲裁的法律适用问题》,载于《河北法学》1994年第 1 期。