国家豁免与诉诸法院之权利——以欧洲人权法院的实践为中心

诉诸法院之权利系由欧洲人权法院根据《欧洲人权公约》第6条第1款发展而来。该权利可以予以限制，只要限制的目的合法且符合比例原则，并且经综合评估后没有侵犯诉诸法院之权利的核心。就国家豁免对诉诸法院之权利的限制而言，授予外国国家以豁免符合国际法，即目的合法。就比例原则而言，《联合国国家豁免公约》中的限制豁免规则正起着越来越大的作用，尤其是在涉及雇用合同、人身伤害等事项时，应保护申诉人诉诸法院之权利，限制国家援引国家豁免。欧洲人权法院的判决深刻地影响了各缔约国的国内法和相关实践，同时也受到缔约国实践的影响。在强行法与国家豁免的关系上，欧洲人权法院倾向于认为外国国家在缔约国法院享有国家豁免并不违反《欧洲人权公约》第6条第1款。     

从“天宇案”透视国家主权豁免问题

近年来,我国中央及其地方政府经常作为被告在美国法院被诉。就在2006年,加拿大天宇网络有限公司对四川省政府和成都市青羊区政府在美国法院提起诉讼,美国法院于2008年作出二审判决。此案涉及美国《外国主权豁免法》中关于延期提请移送管辖期限的特别规定、国家豁免的适用、商业活动例外条款的适用和"直接影响"的认定等法律问题。深入研究这一案件,有助于为今后涉诉案件寻求相应的抗辩理由及应诉措施,具有重要的现实意义。     

在国家管辖豁免中国家行为的性质认定

随着国家参与的经济活动越来越多,限制豁免理论逐渐发展成为国际习惯。如何认定国家行为,是限制豁免理论要解决的首要问题。国家行为是由合格的主体代表国家所从事的行为,判断国家行为的标准有"目的标准"和"性质标准"。从各国的司法实践来看,性质标准更具有合理性。我国已经从绝对豁免的立场向限制豁免的立场转变,但根据什么标准来认定国家行为,国内尚存在立法空白,因此,应尽快制定《外国主权豁免法》,以适应发展的要求。     

英国1978年国家豁免法

本法规定关于外国国家在联合王国起诉或被诉程序的新规则;规定确认《欧洲国家豁免公约》成员国法院所作针对联合王国的判决的效力;规定关于外国国家元首豁免权与特权的新规则;以及诸如此类的事项。     

论国际商事仲裁裁决执行中的国家豁免

主权国家在国际商事仲裁裁决执行中享有多大程度豁免,是主权国家参与仲裁实践带来的新问题。涉主权国家的国际商事仲裁裁决执行,要同时适用《纽约公约》和法院地的国家豁免规则。理论上,由于管辖豁免与执行豁免的分立,国家享有豁免的程度仍存有分歧。实践中,由于执行地法院只适用本国的国家豁免规则,同一仲裁裁决在不同国家法院的命运不尽相同。总体上,因限制豁免论的广泛采纳和支持仲裁政策的影响,涉主权国家的国际商事仲裁裁决有被执行的趋势。坚持绝对豁免论、分散而简单的立法、缺少规则积累的实践是目前我国在国家豁免领域的主要特点。理论上采纳限制豁免论、在不超出国际条约义务下尽快立法、实践注意规则的积累乃解决之道。     

国际海底沉船文物打捞争议的解决路径——以美国“奥德赛”案的审理为视角

“奥德赛”案对中国追索海外流失文物和应对在美进行的国家及财产豁免诉讼具有借鉴意义。长臂管辖与推定管辖是美国法院行使国际海底打捞对物诉讼管辖权的依据，但由于奥德赛公司打捞的沉船为西班牙军舰，美国法院适用《外国主权豁免法》，认为不仅军舰本身，而且军舰所载私人货物也享有豁免。因此，美国法院的对物诉讼管辖权被国家豁免排除，未进行实体审理即直接驳回奥德赛公司的诉讼请求。假若进行实体审理，美国法院不但不应支持奥德赛公司的财产权请求，而且对其因擅自打捞行为而主张的打捞费用和报偿也不应支持。     

国家管辖豁免原则的历史起源

本文指出,国家管辖豁免原则的历史起源,主要有外交特权与豁免、外国君主的个人豁免以及一些国家中存在的国内主权豁免制度。外交使节的管辖豁免是国家管辖豁免的最初表现形态;国家君主个人的豁免是国家管辖豁免概念的基础;国内主权豁免制度对形成国际法上国家管辖豁免原则的影响,集中体现在英美两国国内法院的有关判例上.     

