国际商法：英文本

PREFACExv

CHAPTER1IntroductiontoInternationalandComparativeLaw

A.WhatisInternationalLaw?1

B.TheMakingofInternationalLaw2

C.SourcesofInternationalLaw3

TreatiesandConventions3

Case1-1LegalStatusofEasternGreenland4

Custom5

Case1-2TheAsylumCase7

GeneralPrinciples8

D.TheScopeofInternationalLawinActualPractice8

ThePracticeinInternationalTribunals8

ThePracticeinMunicipalCourts9

Case1-3SeiFujiiv.State10

E.InternationalPersons12

States12

Case1-4MatimakTradingCo.v.KhalilyandD.A.Y.KidsSportswearInc.13

Case1-5TheTrailSmelterArbitration18

Case1-6ArabRepublicofSyriav.ArabRepublicofEgypt21

InternationalOrganizations23

Case1-7ArabMonetaryFundv.HashimandOthers(No.3)24

Case1-8EunomiadiPorto&Co.v.ItalianMinistryofPublicEducation30

Case1-9S.A.RoquetteFreresv.CounciloftheEuropeanCommunity35

F.TheRightsofIndividualsunderInternationalLaw43

Case1-10DeSanchezv.BancoCentralDeNicaragua44

G.ComparisonofMunicipalLegalSystems46

TheRomano-GermanicCivilLawSystem47

Case1-11Raulinv.Fischer50

TheAnglo-AmericanCommonLawSystem52

TheIslamicLawSystem53

Case1-12LibyanAmericanOilCompany(LIAMCO)v.Governmentof

theLibyanArabRepublic54

ChapterQuestions58

ReviewProblem59

CHAPTER2StateResponsibilityandEnvironmentalRegulation61

Introduction61

A.StateResponsibility62

DoctrineofImputability62

Case2-1Youmansv.UnitedMexicanStates63

NonirnputadleActs64

Case2-2HomeMissionarySocietyCase64

FaultandCausation67

Case2-3TheKummerowandFuldaCases67

B.StandardofCare69

TheNationalStandard69

Case2-4CanteroHerrerav.Canevaro&Co.70

TheInternationalStandard72

Expropriation72

Case2-5ACSYNGOv.CompagniedeSaint-Gobain(France),SA73

Case2-6CaseConcerningBarcelonaTraction,Light,andPowerCompany,Ltd.(SecondPhase)77

DenialofJustice79

Case2-7Chattinv.UnitedMexicanStates79

C.Objections81

LackofStanding81

LackofNationality82

LackofaGenuineLink83

Case2-8CaseConcerningBarcelonaTraction,Light,andPowerCompany,Ltd.(SecondPhase)83

FailuretoExhaustRemedies85

OtherObjections86

D.Relief86

Case2-9ReLetelierandMoffitt86

E.Insurance89

PrivateInsurers89

NationalInvestmentGuaranteePrograms91

Case2-10IntheMatterofRevereCopperandBrass,Inc.and

OverseasPrivateInvestmentCorporation92

MultilateralInvestmentGuarantyPrograms96

EEnvironmentalRegulation96

RegulationofPollution98

Case2-11WerkgroepNoordzeeetal.v.MinisterforPublicHealthandEnvironmentalMatters100

