青岛市中外合资经营企业清算条例

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交通部 商务部


外商投资国际海运业管理规定

　中华人民共和国交通部


　中华人民共和国商务部

令

2004年第1号



现公布《外商投资国际海运业管理规定》，自2004年6月1日起施行。



交通部部长　张春贤

商务部部长　薄熙来

　　　　　　　　 二○○四年二月二十五日






外商投资国际海运业管理规定



第一条　为规范对外商在中国境内设立外商投资企业从事国际海上运输业务以及与国际海上运输相关的辅助性经营业务的管理，保护中外投资者的合法权益，根据《中华人民共和国国际海运条例》（以下简称《海运条例》）和中华人民共和国外商投资的有关法律、行政法规，制定本规定。

第二条　外商在中国境内投资经营国际海上运输业务以及与国际海上运输相关的辅助性经营业务（以下简称国际海运业），适用本规定。

第三条　中华人民共和国交通部和商务部及其授权的部门负责外商在中华人民共和国境内投资设立经营国际海运业的外商投资企业的审批和管理工作。

第四条 经交通部和商务部批准，允许外商采用以下形式投资经营国际海运业：

（一）设立中外合资、中外合作企业经营国际船舶运输、国际船舶代理、国际船舶管理、国际海运货物装卸、国际海运集装箱站和堆场业务；

（二）设立中外合资、中外合作、外商独资企业经营国际海运货物仓储业务；

（三）设立中外合资、中外合作、外商独资企业为投资者拥有或者经营的船舶提供日常业务服务。

第五条 设立外商投资国际船舶运输企业，需符合如下条件：

（一）有与经营国际海上运输业务相适应的船舶，其中必须有中国籍船舶；
（二）投入运营的船舶符合国家规定的海上交通安全技术标准；
（三）有提单、客票或者多式联运单证；
（四）有具备交通部规定的从业资格的高级业务管理人员；

（五）以中外合资或中外合作企业形式设立，外商的出资比例不得超过49%；

（六）企业的董事长和总经理，由投资各方协商后由中方指定；

（七）法律、行政法规规定的其他条件。

第六条 设立外商投资企业经营国际船舶运输业务，应当首先根据《海运条例》及《中华人民共和国海运条例实施细则》（以下简称《海运条例实施细则》）的规定向交通部提出申请，经交通部许可后，申请人应根据国家外商投资法律、行政法规的规定，凭交通部的许可文件向商务部提交本规定第十五条规定的文件，到商务部办理外商投资企业的设立审批手续，取得《外商投资企业批准证书》。

申请人应当持交通部的许可文件和商务部颁发的《外商投资企业批准证书》等有关文件，依法向工商行政管理机关办理工商登记，领取营业执照。

外商投资国际船舶运输企业依法设立后，申请人应当持工商行政管理机关颁发的营业执照向交通部申领《国际船舶运输经营许可证》，取得许可证书后方可从事国际船舶运输经营活动。

第七条 设立外商投资国际船舶代理企业，需符合如下条件：

（一）高级业务管理人员中至少2人具有3年以上从事国际海上运输经营活动的经历。高级业务管理人员是指具有中级或中级以上职称、在国际海运企业或者国际海运辅助企业任部门经理以上职务的中国公民；
（二）有固定的营业场所和必要的营业设施，包括具有同港口和海关等部门进行电子数据交换的能力；

（三）以中外合资或中外合作企业形式设立，外商出资比例不得超过49%；

（四）法律、行政法规规定的其他条件。

第八条 设立外商投资企业经营国际船舶代理业务，应当首先根据《海运条例》及《海运条例实施细则》的规定向交通部提出申请，经交通部许可后，申请人应根据国家外商投资法律、行政法规的规定，凭交通部的许可文件向商务部提交本规定第十五条规定的文件，到商务部办理外商投资企业的设立审批手续，取得《外商投资企业批准证书》。

申请人应当持交通部的许可文件和商务部颁发的《外商投资企业批准证书》等有关文件，依法向工商行政管理机关办理工商登记，领取营业执照。

外商投资国际船舶代理企业依法设立后，申请人应当持工商行政管理机关颁发的营业执照向交通部申领《国际船舶代理经营资格登记证》，取得资格登记证后方可从事国际船舶代理经营活动。

