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TRNG I HC LUT H NI

GIO TRNH

LUT THNG MI QUC T

Bin tp ni dung ting Anh GS.TS. Surya P. Subedi

TS (Oxford); Lut s (Vng quc Anh) Gio s Lut quc t

Trng Lut, Trng i hc Tng hp Leeds, Vng quc Anh

NH XUT BN CNG AN NHN DN H NI - 2012

526

Gio trnh ny c bin son vi s h tr ti chnh ca Lin minh chu

u. Quan im trong Gio trnh ny l ca cc tc gi v do khng th

hin quan im chnh thc ca Lin minh chu u hay B Cng Thng.

527

CC TC GI

Nguyn Thanh Tm v Trnh Hi Yn

Chng 1; v Chng 3 - Mc 1, Mc 2; v Chng 4 - Mc 3

Nguyn ng Thng Chng 2 - Mc 1, Mc 2

Nguyn c Kin Chng 2 - Mc 3 ; v Chng 5 - Mc 4

Federico Lupo Pasini Chng 2 - Mc 4, Mc 7; v Chng 4 - Mc 1

Nguyn Nh Qunh Chng 2 - Mc 5

Nguyn Th Thu Hin Chng 2 - Mc 6

Nguyn Ngc H Chng 2 - Mc 8

Andrew Stephens Chng 3 - Mc 3

Trnh Hi Yn Chng 3 - Mc 4; v Chng 4 - Mc 2

L Hong Oanh Chng 3 - Mc 5

Nguyn Minh Hng Chng 5 - Mc 1

H Thy Ngc Chng 5 - Mc 2, cc Mc 3.4 v 3.5; v Chng 7 - Mc 6

V S Mnh Chng 5 - cc Mc 3.1 v 3.3

Marcel Fontaine Chng 5 - Mc 3.2

Nguyn B Bnh Chng 6 - Mc 1

Nguyn Th Thanh Phc Chng 6 - Mc 2

H Cng Anh Bo Chng 6 - Mc 3

Trnh c Hi Chng 7 - cc Mc t 1 n 5

GIO TRNH LUT THNG MI QUC T 528

NGI BIN DCH

Nguyn Anh Tng Li m u; v Chng 1; v Chng 2 - Mc 3; v Chng 3 - Mc 2

Nguyn Ngc Lan Chng 2 - Mc 1 v Mc 2

Phm Th Thanh Phng Chng 2 - Mc 3; v Chng 3 - Mc 1 v Mc 3

Nguyn Qunh Trang Chng 2 - Mc 4; v Chng 5 - Mc 3.2 v Mc 4

Nguyn Nh Qunh Chng 2 - Mc 5

Nguyn Thu Thy Chng 2 - Mc 6

Trn Th Ngc Anh Chng 2 - Mc 7

Nguyn Ngc H Chng 2 - Mc 8

Trnh Hi Yn Chng 3 - Mc 4; v Chng 4 - Mc 2 v Mc 3

L Hong Oanh Chng 3 - Mc 5

Nguyn Th Anh Th Chng 4 - Mc 1

Vn Khnh Th Chng 5 - Mc 1 v Mc 4

H Thy Ngc Chng 5 - Mc 2, Mc 3.4 v Mc 3.5; v Chng 7 - Mc 6

V S Mnh Chng 5 - Mc 3.1, Mc 3.3

Nguyn B Bnh Chng 6 - Mc 1

Nguyn Th Thanh Phc Chng 6 - Mc 2

H Cng Anh Bo Chng 6 - Mc 3

Trnh c Hi Chng 7 - cc Mc t 1 n 5

LI GII THIU 529

LI GII THIU

Gio trnh ny c bin son vi s h tr ca D n h tr thng mi a bin giai on III (EU-Vit Nam MUTRAP III) do Lin minh chu u ti tr v l kt qu ng gp ca cc chuyn gia trong nc, chuyn gia nc ngoi v lut thng mi quc t. S phi hp gia chuyn gia Vit Nam v chuyn gia quc t chng t Vit Nam ang trao i v tip nhn nhng tin b ca cng ng khoa hc v vn ho th gii. C c kt qu ny mt phn l do qu trnh Vit Nam hi nhp thng mi v kinh t em li, nht l t khi Vit Nam gia nhp WTO nm 2007. R rng l ngy cng c nhiu nh khoa hc v sinh vin Vit Nam tham gia vo cc chng trnh hp tc, trao i khoa hc quc t. Gio trnh ny chnh l mt bng chng cho iu .

Vi s h tr ca D n EU-Vit Nam MUTRAP III v cc chng trnh hp tc pht trin khc, cc trng i hc ln Vit Nam cp nht v i mi chng trnh ging dy nhm phn nh din bin nhanh chng ca tnh hnh thng mi v kinh t. Gio trnh ny, ch yu dnh cho sinh vin trnh i hc, nhm cung cp bc tranh ton cnh v kha cnh php lut trong hu ht cc vn thng mi quc t. Mc d ghi nhn s khc bit gia cng php v t php quc t, nhm tc gi gio trnh cho rng hai lnh vc php lut ny khng th nghin cu tch ri nhau. Cc lut gia phi c kin thc ton din v tt c cc lnh vc lin quan n giao dch thng mi quc t, t php lut iu chnh hp ng quc t cho n quyn tip cn th trng nc th ba c WTO bo h. Bn cnh , gio trnh ny cng tp hp cc quy nh ton cu (WTO, Cng c Vin v hp ng mua bn hng ho quc t), quy nh khu vc (EU, NAFTA v ASEAN), quy nh song phng (cc hip nh gia Vit Nam v mt s i tc), v cc quy nh c lin quan ca php lut Vit Nam.

Gio trnh nhn c s ng gp ca nhiu chuyn gia v cc hc gi am hiu c kin thc chuyn mn v hiu bit v khu vc. V d,


chuyn gia ngi Hoa K vit mt ni dung v NAFTA, chuyn gia chu u vit phn lin quan n chu u, cn chuyn gia Vit Nam li tp trung vo nhng kha cnh thng mi lin quan ca Vit Nam. S kt hp to ra mt cun Gio trnh quy t nhiu quan im khc nhau v php lut thng mi quc t. Gio trnh l cm nang tt v nhng tnh hung m lut gia Vit Nam c th gp phi: mt th gii vi cc quy tc c hi ho ho, cch gii thch thut ng ging nhau nhng cch tip cn li khc nhau trong tng trng hp giao dch thng mi hng ngy. Nhu cu tng cng quan h thng mi, c bit quan trng i vi nn kinh t m nh Vit Nam, i hi kh nng hiu c cc cch p dng khc nhau ny v nu c th, kh nng xc nh c cc thng l quc t tt nht p dng trong khun kh php lut quc gia.

Cun sch cn l cng c hu ch gip cho cc cn b chnh ph hng ngy phi lm vic trong mi trng quc t y bin ng, cng nh nhng cn b mong mun tm hiu thm nhng thng tin c bn lin quan n cc kha cnh ca php lut thng mi quc t.

Cun sch thc s l bc tranh thu nh th gii m cc lut gia Vit Nam s phi i mt, v l im khi u rt tt cho nhng ai yu thch tm hiu v mong mun c c nhng hiu bit c bn nht v h thng cc quy nh phc tp v thng mi quc t.

Nguyn Th Hong Thy

Gim c D n EU-Vit Nam MUTRAP III

LI M U

531

LI M U

Php lut thng mi quc t mt mt gp phn nng cao v th ca cc

quc gia trong mt s lnh vc, to thun li cho cc quan h kinh doanh,

thng mi cng nh cc quan h khc din ra gia cc quc gia v cc t

chc; nhng mt khc, cng t ra nhng hn ch trong mt s lnh vc

bo v li ch ln hn ca cc c nhn v ton x hi, quy m trong nc

v quc t. Mc tiu ca lnh vc php lut ny l ra cc quy tc cng

bng trong cc quan h kinh t quc t, hng n x hi cng bng hn

cho tt c mi ngi. Ni khc i, vai tr ca php lut thng mi quc t

l m bo sn chi bnh ng cho tt c cc quc gia, cho php cc quc

gia pht huy ti a tim nng v/hoc ti u ho cc th mnh ring c ca

mnh. Mi con ngi sinh ra c nhng phm cht v nng lc ring bit;

php lut ca bt k quc gia no cng cn to iu kin cho cc c nhn

pht huy tt nht kh nng ca mnh m khng xm hi ti li ch ca ngi

khc trong x hi, mi ngi c th theo ui gic m ca mnh - cho d

gic m c ngha nh th no vi h.

Vi cc quc gia cng vy - v c bn, cng ng cc quc gia l tp hp

ca nhng c th gn kt vi nhau bi mt s c im v mc ch tng

ng. Do , php lut thng mi quc t c xy dng nhm cho php

cc quc gia ng gp cho cng ng quc t nhng g mnh c v nhn li

nhng g do cc quc gia khc ng gp. S c i c li v thc y li ch

quc gia l nhng yu t ct li trong hnh vi ca con ngi, cng nh ca

cc quc gia. iu ny c bit ng i vi php lut thng mi quc t.

Khc vi nhng lnh vc c th khc ca php lut quc t, php lut thng mi quc t lin quan trc tip n nn kinh t v s thnh vng ca quc gia. Ni cch khc, n lin quan trc tip n nhng li ch kinh t


c bn ca quc gia. Do , bt c quc gia no cng rt thn trng trong vic chp nhn cc quy tc iu chnh thng mi quc t. Tuy nhin, cc quc gia u hiu rng nu khng chp nhn mt s nguyn tc c bn ca php lut thng mi quc t, th s khng th tin hnh thng mi vi cc quc gia khc hay tham gia vo cc hot ng thng mi khc.

iu nghch l trong thng mi quc t l quc gia no cng mun cc quc gia khc thc hin chnh sch t do ho thng mi v m ca th trng cng rng ri cng tt; nhng ngc li, chnh mnh li c gng ng cnh ca ca mnh cht nht, bng cch theo ui chnh sch bo h. Chnh trong tnh hung ny cn c s can thip ca php lut m bo cuc chi cng bng, v nu xy ra hnh vi chi xu th cc tranh chp cng c gii quyt mt cch cng bng. Php lut c vai tr cng ging nh v trng ti trong trn u th thao, hng ti mc ch m bo s cng bng. Gn lin vi tng v cuc chi cng bng l s hnh thnh sn chi bnh ng cho cc ch th tin hnh hot ng thng mi quc t.

Thng mi l mt trong nhng thuc tnh s khai trong hot ng ca con ngi. Khi nim thng mi c ngha l hot ng kinh t t nguyn, da trn nguyn tc c i c li. T thi c i, con ngi trao i hng ly hng; sau ny, khi ngh ra tin t, con ngi trao i hng ho ly tin. Thc t l, chnh thng mi gp phn cho s ra i ca tin t. Khi pht trin c v phm vi a l v quy m, thng mi c iu chnh bi cc quy nh, ban u l ca gii thng nhn v sau l ca cc c quan nh nc, m bo s cng bng v khng b bp mo.

Vi mc ch sinh tn v tm kim s thnh vng t thng mi, phn ln tin trnh pht trin ca nn vn minh nhn loi lun gn lin v xoay quanh s m rng ca thng mi. Nhm thc y thng mi, ban u vic iu tit c thc hin di hnh thc cc quy tc ng x c bn i vi cc ch th tham gia thng mi quc t. Cc quy tc ng x ny c ban hnh rt ng lc trong c lnh vc cng php v t php quc t, lm pht trin cc hot ng thng mi. Bi vy, mt trong nhng tm nhn v trt t th gii mi sau Chin tranh th gii ln th II chnh l t do ho thng mi quc t thc y tng trng kinh t thng qua vic thnh lp T chc thng mi quc t (ITO).

LI M U

533

Mc d ITO khng ra i nhng t tng ca t chc ny v t do ha thng mi quc t c GATT v mt s vn kin php l quc t khc thc hin; rt nhiu trong s sau ny tr thnh mt phn ca lut WTO khi t chc ny c thnh lp vo nm 1995, sau khi kt thc Vng m phn Uruguay v thng mi a phng (1986 - 1993). K t sau Chin tranh th gii ln th II, t php quc t cng pht trin to thun li, ng thi iu tit cc hot ng thng mi quc t. Bi vy, ngy nay c mt phn ng k ca c cng php quc t v t php quc t cng iu chnh cc quan h thng mi quc t. Gio trnh Lut thng mi quc t ny cng nhm cung cp ci nhn tng quan ton din mt cch ngn gn.

