论国际贸易合同制裁条款下的风险分配及其规制  

On the Allocation of Risks under Sanctions Clauses in International Trade Contracts and Legal Regulation

作　　者：南迪 Nan Di

机构地区：[1]武汉大学国际法研究所

出　　处：《国际法研究》2024年第2期96-112,共17页Chinese Review of International Law

基　　金：国家社科基金重点项目“国家安全视域下的中国对外经济制裁法律制度构建研究”(20AZD053)的阶段性成果。

摘　　要：在合同中写入制裁条款已经成为当今国际贸易合同发展的重要趋势。经济制裁构成国际贸易合同履行的特定风险,制裁条款是当事人通过行使私人自治权确定的风险分配方案。在规范论视角下,制裁条款是具有规范理性的风险分配规则,在目前的国际贸易实践中主要呈现为两种形式:一是在条款中将“不得受任何制裁”义务具体化为一种具有保证性的合同义务,二是约定债务履行义务的免除。在法经济学视角下,制裁条款具有增加交易确定性和提高交易效率的优势,但有限理性又给制裁条款的风险分配功能带来局限。出于对契约实质正义的追求、维护国家利益以及国际贸易秩序确定性的考量,国际贸易合同制裁条款应当受到合理规制。在私法层面,裁判机构应当充分利用合同解释方法弥补制裁条款的局限,明晰合同解释的维度,合理优化风险分配规则,使经济制裁风险在当事人之间实现公平合理的分配;在公法层面,裁判机构应在个案中谨慎判断制裁条款所遵守的不同制裁法的规制利益,不宜对国内反制裁法的强制性效力作扩张解释,避免过度干预商业自由。The inclusion of sanctions clauses in contracts has become an important trend in the development of international trade contracts today.Economic sanctions constitute a specific risk in the performance of international trade contracts and the sanctions clause is a risk allocation scheme determined by the parties through the exercise of private autonomy.From the perspective of normative theory,sanctions clauses are risk allocation rules with normative rationality,which are mainly presented in two forms in current international trade practice:one is to concretize the obligation of“not subject to any sanctions”into a contractual obligation with guarantees;the other form is the exemption of the obligation to perform the obligation.From the perspective of law and economics,sanctions clauses have the advantages of increasing transaction certainty and improving transaction efficiency.But at the same time,limited rationality brings limitations to the risk allocation function of sanctions clauses.In the pursuit of substantive justice of contracts,safeguarding national interests and the certainty of international trade order,sanctions clauses in international trade contracts should be regulated.At the level of private law,we should make full use of contracts interpretation methods to compensate for the limitations of sanctions clauses,clarify the dimensions of contract interpretation,reasonably optimize risk allocation rules,and achieve fair and reasonable distribution of economic sanctions risks among the parties.At the level of public law,the adjudication body should carefully judge the regulatory benefits of the different sanctions laws to which the sanctions provisions are subject on a case-by-case basis.At the same time,to avoid excessive interference with commercial freedom,it is not advisable to interpret the mandatory effect of domestic anti-foreign sanctions laws expansively.

关 键 词：经济制裁 制裁条款 风险分配 私人自治 法律规制 

分 类 号：D996.1[政治法律—经济法学]