本文關(guān)鍵詞： 聯(lián)合國國際貨物銷售合同公約 利息 利率　出處：《山東大學(xué)》2011年碩士論文　論文類型：學(xué)位論文

【摘要】：盡管《聯(lián)合國國際貨物銷售合同公約》第78條只包含一款,然而在整個公約中它卻是最有爭議的條款之一。公約第78條僅僅規(guī)定了債權(quán)人收取利息的一般權(quán)利,立法背景資料表明該條是折中和妥協(xié)的產(chǎn)物,如何確定利率便成為了公約最大的缺漏之一。司法實(shí)踐中的首要爭議是利率是否屬于公約的調(diào)整范圍,即利率是屬于公約的法定缺漏還是法定外缺漏。這是眾多學(xué)者在研究公約空缺問題時首先要闡明的問題。筆者贊同法定外缺漏的觀點(diǎn),即認(rèn)為利率屬于公約的調(diào)整范圍,在誠信原則、意思自治原則的指導(dǎo)下,可以適用充分賠償原則對其進(jìn)行補(bǔ)充。 盡管從有利于公約統(tǒng)一適用的角度,可以依據(jù)充分賠償原則來確定利率。然而依據(jù)該基本原則并不能具體地確定適用哪一個國家的何種利率。司法實(shí)踐中,在處理利率問題時,通常有如下方法：依據(jù)國際私法規(guī)則指引的準(zhǔn)據(jù)法確定利率、適用債權(quán)人所在國利率、適用債務(wù)人所在國利率、適用支付地之利率、適用法院地利率、適用支付貨幣所屬國之利率、依據(jù)一般原則或國際貿(mào)易慣例確定利率等等。各國法院及仲裁庭對公約第78條的不同理解累積了豐富的相關(guān)資料。通過對各國裁判實(shí)踐的具體分析,可以看出實(shí)踐中并沒有統(tǒng)一的做法。 公約第6條賦予了當(dāng)事人充分的意思自治。因此,當(dāng)事人完全可以在合同中約定具體的條款來表明適用何種具體利率或是協(xié)商確定利率的方法。這也是目前避免不確定性的最好方法。 毫無疑問,公約尚存在很多問題,需要結(jié)合學(xué)術(shù)研究成果和司法實(shí)踐經(jīng)驗(yàn)予以完善。筆者對公約文本第78條的修訂,提出以下建議：利率首先應(yīng)由當(dāng)事人根據(jù)意思自治原則協(xié)商確定。如果不能達(dá)成此類協(xié)議,則應(yīng)根據(jù)具體案情充分賠償債權(quán)人的利息損失,通常適用債權(quán)人營業(yè)地商業(yè)貸款利率或者參照支付貨幣國之利率。鑒于目前對公約大幅度修訂的可能性不大,各國法院及仲裁機(jī)構(gòu)應(yīng)該本著促進(jìn)公約統(tǒng)一適用的態(tài)度,致力于在本國內(nèi)部形成較為統(tǒng)一的做法。我國作為公約最早的締約國之一,應(yīng)當(dāng)在這一過程中發(fā)揮應(yīng)有的作用。
[Abstract]:Although article 78 of the United Nations Convention on contracts for the International Sale of goods contains only one paragraph, it is one of the most controversial provisions in the Convention as a whole. Article 78 of the Convention provides only the general right of creditors to receive interest, The legislative background shows that the article is the product of compromise and compromise. How to determine the interest rate has become one of the biggest gaps in the Convention. The primary dispute in judicial practice is whether the interest rate falls within the scope of the Convention's adjustment. That is, whether the interest rate belongs to the legal gap or the legal gap of the convention. This is the first question that many scholars should clarify when studying the vacancy of the convention. The author agrees with the viewpoint of the legal gap, that is, the interest rate belongs to the scope of adjustment of the convention. Under the guidance of the principle of good faith and autonomy of will, the principle of adequate compensation can be applied to supplement it. Although the interest rate may be determined on the basis of the principle of adequate reparation from a point of view conducive to the uniform application of the Convention... the basic principle does not, however, specifically determine which country's interest rate is applicable... in judicial practice, In dealing with the question of interest rates, there are usually the following methods: the applicable law under the rules of private international law determines the interest rate, which applies to the interest rate of the country in which the creditor is located, the interest rate of the debtor country, the interest rate of the place of payment, and the interest rate of the forum, The rate of interest applicable to the country in which the currency belongs, Setting interest rates on the basis of general principles or international trade practices, etc. The different interpretations of article 78 of the Convention by national courts and arbitral tribunals have accumulated a wealth of relevant information. We can see that there is no uniform practice in practice. Article 6 of the Convention confers full autonomy on the parties... It is perfectly possible for the parties to agree on specific clauses in the contract to indicate what specific interest rate is applicable or to negotiate a method of determining the interest rate, which is also the best way to avoid uncertainty at the moment. There is no doubt that there are still many problems in the Convention, which need to be perfected in combination with the achievements of academic research and judicial practice. The following suggestions are made: the interest rate shall be determined by the parties in accordance with the principle of autonomy of the will first. If such an agreement cannot be reached, the creditor shall be fully compensated for the loss of interest according to the circumstances of the case, Normally applicable to the interest rate on commercial loans at the creditor's place of business or by reference to the interest rate in the country in which the currency is paid. In view of the fact that a substantial revision of the Convention is not currently possible, national courts and arbitral institutions should adopt an attitude of promoting the uniform application of the Convention, China, as one of the earliest signatories to the Convention, should play its due role in this process.
【學(xué)位授予單位】：山東大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2011
【分類號】：D996.1;D997.1

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