修正普及主义视域下跨境破产的本土选择  

Local Choices for Cross-Border Insolvency from the Perspective of Modified Universalism

作　　者：郭帅 GUO Shuai

机构地区：[1]中国政法大学国际法学院

出　　处：《法学研究》2024年第6期201-222,共22页Chinese Journal of Law

基　　金：中央高校基本科研业务费专项资金中国政法大学科研创新项目“‘一带一路’投资中跨境破产法律制度建构研究”(23ZFQ82007);北京市社会科学基金规划项目“我国跨境破产立法难点与对策研究”(21FXB006)资助。

摘　　要：跨境破产法国际通说接受了修正普及主义,承认破产程序的域外效力。但各国适用修正普及主义制定具体跨境破产规则时的规范路径和司法裁判过程中的解释基准存在差异,基于不同破产法目标及国家经济、政治目的作出了本土选择。随着我国不断对外开放,跨境破产案件日益增多,我国需更积极开放地参与国际破产立法和实践。应以《跨境破产示范法》作为未来我国跨境破产制度改革的借鉴基础,但需理解示范法在适用和解释上的弹性空间,基于我国经济立法目标和中资企业特殊架构,维持构建国际化的制度框架吸引外资与有效保护本土债权人和公共利益的平衡。管辖权方面,根据主要利益中心判断开启破产程序管辖权,并明确破产衍生诉讼管辖权。法律适用方面,区分破产程序的法律适用和确定债权债务关系的法律适用,并正确理解“吉布斯规则”蕴含的债权人保护理念。承认与协助方面,消除互惠的法律障碍,不否认安排计划的破产程序属性,明确协助的范围,加强国际合作。The international consensus on cross-border insolvency law accepts the modified universalism and recognizes the extraterritorial effect of insolvency proceedings. However, when formulating specific cross-border insolvency rules in accordance with modified universalism, different countries have adopted different normative paths and interpretation benchmarks and made different local choices based on their own insolvency law objectives and national economic and political purposes. With the continuous opening up to the outside world, China is faced with an increasing number of cross-border insolvency cases and needs to participate more actively in international insolvency legislation and practice. The Model Law on Cross-Border Insolvency should be used as the reference basis for the future reform of China's cross-border insolvency system, but it is necessary to understand the flexibility of the model law in application and interpretation. Based on its economic legislative objectives and the special structure of enterprises, China should maintain a balance between building an international institutional framework to attract foreign investment and effectively protecting local creditors and public interests. The jurisdiction over the initiation of insolvency proceedings should be determined based on the center of main interests and the jurisdiction over insolvency derivative litigation should be clarified. The applicable law of insolvency proceedings should be distinguished from the applicable law of determining creditor-debtor relationships, and the concept of creditor protection behind the Gibbs rule should be correctly understood.In terms of recognition and assistance, legal barriers to reciprocity should be eliminated, the insolvency procedure attributes of arrangement plans should not be denied, the scope of assistance should be clarified, and international cooperation should be strengthened.

关 键 词：跨境破产 修正普及主义 管辖权 法律适用 承认与协助 企业破产法 

分 类 号：D912.29[政治法律—民商法学] D922.291.92[政治法律—经济法学]