聯(lián)合國(guó)跨境破產(chǎn)示范法及其參考意義
發(fā)布時(shí)間：2019-01-02 20:57
【摘要】：進(jìn)入20世紀(jì)以來(lái),經(jīng)濟(jì)全球化已經(jīng)成為不可扭轉(zhuǎn)的趨勢(shì),國(guó)際貿(mào)易日益昌盛,一批批跨國(guó)公司的崛起與衰落,造就了國(guó)際范圍內(nèi)有識(shí)之士對(duì)于進(jìn)行跨境破產(chǎn)立法研究的強(qiáng)烈呼聲。 本文首先簡(jiǎn)單闡釋了“跨境破產(chǎn)”的相關(guān)定義以及適用范圍,然后通過(guò)分析比較破產(chǎn)法學(xué)界長(zhǎng)期相對(duì)并存兩種理論:屬地主義原則和普遍主義原則,進(jìn)一步解釋每一原則的可取與不足之處。研究?jī)煞N理論的主要目的在于探究每一種法哲學(xué)背后所蘊(yùn)含的利益沖突,為下一步介紹兩個(gè)原則的延伸理論發(fā)展打下基礎(chǔ)。合作屬地主義及修正普遍主義作為兩種古典理論的發(fā)展派生,分別在各國(guó)破產(chǎn)立法跨境條款指導(dǎo)原則中占有一席之地,也各有利弊。但跨境破產(chǎn)法學(xué)界更傾加向于修正普遍主義,因該指導(dǎo)思想下立法賦予外國(guó)債權(quán)人同等待遇,更加符合破產(chǎn)法的立法原則。 在第二章中,作者詳細(xì)介紹了聯(lián)合國(guó)貿(mào)易法委員會(huì)在修正普遍主義作為主要指導(dǎo)思想下,綜合專家學(xué)者意見(jiàn),借鑒各國(guó)經(jīng)驗(yàn)教訓(xùn)的立法成果——《聯(lián)合國(guó)貿(mào)易委員會(huì)跨境破產(chǎn)示范法》,通過(guò)評(píng)述其特色條款內(nèi)容,譬如關(guān)于如何簡(jiǎn)化、快捷的承認(rèn)他國(guó)破產(chǎn)程序,以及承認(rèn)程序之后所能給予的救濟(jì)措施。進(jìn)而說(shuō)明當(dāng)今國(guó)際破產(chǎn)法現(xiàn)狀下如何最大化債務(wù)人資產(chǎn)價(jià)值,最大程度的保護(hù)全球范圍內(nèi)債務(wù)人利益。 由于《示范法》僅為世界各國(guó)制定跨境破產(chǎn)相關(guān)條款提供參考性法律框架,其文本價(jià)值只在被一國(guó)采納后具體實(shí)施中,才能得以體現(xiàn)。本文第三章通過(guò)采納《示范法》后的美國(guó)新破產(chǎn)法第15章與其原有第304條的對(duì)比,闡述了破產(chǎn)立法改革后的美國(guó)破產(chǎn)法如何在實(shí)踐中協(xié)調(diào)承認(rèn)外國(guó)破產(chǎn)程序,更好的保護(hù)國(guó)內(nèi)外債權(quán)人的利益。美國(guó)跨境破產(chǎn)規(guī)定中進(jìn)一步具體明確了有《示范法》中提出的債務(wù)人主要利益中心(center of main interest)這一概念,不過(guò)由于司法實(shí)踐中,通過(guò)事先推定債務(wù)人注冊(cè)所在地為利益中心所在地的方式,仍然缺乏如何通過(guò)遞交相反證據(jù)證明債務(wù)人的主要利益中心在其它地域,賦予法官過(guò)寬的自由裁量權(quán)也造成了有關(guān)案件的標(biāo)準(zhǔn)不一。 最后,本文簡(jiǎn)略介紹了2007年我國(guó)新破產(chǎn)法中第五條關(guān)于跨境破產(chǎn)的相關(guān)規(guī)定,新破產(chǎn)法的出臺(tái),一定程度上彌補(bǔ)了國(guó)家范圍內(nèi)跨境破產(chǎn)立法的空白,但具體措施略顯簡(jiǎn)略,尤其是面對(duì)我國(guó)兩岸三地港澳的不同法律制度以及相差頗為懸殊的破產(chǎn)法規(guī),致使司法實(shí)踐中很難處理過(guò)于復(fù)雜的跨境破產(chǎn)狀況。
[Abstract]:Since the 20th century, economic globalization has become an irrevocable trend, international trade is flourishing day by day, the rise and decline of a number of multinational corporations, Has created the international scope of insight for cross-border bankruptcy legislation research strong voice. This paper first briefly explains the definition of "cross-border bankruptcy" and its scope of application, and then analyzes and compares two theories: territorialism principle and universalism principle, which exist in bankruptcy law circles for a long time. Further explain the merits and shortcomings of each principle. The main purpose of the study of the two theories is to explore the conflicts of interest behind each philosophy of law, and to lay a foundation for the further development of the extended theory of the two principles. As the development and derivation of two classical theories, cooperative territorialism and modified universalism have their own advantages and disadvantages respectively in the guiding principles of cross-border clauses in bankruptcy legislation of various countries. However, the law of cross-border bankruptcy is more inclined to amend universalism, because the guiding ideology of legislation gives foreign creditors equal treatment, more in line with the legislative principles of bankruptcy law. In the second chapter, the author gives a detailed introduction to the United Nations Commission on Trade Law (UNCITRAL), which synthesizes the opinions of experts and scholars under the principle of revised universalism. Drawing on the legislative results of countries' experiences and lessons-the United Nations Trade Commission Model Law on Cross-Border Insolvency, by commenting on its distinctive provisions, such as how to simplify and quickly recognize insolvency proceedings in other countries, And relief measures that can be granted after the recognition procedure. Then it explains how to maximize the value of debtors' assets and protect the interests of debtors in the world under the current situation of international bankruptcy law. Since the Model Law only provides a reference legal framework for countries in the world to formulate relevant provisions on cross-border insolvency, its text value can only be reflected in the concrete implementation after being adopted by one country. In the third chapter, by comparing Chapter 15 of the new bankruptcy law of the United States after the adoption of the Model Law with its original article 304, the author expounds how the bankruptcy law of the United States after the bankruptcy legislation reform conciliates the recognition of foreign insolvency proceedings in practice. Better protect the interests of creditors at home and abroad. The concept of the debtor's centre of main interests (center of main interest) as set forth in the Model Law is further specified in the United States cross-border insolvency provisions, but due to judicial practice, By presupposing the location of the debtor's registration as the location of the centre of