第九条 设立外商投资国际船舶管理企业，需具备下列条件：

（一）高级业务管理人员中至少2人具有3年以上从事国际海上运输经营活动的经历；
（二）有持有与所管理船舶种类和航区相适应的船长、轮机长适任证书的人员；

（三）有与国际船舶管理业务相适应的设备、设施。

第十条 设立外商投资企业经营国际船舶管理业务，应当根据《海运条例》及《海运条例实施细则》的规定向交通部提出申请，经交通部许可后，申请人凭交通部的许可文件并提交本规定第十五条规定的材料，根据国家有关外商投资的法律、行政法规的规定向企业所在地省级人民政府商务主管部门办理《外商投资企业批准证书》。

外商投资国际船舶管理企业依法设立后，申请人应当持工商行政管理机关颁发的营业执照向企业所在地的省级人民政府交通主管部门申领《国际海运辅助业经营资格登记证》，取得登记证书后方可从事国际船舶管理经营活动。

第十一条 设立外商投资企业经营国际海运集装箱站和堆场业务、国际海运货物仓储，应当根据《海运条例》及《海运条例实施细则》的规定向交通部提出申请，经交通部许可后，申请人凭交通部的许可文件并提交本规定第十五条规定的材料，根据国家有关外商投资的法律、行政法规的规定向企业所在地省级人民政府商务主管部门办理《外商投资企业批准证书》。

外商投资国际海运集装箱站和堆场企业、国际海运货物仓储企业依法设立后，申请人应当持工商行政管理机关颁发的营业执照向企业所在地的省级人民政府交通主管部门申领《国际海运辅助业经营资格登记证》，取得登记证书后方可从事相关业务。

外商投资设立国际海运货物装卸企业，依照国家有关规定办理。

第十二条 对已经设立的外商投资企业申请增加经营国际海运或国际海运辅助性业务，应当按照本规定中设立相关外商投资国际海运企业的程序办理相应手续。

已经设立的外商投资国际海运企业设立分支机构，应当按照有关外商投资法律、行政法规的规定和《海运条例》及《海运条例实施细则》的规定分别到交通部和商务部或其授权的部门办理相应手续。

已经设立的外商投资国际海运企业的合营合同、公司章程中有关出资、股权结构、经营范围等重要内容进行变更的，应当按照有关外商投资法律、行政法规的规定到商务部或其授权部门办理相关手续。变更《海运条例实施细则》第二十一条规定事项的，应当向交通部备案。

第十三条　外国航运公司可以设立中外合资、中外合作、外商独资企业，为投资者拥有或者经营的船舶提供承揽货物、代签提单、代结运费、代签服务合同等日常业务服务，其申请设立程序依照交通部与商务部联合发布的外商独资船务公司审批管理的有关规定办理。

第十四条 在中国境内的外商投资企业经营无船承运业务，应依照《海运条例》及《海运条例实施细则》的规定，向交通部申请登记取得《无船承运业务经营资格登记证》，并依照外商投资的有关法律、行政法规的规定，到商务部办理审批手续。

第十五条 申请人向交通部提出申请，应当提交《海运条例》及《海运条例实施细则》规定的材料；向商务部或其授权部门提出申请的，应向审批机关提交如下材料：

（一） 申请书；

（二） 可行性研究报告；

（三）合营合同和合营公司章程（独资企业只报送章程）；

（四）投资者注册登记证明文件及资信证明文件；

（五）拟设立企业董事长和总经理的身份证明；

（六）法律、行政法规要求的其他文件。

第十六条 中国香港特别行政区、澳门特别行政区和台湾地区的投资者在中国其他省、自治区和直辖市投资设立国际海运及其国际海运辅助企业，参照本规定办理。

第十七条 根据国务院批准的《内地与香港关于建立更紧密经贸关系的安排》、《内地与澳门关于建立更紧密经贸关系的安排》及其附件的有关规定，自2004年1月1日起，允许香港和澳门的服务提供者在内地设立独资企业经营国际船舶管理、国际海运货物仓储、国际海运集装箱站和堆场、无船承运业务；允许香港和澳门的服务提供者在内地设立独资船务公司，为其拥有或者经营的船舶提供揽货、签发提单、结算运费、签订服务合同等日常业务服务。

