第一节 国际契约的特征要素
1. 定义
英文契约在国际贸易中使用时,首先最初必须要弄清楚做何种的国际贸易。也就是说一定要明确该贸易行为的定义。
例如,在动产买卖契约中,将某行为定义为:交易的目的物(动产之外还有劳务、金钱等)从某一个国家向着其他国家而超越国境进行移动交易的行为。按照这个定义,买卖契约中的买方和卖方都在该某一个国家,构成只有商品从该国出口的国际贸易。在这种情况下,国际贸易具有特征性的风险,比如说诉讼风险、准据法的风险等几乎不存在。
但是,当事人处于不同的国家而进行交易的情形,情况就会变得复杂。也就是说,例如卖方在中国,而买方处于英国进行商品贸易的情形。在这种定义之下,双方当事人处于不同的法律(保护)之下。当然这种情况也存在交易的目的物不进行国际间移动的可能性。但是,无论如何,存在在他国进行诉讼的风险、准据法的风险以及强制执行的风险。所以,“当事人处于不同国家的交易”的这一定义,作为一般的国际交易或者贸易的妥当定义而被普遍接受。
2. 价格与接受条件(Price and delivery terms)
国际契约和国内契约一样,都存在价格和支付条件的问题。卖方先付货对卖方来说存在收取货款的风险,而对于要求先付货款的买方也同样存在货物是否安全到手的风险和负担。在实际的国际贸易中,将这样的担心以及风险通过交涉而使其弱化消失并达到契约成立。国际贸易当中最早需要决定的也许就是价格和接受条件了,因此,在商人们之间一般最为广泛地使用的贸易条件基准称之为Incoterms。Incoterms是International Commercial Terms的略写,是国际商会(International Chamber of Commerce)将商人们之间常用的贸易条件基准通过总结定义,是不同国家的同一意思的用语进行了统一。其正式的名称为:International Rules for the Interpretation of Trade Terms。第一版是在1936年出版的,现在使用的国际贸易术语是2000年发表的Incoterms 2000。
现在使用的国际贸易条件基准有以下13 个种类。
3. 贸易惯行中常用的交易条件
现在,在亚洲市场,90%以上的商业贸易大都采用FOB和CIF(或者CFR)形式的交易条件来进行。下面,我们主要概观一下FOB形式下买卖双方各自的责任和义务。括弧内是Incoterms的条款号。
A.卖方的责任
(i)承装与买卖契约相一致的货物(A1)
(ii)向买方交付与可以证明货物与商业送达(commercial invoice)以及契约条件相一致的证据(契约所要求的)(A1)
(iii)取得出口许可,办理出关手续(A2)
(iv)在买方制定的货船交货(A4)
(v)在约定的装船期限内将货物在船舶港装货(A4)
(vi)风险负担以货物越过船舷(ship’s rail)为界转移至买方(A5)
(vii)负担到达A5为止的所有成本(A6)
(viii)向买方交付装船等的单据等证据文本。如果单据等证据文本为transport document,即不是船舶证据(bill of lading。简称B/L)的话,帮助买方取得,但风险和费用由买方承担(A8)
B. 买方的责任
(i)需按照买卖契约所规定的支付费用(B1)
(ii)为进口许可和进关取得所需的文本表格(B2)
(iii)用己方的费用准备船只(B3)
(iv)接收货物(B4)
(v)风险负担为A5。但是,如果在合意的装船日或者装船期间没有将货物实施装船的情况,即使没有装船也要背负之后的风险责任(B5)
(vi)承担A5的时刻以后的成本。如果(v)的“但是”事项发生的情形,也要承担之后发生的成本(B6)
(vii)向卖方通知船舶名称、装船地、装船期间(B7)
其次,我们再来看一看CIF形式下买卖双方各自的义务和责任。
A. 卖方的责任
(i)FOB A(i)(A1)
(ii)FOB A(ii)(A1)
(iii)FOB A(iii)(A2)
(iv)通常条件下除安排至目的地港口的船舶(A3)
(v)实施保险契约(即购买保险)并将该证券交付买方(A3)
(vi)在约定的装船期限内将货物在船泊港装货(A4)
(vii)风险负担的转移与FOB A(vi)相同(A5)
(viii)承担商品的费用、装船成本以及出口相关成本(A6)
(ix)货物装船后向买方联络通知(A7)
(x)将到达目的港口为止的transport document交付于买方(A8)
B. 买方的责任
(i)FOB B(i)(B1)
(ii)FOB B(ii)(B2)
(iii)船只的安排属于买方的成本,但不是责任(B3)
(iv)接收货物并且在装船港交接(B4)
(v)风险负担为A5。但是,向卖方通知装船时间、装船地等事宜发生怠慢的情形,事实上即使没有装船,但承担其后发生的风险(B5)。与FOB的B5不同的是:不承担因船舶原因造成的延迟的风险。
(vi)通知装船时间和船泊港口(B7)
4. 信用证(Letter of credit)
主要的信用证种类:
(1)取消不能信用证(Irrevocable Credit)
(2)取消可能信用证(Revocable Credit)
(3)确认信用证(Confirmed Credit)
(4)无确认信用证(Unconfirmed Credit)
(5)转让可能信用证(Transferable Credit)
(6)旋转信用证(Revolving Credit)
第二节 国际契约的构成
1. 国际契约的构成要素
①当事人的意思
②业界习惯
③法律和其他补充规则
2. 英美法的几个基本概念
①判例法(case law)
②联邦制(federal system)
③普通法(common law)
④平衡法(equity)
⑤口头证据的原则(Parol evidence rule)
3. 契约书的目的和必要性
①法律的有效要件(如:根据美国商法典UCC的规定,凡超过500美元的商品买卖契约必须通过书面形式实施)
②证据性(通过书面的形式容易立证)
③可以对当事人进行精神心理上的拘束(约束)
④对当事人的交易活动行为制定基本的规则和约束
⑤具有纷争解决的机能
⑥契约的大前提是不能忘记商业交易本身的特质
4. 契约的成立要件
①要约(offer)和承诺(acceptance)=合意(agreement)的成立
②对价关系(consideration)的存在
③不存在抗辩事由(defenses,比如缔结能力、欺诈、强迫、错误、公序良俗、强行法规、违反书面性要求等等契约取消事由)
5. 契约书的基本构成和“型”
契约书的基本构成
·标题(title)
·当事人(parties)
·前文(premises,recitals)
·本文(operative provisions)
·一般条款(general provisions)
·结语(closing)
·署名(signature)
·附属文件(schedule,attachment exhibit,annex,appendix)
英文国际契约的 “型”:
SALES GREEMENT
This Agreement entered into this 21st day of January ,2000 by ABC Corporation ,a company organized and existing under the laws of the State of California ,having its principal place of business at (hereinafter called the “seller”) and XYZ, a company organized and existing under the laws of ,having its principal place of business at(hereinafter called the “buyer” )
WITNESSETH
WHEREAS, the Buyer requires a supply of semiconductors hereinafter more particularly specified; and
WHEREAS, THEREFORE, in consideration of the foregoing and the obligations hereunder, the parties hereto as follows:
Article 1. DEFINITIONS
In this Agreement ,the following terms have the following meanings:
(a) “Dollars” means the lawful currency of the United States of America.
