承诺函法律问题研究

发布时间：2019-04-17 06:32

【摘要】：承诺函,也包含安慰函,指的是政府为其下属机构或者母公司为其子公司融资,因此向贷款人所出具的,载明并表示支持且愿意为该下属机构或该子公司的清偿债务提供适当的帮助的书面文件。承诺函根据其内容及实践表现可分为知悉函,支持函,允诺函,代偿函。关于承诺函的识别目前主要有四种观点:承诺函只产生道义上的义务,不构成法律上的担保;承诺函产生人的担保法律效力,承诺函若因笨拙措辞同意取代子公司清偿债务,那实际上就是担保;承诺函是一种债务承担,债权人可以直接起诉承诺人要求还款;承诺函只产生固有的作为义务,即政策支持及允诺。在大多数的实例当中,相比于担保合同或者担保条款,承诺函的措辞要较为委婉,而且常常是模糊不清,难以认定的。在国际司法审判实践中,主要有英美法系的“文字解释法”,及大陆法系的“目的解释法”两种不同的方式来解释承诺函的法律效力。法国担保法制度首创将承诺函规定为独立担保形式。目前,世界上大多数的国家都并不是以法律的形式来直接地对承诺函的效力作出明确的规定,对于承诺函的效力的认定,国际社会上并没有统一的标准,各国法院往往是基于本国法律、本国利益,对承诺函的效力做出不同认定。实践中,各国通常都是根据承诺函的内容,来判断该承诺函是否构成担保、单方允诺或存在错误陈述等情形,而在对个案的审理过程中,根据案件所涉及的不同的事实来识别承诺函的性质,进而确定其效力。我国可考虑适用“目的解释法”与“文字解释法”相结合的方式,借鉴法国与德国等国家立法例,将具体的不同承诺函解释为单方允诺或保证合同,再行判断其有无法律效力,有何法律效力,出函者应该承担怎样的义务,例如仅在道义上负有督促借款人清偿款项的义务,仅负有在内部政策方面的支持义务,承诺保证一定所有者权益份额的义务,甚至承诺在借款人无法还清贷款时,将代为清偿,承担连带责任以保证债权得到实现的义务。由于我国《中华人民共和国担保法》第八条:“国家机关不得为保证人,但经国务院批准为使用外国政府或者国际经济组织贷款进行转贷的除外。”的规定,及论文研究方向的限定,本文内容以企业承诺函为限,不讨论政府承诺函的性质及法律效力。
[Abstract]:A letter of commitment, which also contains a letter of comfort, refers to the financing of a subsidiary by the government for its subsidiary or its parent company, and is therefore issued to the lender, A written document setting out and expressing support and willingness to provide appropriate assistance for the liquidation of obligations of the subsidiary or the subsidiary. According to its content and practice, the letter of commitment can be divided into notification letter, support letter, promise letter and indemnity letter. There are currently four main points of view regarding the identification of the letter of commitment: the letter of commitment creates only moral obligations and does not constitute a legal guarantee; The letter of commitment, which produces the legal effect of the person's security, is in effect a guarantee if it agrees to replace the subsidiary's obligation with clumsy wording; a letter of commitment is a debt undertaking, whereby creditors can directly sue the guarantor for repayment; The letter of commitment generates only the inherent obligations of action, namely policy support and promise. In most cases, the wording of a letter of commitment is more euphemistic than a guarantee contract or guarantee clause, and is often vague and difficult to identify. In the practice of international judicial trial, there are two different ways to explain the legal effect of the letter of commitment: the English and American legal system's "text interpretation Act" and the Continental Law system's "purpose interpretation Law". The French guarantee law system first stipulated the letter of commitment as a form of independent guarantee. At present, most of the countries of the world do not directly define the validity of a commitment letter in the form of a law, and there is no uniform standard in the international community for the determination of the validity of a commitment letter, National courts often make different determinations on the validity of a letter of commitment on the basis of their own laws and national interests. In practice, States usually determine whether the letter of commitment constitutes a guarantee, unilateral promise or misrepresentation, based on the content of the letter of commitment, and in the case of a case, Identify the nature of the letter of commitment on the basis of the different facts involved in the case and determine its validity. China may consider applying the combination of the purpose interpretation Law and the text interpretation Law, drawing lessons from France and Germany and other national legislative examples, to interpret specific letters of commitment as unilateral promises or guarantee contracts, and then to judge whether they have legal effect or not. What are the legal effects and what obligations should the sender undertake, such as the moral obligation only to urge the borrower to pay off the money, the obligation to support the internal policy only, and the obligation to guarantee a certain share of the owner's equity, Even when the borrower cannot pay off the loan, the borrower will pay off the loan and assume joint and several liability to guarantee the realization of the creditor's right. As Article 8 of the Law of the people's Republic of China on guarantee: "State organs shall not be guarantors, except for the use of loans by foreign governments or international economic organizations with the approval of the State Council." This paper is limited to the enterprise commitment letter and does not discuss the nature and legal effect of the government commitment letter.
【学位授予单位】：辽宁大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D923.3

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