国际银团贷款中代理行对其他银行的诚信义务研究
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摘要
国际银团贷款中,代理行是在银团贷款协议签订后由银团全体成员委托的、代表国际银团来管理贷款发放与回收的日常工作、充当国际银团与借款人之间“中介”的一家或几家银团成员。根据英美法国家的判例,代理行对参加国际银团贷款的其他银行负有英美法上的诚信义务,该诚信义务在一般情况下可以通过贷款协议中的排除诚信义务条款进行排除,但是,在一些特殊情况下,排除条款将无法发挥其预期作用。文章从英美法的角度对代理行对其他银行的诚信义务进行了研究。全文共五章。
第一章对国际银团贷款进行概述,分析国际银团贷款的特点、主要方式及其当事人。第二章探讨英美法中的诚信义务,将其与大陆法中的诚信原则进行比较,在此基础上阐述诚信义务的基本原则和关系类型。第三章研究国际银团贷款中代理行对其他银行的诚信义务,从分析代理行与其他银行之间的关系入手,结合英美法国家的判例,阐明代理行对其他银行负有诚信义务,并分析了代理行诚信义务的内容。第四章研究代理行排除诚信义务的法律效力。第五章探讨国际银团贷款中代理行的诚信义务对我国商业银行参与国际银团贷款以及我国开展国内银团贷款的启示。
In international syndicated loan, agent bank is the member of international syndicate who is entrusted by all members with managing the loan for the international syndicate, and acting as the bridge between international syndicate and the borrower after signing the loan agreement. In accordance with cases of Anglo-American law, the agent bank is burdened with fiduciary duty to other members of syndicate. For the most part, the fiduciary duty can be excluded by exculpatory provisions in the loan agreement. In some cases, however, exculpatory provisions are noneffective. From the perspective of Anglo-American law, this article studies the agent bank’s fiduciary duty to other participating banks of international syndicated loan. The article includes five chapters.
The first chapter discusses the international syndicated loan briefly, analyses the principal features, the basic varieties and parties of syndicated loans. The second chapter studies the fiduciary duty in Anglo-American law, compares the fiduciary duty with the principle of good faith in continental law, and defines basic principles and types of fiduciary duty. The third chapter analyses the relation between agent bank and other participating banks, illustrates that the agent bank is burdened with fiduciary duty to other participating banks, and discusses the content of agent bank’s fiduciary duty. The forth chapter studies the effectiveness of exclusion of agent bank’s fiduciary duty. The fifth chapter discusses inspirations of agent bank’s fiduciary duty in international syndicated loan to international and domestic syndicated loan in China.
第一章对国际银团贷款进行概述,分析国际银团贷款的特点、主要方式及其当事人。第二章探讨英美法中的诚信义务,将其与大陆法中的诚信原则进行比较,在此基础上阐述诚信义务的基本原则和关系类型。第三章研究国际银团贷款中代理行对其他银行的诚信义务,从分析代理行与其他银行之间的关系入手,结合英美法国家的判例,阐明代理行对其他银行负有诚信义务,并分析了代理行诚信义务的内容。第四章研究代理行排除诚信义务的法律效力。第五章探讨国际银团贷款中代理行的诚信义务对我国商业银行参与国际银团贷款以及我国开展国内银团贷款的启示。
In international syndicated loan, agent bank is the member of international syndicate who is entrusted by all members with managing the loan for the international syndicate, and acting as the bridge between international syndicate and the borrower after signing the loan agreement. In accordance with cases of Anglo-American law, the agent bank is burdened with fiduciary duty to other members of syndicate. For the most part, the fiduciary duty can be excluded by exculpatory provisions in the loan agreement. In some cases, however, exculpatory provisions are noneffective. From the perspective of Anglo-American law, this article studies the agent bank’s fiduciary duty to other participating banks of international syndicated loan. The article includes five chapters.
The first chapter discusses the international syndicated loan briefly, analyses the principal features, the basic varieties and parties of syndicated loans. The second chapter studies the fiduciary duty in Anglo-American law, compares the fiduciary duty with the principle of good faith in continental law, and defines basic principles and types of fiduciary duty. The third chapter analyses the relation between agent bank and other participating banks, illustrates that the agent bank is burdened with fiduciary duty to other participating banks, and discusses the content of agent bank’s fiduciary duty. The forth chapter studies the effectiveness of exclusion of agent bank’s fiduciary duty. The fifth chapter discusses inspirations of agent bank’s fiduciary duty in international syndicated loan to international and domestic syndicated loan in China.