ProtectionofNaturalResources104

LiabilityforEnvironmentalDamage105

ChapterQuestions106

ReviewProblem107

CHAPTER3DisputeSettlement109

A.SettlementofDisputesthroughDiplomacy109

Negotiation109

Mediation110

Inquiry110

B.SettlementofDisputesinInternationalTribunals111

InternationalCourtofJustice111

Case3-1CaseConcerningtheMilitaryandParamilitaryActivitiesinandagainstNicaragua

(JurisdictionandAdmissibility)(DissentingOpinion)115

WorldTradeOrganizationDisputeSettlementProcedures118

Case3-2EuropeanCommunities--CustomsClassificationofCertainComputerEquipment120

Case3-3Japan--TaxesonAlcoholicBeverages124

InternationalCenterfortheSettlementofInvestmentDisputes125

Case3-4AMCOAsiaCorp.etal.(UnitedStates)v.Indonesia(ProvisionalMeasures)131

OtherArbitrationTribunals133

C.SettlementofDisputesinMunicipalCourts134

JurisdictioninCriminalCases134

Case3-5Attorney-GeneraloftheGovernmentofIsraelv.Eichmann135

JurisdictioninCivilCases138

Case3-6BumperDevelopmentCorp.,Ltd.v.CommissionerofPoliceof

theMetropolisandOthers(UnionofIndiaandOthers,Claimants)139

Case3-7Shellv.R.W.Sturge,Ltd.142

D.ImmunitiesofStatesfromtheJurisdictionofMunicipalCourts146

SovereignorStateImmunity146

Case3-8Sandersv.VeridianoII146

ActofStateDoctrine152

Case3-9Reginav.BattleandtheCommissionerofPolicefor

theMetropolisandOthers(ExPartePinochet)152

E.ChoosingtheGoverningLaw159

AgreementoftheParties60

StatutoryChoice-of-LawProvisions160

MostSignificantRelationship161

Case3-10BankofIndiav.GobindramNaraindasSadhwaniandOthers162

GovernmentalInterest164

Case3-11Reynov.PiperAircraftCompany(TrialCourtDecision)165

F.RefusaltoExerciseJurisdiction168

Case3-12PiperAircraftCompanyv.Reyno(SupremeCourtDecision)168

G.ProvingForeignLaw171

H.RecognitionofForeignJudgments172

ChapterQuestions173

ReviewProblem174

CHAPTER4TheMultinationalEnterprise176

Introduction176

A.TheBusinessForm177

BusinessFormsinCivilLawStates177

BusinessFormsinCommonLawStates181

Case4-1PuertoRicov.Russell&Co.etal.184

TheImportanceoftheSeparateLegalIdentityofJuridicalEntities189

Case4-2CaseConcerningBarcelonaTraction,LightandPowerCo.(SecondPhase)190

B.TheMultinationalOrganization192

TheParentCompany192

TheSubordinateStructure197

C.InternationalRegulationofMultinationalEnterprises198

D.HomeStateRegulationofMultinationalEnterprises199

UnfairCompetitionLaws199

Case4-3UnitedStatesv.AluminumCo.ofAmerica202

Case4-4AtdstroemOsakeyhtioev.CommissionoftheEuropeanCommunities205

Case4-5MidlandBank,Plc.etal.v.LakerAirways,Ltd.etal.210

ProductsLiabilityLaws212

Case4-6AsahiMetalIndustryCo.,Ltd.v.SuperiorCourtofCalifornia,SolanoCounty216

Case4-7DowChemicalCompanyandShellOilCompanyv.CastroAlfaroetal.221

SharpPractices226

Case4-8UnitedStatesv.Blondek,Tull,Castle,andLowry227

E.HostStateRegulationofMultinationalEnterprises231

ConsenttotheJurisdictionoftheHostState231

CommonEnterpriseLiability231

Case4-9ToucheRossandCompanyv.BankIntercontinental,Limited232

PiercingtheCompanyVeil235

Case4-10GardenContaminationCase(No.2)236

ChapterQuestions238

ReviewProblem239

CHAPTER5ForeignInvestment241

A.ForeignInvestmentLawsandCodes241

NationalForeignInvestmentPolicies243

ScreeningForeignInvestmentApplications243

FormalandInformalApplicationProcess245