第十八条 本规定由交通部和商务部负责解释。

第十九条　本规定自2004年5月1日起施行。




PROVISIONS ON ADMINISTRATION OF FOREIGN INVESTMENT IN INTERNATIONAL MARITIME TRANSPORTATION

(Promulgated by Decree No. 1 of the Ministry of Communications and the Ministry of Commerce on March 2nd, 2004, and effective as of June 1st, 2004)



Article 1 These Provisions are formulated in accordance with the Regulations of the People’s Republic of China on International Maritime Transportation (hereinafter referred to as the Maritime Transportation Regulations) and the relevant laws and administrative regulations of the People’s Republic of China on foreign investment, for the purposes of regulating the establishment of foreign-funded enterprises by foreign investors to engage in international maritime transportation business and auxiliary business relating thereto and safeguarding the lawful rights and interests of Chinese and foreign investors.



Article 2 These Provisions are applicable to the investment in and operation of international maritime transportation business and auxiliary businesses relating thereto (hereinafter referred to as international maritime transportation) by foreign investors within the territory of China.



Article 3 The Ministry of Communications and the Ministry of Commerce of the People’s Republic of China as well as their authorized agencies are responsible for the approval and administration of the establishment of foreign-funded enterprises within the territory of the People’s Republic of China by foreign investors to engage in international maritime transportation.



Article 4 With the approval of the Ministry of Communications and the Ministry of Commerce, a foreign investor may invest in and operate international maritime transportation in the following forms:

(1) to establish a Chinese-foreign equity joint venture or a Chinese-foreign contractual joint venture to engage in international shipping services, international shipping agency services, international ship management services, loading and unloading of international shipments and international maritime container freight station and container yard services;

(2) to establish a Chinese-foreign equity joint venture, a Chinese-foreign contractual joint venture or a wholly foreign-owned enterprise to engage in international maritime cargo warehousing services;

(3) to establish a Chinese-foreign equity joint venture, a Chinese-foreign contractual joint venture or a wholly foreign-owned enterprise to offer routine services for the vessels owned or operated by the investor.



Article 5 A foreign-funded international shipping enterprise to be established shall meet the following conditions:

(1) having vessels suitable for employment in international maritime transportation, among which there must be vessels of Chinese nationality;

(2) vessels under employment shall be in compliance with the technical standards for maritime traffic safety as set forth by the State;

(3) having bills of lading, passenger tickets or multimodal transportation documents;

(4) having senior executives with the professional qualifications as set forth by the Ministry of Communications;

(5) in case of establishing a Chinese-foreign equity joint venture or a Chinese-foreign contractual joint venture, the proportion of investment made by foreign investors shall not exceed 49%;

(6) the chairperson of the board of directors and the general manager shall be appointed by the Chinese side after consultation between the both sides;

(7) other conditions specified by laws or administrative regulations.



Article 6 Where anyone is to establish a foreign-funded enterprise to engage in international shipping services, it shall firstly make an application to the Ministry of Communications in accordance with the provisions of the Maritime Transportation Regulations and the Implementing Rules of the Regulations of the People’s Republic of China on International Maritime Transportation (hereinafter referred to as the Implementing Rules of the Maritime Transportation Regulations); if such application is approved by the Ministry of Communications, the applicant shall, in accordance with the laws and administrative regulations on foreign investment of the State and on the strength of the approval document issued by the Ministry of Communications, go through the approval procedures for establishing a foreign-funded enterprise with the Ministry of Commerce by submitting the documents specified in Article 15 of these Provisions and obtain the Approval Certificate for Foreign-funded Enterprise.

The applicant shall, by presenting the approval document issued by the Ministry of Communications, the Approval Certificate for Foreign-funded Enterprise issued by the Ministry of Commerce and other relevant documents, go through the industrial and commercial registration formalities with the administrative department for industry and commerce according to law and obtain the business license.

After the establishment of a foreign-funded international shipping enterprise, the applicant shall, by presenting the business license issued by the administrative department for industry and commerce, apply to the Ministry of Communications for obtaining the Permit for Operation of International Shipping Services. Only those that have obtained such Permit may engage international shipping services.