Gio trnh cp nhiu vn ca php lut thng mi quc t lin quan n c cng php quc t v t php quc t, l kt qu ca d n vi nhiu tham vng nhm cung cp cng c hc tp v nghin cu ton din cho sinh vin, cng chc nh nc, lut s v hc gi Vit Nam.

Nm 1986, Vit Nam bt u thc hin chnh sch i mi kinh t, tin trn con ng t do ho v ci cch kinh t. L mt phn ca chnh sch ny, Vit Nam np n xin gia nhp WTO v chnh thc tr thnh thnh vin ca WTO vo nm 2007. T khi tin hnh i mi v c bit l sau khi tr thnh thnh vin WTO, Vit Nam chng kin s tng trng rt ln trong thng mi quc t v hot ng kinh doanh. Thc t i hi cn c cc quy nh php lut v chnh sch mi iu chnh nhng hot ng ny.

Vic tr thnh thnh vin WTO l cht xc tc cho s pht trin ca h thng php lut Vit Nam, bi thc hin cc cam kt gia nhp WTO, Vit Nam cn ban hnh nhiu chnh sch v quy nh php lut mi. S kin ny lm thay i mi trng php l ca Vit Nam. Gi y, Vit Nam khng ch l thnh vin chnh thc ca WTO vi y t cch, m cn l mt nn kinh t th trng ang pht trin vi h thng chnh tr x hi ch ngha. t nc ny trong thi gian qua thu ht lng ln vn u t nc ngoi v tr thnh mt trong nhng quc gia c tc tng trng nhanh nht th gii. Cng vi nhng c hi l trch nhim ca Vit Nam phi tun th php lut thng mi quc t. t n thnh cng, Vit Nam cng cn c ngun nhn lc c gio dc v o to tt, c kh nng tng tc vi cc yu t ton cu, thc y v bo v cc li ch ca quc gia.


Vit Nam ngy cng tip xc nhiu hn vi cc yu t ca thng mi quc t. H thng php lut Vit Nam v ang p ng vi nhng thch thc v thay i din ra trong cc hot ng kinh t v php lut quc t. Bi vy, Vit Nam cn chun b cho th h mi cc lut gia v cng chc nh nc nhng hiu bit v kh nng ng ph tt vi cc vn t ra do nhng thay i phi thng ang din ra c trong nc v trn phm vi quc t; gip ngi dn tn dng ti a li ch v c hi t nhng thay i ny. lm c iu , h cn c ngun ti liu tt v Gio trnh Lut thng mi quc t c bin son nhm p ng mt phn nhu cu v i hi ny.

Gio trnh bao gm cc chng do cc tc gi Vit Nam v nc ngoi cng bin son, gii quyt c nhng vn php l quc t v nhng vn php l ca Vit Nam, lin quan n c lnh vc php lut thng mi quc t cng v php lut thng mi quc t t. Cch tip cn tng hp ny gip sinh vin c th nhn nhn di c gc quc t v gc Vit Nam v nhng lnh vc php lut c cp.

Cc tc gi trnh by mt cch ton din nhng ch c cp trong Gio trnh ny, nh lut WTO, bao gm c lnh vc thng mi hng ho, dch v, quyn s hu tr tu; vn gii quyt tranh chp thng mi quc t, bao gm trng ti thng mi quc t; cc hip nh thng mi khu vc hay cc m hnh hi nhp kinh t khu vc nh NAFTA, EU v ASEAN; thng mi in t. Cc chng trong Gio trnh va cha ng thng tin va c tnh phn tch, c ng gp bi gii hn lm, cc nh thc hnh lut, cc nh nghin cu thuc nhng th h khc nhau, c chuyn mn v kh nhiu kinh nghim trong nhng lnh vc lin quan.

Do c thit k ch yu dnh cho i tng l sinh vin lut, cng chc nh nc, cc nh nghin cu v lut s ti Vit Nam, Gio trnh ny tip cn cc vn di gc php lut, da trn vic phn tch cc vn bn php lut trong nc v quc t, n l hoc cc quan im ca khoa hc php l v cc tp qun thng mi quc t. Chng ti c gng bin son Gio trnh ny thn thin nht vi c gi v sinh vin. Cc chng trong Gio trnh kt thc bng cc cu hi kch thch s t duy v phn tch ca sinh vin v c gi. Tng t, cc chng c danh mc ti liu tham kho cho nhng ngi mun tm hiu su hn v lnh vc php lut nht nh.

LI M U

535

Mc d di v phong cch trnh by ca cc chng c th khc nhau do chng c thc hin bi cc tc gi khc nhau, vi nn tng php l, thc tin v hc thut ring bit, nhng chng ti c gng m bo s nht qun tng i trong ton b Gio trnh, trnh by n theo kt cu cht ch. Chng ti hi vng rng Gio trnh ny s l ngun t liu tham kho c gi tr i vi nhng ngi quan tm n php lut thng mi quc t, cng nh quan tm n vic p dng v ph bin n Vit Nam.

c lm vic cng vi Ban iu phi tiu d n ca Trng i hc Lut H Ni (HLU) thc hin Gio trnh ny l vinh d ca c nhn ti. Ti xin gi li cm n v s hp tc tuyt vi ca h.

Gio s, Tin s Surya P. Subedi Tin s (Oxford); Lut s (Vng quc Anh) Gio s lut quc t

Trng i hc tng hp Leeds, Vng quc Anh

Ngi bin tp ni dung ting Anh

GIO TRNH LUT THNG MI QUC T

536

DANH MC NHNG T VIT TT

AAA Hip hi trng ti Hoa K

AANZFTA Khu vc thng mi t do ASEAN-Australia-New Zealand

ABAC Hi ng t vn kinh doanh APEC

ACFA Hip nh khung v hp tc kinh t ton din gia ASEAN-Trung Quc

ACFTA Khu vc thng mi t do ASEAN-Trung Quc

ACIA Hip nh u t ton din ASEAN

ACP Cc nc chu Phi, Carib v Thi Bnh Dng

AD Chng bn ph gi

ADA Hip nh chng bn ph gi ca WTO

ADR Phng thc gii quyt tranh chp thay th

AEC Cng ng kinh t ASEAN

AFAS Hip nh khung v dch v ASEAN

AFT Qu u thc -u

AFTA Khu vc thng mi t do ASEAN

AHTN Danh mc hi ho thu quan ASEAN

AIA Khu vc u t ASEAN

AITIG Thng mi hng ho ASEAN-n

AJCEP Hip nh i tc ton din ASEAN-Nht Bn

AKAI Hip nh u t ASEAN-Hn Quc

AKFA Hip nh khung v hp tc kinh t ton din ASEAN-Hn Quc

AKTIG Hip nh thng mi hng ho ASEAN-Hn Quc

AKTIS Hip nh thng mi dch v ASEAN-Hn Quc

AMS (Total AMS) Tng lng h tr tnh gp

APEC Din n hp tc kinh t chu -Thi Bnh Dng


537

APEC-MRA Hip nh cng nhn ln nhau trong APEC

ASEAN Hip hi cc quc gia ng Nam

ASEM Din n hp tc kinh t -u

ATC Hip nh v hng dt may ca WTO

ATIGA Hip nh thng mi hng ho ASEAN

BDC Nc ang pht trin l ngi th hng

BFTAs Hip nh thng mi t do song phng

BIT Hip nh u t song phng

BTA Hip nh thng mi song phng Vit Nam-Hoa K

BTAs Hip nh thng mi song phng

CAP Chnh sch nng nghip chung chu u

CDB Cng c v a dng sinh hc

CEPEA Quan h i tc kinh t ton din ng

CEPT Hip nh v chng trnh u i thu quan c hiu lc chung trong Khu vc thng mi t do ASEAN

CFI To n cp s thm

CFR Tin hng v cc ph (trc y vit tt l C&F)

CIETAC U ban trng ti kinh t quc t v thng mi Trung Quc

CIF Tin hng, bo him v cc ph

CIP Cc ph v ph bo him tr ti

CISG Cng c Vin nm 1980 v hp ng mua bn hng ho quc t

CJ To n cng l (trc y l ECJ - To n cng l chu u)

CJEU To n cng l Lin minh chu u

CLMV Countries Cc nc Cam-pu-chia, Lo, Mi-an-ma v Vit Nam

CM Th trng chung

COMESA Th trng chung ng v Nam Phi

CPC H thng phn loi sn phm trung tm ca Lin hp quc

CPT Cc ph tr ti

CTG Hi ng thng mi hng ho

CTS Hi ng thng mi dch v

CU Lin minh hi quan

CVA Hip nh ca WTO v nh gi hi quan


538

DAP Giao ti ni n

DAT Giao hng ti bn

DCs Cc nc ang pht trin

DDP Giao hng np thu

DSB C quan gii quyt tranh chp ca WTO

DSU Hip nh v quy tc v th tc iu chnh vic gii quyt tranh chp ca WTO

EAFTA Khu vc thng mi t do ng

EC Cng ng chu u; hoc y ban chu u

ECB Ngn hng trung ng chu u

ECJ To n cng l chu u (nay l CJ - To n cng l)

ECSC Cng ng than v thp chu u

EDI Trao i d liu in t

EEC Cng ng kinh t chu u

EFTA Khu vc thng t do chu u

EMU Lin minh kinh t v tin t

EP Gi xut khu

EPAs Hip nh quan h i tc kinh t

EU Lin minh chu u

EURATOM Cng ng nng lng nguyn t chu u

EXW Giao ti xng

FAS Giao dc mn tu

FCA Giao cho ngi chuyn ch

FDI u t trc tip nc ngoi

FIOFA Lin on du, ht v cht bo

FOB Giao ln tu

FPI u t gin tip nc ngoi

FSIA Lut v min tr ch quyn ca quc gia nc ngoi ca Hoa K nm 1976

FTAs Hip nh thng mi t do

GAFTA Hip hi mua bn go v la mch

GATS Hip nh chung v thng mi dch v ca WTO

GATT Hip nh chung v thu quan v thng mi ca WTO


539

GCC Hi ng hp tc vng Vnh

GSP Chng trnh u i thu quan ph cp

HFCS Ng c hm lng fructose cao

IACAC U ban trng ti thng mi lin M

IAP K hoch hnh ng quc gia

IBRD Ngn hng ti thit v pht trin quc t

ICA Trng ti thng mi quc t

ICC Phng thng mi quc t

ICDR Trung tm quc t v gii quyt tranh chp

ICJ To n quc t (To n quc t La Hay, thuc h thng Lin hp quc)

ICSID Trung tm quc t v gii quyt tranh chp u t (thuc Ngn hng th gii)