引文
1 郭洪俊著,《国际银团贷款中的法律问题研究》,法律出版社,2001 年,第 1 页。
2 刘胜题著,《国际银团贷款法论》,上海财经大学出版社,2004 年,第 2、8 页。
3 韩龙主编,《国际金融法》,法律出版社,2007 年,第 168 页。
4 王汀汀,“国际银团贷款市场发展及其借鉴”,载于《中国金融》,2006 年第 10 期,第 43 页。
5 Edmund M. A. Kwaw, The Law and Practice of Offshore Banking and Finance, London: Quorum Books, 1996, p. 103.
6 刘丰名著,《国际金融法》,中国政法大学出版社,1996 年,第 121 页。
7 韩龙主编,《国际金融法》,法律出版社,2007 年,第 169 页。
8 John H. Carlson & Frank J. Fabozzi, The Trading and Securitization of Senior Bank Loans, Probus Publishing Company, 1992, pp. 50-51.
9 李志强主编,《项目融资法律实务》,中国金融出版社,2003 年,第 10 页。
10 陈恩良著,《国际辛迪加(银团)贷款理论与实务》,中国金融出版社,2004 年,第 45 页。
11 史万钧编著,《银团贷款与项目融资实务》,上海财经大学出版社,2007 年,第 18 页。
12 《辞海》,上海辞书出版社,1979 年,第 445 页。
13 同上,第 280 页。
14 徐国栋著,《诚实信用原则研究》,中国人民大学出版社,2002 年,第 7 页。
15 此处的“诚信”既包括大陆法上的诚信(good faith 或 bona fide),也包括英美法上的诚信(fiduciary)。
16 徐国栋著,《诚实信用原则研究》,中国人民大学出版社,2002 年,第 40 页。
17 B. M. Mitnick, The Political Economy of Regulation, Columbia University Press, 1980, pp. 27-31.
18 《德国民法典》第 157 条规定,解释合同应依诚信并考虑交易习惯;第 242 条规定,债务人有义务依诚信并照顾交易习惯履行给付。
19 沈达明著,《衡平法初论》,对外经济贸易大学出版社,1997 年,第 191 页。
20 沈达明著,《衡平法初论》,对外经济贸易大学出版社,1997 年,第 191 页。
21 Deborah A. Demott, Fiduciary Obligation, Agency and Partnership—Duties in Ongoing Business Relationships, West Publishing Co., 1991, p. 12.
22 Black’s Law Dictionary, 4th Ed., West Publishing Co., 1979, p. 564.
23 王泽鉴著,《民法学说与判例研究》第 1 册,中国政法大学出版社,1997 年,第 303 页。
24 张路,《投资银行诚信责任比较研究》,武汉大学博士学位论文,2004 年,第 59-60 页。
25 周小明著,《信托制度比较研究》,法律出版社,1996 年,第 2 页。
26 张路,《投资银行诚信责任比较研究》,武汉大学博士学位论文,2004 年,第 61 页。
27 有学者将“fiduciary”翻译成“信义”,参见香港学者何美欢教授著,《香港代理法》(上),北京大学出版社,1995 年。
28 蔡章麟,《债权契约与诚实信用原则》,载刁荣华主编,《中国法学论著选集》,汉林出版社,1977 年,第 416页。
29 沈达明著,《衡平法初论》,对外经济贸易大学出版社,1997 年,第 198 页。
30 “No conflict, no profit, undivided loyalty and duty of confidentiality”, see Law Commission, “Fiduciary Duties and Regulatory Rules”, Consultation Paper 124 (1992, HMSO) at para. 2. 4. 9.
31 沈达明著,《衡平法初论》,对外经济贸易大学出版社,1997 年,第 199 页。
32 See “Status-based fiduciaries and fact-based fiduciaries” in the Fiduciary Duties and Regulatory Rules from Law Commission Consultation Paper No. 124 of 1990.
