【作者】 杨悦；

【导师】 翟云岭；

【作者基本信息】 大连海事大学 ， 国际法学， 2012， 博士

【摘要】 经济全球一体化进程迅速向前推进,世界各国之间的经济依存不断加强,国际民商事纠纷相伴而生,跨境破产纷争日趋凸显,各国立法纷纷倾以关注。然考察当今各国破产立法,大都藉以国家主权原则出发,在充分考量本国利益基础之上阐释各自破产法理,所建跨境破产制度冲突不断自不言待。鉴于此,本文以跨境破产制度为视角,合理运用比较分析法、历史考察法、价值分析法等诸多研究方法,系统考察各国跨境破产立法构建模式,结合我国现行破产法之具体规定,以跨境破产宣告效力、跨境破产管辖权冲突、跨境破产规则的法律适用为研究路径,以期为化解当下跨境破产纷争“裁判僵局”、建构我国适格跨境破产制度贡献微薄之力。本文共由5个章节构成,其主要内容如下：第1章是跨境破产制度的法理解析。本部分共由三部分构成。第一部分跨境破产制度流考。在对跨境破产内涵予以厘清的基础上,对跨境破产制度的源起与演进进行系统考证。第二部分跨境破产制度的法理基础。揭示了跨境破产制度的理论支撑,即利益平衡理论、国家主义理论、国际合作理论、国际礼让理论等。第三部分对跨境破产制度的价值取向进行了论证。提出跨境破产制度的构建应当坚持多元化目标,即以公平与效率的衡平、秩序与正义的衡平、冲突正义与实质正义的衡平作为跨境破产制度多重价值体系构成。第2章是跨境破产域外效力考量。跨境破产域外效力问题系属跨境破产制度中的基础理论。首先,本文对传统跨境破产效力理论进行了必要考察,归纳出地域主义模式与普及主义模式的优势与不足。其次,本文在考察当今各国破产立法趋势的基础上,对跨境破产效力折衷主义模式予以释评。最后,以我国破产立法关于跨境破产效力认定的历史演进,论证了跨境破产效力折衷主义模式适用于我国破产立法的正当性第3章是跨境破产管辖权冲突化解路径梳理。本章共由两个部分构成,第一部分通过系统考察以债务人为中心的管辖标准和非以债务人为中心的管辖标准,对当下各国破产立法者所主张的破产管辖权确定标准予以厘清和评介。第二部分在考量、分析各国破产管辖权冲突原因的基础上,系统阐释了化解破产管辖冲突的路径选择。第4章是跨境破产实体与程序性法律规范的冲突与法律适用选择问题。在本部分中,本文首先将跨境破产规则界分为破产实体规则与破产程序规则,并在此基础上系统考察了破产财产边界、破产债权清偿位阶等实体法冲突和破产预防、破产要件等程序法冲突。紧接着,本文以前述路径为界分,分别对破产实体规则的法律适用与破产程序规则的法律适用予以系统论证。第5章我国跨境破产制度的健全与完善。在本部分中,本文以前述跨境破产制度内容为视角,结合我国破产立法现状,提出了对于跨境破产域外效力规则、跨境破产管辖权冲突化解规则、跨境破产法律适用规则的具体完善建议。更多还原

【Abstract】 With the rapid advancement of the process of the global economic integration, the economic interdependence is strengthened ceaselessly in all the countries in the world. There are more and more new born international civil and commercial disputes, in which the cross-border insolvency disputes are highlighted day by day. Therefore, many countries paid attention to it by legislation. However, the cross-border insolvency system conflicts continued because most countries interpret the theory of bankruptcy in full consideration of the interest of their own countries respectively and all the countries formulate bankruptcy laws on the basis of the national sovereignty principle. In view of this, the article is written from the point of view of the cross-border insolvency system. Many research methods are used in the paper, such as comparative analysis ways, historical analysis method and the method of value analysis and so on. Combined with the specific provisions of the current bankruptcy law of China, I studied the model of the cross-border bankruptcy legislation of other countries in the article. I hope to make a contribution to the construction of the cross-border insolvency system of our own country and to resolve the impasse in the judge of cross-border bankruptcy disputes by researching the effect of declaration of cross-border bankruptcy, the confliction of jurisdiction and the application of cross-border insolvency rules. The thesis consists of 5 chapters. The main contents are as follows:The first chapter is about the legal analysis of cross-border insolvency system. This part consists of three chapters. The first part is the testing of cross-border insolvency system. On the basis of clarifying the connotation of cross-border bankruptcy system, I studied the origin and evolution of cross-border bankruptcy system. The second part is the theory of the legal foundation of cross-border insolvency system. It reveals the theory of cross-border insolvency system, namely the theory of balancing of interests, national theories, international cooperation theories and theories of international comity and so on. In the third part, the value orientation of cross-border insolvency system is discussed. It is proposed that cross-border insolvency system construction should adhere to diversified objectives, namely the balance of fairness and efficiency, the balance of order and justice, the balance of conflicting justice and substantial justice which is regarded as part of multiple value system of cross-border insolvency system.The second chapter is about the extraterritorial effect of transnational bankruptcy, which is the basic theory of cross-border insolvency. Firstly, it is studied that the theory of the extraterritorial effect of transnational bankruptcy in the paper, and in which the advantages and disadvantages of the regional pattern and the universal doctrine modes are summarized. Secondly, the mode of commentating judge of cross-border insolvency is commented based on the investigation of the legislation tendency of national bankruptcy. Finally, it is demonstrated that it is proper to apply the mode of commentating judge for the effect of cross-border insolvency under the historical evolution of confirming the validity of cross-border bankruptcy of our cross-border insolvency legislation.In the third chapter the method of dissolving the conflict of jurisdiction of the transnational bankruptcy is cleared. This chapter consists of two parts. In the first part, I clarified and reviewed the standards to confirm the jurisdiction of cross-border insolvency presented by the lawmakers of all the countries through studying the standards of the debtor as the center of the jurisdiction and the non-debtors as the center of jurisdiction systematically. In the second part I interpreted how to make a selection to resolve the conflict of the jurisdiction of bankruptcy on the basis of analyzing the reason to cause the national conflict of the jurisdiction of insolvency in all the countries.The fourth chapter is about the selection of laws applied to cross-border insolvency. In this part, firstly cross-border insolvency rules are divided into substantial bankruptcy rules and procedural bankruptcy rules and then it also examined the bankruptcy property boundaries, the entities of bankruptcy debt levels such as the conflict of substantial laws and the prevention of bankruptcy, the conflict of the elements of bankruptcy in procedural laws and so on. Furthermore, respectively it discussed the application of the substantive and procedural legal rules of bankruptcy in the paper.The fifth chapter is about the perfect of the cross-border bankruptcy system. In this part, based on the content of cross-border insolvency system mentioned above and combined with China’s current bankruptcy legislation, I put forward to some specific suggestions on the extraterritorial effect rules of cross-border bankruptcy, jurisdiction conflict resolution rules and the application of the laws of cross-border insolvency.更多还原