跨国破产管辖权冲突及解决办法研究

发布时间：2018-10-30 07:26

【摘要】：贸易投资的全球化和经济的不断发展使得跨国破产案件的数量越来越多。特别是全球经济危机出现的几年以来,全球金融市场可以说是进入了一段衰退时期。金融危机不仅带来了国内企业破产,也使得很多跨国企业纷纷陷入困境。一个企业的破产工作本身就具有复杂性,若是破产工作涉及到各个国家,那么此跨国破产工作的涉及面之广和复杂度之高可想而知。当然,跨国企业的破产是跨国破产工作的一种形式,跨国破产工作不仅包括跨国企业破产工作,还包括破产主体、破产客体还有破产内容都是涉外的破产。本文研究的是跨国破产工作的一系列问题中最关键的问题,即管辖权冲突问题。跨国破产中,因各国的司法实践和立法规定的不同,跨国破产会带来很多诸如法律如何适用的问题,由哪国的法院来管辖该案子的问题,确定此国法院有管辖权那么其所依赖的域外效力的理论原则又是哪一种的问题。在这很多的法律问题中,确定由哪国法院来管辖的问题是非常重要的,直接关系到另外的几个问题能否实现,甚至可以说是起到决定性作用。某国法院是否具有审理相关的跨国破产案件的管辖权,直接决定其作出的判决会不会得到他国的认可,继而影响此判决的执行进度。笔者写此文的出发点也是毕马威华振在某一跨国破产案中,外国判决作出后,没得到中国相应法院的确认就在国内开始采取措施,严重影响我国的司法主权。笔者探究此案背后的根本性问题是管辖权冲突的分配问题,在阅读大量中外文献、著作、学术论文等的基础上提出跨国破产管辖权冲突的相关解决办法。管辖权问题作为跨国破产案件要首先解决的问题,也是跨国破产案件破产程序开展后能否得以顺利进行的重要保障。各国法院争夺对跨国破产案件的管辖权引发冲突有很多原因造成,比如,各国政治制度不同导致确立标准的原则不同,相关当事人为了自己利益也在选择在哪国法院起诉前进行平衡等。一系列原因使得各国国内的破产立法规定不完善,国际上也没有形成一套完整的解决跨国破产管辖权的法律体系。笔者进一步对此做了研究,并在相关理论利弊分析、各国司法实务的执行影响基础上,提出相对合理的观点。本文除了导言和结语外,共计五章。第一章对跨国破产管辖权冲突及成因进行分析,明确跨国破产管辖权确立的重要意义。再进一步分析不同国际民商事管辖权理论在跨国破产中运用的利弊,以此作为理论基础对后面各国不同的管辖权原则进行分析。第二章对跨国破产域外效力的三种基本理论进行介绍,并对三种理论的各自优劣进行对比,提出新的理论。第三章对跨国破产管辖权冲突的模式进行分析,通过阐述美国、欧盟和联合国国际贸易法委员会等相关国家,法律上如何规定解决跨国破产管辖权问题,进行分析利弊为现在各国的跨国破产法的完善提供参考。第四章是跨国破产管辖权冲突的解决办法进行研究,此章是前三章铺垫基础上进行的总结,是本文的重要章节,提出通过各国在国内立法和国际法律不同层面解决管辖权冲突的方法。这一章也为第五章笔者分析如何完善中国跨国破产管辖权法律做了铺垫。第五章是通过前四章的铺垫对我国跨国破产管辖权冲突的完善提出建议。文章最后,笔者总结,鉴于我国的经济现状,我国应借鉴其他国家先进的立法经验,在此基础上根据中国的国情和与跨国破产相关立法的现状,提出合理建议。笔者主张要跟上国际合作的大步伐,完善国内立法。最终立足点在我国要从自身出发,发挥小圈的作用,完善跨国破产立法的同时,明确管辖权的立法理论与标准,争取在借鉴合理法律规范基础上便于解决司法实务问题,更深度的加入国际投资贸易中。
[Abstract]:The globalization of trade investment and the continuous development of the economy have led to an increasing number of cross-border insolvency cases. More than a few years after the global economic crisis, global financial markets can say they have entered a recession. The financial crisis has not only brought about bankruptcy of domestic enterprises, but also caused many transnational enterprises to be in trouble. The bankruptcy of an enterprise is inherently complex, and if it involves individual countries, the scope and complexity of this cross-border insolvency work is high. Of course, the bankruptcy of multinational enterprises is a form of transnational bankruptcy, and transnational bankruptcy not only includes the bankruptcy of multinational enterprises, but also the bankruptcy main body, the bankruptcy object and the bankruptcy content are foreign-related bankruptcy. This paper deals with the most critical issues in the series of problems of cross-border insolvency, namely, the issue of jurisdiction conflict. In transnational bankruptcy, because of the different national judicial practice and legislation, transnational bankruptcy brings a lot of problems, such as how the law applies, the court of which country has jurisdiction over the case, The question of which one of the theoretical principles of extraterritorial effects it relies on is determined by the jurisdiction of the Court of this State. In many of these legal issues, it is very important to determine the question of which court is to govern, directly to whether additional issues can be achieved, or even to play a decisive role. If the court had jurisdiction to hear the relevant cross-border insolvency cases, it was directly decided that the judgement it had made would not be recognized by his State, which in turn affected the progress of the enforcement of the sentence. The author's starting point is also that Bi Zhihua Zhen is in a transnational crime case, after the foreign judgment has been made, the confirmation of the corresponding court in China has not received the confirmation of the corresponding court in China, which seriously affects the judicial sovereignty of our country. On the basis of reading a lot of Chinese and foreign