33 沈达明著,《衡平法初论》,对外经济贸易大学出版社,1997 年,第 200-203 页。
34 同上,第 200 页。
35 徐海燕著,《英美代理法研究》,法律出版社,2000 年,第 205 页。
36 沈达明著,《衡平法初论》,对外经济贸易大学出版社,1997 年,第 204 页。
37 高祥阳、陈宇著,《国际银行法——合同、银团与法律冲突》,中国人民大学出版社,2003 年,第 127-128 页。
38 P. Gabriel, Legal Aspects of Syndicated Loans, Butterworths, 1986, p. 2.
39 曾华群著,《国际投资法概论》,厦门大学出版社,1995 年,第 161 页。
40 韩龙著,《离岸金融的法律问题研究》,法律出版社,2001 年,第 139 页。
41 L. Clarke and S. F. Farrar, Rights and Duties of Managing and Agent Banks in Syndicated Loans to Government Borrowers, Law Review of University of Illinois, 1982, p. 247.
42 Agasha Mugasha, Evolving Standards of Conduct (Fiduciary Duty, Good Faith and Reasonableness) and Commercial Certainty in Multi-Lender Contracts, The Wayne Law Review, winter, 2000, pp. 1810-1811.
43 Agasha Mugasha, Evolving Standards of Conduct (Fiduciary Duty, Good Faith and Reasonableness) and Commercial Certainty in Multi-Lender Contracts, The Wayne Law Review, winter, 2000, pp. 1807-1808.
44 同上,第 1811-1812 页。
48 [1896] AC 44 at 51.
49 P. D. Finn, Fiduciary Obligations, Law Book Co, 1977, p. 200.
50 Rider, The Fiduciary and the Flying Pan, Conveyancer and Property Lawyer (1978), p. 114.
51 Bowstead on Agency, 15th ed., 1985, Art 48, p. 175.转引自韩龙著,《离岸金融的法律问题研究》,法律出版社,2001年,第 156 页。
52 Boardman v. Phipps(1967) 2 AC 46, p. 112.
53 P. Gabriel, Legal Aspects of Syndicated Loans, Butterworths, 1986, p. 170.
54 同上,第 173 页。
55 韩龙著,《离岸金融的法律问题研究》,法律出版社,2001 年,第 157 页。
56 Charles L. Menges, An Agent’s Liability to Co-lenders in Syndicated Loan Transactions, Probate and Property, January/February, 2003, pp. 48-49.
57 关于该案的详细情况见文章第三章第二节的相关论述。
58 Charles L. Menges, An Agent’s Liability to Co-lenders in Syndicated Loan Transactions, Probate and Property, January/February, 2003, pp. 49-50.
59 Tai Hing Cotton Mill Ltd. v. Liu Chong Hing Bank Ltd. [1986] AC 80.
60 No. 93-CIV-5298, 1996 U.S. Dist. LEXIS 15631 (S.D.N.Y. Oct. 23, 1996).
61 Byt & Forrest v. Glasgow & South Western Rly Co 1915 SC (HL) 20, pp. 35-36.转引自韩龙著,《离岸金融的法律问题研究》,法律出版社,2001 年,第 163 页。
62 Gautam Bhattacharyya, The Duties and Liabilities of Lead Managers in Syndicated Loans, Company Lawyer, 1995, 16(9), p. 259.