IEG Nhm chuyn gia v u t

IGA Hip nh v khuyn khch v bo h u t ASEAN

IL Danh sch gim thu

ILO T chc lao ng quc t

ILP Hip nh v th tc cp php nhp khu ca WTO

IMF Qu tin t quc t

INCOTERMS Cc iu kin c s giao hng trong mua bn hng ho quc t

IPAP K hoch hnh ng xc tin u t

IPRs Quyn s hu tr tu

ISBP Tp qun ngn hng theo tiu chun quc t

ISP Quy tc thc hnh v tn dng d phng quc t

ITO T chc thng mi quc t

LCIA To n trng ti quc t Lun-n

LDCs Cc nc km pht trin

LMAA Hip hi trng ti hng hi Lun-n

LME Sn giao dch kim loi Lun-n

MA Tip cn th trng

M&A Sp nhp v mua li

MAC U ban trng ti hng hi


540

MERCOSUR Th trng chung Nam M

MFN Ti hu quc

MMPA o lut bo v ng vt c v bin

MNCs Cc cng ty a quc gia

MTO Cc nh khai thc vn ti a phng thc

MUTRAP D n h tr thng mi a bin EU-Vit Nam do EU ti tr

NAALC Hip nh v hp tc lao ng Bc M

NAFTA Khu vc thng mi t do Bc M

NGOs Cc t chc phi chnh ph

NME Nn kinh t phi th trng

NT i x quc gia

NTBs Ro cn phi thu quan

NTR Quan h thng mi bnh thng

NV Gi tr thng thng

PCA Hip nh hp tc v i tc

PECL B nguyn tc v lut hp ng chu u

PICC B nguyn tc v hp ng thng mi quc t ca UNIDROIT

PNTR Quan h thng mi bnh thng vnh vin

PPM Quy trnh v phng thc sn xut

PSI Hip nh v gim nh hng ho trc khi xung tu ca WTO

PTAs Cc hip nh thng mi u tin

ROK Hn Quc

RoO Hip nh v quy tc xut x ca WTO

RTAs Cc hip nh thng mi khu vc

S&D i x c bit v khc bit

SA Hip nh t v ca WTO

SCC Phng thng mi Xtc-khm

SCM Hip nh v tr cp v cc bin php i khng ca WTO

SMEs Cc doanh nghip va v nh

SMEWG Nhm cng tc doanh nghip va v nh ca APEC

SOMs Cc cuc hp quan chc cp cao


541

SPS Hip nh v cc bin php kim dch ng thc vt ca WTO

SSG T v c bit

TBT Hip nh v ro cn k thut trong thng mi ca WTO

TEC Hip c Cng ng chu u

TEL Danh mc loi tr tm thi

TEU Hip c Lin minh chu u

TFAP K hoch hnh ng thun li ho thng mi

TFEU Hip nh v hot ng ca Lin minh chu u

TIFA Hip nh khung v thng mi v u t

TIG Hip nh thng mi hng ho

TNC U ban m phn thng mi; hoc Cng ty xuyn quc gia

TPP Hip nh i tc kinh t chin lc xuyn Thi Bnh Dng

TPRB C quan r sot chnh sch thng mi ca WTO

TPRM C ch r sot chnh sch thng mi ca WTO

TRIMs Hip nh v cc bin php u t lin quan n thng mi ca WTO

TRIPS Hip nh v quyn s hu tr tu lin quan n thng mi ca WTO

TRQs Hn ngch thu quan

UCC B lut thng mi thng nht Hoa K

UCP Quy tc thc hnh thng nht v tn dng chng t ca ICC

UNCITRAL U ban ca Lin hp quc v lut thng mi quc t

UNIDROIT Vin quc t v thng nht lut t

URDG Quy tc thng nht v bo lnh theo yu cu

USDOC B thng mi Hoa K

WCO T chc hi quan th gii

WIPO T chc s hu tr tu th gii

WTO T chc thng mi th gii


542

MC LC

Gio trnh

LUT THNG MI QUC T Trang

Cc tc gi 527 Ngi bin dch 528 Li gii thiu 529 Li m u 531 Danh mc nhng t vit tt 536 PHN M U 545 Chng 1. Tng quan 545

Mc 1. Giao dch thng mi quc t v cc giao dch c lin quan 545 Mc 2. Ngun lut thng mi quc t 561 Tm tt Chng 1 572 Cu hi/Bi tp 574 Ti liu cn c 575

PHN 1: LUT THNG MI QUC T C S THAM GIA CA NH NC V CC THC TH CNG

577

Chng 2. Lut WTO 577

Mc 1. Gii thiu 577 Mc 2. Mt s nguyn tc c bn ca WTO v ngoi l 590 Mc 3. Thng mi hng ho v cc hip nh ca WTO 639 Mc 4. Thng mi dch v v Hip nh GATS 669 Mc 5. Quyn s hu tr tu v Hip nh TRIPS 685 Mc 6. C ch gii quyt tranh chp ca WTO 708

MC LC

543

Mc 7. Mt s vn mi ca WTO 720 Mc 8. Vit Nam v cc cam kt gia nhp WTO 735 Tm tt Chng 2 746 Cu hi/Bi tp 747 Ti liu cn c 748

Chng 3. Php lut hi nhp kinh t khu vc 751

Mc 1. Gii thiu 751 Mc 2. Php lut v th trng ni khi ca Lin minh chu u (EU) 759 Mc 3. Hip nh thng mi t do Bc M (NAFTA) 781 Mc 4. Php lut v hi nhp kinh t ASEAN 800 Mc 5. Vit Nam hi nhp kinh t khu vc 812 Tm tt Chng 3 824 Cu hi/Bi tp 825 Ti liu cn c 825

Chng 4. Cc hip nh hp tc thng mi song phng gia Vit Nam v mt s i tc

827

Mc 1. Vit Nam-Lin minh chu u 827 Mc 2. Vit Nam-Hoa K 839 Mc 3. Vit Nam-Trung Quc 850 Tm tt Chng 4 860 Cu hi/Bi tp 862 Ti liu cn c 863

PHN 2: LUT THNG MI QUC T C S THAM GIA CH YU CA THNG NHN

865

Chng 5. Php lut iu chnh quan h mua bn hng ho quc t

865

Mc 1. Gii thiu 865 Mc 2. Cc iu kin c s giao hng trong mua bn hng ho quc t - INCOTERMS

876

Mc 3. Php lut v hp ng mua bn hng ho quc t 879 Mc 4. Thanh ton hp ng mua bn hng ho quc t 912 Tm tt Chng 5 939


544

Cu hi/Bi tp 939 Ti liu cn c 941

Chng 6. Php lut iu chnh mt s giao dch kinh doanh quc t khc - Tng quan

943

Mc 1. Php lut v nhng quyn thng mi quc t - Tng quan 943 Mc 2. Php lut v logistics quc t - Tng quan 962 Mc 3. Php lut v thng mi in t trong giao dch kinh doanh quc t - Tng quan

976

Tm tt Chng 6 989 Cu hi/Bi tp 989 Ti liu cn c 990

Chng 7. Gii quyt tranh chp thng mi quc t gia cc thng nhn

991

Mc 1. Gii thiu 991 Mc 2. Cc phng thc gii quyt tranh chp - S la chn 995 Mc 3. Chn lut p dng v c quan ti phn trong gii quyt tranh chp

1022

Mc 4. Cng nhn v thi hnh phn quyt ca trng ti nc ngoi 1035 Mc 5. Cng nhn v thi hnh bn n/quyt nh ca to n nc ngoi

1040

Mc 6. Php lut Vit Nam v gii quyt tranh chp thng mi quc t gia cc thng nhn

1045

Tm tt Chng 7 1052 Cu hi/Bi tp 1053 Ti liu cn c 1054

CHNG 1. TNG QUAN

545

PHN M U (*)

CHNG 1 TNG QUAN

Mc 1. GIAO DCH THNG MI QUC T V CC GIAO DCH C LIN QUAN

1. Lch s pht trin ca cc giao dch thng mi quc t

Cc giao dch thng mi quc t v php lut thng mi quc t khng phi l hin tng mi. Cc nh s hc cho rng, ngay t thi c xa, khi con ngi sng theo b lc, h bit trao i hng ho vi nhau. Cc khu ch c th xut hin khu vc gip ranh gia cc lnh th ca cc b lc. Mng li thng mi quc t u tin m cc nh kho c bit n xut hin vo khong 3.500 nm trc Cng nguyn, ti khu vc Lng H c i (lnh th I-ran v I-rc hin nay). Ngoi ra, cn phi k n mng li thng mi quc t xut hin Trung Quc vo khong thi k 1000-2000 nm trc Cng nguyn, c gi l Con ng t la. Trc khi xut hin k nguyn vn minh Hy Lp, vng a Trung Hi l mt trung tm thng mi quc t c t chc rt thnh cng bi ngi Ph-ni-xi. Cc thnh bang Hy Lp bt u cnh tranh vi ngi Ph-ni-xi t khong nm 800 trc Cng nguyn bng vic pht trin h thng thng mi cng vi nn vn minh rc r ca h. Cuc chinh phc ca A-lc-xan- i to ra nhng con ng thng mi ko di n tn chu v a Trung Hi. Tip , ngi La M xy dng ch thng mi hng mnh hn hng v pha Anh quc v Bc u ngy nay.

(*) Tc gi: Nguyn Thanh Tm, Tin s, Trng B mn Lut thng mi quc t, Trng i hc

Lut H Ni (HLU), v Trnh Hi Yn, Thc s, Nghin cu sinh, Trng i hc quc gia Xinh-ga-po (NUS), Ging vin, Hc vin Ngoi giao Vit Nam (DAV). Ngi bin dch: Nguyn Anh Tng, C nhn lut.


546

Thng mi quc t chu u thi k tin Trung c tri qua giai on suy thoi sau s suy tn ca ch La M. Sau , trong sut thi k Trung c, truyn thng thng mi quc t c cc thng nhn rp tip tc pht trin. H xy dng nhng mng li thng mi rng khp quanh khu vc Vnh Pc-xch, chu Phi, n , v c ng Nam . Trong thi k ny, quan h thng mi gia Trung Quc vi n , Ma-lai-xi-a v ng Nam cng pht trin.

Ch hp theo ma bt u xut hin cc th chu u thi Trung c. y l ni cc thng nhn mang hng ho t nhiu nc n bn. K t thi k ny, cc vua cha, chng hn nh v vua x Lng-bc-i () th k XI, c chnh sch nh thu bun bn ch v p thu quan i vi hng ho c vn chuyn n cc ch.

Vo cui thi k Trung c, cc mng li thng mi tm khu vc rt pht trin chu u, v d, nhng khu vc nh vng ven bin a Trung Hi, V-ni-d, Ph-l-ren-x, Gi-noa hay Bc Phi. Bc u, vo gia th k XIV, khong 80 th cng vi cc thng nhn thit lp lin kt chnh tr mm do mang tn Lin minh Han-xi-tic, vi cc lut l thng mi chung v y sc mnh qun s, chnh tr ng u vi c vua cha ln cp bin. Trong thi k ny, cc vua cha cng bt u k kt cc iu c nhm bo v cc li ch thng mi ng thi p dng chnh sch thu quan thun li cho cc thng nhn.

Vo cui th k XV, s kin Cri-xtp C-lng pht kin ra chu M cng vi cc tin b ca khoa hc-k thut v hng hi m ra k nguyn chinh phc thng mi th gii ca ngi chu u. Thi k ny, cc nc chu u thit lp mng li thuc a khp ni trn th gii. Nhim v ca cc thuc a l cung cp nguyn liu th sn xut thnh phm ti chnh quc chu u, sau cc thuc a s nhp khu hng ho c sn xut t chnh quc.

Mt trt t kinh t quc t mi bt u xut hin khi Chin tranh th gii ln th II sp kt thc. Ti Hi ngh Brt-tn t nm 1944, cc t chc kinh t ton cu - Qu tin t quc t (vit tt l IMF) v Ngn hng quc t v ti thit v pht trin (vit tt l IBRD) ra i. Mt t chc thng mi ton cu cng xut hin ti Hi ngh La Ha-ba-na nm 1948 - T chc thng mi quc t (vit tt l ITO), nhng t chc ny khng th tn ti c v b thay th bng c ch iu chnh thng mi hng ho quc t tm thi - Hip nh chung v thu quan v thng mi nm 1947 (vit tt l

CHNG 1. TNG QUAN

547

GATT 1947). Hip nh tm thi ny iu chnh thng mi hng ho ton cu trong sut gn 50 nm, cho n khi T chc thng mi th gii (vit tt l WTO) ra i nm 1995 (xem Chng 2 ca Gio trnh).

K t khi Chin tranh th gii ln th II kt thc, h thng thng mi ton cu lin tc pht trin trong sut hn 65 nm qua v gi y ang ng gia ng t ng. WTO s i v u cng vi cc cam kt ton cu v t do ho thng mi hng ho, thng mi dch v, bo h v thc thi quyn s hu tr tu, vn u t quc t? i ph vi s khng hiu qu ca cc cam kt t do ho thng mi ton cu, vic thnh lp cc lin kt kinh t khu vc tr nn hp l trong chnh sch kinh t i ngoi ca hu ht cc quc gia trn th gii. Cc m hnh lin kt kinh t khu vc nh Lin minh chu u (vit tt l EU), Khu vc thng mi t do Bc M (vit tt l NAFTA), Khu vc thng mi t do ASEAN (vit tt l AFTA) tr thnh nhng ch quen thuc trong cc gio trnh c bn v lut thng mi quc t (xem Chng 3 ca Gio trnh). Bn cnh , cc hip nh thng mi song phng cng s c vai tr quan trng (xem Chng 4 ca Gio trnh).

