[本篇论文由上帝论文网为您收集整理，上帝论文网http://paper.5var.com将为您整理更多优秀的免费论文，谢谢您的支持]
——CompareandContrastbetweenUNIDROITandUNCITRALConventions
　　ByDongshengLu,ChenYan
　　
　　I.    Introduction
　　
　　Financingisparamountforthepromotionofcommerce.Ithasbeennotedthat“indevelopedcountriesthebulkofcorporatewealthislockedupinreceivables”.Astheeconomydevelops,thiswealthincreasingis“unlockedbytransferringreceivablesacrossnationalborders”.Withthepromptandgreatincreasesininternationaltrade,receivablesfinancingnowplaysamoreandmoreimportantrole.Yetunderthelawofmanycountries,certainformsofreceivablesfinancingarestillnotrecognized.Eventransactionsareinvolvedincountrieswheretheformofreceivablesfinancingispermitted,determiningwhichlawgovernswillbedifficult.Thedisparityamonglawsofdifferentjurisdictionincreasesuncertaintyintransactions,thusconstitutesobstaclestothedevelopmentofassignmentsofreceivables.Toremovesuchobstaclesarisingfromtheuncertaintyexistinginvariouslegalsystemsandpromotethedevelopmentofreceivablesfinancingcross-boarder,asetofuniformrulesinthisfieldisrequired.Theinternationalcommunityhasmadegreateffortsinadoptinguniformlaws.Amongthoseefforts,theUnitedNationsCommissiononInternationalTradeLaw(UNCITRAL)drafted,on12December,2001,“UnitedNationsConventionontheAssignmentofReceivablesinInternationalTrade”(hereinafterreferredtoasthe“UNCITRALConvention”),withitsaimto“establishprinciplesandtoadoptrulesrelatingtotheassignmentofreceivablesthatwouldcreatecertaintyandtransparencyandpromotethemodernizationofthelawrelatingtoassignmentsofreceivables”.UNCITRALisnotthefirstinternationalorganizationattemptingtoresolvetheproblemsassociatedwithreceivables.AsearlyasinMay1988,theInternationalInstitutefortheUnificationofPrivateLaw(UNIDROIT)hasalreadyadoptedaconventionknownasthe“UNIDROITConventiononInternationalFactoring”(hereinafterreferredtoasthe“UNIDROITConvention”).
　　
　　WhencompareandcontrastbetweentheUNIDROITConventionandtheUNCITRALConvention,onemightseealotofinconsistencyindetailedregulations,e.g.sphereofapplication,relationsbetweenparties,priorities,andchoiceoflaw,etc.Giventhelimitedspaceavailableinthisarticle,theauthormayonlyfocusonthedifferencein“sphereofapplication”ofthesetwoconventions,assphereofapplicationisperhapsthemostfundamentalissueofaconvention.
　　
　　Thepurposeofaninternationalconventionistocreateuniformityinitscoveredmatter,thusthebroaderaconvention’ssphereofapplicationis,thehighercoulduniformityreach.ThisarticlewilltrytomakecompareandcontrastthesphereofapplicationbetweentheUNIDROITConventionandtheUNCITRALConvention,illustratethedifferencesexistbetweenthesetwoconventions,anddemonstratetheexpansionofsphereofapplicationintheUNCITRALConventionanditsprogressonthewaytouniformity.
　　
　　II.    SphereofApplication:SubjectMatter
　　
　　Asitstitleindicates,thesubjectmatteroftheUNIDROITConventionisofcourseinternationalfactoring.Article1(1)says,“thisConventiongovernsfactoringcontractsandassignmentsofreceivablesasdescribedinthisChapter.”
　　
　　For“factoringcontract”,theUNIDROITConventionprovidesthefollowing4characteristics:
　　
　　(1)purposeofthecontractistoassignreceivables;
　　
　　(2)receivablestobeassignedarisesfromcontractsofsaleofgoodsmadebetweenthesupplieranditscustomers(debtors),otherthanthoseofsaleofgoodsboughtprimarilyforpersonal,familyorhouseholduse;
　　
　　(3)thefactoristoperformatleasttwoofthefourfunctions:(i)financeforthesupplier;(ii)maintenanceofaccounts(ledgering)relatingtothereceivables;(iii)collectionofreceivables;and(iv)protectionagainstdefaultinpaymentbydebtors;
　　
　　(4)noticeoftheassignmentofthereceivablesistobegiventodebtors.
　　
　　Asabout“assignmentsofreceivablesasdescribedinthisChapter”,article2(1)describesassignmentsofreceivablesasassignmentofreceivablespursuanttoafactoringcontract.
　　
　　Factoringisjustasubsetofthereceivablesfinancing,andperhapstheoldestandmostbasicone.Besidesfactoring,receivablesfinancingstillentailthefollowingforms,
　　
　　(1)    Forfeiting,similartofactoring,involvesthepurchaseordiscountingofdocumentaryreceivables(promissorynotes,forexample)withoutrecoursetothepartyfromwhomthereceivablesarepurchased;
　　
　　(2)    Refinancing,alsoknownassecondaryfinancing,involvesthesubsequentassignmentofreceivables.Initsbasicform,onebankorfinancierwillassigntoanotherbankitsinterest,withthepotentialforfurtherassignment;
　　
　　(3)    Securitization,inwhichbothmarketable(forexample,tradereceivables)andnon-marketable(consumercreditcardreceivables)assetcashflowsarerepackagedbyalenderandtransferredtoalender-controlledcompany,whichwillissuesecurities,sellandthenusetheproceedstopurchasethereceivables;
　　
　　(4)    ProjectFinance,inwhichrepaymentofloansmadebybanksorfinancierstoprojectcontractorsforthefinancingofprojectsaresecuredthroughthefuturerevenuesoftheproject.
　　
　　ThefirstdraftoftheUNCITRALConventionhasstatedtocoverfactoring,forfeiting,refinancing,securitizationandprojectfinance.Somehow,theworkinggroupdecidesthatratherthanemphasizetheforminwhichthereceivablesappear,itwouldinsteadconcentrateonthewayinwhichthereceivablesmightbetransferred(contractualornon-contractual)andthepurposeofthetransaction(forfinancingornon-financingpurposes).Itdecidesthecontractualreceivablesandassignmentmadetosecurefinancingandotherrelatedserviceswouldbecovered.Thenon-contractualreceivablessuchasinsuranceandtortreceivables,depositbankaccounts,orclaimsarisingbyoperationoflawseemsarenotwithintheambitsoftheUNCITRALconvention.
　　
　　III.SphereofApplication:SpecialRequirements
　　
　　Bothoftheconventionscontainaseriesofrequirements.Onlywhenthoserequirementsaresatisfied,couldtheconventionbeapplied.Thehigherandstrictertherequirementsare,thesmallerthechancetoapplytheconventionis.
　　
　　a)    Internationalityrequirement
　　
　　Boththetwoconventionsindicatetheirsphereofapplicationisofinternationalityrequirement,butthesamewordinthesetwoconventionshasdifferentlegalmeaning.TheinternationalityrequirementofUNIDROITConventionisexclusivelybaseduponthepartiestotheunderlyingcontract,i.e.thecontractofsaleofgoods(thesupplierandthedebtor)havingtheirplaceofbusinessindifferentcountries.I

[1] [2] [3] [4]  下一页