63 郭洪俊著,《国际银团贷款中的法律问题研究》,法律出版社,2001 年,第 34 页。
64 李勇、周天宇、胡芳、张程,“我国银团贷款现状分析与我行发展对策”,载于《中国城市金融》,2001 年第 12期,第 33 页。
65 吴志民,“银团贷款:合并五指攥拳头”,载于 1998 年 4 月 5 日《金融时报》。
66 朱黎明主编,《商业银行新型暨疑难法律问题精解》,法律出版社,2006 年,第 3 页。
1. 郭洪俊著,《国际银团贷款中的法律问题研究》,法律出版社,2001 年版。
2. 刘胜题著,《国际银团贷款法论》,上海财经大学出版社,2004年版。
3. 韩龙主编,《国际金融法》,法律出版社,2007 年版。
4. 刘丰名著,《国际金融法》,中国政法大学出版社,1996 年版。
5. 李志强主编,《项目融资法律实务》,中国金融出版社,2003 年版。
6. 陈恩良著,《国际辛迪加(银团)贷款理论与实务》,中国金融出版社,2004 年版。
7. 史万钧编著,《银团贷款与项目融资实务》,上海财经大学出版社,2007 年版。
8. 徐国栋著,《诚实信用原则研究》,中国人民大学出版社,2002年版。
9. 沈达明著,《衡平法初论》,对外经济贸易大学出版社,1997 年版。
10. 王泽鉴著,《民法学说与判例研究》,中国政法大学出版社,1997年版。
11. 周小明著,《信托制度比较研究》,法律出版社,1996 年版。
12. 徐海燕著,《英美代理法研究》,法律出版社,2000 年版。
13. 高祥阳、陈宇著,《国际银行法——合同、银团与法律冲突》,中国人民大学出版社,2003 年版。
14. 曾华群著,《国际投资法概论》,厦门大学出版社,1995 年版。
15. 韩龙著,《离岸金融的法律问题研究》,法律出版社,2001 年版。
16. 何孝元著,《诚实信用原则与衡平法》,三民书局,1993 年版。
17. 朱黎明主编,《商业银行新型暨疑难法律问题精解》,法律出版社,2006 年版。
18. 王汀汀,《国际银团贷款市场发展及其借鉴》,《中国金融》,2006年第 10 期,第 43 页。
19. 张路,《投资银行诚信责任比较研究》,武汉大学博士学位论文,2004 年。
20. 刘胜题,《国际银团贷款法律风险分析与控制》,华东政法学院博士学位论文,2005 年。
21. 蔡章麟,《债权契约与诚实信用原则》,载刁荣华主编,《中国法学论著选集》,汉林出版社,1977 年,第 416 页。
22. 李勇、周天宇、胡芳、张程,《我国银团贷款现状分析与我行发展对策》,《中国城市金融》,2001 年第 12 期,第 33 页。
23. 吴志民,《银团贷款:合并五指攥拳头》,《金融时报》1998 年 4月 5 日。
1. Edmund M. A. Kwaw, The Law and Practice of Offshore Banking and Finance, London: Quorum Books, 1996.
2. John H. Carlson & Frank J. Fabozzi, The Trading and Securitization of Senior Bank Loans, Probus Publishing Company, 1992.
3. B. M. Mitnick, The Political Economy of Regulation, Columbia University Press, 1980.
4. Deborah A. Demott, Fiduciary Obligation, Agency and Partnership—Duties in Ongoing Business Relationships, West Publishing Co., 1991.
5. P. Gabriel, Legal Aspects of Syndicated Loans, Butterworths, 1986.
6. P. D. Finn, Fiduciary Obligations, Law Book Co, 1977.
7. Eric M. Schiller, Scott A. Lindquist, Christopher Q. King, Current Issues in Loan Co-lending Agreements, Sonnenschein Nath & Rosenthal, 2004.
8. Philip Wood, Law and Practice of International Finance, Sweet & Maxwell, 1980.
9. Ewan Mckendrick, Commercial Aspects of Trusts and Fiduciary Obligations, Clarendon Press, Oxford, 1992.
10. Barry Rider and Michael Ashe, The Fiduciary: the Insider and the Conflict, Sweet & Maxwell, 1995.
11. Leonard I. Rotman, Fiduciary Law, Thomson & Carswell, 2005.
12. L. Clarke and S. F. Farrar, Rights and Duties of Managing and Agent Banks in Syndicated Loans to Government Borrowers, Law Review of University of Illinois, 1982, p. 247.
13. Agasha Mugasha, Evolving Standards of Conduct (Fiduciary Duty, Good Faith and Reasonableness) and Commercial Certainty in Multi-Lender Contracts, The Wayne Law Review, winter, 2000, p. 1789.
14. Rider, The Fiduciary and the Flying Pan, Conveyancer and Property Lawyer (1978), p. 203.
15. Charles L. Menges, An Agent’s Liability to Co-lenders in Syndicated Loan Transactions, Probate and Property, January/February, 2003, p. 45.