2. S phn bit tng i gia lnh vc thng mi quc t c s tham gia ch yu ca quc gia v cc thc th cng (International Trade) v lnh vc thng mi quc t c s tham gia ch yu ca thng nhn (International Business Transactions)

A. Thng mi quc t (International Trade) v chnh sch thng mi

1. V sao cc quc gia tin hnh hot ng thng mi vi nhau?

C hai nguyn nhn chnh c a ra nhm gii thch ti sao cc quc gia tin hnh hot ng thng mi vi nhau, l: (a) Nguyn nhn kinh t; v (b) Nguyn nhn chnh tr.

(a) Nguyn nhn kinh t

Thng mi t do khng phi l tng mi. N xut hin trong nhiu hc thuyt kinh t t th k XV-XVIII chu u, nh cc hc thuyt v ch ngha trng thng, hc thuyt v li th tuyt i ca A-am X-mt, hay hc thuyt v li th so snh ca a-vt Ri-cc-.

Theo A-am X-mt,

... [N]gi th may khng nn ng giy cho chnh mnh, m nn mua


548

giy ca ngi th ng giy. Ngi th ng giy cng khng nn t may qun o cho mnh, m nn mua qun o ca ngi th may []iu g l s khn ngoan trong cch ng x ca tng gia nh, th cng nn lm nh vy i vi mt vng quc. Nu mt quc gia nc ngoi c th cung cp cho chng ta hng ho r hn ca chng ta, th nn mua cc hng ho [c]hng ta s c li1

Quan im ca A-am X-mt v chuyn mn ho v li th tuyt i trong thng mi quc t nh nu trn c a-vt Ri-cc- tip tc pht trin. ng xy dng hc thuyt v li th so snh trong tc phm Nhng nguyn l ca kinh t chnh tr v thu kho xut bn nm 1817. Li th so snh l khi nim trung tm ca hc thuyt v thng mi quc t, cho rng quc gia nn tp trung sn xut v xut khu nhng hng ho m mnh c u th hn, ng thi nhp khu nhng hng ho m mnh khng c u th trong tng quan so snh vi cc quc gia khc. y l hc thuyt lm nn tng cho s pht trin thnh vng v kinh t ca mi quc gia thng qua thng mi quc t. Hc thuyt ny cao s chuyn mn ho sn xut ca quc gia da trn nhng li th nh ngun nguyn liu th di do, t ai mu m, lao ng c tay ngh, tch ly t bn Hc thuyt v li th so snh l li gii cho cu hi v sao cc nc pht trin cng nh cc nc ang pht trin (vit tt l DCs) c th v trn thc t u c hng li t thng mi quc t. Theo hc thuyt ny, ngay c nhng nc ngho nht v khng c bt c li th tuyt i no cng c th hng li t thng mi quc t, nh nhng li th tng i ca mnh. C l cng khng qu li nu ni rng a-vt Ri-cc- chnh l v kin trc s ca WTO ngy nay. Cc nh kinh t hc ca th k XIX-XX sau n lc hon thin cc m hnh ca a-vt Ri-cc- v cho ra i cc m hnh nh Heckscher-Ohlin, Pn Sa-mu-en-xn, Gi-dp Xti-g-lt

Cc nh kinh t hc qua cc thi i u hiu r rng, ngi dn ca mt nc s c hng li t vic nhp khu vi khi lng cng ln cng tt i ly nhng g h xut khu, hoc tng t, h s phi xut khu cng t cng tt chi cho nhp khu vi khi lng nh. Vic m ca cho thng mi v u t s thc y tng trng theo nhiu cch, l:2 Khuyn khch nn kinh t pht trin theo hng chuyn mn ho sn xut 1 Adam Smith, An Inquiry into the Nature and Causes of the Wealth of Nations, (1776), do E.

Cannan bin tp, University of Chicago Press, (1976), tp 1, tr. 478-479. 2 Simon Lester v cc tc gi khc, World Trade Law - Text, Materials and Commentary, Hard

Publishing, Oxford and Portland, Oregon, (2008), tr. 12-13.

CHNG 1. TNG QUAN

549

nhng sn phm h c li th so snh so vi cc nn kinh t khc; M rng th trng n nhng ni m cc nh sn xut ni a c th tip cn; Ph bin cc cng ngh v tng mi, lm tng nng lc sn xut ca ngi lao ng v cc nh qun l ni a; Vic loi b thu nhp khu s gip ngi tiu dng tip cn sn phm gi r hn, lm tng sc mua v mc sng ca ngi tiu dng, ng thi gip cc nh sn xut tip cn sn phm u vo gi r hn, lm gim chi ph sn xut v tng kh nng cnh tranh.3

khng t nc, t do ho thng mi v tc tng trng nhanh c nh gi l gp phn quan trng vo vic gim ngho, v d, Trung Quc, n , Thi Lan v Vit Nam.4

(b) Nguyn nhn chnh tr

C cu ni: Nu khng phi l hng ho vt qua bin gii th s l binh lnh.5 Trong thc t, bo h thng mi thng l ngun gc ca xung t. Nm 1947, cc i in n t 23 nc hp ti Gi-ne-v (Thy S) m phn v GATT, nhm gim thu nhp khu theo nguyn tc khng phn bit i x v tn trng php lut, bi v tt c cc nc u hiu r rng chnh sch bo h li mnh hi ngi (hay c th c dch l ngho ho nc lng ging) (beggar-thy-neighbour) ca nhng nm 30 thc s l thm ha kinh t ca nhn loi, thm ch c th ni l mt trong nhng nguyn nhn dn ti cuc Chin tranh th gii th II. V vy, thng mi quc t tr thnh mt trong nhng chnh sch ngoi giao quan trng ca hu ht cc quc gia ngy nay. Trit l ca vn l: nu cc nc c quan h thng mi vi nhau, th nguy c chin tranh v xung t v trang gia h s gim.

i vi rt nhiu nc DCs, sc mnh kinh t l nhn t quyt nh s tn ti v v th ca quc gia trn trng quc t. H nhn thc r rng tc ng ca thng mi quc t i vi chnh sch thng mi quc gia. Bn cnh , thng mi quc t cng l cng c rt quan trng trong qu trnh hi nhp quc t ca cc quc gia.

Theo nhng ngi ng h thng mi quc t, thng mi t do gia

3 AusAid, Trade, Development and Poverty Reduction,

http://www.ausaid.gov.au/publications/pdf/trade_devel_poverty.pdf 4 D. Dollar v A. Kraay, Trade, Growth and Poverty, World Bank Policy Research Working

Paper, (2001). 5 Peter Van den Bossche, The Law and Policy of the World Trade Organization - Text, Cases and

Materials, Cambridge University Press, 2nd edn., (2008), tr. 19.


550

cc quc gia c xem nh cha kho ca tng trng kinh t, ho bnh v cuc sng tt p hn. Tuy nhin, trit l ca thng mi t do cng vp phi s phn i.

2. V sao cc quc gia hn ch thng mi quc t?

C nhiu nguyn nhn, c v kinh t v chnh tr, khin cc quc gia quyt nh p dng nhng bin php hn ch thng mi quc t. C nhng hc gi cho rng: Thng mi t do khng phi l mt gii php ti u v mt kinh t. Ch ngha bo h v thc hnh thng mi khng cng bng c xem l em li nhng li ch kinh t ln hn cho mt quc gia.6

Ngay t th k XV, cc nh kinh t hc t vn rng cc quc gia nn thc hin cc chnh sch nhm thc y thng mi quc t ph hp vi li ch ca mnh v da trn li th so snh, tuy nhin cc chnh khch khng phi lc no cng nh gi cao li khuyn ny. H c nhiu l do theo ui chnh sch bo h thng mi.7 L do th nht l bo v an ninh quc gia v thc hin chnh sch t cung t cp. y l lp lun ca Chnh ph Hoa K khi bo h ngnh cng nghip thp v cc sn phm nng nghip. Hoa K cn c mt ngnh cng nghip thp ni a hng mnh v mc ch quc phng. L do th hai l cn bo h ngnh kinh t non tr. i khi cc quc gia cn bo h cc ngnh sn xut trong nc v vic lm, trong c nhng ngnh kinh t non tr, trc s cnh tranh ca hng nhp khu, dch v ca nc ngoi hoc cc nh cung ng dch v nc ngoi. Nu mt ngnh kinh t tim nng ca quc gia c bo h khi n cn non tr, th n s c nng lc cnh tranh bnh ng trn th trng th gii. L do th ba l chnh sch li mnh hi ngi (beggar-thy-neighbour) (nh ni trn). Thc t cho thy, chnh sch thng mi quc t mang tnh dn tc ch ngha ny c th dn ti nhiu kh nng tr a ln nhau gia cc nc. Bn cnh , cc vn nh o c x hi, sc khe cng ng, s an ton ca ngi tiu dng, mi trng, bn sc vn ho v cc gi tr x hi khc cng l l do ca ch ngha bo h thng mi. Chnh ph cc nc c th chu nh hng t p lc ca cc nhm li ch khc nhau, hoc li ch quc gia, v h c th quyt nh thc hin chnh sch bo h di nhiu hnh thc a dng v tinh vi, nu iu l cn thit. Cc quyt nh bo h thng mi, trong kh

6 Indira Carr, International Trade Law, Cavendish Publishing, 3rd edn., (2005), tr. 1xxxvii. 7 Simon Lester v cc tc gi khc, Sd, tr. 23-24; Peter Van den Bossche, Sd, tr. 20-24.

CHNG 1. TNG QUAN

551

nhiu trng hp, l s la chn chnh tr khn ngoan i vi chnh ph ca c cc nc pht trin v cc DCs.

3. S la chn ca cc quc gia l g?

Cu tr li ph thuc vo tng trng hp. Cc quc gia nn la chn con ng thng mi quc t hay chnh sch c lp? Bo h thng mi hay t do ho thng mi? Ngy nay, quyt nh ca cc quc gia thng nghing v thng mi quc t, v s la chn ny da trn logic v chnh tr hn l logic v kinh t. Cng nh cc iu c quc t khc, c chnh sch i ni (b tc ng bi sc p chnh tr) v chnh sch i ngoi (trn c s tho hip) ca cc quc gia u tc ng n qu trnh m phn v kt qu cui cng ca mt iu c thng mi quc t.

4. Lut thng mi quc t c s tham gia ch yu ca quc gia v cc thc th cng (International Trade Law) l g?

Hiu n gin, l php lut iu chnh thng mi quc t c s tham gia ch yu ca quc gia v cc thc th cng. Nhng thng mi quc t c s tham gia ch yu ca quc gia v cc thc th cng (International Trade) l g? Ngoi quc gia v cc t chc kinh t quc t l cc ch th ch yu, th ai c th tham gia vo cc quan h thng mi quc t ny? Cc quy nh v thng mi quc t l g?

(a) Thng mi quc t c s tham gia ch yu ca quc gia v cc thc th cng (International Trade) l g?

V c bn, thng mi quc t c s tham gia ch yu ca quc gia v cc thc th cng (International Trade) c hiu l cc quan h quc t cp chnh sch thng mi, v d, chnh sch thu quan v phi thu quan, chnh sch thng mi tn cng hoc phng v, chnh sch hi nhp kinh t... ca mt quc gia; hoc s la chn hi nhp cp ton cu, khu vc, song phng hoc n phng trong hp tc thng mi (xem Phn 1 ca Gio trnh); hay mi quan h gia vic thc hin cc cam kt thng mi quc t v php lut quc gia. Hin nay, vn i x thng mi dnh cho cc DCs ang l mt trong nhng mi quan tm ca thng mi quc t. Nh vy, chnh sch thng mi s c th hin rt r trong cc iu c thng mi quc t; v cc mc tiu kinh t vn l trung tm ca bt k iu c thng mi quc t no.


552

(b) Ch th ca cc quan h thng mi quc t ny l ai?

Ch th ch yu ca cc quan h thng mi quc t nu trn l cc quc gia v cc t chc kinh t quc t. Bn cnh , trong sn chi thng mi quc t ang xut hin nhng ngi chi mi.