对《联合国国家及其财产管辖豁免公约》侵权例外条款的分析

2004年由联合国大会通过并于2005年公开签署的《联合国国家及其财产管辖豁免公约》首次以国际公约的形式对限制豁免论进行了确立。我国签署了该公约,并已开始了有关国家豁免的立法进程。2005年10月25日,第十届全国人大常委会通过了《外国中央银行财产司法强制措施豁免法》。本文将选取公约第12条侵权例外条款分析条款内涵及各国国内法院的实践,对我国立法和实践提供一些借鉴。     

国家管辖豁免与强行法的关系初探——从德国诉意大利案分析

2012年2月3日,国际法院作出了德国诉意大利关于国家司法管辖豁免的判决,判决中对国家管辖豁免与强行法的关系的问题进行了论述,国际法院认为违反强行法不影响国家享有的管辖豁免权。国际法院的这一论断主要基于两者属于不同的规则体系,即国家管辖豁免属于程序规则,而强行法为实体规则。然而本文认为强行法本身处于国际法渊源中的最高位阶,应当优先于国家管辖豁免原则进行适用。     

瑞典国际民事诉讼制度初探

除了参加的有关国际公约和欧盟理事会有关规则以外 ,瑞典法院通常类推适用《司法程序法典》中有关法院特定管辖区的条款来解决国际民事诉讼的管辖权问题。域外送达依 1970年的《送达法》和《海牙送达公约》进行。《司法程序法典》对国际民事诉讼的起诉、答辩、反诉、临时保护措施、审理和判决以及上诉等问题作了规定。外国判决的执行依《判决执行法》、欧盟理事会的有关规则和《卢迦诺公约》及其参加的有关海牙公约的规定进行     

Federal old-age, survivors and disability insurance computation of benefits under totalization agreements--SSA. Notice of proposed rulemaking

Section 233 of the Social Security Act (the Act) authorizes the President of the United States to enter into Social Security agreements with foreign countries which permit the establishment of entitlement to benefits under title II of the Act by combining periods of coverage under the United States (U.S.) system and the system of the foreign country with which the U.S. has such an agreement. This process is called "totalization." We have gained a considerable amount of experience under the rules (Section 404.1918) for computing a totalization benefit while implementing the three agreements now in effect. That experience has shown that those rules are difficult to administer and that they can cause some undesirable results for benefit applicants. The rules also make it difficult to negotiate and implement additional agreements. In order to avoid administrative problems and other undesirable results we are proposing a new U.S. totalization benefit computation method which uses neither foreign earnings nor foreign coverage.     

Stolen Art Restitution Claims and the Exhaustion of Local Remedies: How Foreign-Based Plaintiffs are Able to Succeed Under the Foreign Sovereign Immunity Act

Stolen art restitution claims under the Foreign Sovereign Immunity Act (“FSIA”) present unique procedural issues that implicate the history, purpose, and objectives of the FSIA. At the forefront of these issues are how foreign-based plaintiffs are able to bring suits against foreign governments or foreign citizens in US Federal Courts. Whether these foreign-based plaintiffs must exhaust local remedies in their country of origin is another issue that these kinds of suits typically have courts resolve. This article provides answers to these issues through a historical discussion of the implementation of the FSIA and an analysis of recent case law.     

美国外资并购国家安全审查制度探析——兼论中国外资并购国家安全审查制度的构建

美国国会2007年通过的美国外国投资与国家安全法扩大了外国投资属于国家安全审查的范围,进一步改进了外国投资领域的国家安全审查制度。在外资并购领域加强国家安全审查制度是美国维护其国家利益的重要措施。为有效维护本国利益,我国也应建立外资并购领域国家安全审查制度。本文在分析美国外资并购领域国家安全审查制度的基础上,提出我国建立国家安全审查制度立法的建议。     

International Payoffs: Profits and Morality

Two years have passed since the Foreign Corrupt Practices Act was enacted by the U.S. Congress in 1977. Congressional intent was to sustain international confidence in U.S. business and institutions. However, ambiguities of the Act and the absence of international antibribery treaties led many U.S. businessmen to conclude that the Act put U.S. multinationals at a disadvantage in competing with foreign multinationals. This paper attempts: (1) to review the background of the Act, (2) to describe the major elements of the Act, and (3) to assess the effect of the Act on U.S. multinational companies.     