16. Gautam Bhattacharyya, The Duties and Liabilities of Lead Managers in Syndicated Loans, Company Lawyer, 1995, 16(9), p. 259.
17. Ramon Rviz De la Concha, S. K. Chatterjee, Legal Aspects of Syndicated Loan Agreements, Company Law, 1988, 9(4), p. 91.
18. Rowan McR. Russell, Impact of Recent Corporate Collapses on Negotiating and Drafting Syndicated Loans, International Lawyer, 1993, 27, p. 397.
19. Gavin R. Skene, Syndicated Loans: Arranger and Participant Bank Fiduciary Theory, Journal of International Banking Law and Regulation, 2005, 20(6), p. 269.
20. Richard E. Weiner, Rights of A Participant Bank Against A Lead Bank in A Participation Loan Agreement, The Banking Law Journal, 1987, 104(6), p. 529.
2 刘胜题著,《国际银团贷款法论》,上海财经大学出版社,2004 年,第 2、8 页。
3 韩龙主编,《国际金融法》,法律出版社,2007 年,第 168 页。
4 王汀汀,“国际银团贷款市场发展及其借鉴”,载于《中国金融》,2006 年第 10 期,第 43 页。
5 Edmund M. A. Kwaw, The Law and Practice of Offshore Banking and Finance, London: Quorum Books, 1996, p. 103.
6 刘丰名著,《国际金融法》,中国政法大学出版社,1996 年,第 121 页。
7 韩龙主编,《国际金融法》,法律出版社,2007 年,第 169 页。
8 John H. Carlson & Frank J. Fabozzi, The Trading and Securitization of Senior Bank Loans, Probus Publishing Company, 1992, pp. 50-51.
9 李志强主编,《项目融资法律实务》,中国金融出版社,2003 年,第 10 页。
10 陈恩良著,《国际辛迪加(银团)贷款理论与实务》,中国金融出版社,2004 年,第 45 页。
11 史万钧编著,《银团贷款与项目融资实务》,上海财经大学出版社,2007 年,第 18 页。
12 《辞海》,上海辞书出版社,1979 年,第 445 页。
13 同上,第 280 页。
14 徐国栋著,《诚实信用原则研究》,中国人民大学出版社,2002 年,第 7 页。
15 此处的“诚信”既包括大陆法上的诚信(good faith 或 bona fide),也包括英美法上的诚信(fiduciary)。
16 徐国栋著,《诚实信用原则研究》,中国人民大学出版社,2002 年,第 40 页。
17 B. M. Mitnick, The Political Economy of Regulation, Columbia University Press, 1980, pp. 27-31.
18 《德国民法典》第 157 条规定,解释合同应依诚信并考虑交易习惯;第 242 条规定,债务人有义务依诚信并照顾交易习惯履行给付。
19 沈达明著,《衡平法初论》,对外经济贸易大学出版社,1997 年,第 191 页。
20 沈达明著,《衡平法初论》,对外经济贸易大学出版社,1997 年,第 191 页。
21 Deborah A. Demott, Fiduciary Obligation, Agency and Partnership—Duties in Ongoing Business Relationships, West Publishing Co., 1991, p. 12.
22 Black’s Law Dictionary, 4th Ed., West Publishing Co., 1979, p. 564.
23 王泽鉴著,《民法学说与判例研究》第 1 册,中国政法大学出版社,1997 年,第 303 页。
24 张路,《投资银行诚信责任比较研究》,武汉大学博士学位论文,2004 年,第 59-60 页。
25 周小明著,《信托制度比较研究》,法律出版社,1996 年,第 2 页。
26 张路,《投资银行诚信责任比较研究》,武汉大学博士学位论文,2004 年,第 61 页。
27 有学者将“fiduciary”翻译成“信义”,参见香港学者何美欢教授著,《香港代理法》(上),北京大学出版社,1995 年。
28 蔡章麟,《债权契约与诚实信用原则》,载刁荣华主编,《中国法学论著选集》,汉林出版社,1977 年,第 416页。
29 沈达明著,《衡平法初论》,对外经济贸易大学出版社,1997 年,第 198 页。
30 “No conflict, no profit, undivided loyalty and duty of confidentiality”, see Law Commission, “Fiduciary Duties and Regulatory Rules”, Consultation Paper 124 (1992, HMSO) at para. 2. 4. 9.