Ni mt cch thc t, th cc nc ln v cc nn kinh t ln vn ang thng tr thng mi th gii. Tuy nhin, thng mi quc t cng rt quan trng i vi cc DCs v cc nc chm pht trin (vit tt l LDCs). Hoa K, EU v Nht Bn vn gi vai tr quan trng nhng khng cn p o. Nhng cng quc mi ni nh Trung Quc, n v Brazil cng chim v tr ngy cng ni bt trong quan h thng mi quc t. Cc nc ny xut hin nh nhng ch th ch o trong hot ng sn xut hng ch to v cung ng dch v trn th trng th gii, t to ra xu hng mi cho cc DCs khc i theo. Mc d ch chim t trng khng ng k trong thng mi ton cu, nhng v tng th, cc LDCs li l cc nh sn xut ln v hng nguyn liu, hng nhin liu, hng dt may v thc phm. Lu rng nng lc kinh t ca cc nc ny khng ging nhau, ph thuc vo nhiu yu t, trong c yu t n nh chnh tr v chnh sch thng mi.

Cc t chc kinh t quc t cng tham gia mnh m vo cc quan h thng mi quc t, trong phi k n WTO, IMF, WB, EU, ASEAN v.v.. Mc d WTO khng phi l t chc quc t duy nht c lin quan, nhng n ng l t chc quc t ln nht v ton din nht, iu chnh c cc hip nh thng mi khu vc v song phng trong phm vi nht nh.

C th thy r kh nng pht trin ca cc lin kt kinh t khu vc. Ch ngha khu vc chu s c nhng tc ng mang ngha ton cu, cng c xu hng hnh thnh ba khu vc thng mi vi kh nng tr thnh cc khi lin kt l Bc M, chu u v ng (xem Chng 3 ca Gio trnh). S hnh thnh ca cc khi ny s tc ng n kh nng t c nhng hip nh ton cu trong khun kh WTO trong tng lai. Cc lin kt kinh t khu vc cng l ch th quan trng trong quan h thng mi quc t, bn cnh cc ch th truyn thng l quc gia.

Cc ch th phi nh nc, v d, cc doanh nghip, cng c nh hng ngy cng tng trong cc hip nh thng mi quc t vn l sn chi ca cc quc gia. V d, Vic Hip nh ca WTO v quyn s hu tr tu lin quan n thng mi (vit tt l TRIPS) thc y bo h quyn s hu tr tu (vit tt l IPRs) cht ch hn, r rng l s p ng hot ng

CHNG 1. TNG QUAN

553

lobby ca cc cng ty phng Ty ang s hu v pht trin cc IPRs, nh cc cng ty dc phm, cng ty kinh doanh lnh vc gii tr, cng ty phn mm.8 Cc vng lnh th (khng c t cch quc gia) nh Hng Kng, Ma Cao, hin nay c v tr bnh ng nh cc ch th khc trong quan h thng mi quc t. Hng Kng v Ma Cao, cng vi Trung Quc, u l cc thnh vin c lp ca WTO.9

S a dng ca cc ch th tham gia sn chi ny va c th em li tim nng, va c th dn nguy c v ca h thng thng mi quc t.

(c) Cc quy nh v thng mi quc t l g?

Lut thng mi quc t (International trade rules) quy nh lut chi cho cuc chi thng mi quc t. l hng lot nhng quy nh s c tnh quc t, lin quan n thng mi hoc kinh t, v c bn cht php lut.

Do cc quy nh ny phn nh chnh sch thng mi, nn chng c lin quan cht ch vi cc vn kinh t hn bt c lnh vc php lut no khc. Cc quy nh v thng mi quc t tp trung vo cc cng c iu chnh dng thng mi, bao gm c cc iu c quc t v thng mi v mt phn php lut ni a iu chnh thng mi quc t.

Cc hip nh ca WTO l cc iu c ton cu gn nh y nht v thng mi quc t, l mt b cc quy nh mang tnh rng buc, lin quan n rt nhiu vn thng mi quc t (xem Mc 1 v Mc 2 - Chng 2 ca Gio trnh). Ngoi cc hip nh ca WTO, cn c nhiu iu c thng mi khu vc v song phng. Cc iu c tt c cc cp ny to thnh mt h thng cc quy tc thng mi a phng (xem Phn 1 ca Gio trnh). Cc iu c thng mi khu vc ni bt nht l cc iu c lin quan n EU (xem Mc 2 - Chng 3 ca Gio trnh), NAFTA (xem Mc 3 - Chng 3 ca Gio trnh), MERCOSUR (Th trng chung Nam M), v Khu vc thng mi t do ASEAN (xem Mc 4 - Chng 3 ca Gio trnh). Trong nhng nm gn y, s lng cc iu c thng mi song phng tng nhanh, ng thi th hin vai tr rt quan trng ca chng trong chnh sch thng mi ca nhiu nc trn th gii, trong c Vit Nam (xem Chng 4 ca Gio trnh hiu v cc hip nh song phng gia Vit Nam vi mt s i tc thng mi, nh EU, Hoa K v Trung Quc).

8 Simon Lester v cc tc gi khc, Sd, tr. 42. 9 WTO, http://www.wto.org


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T trc n nay, cc iu c v u t quc t thng di dng cc hip nh u t song phng (vit tt l BITs). Tuy nhin, trong thi gian gn y, cc quy nh v u t thng c a vo nhiu hip nh thng mi song phng v khu vc, do c hai vn thng mi v u t u c iu chnh kt hp trong cng mt hip nh. V d, Hip nh thng mi Vit Nam-Hoa K 2000 (vit tt l BTA) (xem Mc 2 - Chng 4 ca Gio trnh), v Hip nh NAFTA (xem Mc 3 - Chng 3 ca Gio trnh).

tm quc gia, cc quc gia ban hnh quy nh iu chnh s dch chuyn qua bin gii ca hng ho, dch v, sc lao ng, t bn, tin t ng thi k kt cc iu c quc t vi cc quc gia khc v cc t chc quc t to thun li cho thng mi quc t. Nu nhm mc ch thc y thng mi quc t, th quc gia cn phi xy dng mi trng php l cho php nng cao sc cnh tranh ca hng ho, dch v v sc lao ng ca mnh so vi quc gia khc. Ngc li, nu mong mun bo h cc ngnh kinh t trong nc, vic lm v cng ngh, hay ngn nga s chy mu v vn, th quc gia cn phi xy dng khun kh php lut theo hng phng v.

Vy, vai tr ca cc quy nh iu chnh thng mi quc t l g? Lm th no cc quy nh ny mang li li ch cho cc quc gia trong thng mi quc t? Theo Bossche, v c bn, c 4 l do gii thch s cn thit ca cc quy nh php lut thng mi quc t.10 Th nht, cc quy nh php lut ny s kim ch cc nc p dng cc bin php hn ch thng mi, v gip cc nc trnh leo thang trong vic p dng cc bin php hn ch thng mi. Th hai, cc quy nh v thng mi quc t s p ng nhu cu ca cc thng nhn v nh u t v s an ton v tnh c th d on trong thng mi quc t, t khuyn khch thng mi v u t. Th ba, n gip cc quc gia i ph c vi nhng thch thc ca qu trnh ton cu ho, lin quan n y t, mi trng, bn sc vn ho v cc tiu chun lao ng c bn Th t, l nhu cu t c mt gii php cng bng hn trong quan h kinh t quc t.

B. Thng mi quc t c s tham gia ch yu ca thng nhn (hay cc giao dch kinh doanh quc t - International Business Transactions)

1. V sao doanh nghip phi m rng hot ng kinh doanh ra nc ngoi?

Trn thc t, vic m rng hot ng kinh doanh ra nc ngoi thng

10 Peter Van den Bossche, Sd, tr. 33-35.

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nhm mc ch tng doanh s v li nhun, to ra th trng mi, nng cao v th ca doanh nghip phm vi quc t hoc bo m ngun nguyn liu. Trong trng hp doanh nghip quyt nh tin hnh kinh doanh tm quc t, cc kin thc v php lut kinh doanh quc t v php lut c lin quan s l rt cn thit i vi doanh nghip.

2. Lut thng mi quc t c s tham gia ch yu ca thng nhn (hay lut kinh doanh quc t - International Business Law) l g?

l php lut iu chnh cc quan h thng mi quc t c s tham gia ch yu ca thng nhn (hay cc giao dch kinh doanh quc t). Cch hiu v thut ng International Business Law khng qu xa so vi cch hiu v thut ng International Commercial Law.

(a) Cc giao dch kinh doanh quc t (International Business Transactions) l g?

C nhiu hnh thc giao dch kinh doanh quc t. Cch n gin nht doanh nghip thc hin hot ng kinh doanh tm quc t l thc hin hot ng mua bn hng ho trc tip vi khch hng nc ngoi, ngha l hot ng xut nhp khu (xem Chng 5 ca Gio trnh). Tuy nhin, trong mt s trng hp, vic tm kim khch hng v tm hiu th trng nc ngoi c th khng d dng. Do , doanh nghip c th quyt nh s dng ngi trung gian gip h bn hng ho hoc cung ng dch v ca mnh. C hai loi trung gian thng gp trong hot ng kinh doanh quc t, l i l v phn phi.

Doanh nghip c th quyt nh sn xut sn phm ca mnh nc ngoi thay v sn xut sn phm trong nc ri xut khu ra nc ngoi. y l trng hp doanh nghip quyt nh chuyn giao quyn s dng cc i tng s hu tr tu (vit tt l IP) cho doanh nghip khc nc ngoi v cho php doanh nghip nc ngoi sn xut v bn sn phm ca mnh. Chuyn giao IPRs tm quc t l hot ng kinh doanh hiu qu doanh nghip c c hi ph bin IPRs ca mnh.

Cc hot ng chuyn giao IPRs tn ti di nhiu hnh thc, nh chuyn giao cc i tng s hu cng nghip (license), chuyn giao quyn tc gi, chuyn giao cng ngh, nhng quyn thng mi (franchising) (xem Mc 1 - Chng 6 ca Gio trnh) v.v.. Mt cng ty dc ca H Lan c th chuyn giao sng ch v loi thuc no cho mt cng ty sn xut dc phm ca Vit Nam, ngha l cng ty dc phm ca Vit Nam c th


556

s dng sng ch ca cng ty dc phm H Lan sn xut ra loi thuc v bn ti Vit Nam. Tng t, mt cng ty in nh ca Hoa K c th chuyn giao quyn tc gi b phim cho mt cng ty ca Php, cng ty ny c th nhn bn v bn b phim trn th trng EU. Ngoi ra, nhiu cng ty nh KFC, McDonald, Pizza Hut cng rt thnh cng trong hot ng nhng quyn thng mi quc t.

Vi tm nhn chin lc i vi th trng nc ngoi, doanh nghip c th quyt nh u t trc tip vo th trng . u t trc tip nc ngoi (vit tt l FDI) c th c thc hin di hnh thc thnh lp chi nhnh (branch), cng ty con (subsidiary), lin doanh (joint-venture), thnh lp doanh nghip 100% vn nc ngoi, sp nhp v mua li doanh nghip nc ngoi (vit tt l M&A).

Ngoi ra, c nhiu loi giao dch kinh doanh quc t khc v cc giao dch c lin quan nh hot ng logistics quc t, bao gm vn ti quc t (xem Mc 2 - Chng 6 ca Gio trnh); cho vay, cho thu, giao dch vic lm, u t gin tip nc ngoi (vit tt l FPI), giao dch ti chnh quc t (thu, bo him quc t) v.v..

(b) Ch th ca cc giao dch kinh doanh quc t l ai?

C nhiu loi ch th khc nhau tham gia cc giao dch kinh doanh quc t.

i) Ch th ph bin ca cc giao dch ny l cc thng nhn - ngi tin hnh hot ng thng mi (v d, mua bn hng ho, cung ng dch v, FDI), bao gm c c nhn v doanh nghip. Khi nim thng nhn c nh ngha khng hon ton ging nhau theo lut quc gia ca cc nc. Theo khon 1 iu 6 Lut thng mi Vit Nam 2005, Thng nhn bao gm t chc kinh t c thnh lp hp php, c nhn hot ng thng mi mt cch c lp, thng xuyn v c ng k kinh doanh. Theo iu 1 Lut doanh nghip Vit Nam 2005, ch th ca hot ng kinh doanh ti Vit Nam bao gm cng ty trch nhim hu hn, cng ty c phn, hp danh, v cc doanh nghip t nhn. Trong thi gian gn y, cc cng ty a quc gia (vit tt l MNCs) ngy cng chng t vai tr quan trng ca mnh trong cc giao dch kinh doanh quc t. Cc MNCs th hin vai tr trung gian dch chuyn vn trong quan h u t quc t.

ii) Bn cnh , mt s t chc quc t cng c vai tr ng k i vi s pht trin ca cc giao dch kinh doanh quc t, nh: y ban ca Lin hp quc v Lut thng mi quc t (United Nations Commission on International

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Trade Law - vit tt l UNCITRAL), y ban ca Lin hp quc v Thng mi v pht trin (United Nations Conference on Trade and Development - vit tt l UNCTAD), Phng thng mi quc t (International Chamber of Commerce - vit tt l ICC).