Reading5-1TheAdministrativeDiscretionofScreeningAuthorities245

ApprovalofForeignInvestmentApplications248

Case5-1ArabRepublicofEgyptv.SouthernPacificProperties,Ltd.etal.248

BusinessForms250

Case5-2RafhanMaizeProductsCompany,Ltd.v.MonopolyControlAuthorityetal.251

LimitationsonForeignEquity254

SectoralLimitations254

GeographicLimitations255

Case5-3Bradyv.Brown256

FreeZones260

Case5-4NissanMotorMfg.Corp.,U.S.A.v.UnitedStates261

ForeignInvestmentGuarantees265

B.SupervisionofForeignInvestment268

Start-UpStandards268

OperationalReviews268

ModificationofForeignInvestmentAgreements268

ProtectionofSubsidiaries268

Case5-5CaseConcerningElettronicaSicula,SpA272

PenaltiesforNoncompliance275

C.SecuritiesRegulations275

Securities275

TradinginSecurities276

SecuritiesExchanges276

IssuanceofSecurities278

ClearanceandSettlementProcedures279

Case5-6Batchelderv.Kawamoto281

InsiderTradingRegulations283

Case5-7UnitedStatesv.O'Hagan284

TakeoverRegulations289

D.EnforcementofSecuritiesRegulationsInternationally292

MemorandumsofUnderstanding292

TheConventiononInsiderTrading293

ExtraterritorialApplicationofU.S.SecuritiesLaws293

Case5-8SecuritiesandExchangeCommissionv.Knowles294

ChapterQuestions297

ReviewProblem298

CHAPTER6MoneyandBanking300

A.Money300

TheValueofMoney301

TheChoiceofMoney302

Case6-1RepublicofArgentinaetal.v.Weltover,Inc.etal.302

MaintainingMonetaryValue304

B.TheInternationalMonetaryFund306

OriginoftheIMF306

IMFQuotas307

Case6-2ReLawAuthorizinganIncreaseintheFrenchQuotato

theInternationalMonetaryFund309

OrganizationoftheIMF311

IMFOperations312

C.CurrencyExchange312

CurrencyExchangeObligationsofIMFMemberStates312

EnforcementofExchangeControlRegulationsofIMFMemberStates313

Case6-3DeBoer,WidowMoojenv.Ducroetal.314

Case6-4Wilson,Smithett&Cope,Ltd.v.Terruzi317

EnforcementofExchangeControlLawsintheAbsenceoflMFMembership320

Case6-5Menendezetal.v.SaksandCompanyetal.321

EnforcementofOtherIMFMemberStateCurrencyExchangeObligations323

ExemptionsforNewMembersfromIMFMemberStateCurrencyExchangeObligations324

D.CurrencySupport324

IMFFacilities324

IMF"Conditionality"325

Reading6-1CurrencyCrises:TheRoleofMonetaryPolicy326

E.DevelopmentBanks327

F.TheBankforInternationalSettlements328

TheCentralBank'sBank329

PromoterofInternationalMonetaryCooperation329

AgentforInternationalSettlements330

G.RegionalMonetarySystems330

H.NationalMonetarySystems332

NationalMonetaryOrganizations332

BankDeposits333

Case6-6TheBanker'sCase333

Reading6-2IslamicBanking334

EurocurrencyDeposits337

TheInterbankDepositMarket337

TheForeignExchangeMarket338

ForeignExchangeContracts339

Case6-7Huntetal.v.AllianceNorthAmericanGovernmentIncomeTrust,Inc.etal.340

Arbitrage343

TheTransferofMoney343

BranchBanking343

Case6-8InreSealedCase344

Case6-9VishipcoLineetal.v.ChaseManhattanBank,N.A.347

Case6-10LibyanArabForeignBankv.BankersTrustCompany350

ChapterQuestions351

ReviewProblem352

CHAPTER7TradeinGoods354

A.HistoryofContemporaryInternationalTradeLaw354

TheBrettonWoodsSystem355

The1947GeneralAgreementonTariffsandTrade356

MultilateralTradeNegotiations357

TheUruguayRound358

TheFinalActEmbodyingtheResultsoftheUruguayRoundofMultilateralTradeNegotiations361