Article 7 A foreign-funded international shipping agency enterprise to be established shall meet the following conditions:

(1) having at least two senior executives with no less than three years’ experience in international maritime transportation business operations. The term “senior executives” refers to Chinese citizens who have secondary or higher technical or academic titles and serve as department managers or above in enterprises engaging in international maritime transportation business or the auxiliary business relating thereto;

(2) having a fixed place of business and necessary business facilities, including the ability to have electronic data interchange (EDI) with ports, the Customs and other departments;

(3) in case of establishing a Chinese-foreign equity joint venture or a Chinese-foreign contractual joint venture, the proportion of investment made by foreign investors shall not exceed 49%;

(4) other conditions specified by laws or administrative regulations.



Article 8 Where anyone is to establish a foreign-funded enterprise to engage in international shipping agency services, it shall firstly make an application to the Ministry of Communications in accordance with the provisions of the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations; if such application is approved by the Ministry of Communications, the applicant shall, in accordance with the laws and administrative regulations on foreign investment of the State and on the strength of the approval document issued by the Ministry of Communications, go through the approval procedures for establishing a foreign-funded enterprise with the Ministry of Commerce by submitting the documents specified in Article 15 of these Provisions and obtain the Approval Certificate for Foreign-funded Enterprise.

The applicant shall, by presenting the approval document issued by the Ministry of Communications, the Approval Certificate for Foreign-funded Enterprise issued by the Ministry of Commerce and other relevant documents, go through the industrial and commercial registration formalities with the administrative department for industry and commerce according to law and obtain the business license.

After the establishment of a foreign-funded international shipping agency enterprise, the applicant shall, by presenting the business license issued by the administrative department for industry and commerce, apply to the Ministry of Communications for obtaining the Registration for Operation of International Shipping Agency Services. Only those that have obtained such Registration may engage international shipping agency services.



Article 9 A foreign-funded international ship management enterprise to be established shall meet the following conditions:

(1) having at least two senior executives with no less than three years’ experience in international maritime transportation business operations;

(2) having staff members in possession of master’s or chief engineer’s documents of competence that are commensurate with the types of vessels under their management and the navigation zones;

(3) having the equipment or facilities commensurate with the international ship management services.



Article 10 Where anyone is to establish a foreign-funded enterprise to engage in international ship management services, it shall firstly make an application to the Ministry of Communications in accordance with the provisions of the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations; if such application is approved by the Ministry of Communications, the applicant shall, in accordance with the laws and administrative regulations on foreign investment of the State and on the strength of the approval document issued by the Ministry of Communications, go through the approval procedures for obtaining the Approval Certificate for Foreign-funded Enterprise with the competent commerce administration department of the people’s government of the province where such enterprise is to be located by submitting the documents specified in Article 15 of these Provisions.

After the establishment of a foreign-funded international ship management enterprise, the applicant shall, by presenting the business license issued by the administrative department for industry and commerce, apply to the competent communications administration department of the people’s government of the province where such enterprise is located for obtaining the Registration for Operation of Auxiliary Businesses Relating to International Maritime Transportation. Only those that have obtained such Registration may engage in international ship management services.



Article 11 Where anyone is to establish a foreign-funded enterprise to engage in international maritime container freight station and container yard services or international maritime cargo warehousing services, it shall firstly make an application to the Ministry of Communications in accordance with the provisions of the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations; if such application is approved by the Ministry of Communications, the applicant shall, in accordance with the laws and administrative regulations on foreign investment of the State and on the strength of the approval document issued by the Ministry of Communications, go through the approval procedures for obtaining the Approval Certificate for Foreign-funded Enterprise with the competent commerce administration department of the people’s government of the province where such enterprise is to be located by submitting the documents specified in Article 15 of these Provisions.

After the establishment of a foreign-funded enterprise engaging in international maritime container freight station and container yard services or international maritime cargo warehousing services, the applicant shall, by presenting the business license issued by the administrative department for industry and commerce, apply to the competent communications administration department of the people’s government of the province where such enterprise is located for obtaining the Registration for Operation of Auxiliary Businesses Relating to International Maritime Transportation. Only those that have obtained such Registration may engage in the relevant services.

The establishment of a foreign-funded enterprise engaging in loading and unloading of international shipments shall be governed by the relevant provisions of the State.