UNCITRAL hng ti vic son tho cc lut mu, nhm cung cp khung php l cho cc nc ph chun v xy dng php lut nc mnh tng thch vi lut mu, sao cho ph hp vi nhu cu ca cc nc. V d, Lut mu v thng mi in t (xem Mc 3 - Chng 6 ca Gio trnh). ICC cng ng vai tr ch o trong vic bo m mt mc hi ho ho php lut gia cc nc, thng qua vic son tho cc quy nh cc quc gia c th a chng vo php lut kinh doanh quc t ca nc mnh (xem Mc 2 - Chng 1 di y ca Gio trnh). Lin on hip hi cc nh vn chuyn hng ho quc t (International Federation of Freight Forwarders Association - vit tt l FIATA) c vai tr quan trng trong vic hi ho ho php lut thng qua vic khuyn khch v s dng cc mu chng t chun, nh vn n vn ti a phng thc ca FIATA.

iii) Cc quc gia cng tham gia vo cc giao dch kinh doanh quc t, nhng vi t cch ch th c bit v i khi khng ng x bnh ng nh cc ch th khc, v ch th ny c hng quyn min tr t php.

Vy, th no l quyn min tr t php ca quc gia? Ti sao quc gia li tr thnh ch th c bit trong cc giao dch kinh doanh quc t?

Theo nguyn tc bnh ng ch quyn quc gia, thm phn ca quc gia khng th phn quyt chng li quc gia khc nu khng c s chp thun ca quc gia . S gii thch ny xut pht t nguyn tc par in parem non habet juridictionem (nhng ngi ngang nhau khng th phn xt ln nhau) c ghi nhn trong lut quc t t thi c i. Mc d u cng nhn quyn min tr t php ca quc gia, nhng cc nc li c quan im khng thng nht v phm vi ca quyn min tr l tuyt i hay hn ch.

V quyn min tr t php trong lut quc t, cu hi t ra l: Cc quc gia, c quan nh nc, hoc doanh nghip thuc s hu nh nc c th b kin trc to n dn s ca quc gia khc hay khng? v c th thi hnh n i vi ti sn ca quc gia nc ngoi phm vi no? Trong lut quc t thi k ban u, hc thuyt v quyn min tr tuyt i chim u th, tuy nhin thc tin cho thy rng rt kh p dng hc thuyt ny nu khng c s chp thun ca quc gia nc ngoi. Trn thc t, hc thuyt v quyn min tr hn ch (hay min tr tng i) c p dng v c bn.


558

Hc thuyt v quyn min tr tuyt i c ng h bi nguyn tc bnh ng ch quyn quc gia v hc thuyt Hnh vi quc gia (Act of State Doctrine). Hc thuyt Hnh vi quc gia xut pht t thc tin ca to n Hoa K. Hc thuyt ny cho rng mi quc gia c ch quyn trong phm vi lnh th ca mnh v nhng hnh vi m mt quc gia thc hin trong lnh th ca mnh phi c coi l hp php v khng th b to n nc ngoi xem xt li. Hc thuyt Hnh vi quc gia c tuyn b trong v Underhill v. Hernandez [1897], trong To n Niu Y-oc lp lun: [M]i quc gia c ch quyn phi tn trng s c lp ca cc quc gia c ch quyn khc v to n ca mt quc gia s khng xt x hnh vi ca chnh ph ca mt quc gia khc c thc hin trong phm vi lnh th ca quc gia .11

Nm 1964, To n ti cao Hoa K p dng hc thuyt Hnh vi quc gia trong mt v ni ting - Banco Nacional de Cuba v. Sabbatino [1964]. V vic ny xy ra khi Cu-ba tin hnh quc hu ho ngnh cng nghip sn xut ng, nm quyn kim sot cc nh my tinh ch ng v cc nh my khc trong cuc Cch mng Cu-ba. Rt nhiu nh u t Hoa K b thit hi do u t vo cc nh my ny m khng c bi thng sau khi Chnh ph Cu-ba ln nm quyn. Mc d trong hon cnh c rt nhiu cng dn Hoa K b thit hi, To n ti cao Hoa K vn bo v hc thuyt Hnh vi quc gia, coi hnh vi ca Chnh ph Cu-ba l hp php v bc yu cu ca cc cng dn Hoa K chng li Cu-ba do phi chu nhng thit hi v u t.12

Bn cnh , l l ng h quyn min tr hn ch cng xut hin t lu trong cc n l ca to n B, theo quyn min tr t php thng c p dng trong trng hp quc gia thc hin hnh vi mang tnh ch quyn (acta jure imperii), khng p dng trong trng hp quc gia thc hin hnh vi mang tnh cht t (acta jure gestionis). Vo ngy 17/7/1878, ln u tin to n B t chi quyn min tr t php ca Chnh ph P-ru trong xt x v vic lin quan n hp ng mua bn phn chim, vi l do y l hp ng thng mi, do Chnh ph P-ru phi chp nhn quyn ti phn ca to thng mi B.13

Quyn min tr t php ch c p dng i vi c quan ti phn trong nc, khng p dng i vi c quan ti phn quc t. [S] phn

11 V Underhill v. Hernandez, 168 U.S. 250 [1897]. 12 V Banco Nacional de Cuba v. Sabbatino, 376 U.S. 398 [1964]. 13 V Rau, Vanden Abeele et Cie c/ Duruty, Pas., [1879], II, 175; BJ, 1880, 222.

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bit gia acta jure imperii v acta jure gestionis [c]a mt quc gia hay mt ch th lut quc t khc khng c ngha i vi c quan ti phn quc t cng c thm quyn.14

C nhiu cch gii thch khc nhau v quyn min tr hn ch. Trong bi cnh cc quan h thng mi quc t hin nay, vic duy tr quyn min tr tuyt i s khin quc gia tr thnh ch th c u th hn so vi cc ch th khc trong cc giao dch thng mi quc t. iu ny kh chp nhn, bi v n nh hng n s cnh tranh cng bng trong thng mi quc t.

Theo quan im v quyn min tr hn ch, quc gia c th t hn ch quyn min tr t php ca mnh ng x nh cc ch th khc. Quan im ny c th hin trong quy nh php lut ca mt s quc gia, nht l Hoa K, v trong mt s iu c quc t. o lut ca Hoa K v quyn min tr ca quc gia nc ngoi nm 1976 (Foreign Sovereign Immunities Act 1976 - vit tt l FSIA) c php in ho trong Chng 97, b php in USC 28, sa i nm 2008. Quan im ca Hoa K trong o lut ny l:

Vic to n Hoa K xc nh yu cu ca quc gia nc ngoi v min tr thm quyn ca to n Hoa K l nhm phc v cng l v bo v cc quyn ca quc gia nc ngoi cng nh ca cc ng s trc to n Hoa K. Theo php lut quc t, cc quc gia khng c hng min tr thm quyn xt x ca to n nc ngoi trong phm vi cc hot ng thng mi c lin quan ca h, v cc ti sn thng mi ca cc quc gia nc ngoi c th b cng ch theo bn n c tuyn chng li h lin quan n cc hot ng thng mi ca h. Cc yu cu hng min tr ca cc quc gia nc ngoi t nay tr i s do to n Hoa K v to n cc tiu bang quyt nh, ph hp vi cc nguyn tc quy nh trong chng ny.15

Chnh ph nc ngoi c th b kin trc to n Hoa K nu mc nhin hoc r rng t b quyn min tr t php; hoc v kin c tin hnh trn c s hot ng thng mi hoc hnh vi thng mi ca chnh ph nc ngoi thc hin trn lnh th Hoa K hay trn c s hnh vi thng mi thc hin ngoi lnh th Hoa K nhng c nh hng trc tip n Hoa K; hoc lin quan n cc quyn ti sn do vi phm php lut quc t, v ti sn hoc ti sn trao i vi ti sn ang tn ti Hoa K, v c lin quan n hot ng thng mi do chnh ph nc ngoi

14 Sent. Arb. Reineccius et al. v/ BIS, Partial Award, 22/11/2002, # 123, www.pca-cpa.org. 15 2008 - Pub. L. 110-181, div. A, title X, Sec. 1083(a)(2), Jan. 28, 2008, 122 Stat. 341, added item

1605A; http://uscode.house.gov; http://us-code.vlex.com.


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thc hin ti Hoa K; hoc tranh chp lin quan n quyn ti sn Hoa K c c do c k tha hoc c tng cho hoc quyn i vi bt ng sn Hoa K; hoc lin quan n cc khon bi thng thit hi m chnh ph nc ngoi phi chu do thit hi gy ra Hoa K, do hnh vi vi phm php lut hoc do s cu th m chnh ph nc ngoi hoc cc nhn vin ca chnh ph nc ngoi gy ra khi thc hin cng v

Bn cnh , quan im v quyn min tr hn ch cn c ghi nhn trong Cng c Oa-sinh-tn v Trung tm gii quyt tranh chp u t quc t 1965 (vit tt l ICSID), o lut v min tr quc gia ca Vng quc Anh 1978 (United Kingdom State Immunities Act 1978), v cc vn bn khc.

Quc gia c hng quyn min tr t php, cho d l tuyt i hay hn ch, cng to nn tnh c bit ca ch th ny trong cc giao dch kinh doanh quc t vi cc ch th khc.

(c) Cc quy nh iu chnh cc giao dch kinh doanh quc t l g?

Cc quy nh lin quan n quyn v ngha v ca cc ch th tham gia cc giao dch kinh doanh quc t cn phi c lm r v phi c tnh chc chn. S thiu tnh chc chn v mt php lut s to c hi pht sinh ro cn cho hot ng kinh doanh quc t.

Cc quy nh php lut ny c nhim v iu chnh cc giao dch kinh doanh quc t a dng, v d, hp ng mua bn hng ho quc t, vn chuyn hng ho, hp ng i l, hp ng phn phi, chuyn giao IPRs quc t, logistics quc t (bao gm c vn ti quc t), thanh ton quc t, giao dch lin quan n FDI, bo him quc t, thng mi in t, gii quyt tranh chp thng mi quc t... (xem Phn 2 ca Gio trnh).

Do c qu nhiu h thng php lut v s khc bit gia chng, nn hot ng hi ho ho php lut, thng qua vic son tho cc iu c quc t, c tha nhn rng ri l mt gii php la chn tt nht.

(d) Gc nhn a vn ho v php lut kinh doanh quc t

Ngy nay, cc cng ty phn on cc hot ng kinh doanh ca mnh khp ni trn th gii, t thit k sn phm, sn xut linh kin cho ti lp rp v tip th, hnh thnh nn nhng chui sn xut phm vi quc t. Ngy cng c nhiu sn phm thc cht cn phi gn mc Sn xut ton th gii (Made in the World), thay v Sn xut Anh (Made in England) hay Sn xut Hoa K (Made in the USA).

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Cc i tc thng mi, khch hng, nh cung cp v cc ng nghip trong quan h thng mi quc t c th n t nhiu x hi khc nhau, vi nhng quan nim khc nhau v thng mi v cc gi tr x hi. Do , khi vn dng php lut thng mi quc t cn tnh n s hi ho gia cc quan nim khc nhau v thng mi quc t, thm ch i khi phi cao s khc bit, vn dng s khc bit cnh tranh hiu qu trn th trng quc t.

Mc 2. NGUN LUT THNG MI QUC T

C mt s tnh hung xy ra nh sau:

Tnh hung 1:

Mt thng nhn Vit Nam kinh doanh qun o thi trang c tr s cng ty ti H Ni, thng 11/2011 n v t mua 1.000 b qun o thi trang n ng. Thng nhn Vit Nam ny tr v H Ni v nhn c hng do ngi bn ngi gi bng ng tu bin n cng Hi Phng sau 1 thng. Trong v kinh doanh ny, cc thng nhn c th phi quan tm n nhng vn php lut no?

- n , thng nhn Vit Nam cn c h chiu do c quan c thm quyn cp v cn c th thc nhp cnh EU.