B.TheWorldTradeOrganization362

TheWTOAgreement363

MembershipoftheWTO363

StructureoftheWTO364

DecisionMakingwithintheWTO366

Waivers367

DisputeSettlement367

TradePolicyReview367

C.The1994GeneralAgreementonTariffsandTrade369

DirectEffect369

Case7-1FinanceMinistryv.ManifatturaLaneMarzotto,SpA370

Nondiscrimination371

Case7-2Japan--TaxesonAlcoholicBeverages372

ProtectionthroughTariffs376

Transparency377

RegionalIntegration377

CommodityArrangements379

EscapeClause379

Exceptions380

Case7-3UnitedStates--ImportProhibitionofCertainShrimpandShrimpProducts380

ExportControls385

D.MultilateralTradeAgreements389

CustomsValuation389

Case7-4OrbisphereCorp.v.UnitedStates390

PreshipmentInspection393

TechnicalBarrierstoTrade394

SanitaryandPhytosanitaryMeasures396

Case7-5Australia--MeasuresAffectingImportationofSalmon396

Trade-RelatedInvestmentMeasures401

Import-LicensingProcedures401

Antidumping401

Case7-6AustralianPaperLtd.v.Anti-DumpingAuthority403

SubsidiesandCountervailingMeasures406

Safeguards409

Agriculture410

TextilesandClothing411

RulesofOrigin412

ChapterQuestions413

ReviewProblem415

CHAPTER8ServicesandLabor417

Introduction417

A.GeneralAgreementonTradeinServices417

TheFrameworkAgreement418

Case8-1EuropeanCommunities--RegimefortheImportation,

Sale,andDistributionofBananas419

GATSAnnexes427

GATSSchedulesofSpecificCommitments427

B.RegionalIntergovernmentalRegulationsonTradeinServices427

EuropeanUnionLawonTradeinServices427

Case8-2Commissionv.Germany428

ProvisionsGoverningTradeinServicesintheNorthAmericanFreeTradeAgreement431

C.TheInternationalLaborOrganization432

InternationalLaborStandards433

InternationalLaborOrganizationReports434

SettlementofDisputesbetweenILOMemberStates435

SettlementofDisputesbetweenIntergovernmentalOrganizationsandTheirEmployees437

Case8-3Dubergv.UNESCO437

D.RegionalIntergovernmentalRegulationsonLabor439

EmploymentLawsintheEuropeanUnion439

EmploymentStandardsoftheOrganizationforEconomicCooperationandDevelopment441

Case8-4InreBadger,Inc.(CaseStudy)443

ProtectionofWorkers'RightsbytheCouncilofEurope445

TransnationalOrganizedLabor447

E.MovementofWorkers447

Case8-5Statev.Nagami448

Visas450

Case8-6Republicv.MussaandFiveOthers450

Case8-7EnglandandAnotherv.Attorney-GeneralofSt.Lucia454

Reading8-1TheSovietInternalPassportSystem456

RegulationofForeignWorkers458

Case8-8Georgev.InternationalAirServiceCo.,Ltd.458

Case8-9Spiessetal.v.C.Itoh&Co.(America),Inc.461

ApplicationofHomeStateLaborLawsExtraterritorially463

Case8-10Morelliv.Cedel463

ChapterQuestions466

ReviewProblems467

CHAPTER9IntellectualProperty468

Introduction468

A.TheCreationofIntellectualPropertyRights469

Copyrights469

Case9-1PerformingRightSociety,Limitedv.Hickey472

Case9-2Subafilms,Ltd.v.MGM-PatheCommunications478

Patents483

Case9-3MonsantoCo.v.CoramandalIndagProducts,(P)Ltd.486

Case9-4India-PatentProtectionforPharmaceuticalandAgriculturalChemicalProducts490

Trademarks494

Case9-5Sengokuv.RMCInternational497

Know-How500

B.InternationalIntellectualPropertyOrganizations501

WorldIntellectualPropertyOrganization501

CouncilforTrade-RelatedAspectsofIntellectualPropertyRights502

C.IntellectualPropertyTreaties503

ComprehensiveAgreements503

ArtisticPropertyAgreements505

IndustrialPropertyAgreements507

D.TheInternationalTransferofIntellectualProperty509

E.LicensingRegulations510

TerritorialRestrictions512