Article 12 Where an established foreign-funded enterprise applies to add international maritime transportation business or the auxiliary business relating thereto to its business scope, it shall go through the corresponding formalities in accordance with the procedures for establishing a foreign-funded enterprise engaging in specific international maritime transportation businesses set forth in these Provisions.

Where an established foreign-funded enterprise engaging in international maritime transportation is to establish branches, it shall go through the corresponding formalities with the Ministry of Communications and the Ministry of Commerce or their authorized agencies in accordance with the laws and administrative regulations on foreign investment of the State, the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations.

Where an established foreign-funded enterprise engaging in international maritime transportation is to modify the essential contents such as investment contribution, structure of the shares or scope of business of its contact of joint venture or articles of association, it shall go through the corresponding formalities with the Ministry of Commerce or its authorized agencies in accordance with the laws and administrative regulations on foreign investment of the State. Any modification to the matters specified in Article 21 of the Implementing Rules of the Maritime Transportation Regulations shall be filed with the Ministry of Communications for the record.



Article 13 A foreign company engaging in shipping may establish a Chinese-foreign equity joint venture, Chinese-foreign contractual joint venture or wholly foreign-owned enterprise to offer such routine services as canvassing of cargoes, issuance of bills of lading, settlement of freight and signing of service contracts for the vessels owned or operated by investors. The procedures for establishment application of such an enterprise shall be governed by the relevant provisions jointly issued by the Ministry of Communications and the Ministry of Commerce on approval of establishment of wholly foreign-owned shipping companies.



Article 14 Where a foreign-funded enterprise within the territory of China is to engage in non-vessel-operating services, it shall, in accordance with the provisions of the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations, make an application to the Ministry of Communications for registration and obtaining the Registration of Non-vessel-operating Services Qualification, and go through the approval formalities with the Ministry of Commerce in accordance with the relevant laws and administrative regulations on foreign investment of the State.



Article 15 Where an applicant makes an application to the Ministry of Communications, it shall submit the documents specified in the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations. Where an applicant makes an application to the Ministry of Commerce or its authorized agencies, he shall submit the following documents:

(1) the letter of application;

(2) the feasibility study report;

(3) the contract of the joint venture and the articles of association of the company (in case of a wholly foreign-owned company, the articles of association of the company only);

(4) the registration certificate and credit-standing certificate of investors;

(5) the identity certification of the chairperson of the board of directors and the general manager of the enterprise to be established;

(6) other documents required by laws or administrative regulations.



Article 16 These Provisions are mutatis mutandis applicable to the establishment of enterprises engaging in international maritime transportation and the auxiliary services relating thereto in other provinces, autonomous regions or municipalities directly under the Central Government by the investors form Hong Kong Special Administrative Region, Macao Special Administrative Region or Taiwan region.



Article 17 In accordance with the relevant provisions of the Mainland and Hong Kong Closer Economic Partnership Arrangement, the Mainland and Macao Closer Economic Partnership Arrangement and their Annexes, from January 1st, 2004, service suppliers from Hong Kong or Macao may established a wholly Hong Kong or Macao-owned enterprise in Chinese mainland to engage in international ship management services, international maritime cargo warehousing, international maritime container freight station and container yard services, and non-vessel-operating services; they may also establish a wholly Hong Kong or Macao-owned shipping company in Chinese mainland to offer such routine services as canvassing of cargoes, issuance of bills of lading, settlement of freight and signing of service contracts for their owned or operated vessels.



Article 18 The Ministry of Communications and the Ministry of Commerce are responsible for the interpretation of these Provisions.



Article 19 These Provisions shall take effect as of June 1st, 2004.




　　　　　　　　　　　　中国商法国际化问题刍议
　　　　　　　　　　　　　——从美国对华“双反”调查等案例引发的理论思考

　　　　　　　　　　　　　范健 南京大学 教授


　　关键词: 商法国际化/法律移植/法律辐射
　　内容提要: 商法国际化是全球经济一体化带来的必然要求。从商法国际化的理论基础出发，通过分析商法国际化面临的法律困境，思考中国商法国际化的未来发展方向，提出商法的中国国情与法律移植和法律辐射的协调，力求为中国商法国际化提供理论支撑，为中国经济走向世界提供法律保障。