31 沈达明著,《衡平法初论》,对外经济贸易大学出版社,1997 年,第 199 页。
32 See “Status-based fiduciaries and fact-based fiduciaries” in the Fiduciary Duties and Regulatory Rules from Law Commission Consultation Paper No. 124 of 1990.
33 沈达明著,《衡平法初论》,对外经济贸易大学出版社,1997 年,第 200-203 页。
34 同上,第 200 页。
35 徐海燕著,《英美代理法研究》,法律出版社,2000 年,第 205 页。
36 沈达明著,《衡平法初论》,对外经济贸易大学出版社,1997 年,第 204 页。
37 高祥阳、陈宇著,《国际银行法——合同、银团与法律冲突》,中国人民大学出版社,2003 年,第 127-128 页。
38 P. Gabriel, Legal Aspects of Syndicated Loans, Butterworths, 1986, p. 2.
39 曾华群著,《国际投资法概论》,厦门大学出版社,1995 年,第 161 页。
40 韩龙著,《离岸金融的法律问题研究》,法律出版社,2001 年,第 139 页。
41 L. Clarke and S. F. Farrar, Rights and Duties of Managing and Agent Banks in Syndicated Loans to Government Borrowers, Law Review of University of Illinois, 1982, p. 247.
42 Agasha Mugasha, Evolving Standards of Conduct (Fiduciary Duty, Good Faith and Reasonableness) and Commercial Certainty in Multi-Lender Contracts, The Wayne Law Review, winter, 2000, pp. 1810-1811.
43 Agasha Mugasha, Evolving Standards of Conduct (Fiduciary Duty, Good Faith and Reasonableness) and Commercial Certainty in Multi-Lender Contracts, The Wayne Law Review, winter, 2000, pp. 1807-1808.
44 同上,第 1811-1812 页。
48 [1896] AC 44 at 51.
49 P. D. Finn, Fiduciary Obligations, Law Book Co, 1977, p. 200.
50 Rider, The Fiduciary and the Flying Pan, Conveyancer and Property Lawyer (1978), p. 114.
51 Bowstead on Agency, 15th ed., 1985, Art 48, p. 175.转引自韩龙著,《离岸金融的法律问题研究》,法律出版社,2001年,第 156 页。
52 Boardman v. Phipps(1967) 2 AC 46, p. 112.
53 P. Gabriel, Legal Aspects of Syndicated Loans, Butterworths, 1986, p. 170.
54 同上,第 173 页。
55 韩龙著,《离岸金融的法律问题研究》,法律出版社,2001 年,第 157 页。
56 Charles L. Menges, An Agent’s Liability to Co-lenders in Syndicated Loan Transactions, Probate and Property, January/February, 2003, pp. 48-49.
57 关于该案的详细情况见文章第三章第二节的相关论述。
58 Charles L. Menges, An Agent’s Liability to Co-lenders in Syndicated Loan Transactions, Probate and Property, January/February, 2003, pp. 49-50.
59 Tai Hing Cotton Mill Ltd. v. Liu Chong Hing Bank Ltd. [1986] AC 80.
60 No. 93-CIV-5298, 1996 U.S. Dist. LEXIS 15631 (S.D.N.Y. Oct. 23, 1996).
61 Byt & Forrest v. Glasgow & South Western Rly Co 1915 SC (HL) 20, pp. 35-36.转引自韩龙著,《离岸金融的法律问题研究》,法律出版社,2001 年,第 163 页。
62 Gautam Bhattacharyya, The Duties and Liabilities of Lead Managers in Syndicated Loans, Company Lawyer, 1995, 16(9), p. 259.
63 郭洪俊著,《国际银团贷款中的法律问题研究》,法律出版社,2001 年,第 34 页。
64 李勇、周天宇、胡芳、张程,“我国银团贷款现状分析与我行发展对策”,载于《中国城市金融》,2001 年第 12期,第 33 页。
65 吴志民,“银团贷款:合并五指攥拳头”,载于 1998 年 4 月 5 日《金融时报》。
66 朱黎明主编,《商业银行新型暨疑难法律问题精解》,法律出版社,2006 年,第 3 页。
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