Case9-6ConstenandGrundigv.Commission515

ExportRestrictions519

Cartels520

ExclusiveLicenses521

Case9-7Ransome-Kutiv.Phonogram,Ltd.521

SalesandDistributionArrangements523

Price-Fixing523

NoncompetitionClauses524

ChallengestoValidity524

TyingClauses525

QuantityandField-of-UseRestrictions525

RestrictionsonResearchandDevelopment526

QualityControls527

Grant-BackProvisions527

RestrictionsThatApplyaftertheExpirationofIntellectualPropertyRights528

RestrictionsThatApplyaftertheExpirationoftheLicensingAgreement529

ECompulsoryLicenses530

Patents530

Copyrights531

ChapterQuestions531

ReviewProblem533

CHAPTER10Sales535

A.UnitedNationsConventiononContractsfortheInternationalSaleofGoods535

B.TransactionsCoveredinCISG536

OptingInandOut536

SalesDefined536

GoodsDefined537

MixedSales538

C.ContractualIssuesExcludedfromtheCoverageofCISG539

IllegalityandIncompetency539

Third-PartyClaimsandPersonalInjuries539

Preemption539

D.InterpretingCISG542

TheConvention542

GeneralPrinciples543

RulesofPrivateInternationalLaw544

E.InterpretingSalesContracts544

StatementsandConductoftheParties544

Negotiations545

Case10-1MCCMarbleCeramicv.Ceramica545

PracticesandUsages550

Form550

EFormationoftheContract552

TheOffer552

EffectivenessofanOffer553

Acceptance554

Case10-2UnitedTechnologiesInternational,Inc.v.MagyarLegiKozlekedesiVallalat556

AcceptancewithModifications559

Case10-3Filanto,SpAv.ChilewichInternationalCorp.560

G.GeneralStandardsofPerformance562

FundamentalBreach562

Avoidance562

RequestsforSpecificPerformance562

H.Seller'sObligations563

PlaceforDelivery563

TimeforDelivery564

TheTurningOverofDocuments564

ConformityofGoods564

I.Buyer'sObligations565

PaymentofthePrice566

Case10-4TheNaturalGasCase566

TakingDelivery569

J.ThePassingofRisk569

AgreementoftheParties569

MeansofDelivery569

BreachofContract570

K.Remedies571

Buyer'sRemedies571

Reading10-1TheBuyer'sRighttoAvoidtheContract572

Case10-5TheShoeSeller'sCase573

Case10-6S.V.Braun,Inc.v.Alitalia-LineeAereeItaliane,SpA576

Seller'sRemedies577

RemediesAvailabletoBothBuyersandSellers579

Case10-7DelchiCarrier,SpAv.RotorexCorporation581

L.ExcusesforNonperformance585

ForceMajeure585

Case10-8NuovaFucinati,S.p.A.v.FondmetallInternational,A.B.585

DirtyHands587

ChapterQuestions588

ReviewProblem589

CHAPTER11Transportation590

A.TradeTerms590

Case11-1Pestanav.KarinolCorporationetal.591

ANoteontheIncoterms592

"Free"Terms597

FOB--FreeonBoard597

Case11-2PyreneCo.,Ltd.v.ScindiaNavigationCo.,Ltd.599

FAS--FreeAlongside602

CIF--Cost,Insurance,andFreight602

CFR--CostandFreight602

Case11-3PhillipsPuertoRicoCore,Inc.v.TradaxPetroleum,Ltd.604

DES--DeliveredExShip607

FCA--FreeCarrier608

EXW--ExWorks609

B.Transportation609

C.InlandCarriage610

D.CarriageofGoodsbySea611

CommonCarriage611

TheBillofLading611

Case11-4M.Golodetz&Co.,Inc.v.Czarnikow-RiondaCo.,Inc.(TheGalitia)613

Case11-5BarclaysBank,Ltd.v.CommissionersofCustomsandExcise617

Carrier'sDutiesunderaBillofLading620

Carrier'sImmunities621

Case11-6GreatChinaMetalIndustriesCo.Ltd.v.MalaysianInternationalShippingCorp.621

LiabilityLimits625

Case11-7Croft&ScullyCo.v.M/VSkulptorVuchetichetal.626

TimeLimitations628

Third-PartyRights(HimalayaClause)628

E.Charterparties628

VoyageCharterparties629

TimeCharterparties629

CharterpartiesandBillsofLading629

F.MaritimeLiens630

Case11-8TheChineseSemen'sForeignTechnicalServicesCo.v.