全球经济一体化时代，商法在调整国内市场商事活动的同时，越来越多调整跨越国界的商事关系及与此相关的其他关系，这对中国商法的国际化提出了更高要求。然而，我国市场经济起步不久，商事领域的法律体系虽初具规模，但具体规范尚有许多缺失，尤其与国际惯例接轨有待时日，导致国际商事贸易争端不断。2012 年 10 月 10 日，美国商务部称，将对中国出口到美国的太阳能光伏产品，征收 14. 78% 至 15. 97% 的反补贴税和 18. 32% 至 249. 96% 的反倾销税，具体征税对象包括中国产晶体硅光伏电池、电池板、层压板、面板及建筑一体化材料等。[1]2012 年10 月 8 日，美国众议院情报委员会发布报告显示，华为和中兴通讯可能威胁美国国家通信安全，对华为和中兴进行禁止销售。[2]

这些争端给我们法律领域敲响了一个警钟，在跨国商事交易和争端如此频繁的今天，我们解决国际经济冲突，不能仅仅停留在贸易冲突法领域，更应从中国商法中寻找引发争端的企业机制和市场规则等深层次问题，在理论上探寻中国商法国际化的路径，在吸收国际条约和国际惯例的基础上，结合我国国情完善中国商法。同时积极参与国际立法，在国际商事制度设计中发出我们贸易大国声音，将中国商法的新理念灌输到具体的国际规则之中，使之更好地维护我国的商事利益。

一、商法国际化的理论基础

（一）商法国际化的必要性

随着世界市场的发展和国际商法纠纷的频繁，跨国商事法律适用已成为一个现实问题。假如一国商法没有国际化，会带来以下问题：首先，各国之间商法规定差距很大，当事人自然会通过各种手段，选择对自己有利的实体法，规避对自己不利的实体法，从而可能造成不公平、不合理的判决结果。其次，当事人之间遵循的交易规范不统一，通常，双方会花大成本去研究其中的利与弊，考虑如何选择对自己有利的交易规则，从而使不必要的交易成本增加。最后，商事纠纷处理比实体规范多了一道选法程序，尤其当各国实体法存在差异时，法官会因为不熟悉外国法律而发生适用外国法困难，这些情况都是与商事活动追求效率、快捷和安全的理念相背。

（二）从商法的历史与现状看商法的同源性

近代商法起源于中世纪的欧洲，为当时商事活动中形成的交易习惯的总和，这些交易习惯是不同国家或民族的商人在商事交易时形成的习惯，这些交易习惯与诸法合一的古代社会中各民族或国家基本法典规定的交易规则不相同。英国法学家施米托夫认为，从历史上看，国际商法经历了三个发展阶段：第一阶段在中世纪，它是以商人习惯法的形式出现的，即事实上支配那些往返于商业交易所在的文明世界的各港口、集市之间的国际商业界普遍适用的国际习惯法规则；第二阶段始于国家主权这一概念被普遍采纳的时期，在这一阶段中，商人习惯法被纳入各国的国内法制度。这一进程尽管是世界性的，但各国在实施上却出于不同的原因和采用不同的方式，并且实施的程度也不同；第三阶段始于第二次世界大战结束以后，随着科学技术的发展进步和世界一体化、经济全球化程度的逐步提高，商法国际化的呼声日渐高涨，作为政治和经济领域中国际主义概念的恢复的补充，法学领域中则恢复了国际商法的概念，出现了旨在发展为国际商业自治法的新商业习惯法。它是具有普遍性的法律，尽管由各主权国家的主管机关适用，却在试图摆脱各国国内法的民族色彩，这一发展值得密切注意。[3]

从商法产生和发展的历史进程来看，它产生于不同地区商人之间的商事交往而形成的商事交易习惯规则，是作为商人阶层特有的自治性法律而存在，是商人团体的统一法律，是超越国界的。可以说，国际性是商法与生俱来的品格[4]。虽然后来经过各个国家的立法机关按照不同的理念和方式上升到国内法律层面，但是无法否认其源于同一渊源这一历史事实，当今社会，随着科学技术的发展，商事贸易全球一体化的背景下，商法更加明显地表现出它的国际化，从侧面也反映了商法的同源性。