- Liu hp ng mua bn qun o ca cc thng nhn c th chu s iu chnh ca Cng c Vin nm 1980 ca Lin hp quc v hp ng mua bn hng ho quc t (vit tt l CISG) hay khng, khi m Vit Nam cha phi l thnh vin ca Cng c?

- Php lut hi quan ca Vit Nam v c lin quan g n cc hip nh trong khun kh WTO hay khng?

- Trong trng hp thng nhn Vit Nam cho rng l hng m i tc gi l qun o li mt, khng phi hng thi trang, th cc thng nhn c th p dng lut no, v n to n no gii quyt tranh chp?

- Lut , lut Vit Nam hay lut no c th p dng trong v kinh doanh quc t ny?

- Cc bn c c chn lut p dng khng? Chn theo tiu ch no?

- Nu bn n ca to n x thua cho thng nhn , liu bn n ny c hiu lc v c c thi hnh ti Vit Nam hay khng?


562

Vic p dng php lut thng mi quc t li cng tr nn khng n gin, khi v kinh doanh khng phi l mua bn hng ho quc t, m l hot ng u t trc tip nc ngoi (FDI), u t gin tip nc ngoi (FPI), hoc cc giao dch kinh doanh quc t phc tp khc.

Tnh hung 2:

Quc gia A p dng thu chng bn ph gi (vit tt l AD) i vi c ph nhp khu t quc gia B k t nm 2005. B thng mi ca quc gia A (vit tt l DOC) khi xng iu tra ln u vo thng 1/2004 v ban hnh quyt nh p thu AD vo thng 2/2005, sau tin hnh nhiu ln r sot nh k v mt ln r sot cui k (Sunset Review - R sot hong hn). DOC tnh ton bin bn ph gi da trn s so snh gi tr thng thng (vit tt l NV) v gi xut khu ti quc gia A (vit tt l EP), hay gi xut khu p t (Constructed Export Price). Trong trng hp ny, NV c tnh ton trong iu kin nn kinh t phi th trng (vit tt l NME) ca quc gia B, da trn cc yu t sn xut ca nh sn xut, bao gm cc khon chi ph u vo cho nguyn liu th, lao ng v nng lng ph hp vi trnh sn xut thc t ca tng b n. Cc chi ph ny c DOC tnh ton da trn n gi thay th ca mt nc xut khu khc, theo mc gi thay th l mc m ti cc yu t ca sn xut tng t c th t c trong cng iu kin th trng. Trong trng hp ca quc gia B, nc thay th c chn l quc gia C. Sau , DOC p dng cc t l v chi ph gin tip, chi ph bn hng, chi ph hnh chnh v li nhun tnh ton NV ca c ph nhp khu t quc gia B. NV ny c so snh vi EP l gi bn cho ngi mua c lp u tin.

Khi tin hnh iu tra, DOC s dng phng php quy v khng (zeroing), theo tt c cc giao dch c bin ph gi m u c quy v khng (0), thay v c b tr cho cc giao dch c bin ph gi dng.

Tnh hung ny t ra nhiu cu hi cho cc chuyn gia php lut.

- Liu phng php quy v khng m DOC p dng c ph hp vi cc ngha v ca quc gia A trong khun kh WTO v Hip nh ca WTO v chng bn ph gi (vit tt l ADA) hay khng?

- Liu phng php quy v khng c nh hng g n vic DOC xc nh bin ph gi hay khng?

- Liu quc gia B c th khiu kin vic quc gia A p dng phng php ny hay khng?

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- Trong v vic ny, cc bn c th cn c vo nhng c s php l no? ADA hay cc n l ca WTO?

- n l no sau y c lin quan: n l US-Zeroing (Japan) [2009], n l US-Zeroing (EC) [2009], hay n l no khc?

- Ngha v chng minh thuc v bn no?

- Hu qu php l trong trng hp c s vi phm ngha v theo cc hip nh ca WTO l g?...

Quan h thng mi quc t, d l c s tham gia ca cc quc gia hay cc thng nhn hay bt k ch th no khc, u c th c iu chnh ng thi bng nhiu loi ngun lut nh php lut quc gia, php lut quc t (bao gm cc iu c, tp qun thng mi quc t, n l quc t), v nhng ngun lut khc.

1. Php lut quc gia

A. Cc loi ngun lut lin quan n php lut quc gia

Php lut quc gia c v tr rt quan trng trong thc tin thng mi quc t. Php lut quc gia - ngun lut ang cp, phn bit vi lut quc t, c hiu l bao gm c php lut ca quc gia nc ngoi. Trn thc t, vic tm hiu v p dng php lut nc ngoi lun l cn c mng i vi cc thng nhn v lut s quc t.

Ngun lut ny rt a dng, c th tp trung vo mt s loi di y.

1. Vn bn php lut

T thi c xa, cc quy tc thng mi quc t c thit lp nhm bo v cc thng nhn nc ngoi v iu chnh hot ng vn ti hng ho quc t. Cc quy nh php lut thnh vn u tin tn ti trong B lut Hm-mu-ra-bi (nm 2500 trc Cng nguyn), theo quy nh vic bo v cc thng nhn nc ngoi v iu chnh hnh vi vi phm hp ng.

V c bn, nhng quy nh no ca php lut quc gia c p dng cho giao dch thng mi trong nc th cng c p dng cho giao dch thng mi quc t. Ngoi ra, do cc nc u cn bo v li ch quc gia trong cc giao dch thng mi quc t, nn s quy nh v chnh sch thng mi hng ho, chnh sch v bn hng v.v.. C th, hng ho, cng ngh no thuc din b cm hoc hn ch xut, nhp khu? Cc i tc thng mi no khng c hng i x u i? C cn quy nh kim


564

sot vic chuyn ngoi t mnh ra nc ngoi hay khng? Cn hn ch FDI vo lnh vc no? v.v..

Mt ngun quan trng ca php lut quc gia v thng mi quc t nm cc o lut hay cc vn bn di lut v thng mi v thng mi quc t. V d, trong h thng php lut Hoa K, o lut thu quan 1930, o lut thng mi 1974, o lut v cc hip nh thng mi 1979, B lut thng mi thng nht (US UCC), v.v.. l nhng ngun quan trng ca php lut thng mi quc t. Bn cnh , cc vn bn php lut trong lnh vc lut hp ng, lut dn s, lut t tng dn s, v.v. trong h thng php lut ca cc quc gia cng l nhng ngun lut thng mi quc t quan trng. Trong cc lnh vc ny, phi k n cc quy nh php lut quc gia iu chnh cc bin php khc phc thng mi v hot ng hi quan. Php lut v cc bin php khc phc thng mi (ch yu l AD, chng tr cp v t v thng mi) thc cht l cc ro cn thng mi hp php, nhm chng li c thng mi cng bng v cnh tranh khng lnh mnh. Php lut hi quan cng c tm quan trng tng t, bi v y l cc quy nh m chnh ph phi da vo thu thu xut nhp khu v iu chnh hot ng xut nhp khu.

Trong h thng php lut Vit Nam hin hnh, cn k n cc vn bn php lut quan trng l ngun ca php lut thng mi quc t nh: B lut dn s 2005; Lut thng mi 2005; B lut t tng dn s 2004 (sa i, b sung nm 2011); Lut doanh nghip 2005, Lut u t 2005; Lut s hu tr tu 2005 (sa i b sung nm 2009); Lut trng ti thng mi 2010; Php lnh chng bn ph gi hng ho nhp khu vo Vit Nam 2004; Php lnh v chng tr cp i vi hng ho nhp khu vo Vit Nam 2004; Php lnh v t v trong nhp khu hng ho nc ngoi vo Vit Nam 2002; Php lnh i x ti hu quc v i x quc gia trong thng mi quc t 2002; v cc vn bn di lut.

2. n l ca to n trong nc

Mt ngun khc ca php lut quc gia v thng mi quc t l n l. C rt nhiu n l c ngha i vi cc chuyn gia php lut, v d, n l nm 1878 ca to n B v quyn min tr t php hn ch (xem Mc 1 - Chng 1 ca Gio trnh); hay n l United City Merchants (Investments) Ltd v. Royal Bank of Canada, trong to n ca Anh lm r ngoi l v hnh vi gian di (fraud exception) ca nguyn tc v tnh c lp ca th tn dng (principles

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of the autonomy of the credit) trong lnh vc thanh ton quc t, trong khi UCP 600 khng quy nh v ngoi l ny (xem Mc 4 - Chng 5 ca Gio trnh);16 hoc n l Banco National de Cuba v. Manhattan Bank lin quan n p dng hc thuyt hnh vi quc gia ca to n Hoa K.17

3. Cc ngun lut khc ca php lut quc gia

Php lut quc gia cn bao gm cc tp qun thng mi ca quc gia v cc nguyn tc chung trong xt x ca to n quc gia (general principles in foro domestico). y l nhng nguyn tc c tt c cc h thng php lut trn th gii cng nhn. Chng thng c ngun gc t php lut La M v c th hin bng ngn ng La-tinh, v d, non bis in idem (khng xt x hai ln i vi cng mt ti phm), nemo judex in propria causa (khng c xt x v vic ca chnh mnh hoc lin quan n li ch ca mnh), ex injuria jus non oritur (quyn khng sinh ra t mt hnh vi bt hp php) v.v.. Bn cnh , cc nguyn tc nh tun th ng cc th tc (due process), nguyn tc tng xng, nguyn tc khng p dng php lut hi t v.v. cng c hu ht cc h thng php lut trn th gii ghi nhn. Nhng nguyn tc ny ch c p dng nh l ngun lut b tr, trong trng hp khng p dng c cc ngun lut khc.

B. Cc gii hn ca php lut quc gia trong vic iu chnh giao dch thng mi quc t

V c bn, php lut ca quc gia ch c hiu lc iu chnh i vi hnh vi ca ch th mang quc tch quc gia , hoc hnh vi c thc hin trong phm vi lnh th quc gia . Vic xc nh quc tch ca MNC rt phc tp nhng cng rt quan trng chnh ph c th bo v li ch ca doanh nghip nc mnh trong cc hot ng kinh doanh quc t.18

Gii hn iu chnh ca php lut quc gia i vi cc giao dch thng mi quc t i khi va chm vi vn quyn ti phn ngoi lnh th. Quyn ti phn ngoi lnh th ca quc gia l quyn iu chnh bng php lut ca quc gia i vi:

- Hnh vi vi phm php lut ca ch th mang quc tch nc mnh,

16 V United City Merchants (Investments) Ltd v. Royal Bank of Canada, The American Accord,

[1983], 1 AC 168, House of Lords. 17 V Banco National de Cuba v Manhattan Bank, 658 F. 2d 875 (2nd Cir. [1981]). 18 To n quc t (ICJ), Barcelona Traction, Belgium v. Spain [1970], http://www.icj-cij.org.


566

trong trng hp hnh vi vi phm php lut xy ra bn ngoi lnh th. V d, mt Tng gim c iu hnh (vit tt l CEO) l cng dn Nht Bn thc hin hnh vi hi l Vit Nam c th b to n Nht Bn xt x.

- Hnh vi ca ngi nc ngoi thc hin nc ngoi lm phng hi n an ninh quc gia hoc cc li ch khc ca quc gia.

- Hnh vi vi phm php lut nc ngoi m nn nhn ca hnh vi mang quc tch nc mnh.

- Cc ti phm quc t nh cp bin, khng tc, bun bn n l, ti dit chng v.v..

Vic thc hin quyn ti phn ngoi lnh th thng ko theo cc s c trong quan h ngoi giao.

2. Php lut quc t

A. Tp qun thng mi quc t

1. Khi nim tp qun thng mi quc t

Tp qun thng mi quc t l ngun quan trng ca php lut thng mi quc t. Cc thng nhn, nhng ngi cng theo ui cc mc tiu kinh t, lun lun ni ngn ng chung, l cc tp qun thng mi quc t.

Tp qun thng mi quc t c th hiu l tp hp nhng quy tc ng x bt thnh vn hnh thnh t cc hnh vi, cch ng x ca thng nhn, v c cc thng nhn coi l lut ca mnh. V d, cc iu kin c s giao hng trong mua bn hng ho quc t (vit tt l INCOTERMS) (xem Mc 2 - Chng 5 ca Gio trnh); Quy tc thc hnh thng nht v tn dng chng t (vit tt l UCP) (xem Mc 4 - Chng 5 ca Gio trnh); Tp qun ngn hng theo tiu chun quc t (vit tt l ISBP) (xem Mc 4 - Chng 5 ca Gio trnh).