literature, works, academic papers and so on, the author puts forward the relevant solutions to the conflict of cross-border insolvency. The question of jurisdiction as a transnational bankruptcy case should be solved first, and it is also an important guarantee of whether the bankruptcy procedure of transnational bankruptcy cases can be carried out smoothly. There are many reasons for the conflict between national courts and the jurisdiction of cross-border insolvency cases, for example, the differences in the political systems of States lead to the different principles of establishing standards, and the parties concerned, for their own interests, are also choosing which countries to balance before prosecution. A series of reasons make domestic bankruptcy legislation imperfect, and there is no legal system to solve the transnational bankruptcy jurisdiction. On the basis of the analysis of the advantages and disadvantages of relevant theories, the author puts forward a relatively rational point of view. In addition to the introduction and the epilogue, this article sums up the total amount of money. The first chapter analyzes the conflicts and causes of transnational bankruptcy jurisdiction, and defines the significance of the establishment of transnational bankruptcy jurisdiction. Further analysis of the advantages and disadvantages of different international civil and commercial jurisdiction theory in cross-border insolvency, as a theoretical basis, makes an analysis of the different jurisdiction principles in the following countries. The second chapter introduces three basic theories of the extraterritorial effect of transnational bankruptcy, and compares the three theories, and puts forward a new theory. The third chapter analyzes the model of transnational bankruptcy jurisdiction conflict, and expounds how to solve the problem of transnational bankruptcy jurisdiction by elaborating the relevant countries such as the United States, the European Union and the United Nations Commission on International Trade Law. The analysis of advantages and disadvantages provides a reference for the perfection of transnational bankruptcy law in various countries. The fourth chapter is a study on the solution to the conflict of transnational bankruptcy jurisdiction. This chapter is the sum of the previous three chapters. It is an important chapter of this paper. It puts forward a method to solve the conflict of jurisdiction through different aspects of domestic legislation and international law. This chapter also discusses how to perfect the law of China's transnational bankruptcy jurisdiction. The fifth chapter is to make some suggestions on the perfection of the conflict of cross-border insolvency of our country through the foreshadering of the first four chapters. Finally, the author concludes that, in view of our country's economic situation, China should draw on the advanced legislation experience of other countries, and put forward reasonable suggestions based on China's national conditions and the current situation of relevant legislation related to transnational bankruptcy. The writer advocates to keep up with the great pace of international cooperation and perfect domestic legislation. The ultimate foothold in our country should start from itself, play the role of the small circle, perfect the legislation of transnational bankruptcy, clear the legislative theory and standard of jurisdiction, strive to solve the judicial practice problem on the basis of reference to the reasonable legal norm, and more deeply join the international investment trade.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D912.29

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