从商法的现状来看，比如公司、票据、海上运输等方面的规定，究其本源，都可以从中世纪的商事交易习惯中看到影子。因为这些交易习惯是商人在长期的交易活动中总结出来的经验法则，经过时间长河的检验和磨合，已经具有相当的科学性和合理性，所以，各国成文商法将其纳入规范体系。虽然由于某些原因和历史特殊情况，各国商法中的具体规定会有所不同，但是商事交易的规则具有很大的趋同性。

（三）从商法的原则与理念看商法的同质性

商事交易规则设置倾向于方便、快捷和防范风险，这种设置的特点是商事交易有自身一套技术性很强的交易规则，这些规则是商人之间 （不管是国内商人，还是国际商人）通过长期交易活动形成的习惯，较少与一个国家或者民族的特点密切相关，这是商法的同质性。一个国家制定国内商法时，其实不是在创造商法规则或者说主要不是在创造商法规则，而是将现有已经存在的商事习惯规则，赋予其法律效力。这也从另一个侧面证明了商法一开始是商人之间的交易规则，后来得到各个国家的确认，形成了国内商法。只有充分认识商法的国际性，才能使商法彻底摆脱简单商品经济完善法的理念，摆脱 “商法是民法特别法”思想的束缚，克服民法 “民族性”、“地域性”的限制，走国际化的道路。[5]

商法规范偏重于技术性，反映了现代经济讲求效率和便于国际贸易交往的要求，带着很强的通用性和创新性[6]。商人之间在进行互通有无的商事交易活动时，往往可以跳出市民社会的限制和伦理道德的约束，更多的是追求交易效率和安全。这些具体规则是对商事交易活动的直接调整，因此有很强的针对性，什么样子的交易活动就相应有什么样子的商法规范进行调整，这就让商法形成很强的技术操作性。比如票据法中的无因性原则、承兑背书转让模式。当出现纠纷时，商人选择的是由商人阶层自己组成的专门法院来处理，这样做的结果是，商人法院通过判例的方式，将商人在交易活动中普遍适用并得到各方认可的习惯做法，上升到法律层面，使其更具有普世性。总而言之，商法的技术性立法理念，打破了地域、文化、传统和小市民社会的束缚，成为各个地区能普遍接受的一种技术性法律规范。

随着全球市场经济的同质进程加速推进，商法的趋同化趋势日益加强，并构成 “法律全球化”实践最突出的一部分。[7]其具体表现为：一方面是商法统一实体规则和程序规则的迅速扩张，国际层面的立法不断得以加强。另一方面即为国内商法的国际化，在全球化背景之下，商事法律规则正在进行着国内法与国际法之间、不同法系之间的互动融合。[8]

二、商法国际化困境分析

（一）法律国际化的困境

所谓法律发展的国际化，主要是指在法律文化的传播与交流过程中，各个主权国家的法律制度蕴含着世界法律文明进步大道上的共同的基本法律准则，使各国的法律制度在某些彼此接近乃至融合，进而形成一个相互依存、相互联结的国际性法律发展趋势。[9]法律国际化是一种发展趋势，在各个国家法律制度相互交流和借鉴的过程中，体现的是人类社会对于法律价值的一种普遍性认可。然而，由于经济和政治体制，以及意识形态、传统习惯和观念的差异，不同国家和民族对法的价值观并不能同步进展，相反，还会产生抵触和冲突，常常使法的国际化陷入困境。

（二）商法国际化面临的特殊法律困境

1．从传统和现实的路径，探寻商法国际化的特殊法律困境

几千年封建社会 “重农抑商”的思想，使中国不像西方社会那样能够有孕育 “商法”的土壤，近代中国商法的制定几乎全部是吸收和借鉴西方发达国家的法律制度。而改革开放前的新中国在相当长的时间内实行高度集中的计划经济体制，使得中国无现代商法可言。实际上中国商法的发展从九二年中国进入市场经济体制至今，不过二十年。现阶段，我国经济体制仍处于转型期，一方面计划经济思想根深蒂固，另一方面市场经济需求愈益强烈，现实立法和规则仍在二者平衡，其结果，这种从观念到体制上的矛盾以及基于此形成的企业与市场格局造成了中国商法国际化的法律障碍，造成我国市场经济地位不被国外所承认。

2．从经济利益特有的角度，探寻商法国际化的特殊法律困境