(b) “Products” means semiconductors to produced and supplied by the Seller in accordance with the Specifications.
(c) …
Article 2. SALE OF PRODUCTS
The Seller sball ,sell the Products to the Buyer subject to the terms and conditions hereunder.
[中略]
Article 4.TERMINATION
Either party may terminate this Agreement by notifying the other party in writing;
(a) if the other party goes bankrupt,
(b) if the other party breaches any provision hereof,HEREAS
(c) …
[中略]
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by their duly authorized representatives in duplicate as of the clay and year first above written. each party retaining one original
The Seller: ABC Corporation
Name: John Smith
Title: President
The Buyer: XYZ
Name: Shang hai
Title: Representative Director
6. 契约的类型
①商品买卖契约(sale of goods contract)
②销售代理契约(dealer/distributor agreement)
③销售契约(dealer/distributor agreement)
④建设工事契约(construction agreement)
⑤技术援助契约(技术转让契约)(technical licence agreement )
⑥合办事业契约(joint venture agreement)
⑦M&A(公司股票·资产的收购)契约(merger & acquisition agreement)
⑧租赁契约(lease agreement)
⑨服务契约(策划契约、人才派遣契约)(service agreement)
⑩融资(loan)契约、担保权设定(mortgage)契约、保证(guarantee)契约
{11}雇用契约(employment agreement)
{12}预备性合意(letter of intent)
7. 英文契约中的一些英语表现形式
①动词与名词的组合不如直接用动词来表示而显得直接简明:
enter into a compromise and settlement agreement settle
give consideration to consider
have knowledge of know
make application apply
make an appointment appoint
make a decision decide
make payment pay
make reference to refer to
reach a resolution resolve
sign a contract (with) contract (with)
②be+动词用动词替换的例子:
be amendatory of amend
be benefited by benefit from
be binding upon bind
be desirous of desire, wish, want
be in agreement agree
be in dispute over dispute, disagree
be in the exercise of due care exercise due care
be in receipt of have received
be possessed of possess
③用助动词来替换的例子:
be able to can
be authorised to may
be empowered to may
be required to shall, must
be unable to cannot, may not
第一部分
国际契约的基本知识
This arrangement is not entered into, nor is this memorandum written, as a formal or legal agreement, and shall not be subject to legal jurisdiction in the law courts…, but it is only a definite expression and record of the purpose and intention of the… parties concerned to which they each honourably pledge themselves… It will be carried through… with mutual loyalty and friendly co-operation.
将到Ceylon赴任的丈夫A向因病留在英国的妻子答应每月寄送30英镑的生活补助费用,但是之后一直没有履行诺言。之后,夫妻离婚,妻子将丈夫告上了法庭。
丈夫在外发生了一夜情外遇后夫妻分居。丈夫向妻子承诺:如果妻子支付了共同名义的房产的按揭贷款(mortgage),就将房产改为妻子一个人的名义。应妻子的要求,丈夫还将这一承诺做成了书面的东西。
INCOTERMS 2000
Group E
Departure EXW Ex Works
Group F
Main carriage
unpaid FCAFASFOB Free Carrier Free Alongside ShipFree on Board
Group C
Main carriage
paid
CFR
CIF
CPT
CIP
Cost and Freight
Cost, Insurance and Freight
Carriage Paid To
Carriage and Insurance Paid To
Group D
Arrival
DAF
DES
DEQ
DDU
DDP
Delivered At Frontier
Delivered Ex Ship
Delivered Ex Quay
Delivered Duty Unpaid
Delivered Duty Paid
'
INCOTERMS 2000
Group E
Departure EXW Ex Works
Group F
Main carriage
unpaid FCAFASFOB Free Carrier Free Alongside ShipFree on Board
Group C
Main carriage
paid
CFR
CIF
CPT
CIP
Cost and Freight
Cost, Insurance and Freight
Carriage Paid To
Carriage and Insurance Paid To
Group D
Arrival
DAF
DES
DEQ
DDU
DDP
Delivered At Frontier
Delivered Ex Ship
Delivered Ex Quay
Delivered Duty Unpaid
Delivered Duty Paid
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