notherwords,wherethereceivablesarisefromacontractofsaleofgoodsbetweenasupplierandadebtorwhoseplacesofbusinessareinthesameState,theUNIDROITConventioncouldnotapply,nomatterthefollowingassignmentofreceivablesistoassigneeinthesameordifferentState.Thusleavingtheinternationalassignmentofdomesticreceivablesuntouched.Theproblem,atitssimplest,istwofold:first,inconsistency.Forinstance,inthecasewhereabulkassignmentismadeandwherepartofthereceivablesaredomestic(supplieranddebtorareinthesameState)andpartareinternational(supplieranddebtorareindifferentState),ifthesupplierassignsthereceivablestoapartywhichislocatedinanotherState,thebulkassignmentbetweenthesamesupplierandthesameassigneewillbegovernedbytwosetsoflawsandregulations:theportionofinternationalreceivablesmaybegovernedbytheUNIDROITConventionwhilethedomesticonewillbelefttothejurisdictionofcertaindomesticlaw. Secondly,leavingtheinternationalassignmentofdomesticreceivablestothejurisdictionofvariouslawsystemsofdifferentStatescanmake“commercialpracticeuncertain,time-consumingandexpensive”.TheassigneeofreceivablesfromaforeignStatemaynotknowwhichState’slawgovernsthetransaction,and,ifthelawoftheassignor’sStateapplies,theassignee’srightswouldbesubjecttothevagariesofthatforeignlaw.Thisnodoubtwouldgreatlyimpedethedevelopmentofsuchtransaction. Cross-boarderreceivablesassignmentscallforauniformlaw.Fromthispoint,theUNIDROITconventiondoesnotsatisfythisrequirementonceandforall,forwhichithasbeenhighlycriticized. Basedonformerexperience,UNCITRALConvention’ssphereofapplicationisenlarged.Inthefirstarticle,itstatesthisconventionappliestoassignmentsofinternationalreceivablesandtointernationalassignmentsofreceivables.Anddefinesinarticle3thatareceivableisinternationalif,atthetimeofconclusionoftheoriginalcontract,theassignorandthedebtorarelocatedindifferentStatesandanassignmentisinternationalif,atthetimeofconclusionofthecontractofassignment,theassignorandtheassigneearelocatedindifferentStates.ThustheinternationalityrequirementofUNCITRALConventionactuallycontainstwointernationalitycriteria,andtheresultisthatthisconventioncouldbeappliedtoallassignmentsofreceivableswithinternationalelements,including:1)internationalassignmentofinternationalreceivables,wheretheassignor,assignee,anddebtorareinthreedifferentcountries;2)domesticassignmentsofinternationalreceivables,wheretheassignorandassigneeareinthesamecountry,andthedebtorisinanothercountry;and3)internationalassignmentofdomesticreceivableswheretheassignoranddebtorareinonecountryandtheassigneeinanothercountry.Inotherwords,thescopeofUNCITRALConventioncoversalltheassignmentofreceivablesexceptpuredomesticassignmentofdomesticreceivables(i.e.wheretheassignor,theassigneeandthedebtorareinthesamecountry)anditmaybeappliedonawiderangeofreceivablesfinancingininternationaltrade. b) LinktoContractingPartyRequirement Althoughinternationalityisrequiredbyboththetwoconventions,inorderforthetwoconventionstoapply,itisnotsufficientthattheinternationalityrequirementismet.Boththeconventionsrequirethereshallbealinkwithcontractingparty. AsintheUNIDROITConvention,article2(1)stipulatesthisconventionwouldapplywhenanyofthetworequirementsoflinkwithcontractingpartyaresatisfied, (a) thoseStatesandtheStateinwhichthefactorhasitsplaceofbusinessareContractingStates;or (b) boththecontractofsaleofgoodsandthefactoringcontractaregovernedbythelawofaContractingState. Thus,intheUNDIROITConvention,thelinktocontractingpartyrequirementistwofold:aterritorialoneandalegalone.Theconventionwouldapplywhenevereitherofthetworequirementsissatisfied. AsfortheUNCITRALConvention,italsocontainsaterritoriallinkrequirementforitsapplicationinarticle1(1),butdifferentfromtheUNIDROITConvention,itdoesnotcontainalegallinkasarticle2(1)(b)oftheUNIDROITConvention.Noprovisionscouldleadtotheapplicationofthisconventionwhentheterritorialrequirementisnotmet. Ifwecomparetheterritorialrequirementinthetwoconventions,wewouldfindtheregulationisnotidentical.TheUNIDROITConventionrequiresthefactor’splaceofbusinessisincontractingStateswhiletheUNCITRALConventionrequiresnotthefactor(assignee),buttheassignorhasitsplaceofbusinessincontractingStates.Whenprobingthereasonforthis,onehastotakeintoaccountthattheUNDROITConventionwasdraftedbyasmallgroupofexpertswhobasicallyrepresenttheinterestsofthefactor(banksandfinancinginstitutions).Theregulationmakeristoprotectthepreferentialandleadingpositionofbanks,andit’snosurprisingthattheUNDROITConventionchoosesfactor’splaceasconnectingpoint.Actuallyinthetwokindsoflegalrelationshipinareceivablesfinancing:theunderlyingtraderelationshipbetweenthesupplierandthedebtor,andthereceivablesassignmentbetweenassignor(supplier)andtheassignee,thekeyroleconnectingthesetwokindsofrelationshipisjusttheassignor,whowouldparticipateinboththetwotransactionsandplaythemostimportantrole.TheUNCITRALConventionrecognizesthekeystatusoftheassignorandputitsplaceofbusinessasconnectingpoint. Fortheconditionwherethepartiesinvolvedhavemultipleplacesofbusiness,thetwoconventionsalsomakedifferentprovisionsonit.TheUNIDROITConventionsolvestheproblemofidentifyingtheplaceofbusinessbyreferringto“theplaceofbusinesswhichhastheclosestrelationshiptotherelevantcontractanditsperformance.”However,theUNCITRALConventionreferstothe“placewhereitscentraladministrationisexercised”.Usingtheplaceof“centraladministration”tosubstitutefortheplace“hastheclosestrelationshiptotherelevantcontractanditsperformance”,theUNCITRALConventionchoosesamorefixedandstableconnectingpoint,whichcouldincreasethepredictabilityalot. c) RequirementontheReceivablesAssigned TheUNIDROITConventiondefinesreceivablesas“arisingfromacontractofsaleofgoodsbetweenasupplierandadebtor”andsupplementsthatgoodsandsaleofgoodsinthisconventionshallincludeservicesandthesupplyofservices.Obviously,theUNIDROITConventionwouldapplywhenthereceivablesassignedarearisingfromcontractsofsaleofgoodsandsupplyofservices. Meanwhile,article2(a)oftheUNCITRALConvention, 上一页 [1] [2] [3] [4] 下一页
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