Civil monetary penalties, assessments and recommended exclusions. Final rules

These final rules reflect provisions of Public Law 106-169, the Foster Care Independence Act of 1999, and Public Law 108-203, the Social Security Protection Act of 2004, to provide new and amended procedures for SSA's civil monetary penalty cases filed pursuant to sections 1129 and 1140 of the Social Security Act . These final rules implement amendments to section 1129 of the Social Security Act (42 U.S.C. 1320a-8) to provide for the imposition of civil monetary penalties and/or assessments: against representative payees who convert Social Security benefits for a use other than for the use or benefit of the beneficiary; against those who withhold disclosure of material statements to SSA; and, against those who make false or misleading statements or representations or omissions of a material fact with respect to benefits or payments under title VIII of the Social Security Act. These final rules also implement amendments to section 1140 of the Social Security Act (42 U.S.C. 1320b-10) to: Add to the list of enumerated terms that may give rise to a violation of section 1140; and, provide for the imposition of civil monetary penalties against those who charge fees for products or services, otherwise provided free of charge by SSA, unless the offers provide sufficient notice that the product or service can be obtained free of charge from SSA.     

关于涉外婚姻家庭关系的法律适用立法探讨——兼评《涉外民事关系法律适用法》(草案)的相关规定

在理论上,涉外婚姻家庭关系的范围包括涉外婚姻的成立及效力、涉外夫妻关系、涉外离婚的条件与效力、涉外父母子女关系及其他涉外家庭关系。我国现行立法仅对涉外结婚、涉外离婚、涉外收养、涉外扶养等问题作出原则性规定。正在起草的《涉外民事关系的法律适用法》(草案)用专章规定了涉外婚姻家庭关系的法律适用规则,但其结构安排和内容仍值得进一步探讨。未来立法应按照婚姻家庭关系的内在逻辑要求,借鉴国际社会立法经验,制定符合我国国情的涉外婚姻家庭关系的法律适用规则。     

Equating U.S. Tax Treatment of Dividends and Capital Gains for Foreign Portfolio Investors

The U.S. tax law equates the tax rate on dividends and long‐term capital gains on stock owned by U.S. citizens and residents. However, the taxation of these two types of rewards in the hands of foreign portfolio investors remains dramatically different from each other, with the capital gain being fully exempt. Several reasons support this article's proposal to no longer exempt these gains. Extending finance theory and prior normative tax research, this article argues that foreigners’ portfolio dividends and capital gains should be taxed in the same manner because they are economically equivalent and emanate from the same source. Three recent empirical developments also support repeal of the foreigner's exemption. First, there is now extensive use by U.S. corporations of stock repurchases—which are taxed to selling shareholders as capital gain—as a form of corporate payout that was in the past primarily accomplished through dividends. Second, foreign ownership of U.S. stocks has continued to increase, with an estimated one‐third of these stocks owned by foreigners. Third, the modern tax compliance environment—including aspects of the Foreign Account Tax Compliance Act that apply to foreigners—reduces past congressional and academic concerns about enforcing the taxation of foreigners’ portfolio gains.     

外国判决在新加坡的承认与执行

外国判决可以通过两种程序在新加坡得到承认与执行.第一种是登记程序,其依据是<英联邦判决相互执行法>或者<外国判决相互执行法>.前者规定了在英联邦国家获得的判决在新加坡的相互执行;后者适用于给与新加坡判决在该外国的承认与执行以互惠待遇的非英联邦成员的国家.登记外国判决的程序规定在<高等法院规则第67号令>中.第二种是重新审理程序,即根据普通法,以外国判决为依据在新加坡法院提起诉讼.     

外资并购中维护我国经济安全的法律思考

外资并购可能威胁东道国经济安全是各国都面临的问题。美国、德国等发达国家都建立了较完善的法律制度规制外资并购,有效保障国家经济安全。我国目前对此问题还缺乏系统、有效的法律制约,因而,应尽快完善规制外资并购的法律制度,维护我国经济安全。     

MIS‐MATCHED: TAKING A STATE APPROACH TO ENFORCING THE GROWING INTERNATIONAL MATCHMAKING INDUSTRY

Each year, hundreds of U.S. men and foreign women find their future spouses through international matchmaking agencies. Foreign women are attracted to the opportunity for a life in America and men are offered money‐back guarantees to find the perfect wife. An alarming number of these unions however, have resulted in the abuse, exploitation and even death of foreign women at the hands of their U.S. citizen husbands. While the federal International Marriage Broker Regulation Act requires disclosure of a male client's criminal background history prior to communicating with a potential foreign bride, the Act does not impose any requirements for disclosure of information about the international marriage brokers themselves. Thus the peddlers behind the rapidly growing industry are largely unaccounted for, with no one really knowing who they are or where they are operating. This Note proposes that states fill the enforcement gap by adopting a statute requiring international marriage brokers to register and become certified to do business with state residents. This legislation will result in collecting much needed data on international marriage brokers, create more transparency in the international matchmaking industry and prevent potential violence and abuse of foreign women.