interest, there is still a lack of evidence to the contrary that the debtor's centre of main interests is located in other regions, Giving judges too much discretion has also led to differing standards in cases. Finally, this paper briefly introduces the relevant provisions of Article 5 on cross-border bankruptcy in 2007, the introduction of the new bankruptcy law, to a certain extent, to make up for the gap in cross-border bankruptcy legislation in the country, but the specific measures are a bit brief. Especially in the face of the different legal systems of Hong Kong and Macao on both sides of the strait and the quite different bankruptcy laws and regulations, it is very difficult to deal with the complicated cross-border bankruptcy in judicial practice.
【學(xué)位授予單位】：吉林大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2011
【分類號(hào)】：D996
本文編號(hào)：2398983
[Abstract]:Since the 20th century, economic globalization has become an irrevocable trend, international trade is flourishing day by day, the rise and decline of a number of multinational corporations, Has created the international scope of insight for cross-border bankruptcy legislation research strong voice. This paper first briefly explains the definition of "cross-border bankruptcy" and its scope of application, and then analyzes and compares two theories: territorialism principle and universalism principle, which exist in bankruptcy law circles for a long time. Further explain the merits and shortcomings of each principle. The main purpose of the study of the two theories is to explore the conflicts of interest behind each philosophy of law, and to lay a foundation for the further development of the extended theory of the two principles. As the development and derivation of two classical theories, cooperative territorialism and modified universalism have their own advantages and disadvantages respectively in the guiding principles of cross-border clauses in bankruptcy legislation of various countries. However, the law of cross-border bankruptcy is more inclined to amend universalism, because the guiding ideology of legislation gives foreign creditors equal treatment, more in line with the legislative principles of bankruptcy law. In the second chapter, the author gives a detailed introduction to the United Nations Commission on Trade Law (UNCITRAL), which synthesizes the opinions of experts and scholars under the principle of revised universalism. Drawing on the legislative results of countries' experiences and lessons-the United Nations Trade Commission Model Law on Cross-Border Insolvency, by commenting on its distinctive provisions, such as how to simplify and quickly recognize insolvency proceedings in other countries, And relief measures that can be granted after the recognition procedure. Then it explains how to maximize the value of debtors' assets and protect the interests of debtors in the world under the current situation of international bankruptcy law. Since the Model Law only provides a reference legal framework for countries in the world to formulate relevant provisions on cross-border insolvency, its text value can only be reflected in the concrete implementation after being adopted by one country. In the third chapter, by comparing Chapter 15 of the new bankruptcy law of the United States after the adoption of the Model Law with its original article 304, the author expounds how the bankruptcy law of the United States after the bankruptcy legislation reform conciliates the recognition of foreign insolvency proceedings in practice. Better protect the interests of creditors at home and abroad. The concept of the debtor's centre of main interests (center of main interest) as set forth in the Model Law is further specified in the United States cross-border insolvency provisions, but due to judicial practice, By presupposing the location of the debtor's registration as the location of the centre of interest, there is still a lack of evidence to the contrary that the debtor's centre of main interests is located in other regions, Giving judges too much discretion has also led to differing standards in cases. Finally, this paper briefly introduces the relevant provisions of Article 5 on cross-border bankruptcy in 2007, the introduction of the new bankruptcy law, to a certain extent, to make up for the gap in cross-border bankruptcy legislation in the country, but the specific measures are a bit brief. Especially in the face of the different legal systems of Hong Kong and Macao on both sides of the strait and the quite different bankruptcy laws and regulations, it is very difficult to deal with the complicated cross-border bankruptcy in judicial practice.
【學(xué)位授予單位】：吉林大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2011
【分類號(hào)】：D996
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