SotoGrandeShippingCorp.,SA631

G.MaritimeInsurance633

Perils633

Case11-9WesternAssuranceCo.ofTorontov.Shaw633

AverageClauses634

H.CarriageofGoodsbyAir635

Case11-10Abnettv.BritishAirwaysPlc.637

ChapterQuestions640

ReviewProblem641

CHAPTER12Financing643

A.FinancingForeignTrade643

B.BillsofLading644

C.BillsofExchange644

TheLawGoverningBillsofExchange644

TypesofBillsofExchange646

D.PromissoryNotes648

E.NegotiabilityofBillsandNotes650

Uncondit{onalPromiseorOrdertoPay650

DefiniteSumofMoneyorMonetaryUnitofAccount651

PayableonDemandorataDefiniteTime652

SignedbytheMakerorDrawer652

Case12-1Constantarasv.Anagnostopoulos652

F.TheNegotiationandTransferofBillsandNotes654

Assignment654

Negotiation654

Case12-2Millerv.Race655

ForgedEndorsements658

Case12-3Mairv.BankofNovaScotia658

LimitationsontheExcusesThatDrawersandMakersCanUsetoAvoidPayingOffaBillorNote661

LiabilitiesofMakers,Drawers,Drawees,Endorsers,andAccommodationParties662

Case12-4FarEastRealtyInvestment,Inc.v.CourtofAppealsetal.663

TheRoleofBanksinCollectingandPayingNegotiableInstruments665

Case12-5CharlesR.Allen,Inc.v.IslandCooperativeServicesCooperativeAssociation665

G.LettersofCredit667

GoverningLaw669

ApplyingforaLetterofCredit669

Case12-6TransTrustSprlv.DanubianTradingCo.,Ltd.672

DocumentaryFormalities673

AdvisingandConfirmingLettersofCredit675

TheObligationsofBanks675

Case12-7Sztejnv.J.HenrySchroederBankingCorp.678

RightsandResponsibilitiesoftheAccountParty680

RightsandResponsibilitiesofBeneficiaries680

H.FinancingForeignOperations681

PrivateSourcesofCapital681

GovernmentalSourcesofCapital681

RegionalandInternationalDevelopmentAgencies682

ChapterQuestions682

ReviewProblem684

CHAPTER13Taxation686

A.PurposesofTaxation686

Case13-1InReNaturalSweetWines687

B.IncomeTaxes689

C.Taxpayers695

CompanyTaxpayers695

SubordinateBusinessStructures696

Case13-2ReissandCompany(Nigeria),Ltd.v.FederalBoardofInlandRevenue702

D.BasesofIncomeTaxation706

NationalityPrinciple706

Case13-3Cookv.Tait,UnitedStatesCollectorofInternalRevenuefortheDistrictofMaryland707

ResidencyPrinciple708

Case13-4DeBeersConsolidatedMines,Ltd.v.Howe709

SourcePrinciple710

Case13-5BankoftheFederatedStatesofMicronesiav.

GovernmentoftheFederatedStatesofMicronesia715

InterrelationshipofTaxationBases716

PersonsImmunefromTaxation717

E.Income717

IncomeCategories717

ComputationofIncome718

IncomeTaxRates718

Case13-6MobilOil(Nigeria),Ltd.v.FederalBoardofInlandRevenue719

IntegrationofCompanyandPersonalIncomeTaxes720

OtherTax-GeneratingTransactions721

F.DoubleTaxation722

SystemsforRelieffromDoubleTaxation723

ComparisonoftheDoubleTaxationReliefSystems724

Case13-7DirectorGeneralofInlandRevenuev.RothmansofPallMall(Malaysia)Bhd.724

G.TaxTreaties726

CoverageofTaxTreaties727

BasisforTaxation727

DoubleTaxationProvisions728

Case13-8Johanssonv.UnitedStates728

H.TaxIncentives732

TaxSparing733

TheInteractionofTaxSystems733

I.TaxAvoidanceandEvasion734

TaxAvoidance734

Case13-9BarclaysBank,PLCv.FranchiseTaxBoardofCalifornia739

TaxEvasion747

Case13-10Kalov.CommissionerofInternalRevenue748

J.OtherFormsofTaxation752

TurnoverTaxes752

MiscellaneousTaxes760

ChapterQuestions760

ReviewProblem761

CaseIndex763

StatutoryIndex767

TopicalIndex775