2. Lex mercatoria (thng nhn lut)

Php lut thng mi quc t thc s pht trin k t thi k Trung c, khi m cc tp qun thng mi quc t xut hin v pht trin ti cc hi ch thng mi chu u vo cui th k VII. Cc thng nhn t cc nc, cc khu vc khc nhau n mua bn hng ho cc hi ch mang theo cc tp qun thng mi ca mnh. Qua thi gian, cc v vua cha chp nhn cho cc thng nhn n t cc nc, cc vng khc nhau c gii quyt

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tranh chp thng mi theo tp qun ring ca h, do cc tp qun thng mi ny tr nn c hiu lc php lut. Ngay t ban u, lex mercatoria (thng nhn lut) c tnh quc t, bi v n tn ti c lp vi php lut ca vua cha. N da trn nhng tp qun thng mi chung ca thng nhn vn ph bin khp chu u lc by gi v c p dng thng nht bi cc to n thng nhn cc nc khc nhau.

Trong sut thi k Trung c, lex mercatoria l tp qun thng mi quc t rt mnh, quy nh cc quyn v ngha v ca thng nhn. Phm vi ca lex mercatoria rt rng, iu chnh rt nhiu vn thng mi nh gi tr v hiu lc ca hp ng, vi phm hp ng, th tn dng, s sch k ton, hi phiu, vn n, thnh lp cng ty v hp danh, ph sn, sp nhp, nhn hiu hng ho, mn bi v.v.. Lex mercatoria nhn mnh quyn t do tho thun trong hp ng v quyn t do chuyn nhng cc ng sn.

... [T]ranh chp gia cc thng nhn c gii quyt bi cc to n a phng c bit, nh cc to n ca hi ch v th, thm phn v hi thm chnh l cc thng nhn. Cc to n thng nhn ny gii quyt tranh chp rt nhanh chng v p dng lex mercatoria ch khng p dng lut a phng.19

iu quan trng nht ca lex mercatoria l cc to n thng nhn gii quyt v vic rt nhanh, trnh s dng nhng yu t chuyn mn phc tp, v thng quyt nh v vic theo nguyn tc cng bng (ex aequo et bono). Lex mercatoria c hiu lc nh s chp nhn t nguyn ca cc thng nhn. Lex mercatoria thc s ph hp vi nhu cu ca thng nhn trong sut thi k .

L trung tm thng mi ca chu u mt thi, nc t ho v v tr ca mnh trong qu trnh pht trin ca lex mercatoria thi k Trung c. Cc thng nhn v lut s y rt sng to trong vic pht trin nhiu loi quy tc v hng hi v thng mi, nh vn n v hi phiu, gp phn hnh thnh cc quy nh php lut ni dung da trn tp qun thng mi. nh hng ca cc thng nhn lan to khp chu u, ngay c nhng hi ch ln Sm-pa-nh (Php) cng b chim lnh bi thng nhn .20

Sau ny, do cc vua cha ngy cng c nhiu quyn lc, cng vi s hnh thnh cc quc gia-dn tc vo cui thi k Trung c chu u, lex 19 L. S. Sealy v R. J. A. Hooley, Commercial Law, Text, Cases, and Materials, Oxford University

Press, 4th edn., (2009), tr. 14. 20 Good on Commercial Law, do Ewan McKendrick bin tp v chnh sa ton b, Penguin B, tr. 5.


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mercatoria c xu hng ho nhp vo cc h thng php lut quc gia. V d: Anh, lex mercatoria l mt b phn ca php lut c cc to thng mi p dng. Lex mercatoria hon ton c a vo common law bng cng sc ca Ngi John Holt - Chnh n To n ti cao (Chief Justice) trong thi k 1689-1710, v Thng ngh s Mansfield - Chnh n To n ti cao (Chief Justice) trong thi k 1756-1788.21 Tuy nhin, phn ln lex mercatoria b thay i khi p dng cc to n ti cc nc khc nhau.

T th k XIX, cc quc gia bt u k kt vi nhau cc iu c v thng mi quc t. Kt qu l lex mercatoria dng nh ch cn mang ngha lch s. Tuy nhin, lex mercatoria, trong mt s trng hp c b sung bi lex maritima (lut thng nhn trn bin),22 vn cn nh hng ti s pht trin ca lut thng mi quc t hin i trong nhng lnh vc nh mua bn hng ho quc t, thanh ton quc t, vn ti hng ho quc t.

3. Phng thng mi quc t (ICC) v vic tp hp cc tp qun thng mi quc t

ICC l t chc quc t phi chnh ph hot ng nhm phc v hot ng thng mi trn ton th gii. ICC ng vai tr ch o trong vic m bo s hi ho trong thng mi quc t thng qua vic tp hp ho cc tp qun thng mi quc t cc thng nhn c th p dng khi thc hin cc giao dch kinh doanh quc t. Nhiu quy tc p dng thng nht do ICC ban hnh c s dng iu chnh quan h hp ng. C ba nhm quy tc: Ngn hng v bo him, thng mi quc t v vn ti quc t.23

Rt nhiu trong s cc quy tc ny c la chn t cc tp qun thng mi ca cc thng nhn c hnh thnh qua thi gian. V d, cc iu kin c s giao hng trong mua bn hng ho quc t (INCOTERMS) (xem Mc 2 - Chng 5 ca Gio trnh); Quy tc thc hnh thng nht v tn dng chng t (UCP) (xem Mc 4 - Chng 5 ca Gio trnh); Tp qun ngn hng theo tiu chun quc t (ISBP) (xem Mc 4 - Chng 5 ca Gio trnh); Cc quy tc thc hnh v tn dng d phng quc t (ISP) (xem Mc 4 - Chng 5 ca Gio trnh); hoc cc quy tc ca UNCTAD/ICC v chng t trong vn ti a phng thc. Cc ngn hng trn khp th gii p dng UCP - b quy tc m ngy nay c s dng trong hu nh tt c cc giao dch tn dng chng t.

21 L. S. Sealy v R. J. A Hooley, Sd, tr. 15. 22 http://en.wikipedia.org/wiki/International_trade_law 23 Good on Commercial Law, Sd, tr. 15.

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B. iu c

Cc iu c l ngun ch yu ca php lut thng mi quc t. C nhiu cch khc nhau phn loi cc iu c. Cc iu c v thng mi quc t c th l iu c song phng hoc a phng, cp khu vc v ton cu.

cp ton cu, cc v d in hnh v iu c thng mi quc t cn ni n l: Cc hip nh ca WTO (xem Chng 2 ca Gio trnh); Cng c ca Lin hp quc v hp ng mua bn hng ho quc t 1980 (CISG) (xem Mc 3 - Chng 5 ca Gio trnh); Cng c ca Lin hp quc v cng nhn v thi hnh cc phn quyt trng ti nc ngoi 1958 (gi tt l Cng c Niu Y-oc) (xem Mc 3 v Mc 4 - Chng 7 ca Gio trnh); Quy tc La Hay-Visby v Quy tc Hm-buc (xem Mc 2 - Chng 6 ca Gio trnh); v.v..

Trong khun kh WTO c cc hip nh nhiu bn (hay a bin) (Plurilateral Trade Agreements). y l cc hip nh do mt s thnh vin ca WTO t nguyn k kt v ch c hiu lc i vi cc thnh vin k kt, khng c hiu lc rng buc i vi cc thnh vin khc ca WTO. Vo thi im WTO bt u i vo hot ng (ngy 1/1/1995), c 4 hip nh nhiu bn, bao gm: Hip nh v bun bn sn phm sa, Hip nh v bun bn sn phm tht b, Hip nh v mua sm ca Chnh ph (vit tt l GPA) v Hip nh v bun bn my bay dn dng. Hip nh cng ngh thng tin 1996 (vit tt l ITA) l hip nh nhiu bn xut hin sau khi Vng m phn U-ru-goay kt thc. n cui nm 1997, Hip nh v bun bn sn phm sa v Hip nh v bun bn sn phm tht b ht hiu lc. Vic k kt cc hip nh nhiu bn nhm cho php mt s nhm thnh vin WTO cam kt nhng vn m cc thnh vin ny cho l quan trng i vi h - nhng vn nm ngoi cam kt gia nhp WTO.24

cp khu vc, cc nc thng k kt cc hip nh thng mi t do (vit tt l FTAs), v d, NAFTA (xem Mc 3 - Chng 3 ca Gio trnh), AFTA (xem Mc 4 - Chng 3 ca Gio trnh); cc hip nh thng mi song phng (vit tt l BTAs) v.v.. Cc nc chu u k kt Cng c v quyn ti phn v thi hnh cc bn n dn s v thng mi EEC 1968 (Cng c Brc-xen), Quy nh ca Hi ng chu u (EC) No 593/2008 ngy 17/6/2008 v lut iu chnh cc ngha v theo hp ng (cn gi l Quy nh R-ma I) v.v..

24 WTO, http://www.wto.org.


570

Cc iu c v thng mi quc t c th c p dng trc tip hoc phi theo quy trnh ni lut ho vo h thng php lut quc gia.

C. n l quc t

n l ca WTO v cc c quan ti phn quc t (to n quc t, trng ti quc t) l ngun quan trng trong h thng ngun lut thng mi quc t. V d, n l ca WTO Japan-Alcoholic Bevarage [1996] lm r khi nim sn phm tng t (like product) trong qu trnh gii quyt v vic lin quan n vic p dng nguyn tc i x quc gia (nguyn tc NT), nguyn tc nn tng ca php lut thng mi quc t, trong khi cc quy nh trong cc hip nh ca WTO khng v khng th lm r c khi nim ny (xem Mc 2 - Chng 2 ca Gio trnh).25

Bn cnh , cc n l quc t trong lnh vc FDI cng c ngha rt quan trng. Trong v Factory at Chorzow [1927], vn v quc hu ho, trng thu ti sn v cc tiu chun bi thng c To n quc t thng trc (vit tt l PCIJ) gii thch rt r rng.26 Tng t, v Barcelona Traction [1970] do To n quc t (vit tt l ICJ) gii quyt ch ra nguyn tc xc nh quc tch ca MNC.27

Cc n l ca To n cng l chu u (nay l To n cng l - mt b phn ca To n cng l EU, xem Mc 2 - Chng 3 ca Gio trnh) cng l ngun lut quan trng c tnh rng buc i vi cc thit ch ca EU v cc nc thnh vin. n l ni ting Van Gend en Loos [1963]28 l mt v d.

Nhng quyt nh cui cng ca c quan gii quyt tranh chp (Panel) ca NAFTA ng gp quan trng cho ngun n l ca lut thng mi quc t, v nht l to ngun cho lut trng ti lin quan n gii quyt tranh chp gia nh u t nc ngoi v chnh ph nc tip nhn u t. V d, hai n l Metalclad v. Mexico29 v Thunderbird v. Mexico30 trong khun kh NAFTA (xem Mc 3 - Chng 3 ca Gio trnh).

25 WTO, http://www.wto.org. 26 To n quc t thng trc (PCIJ), V Factory at Chorzow (Germ. v. Pol.), [1927] P.C.I.J. (ser.

A) No 9 (July 26), http://www.worldcourts.com/pcij/eng/decisions/1927.07.26_chorzow.htm 27 To n quc t (ICJ), V Barcelona Traction, Belgium v. Spain, [1970], http://www.icj-cij.org 28 To n cng l chu u (ECJ), Case 26/62 Van Gend en Loos v. Nederlanse Administratie der

Belastingen. 29 NAFTA, v Metalclad Corporation v. The United Mexican States, Phn quyt ngy 30/8/2000; n

l s ARB(AF)/97/1 c gii thiu li nm 2001, 16 ICSID Review - Foreign Investment Law Journal 168.

30 NAFTA, v International Thunderbird Gaming Corp. v. Mexico, Phn quyt ngy 26/1/2006 (UNCITRAL/NAFTA), www.italaw.com/documents/ThunderbirdAward.pdf.

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D. Cc ngun lut khc

Cc nguyn tc chung ca php lut quc t rt c ngha i vi cc vn lin quan n trch nhim ca nh nc, hay nguyn tc bi thng cng bng v tho ng trong lnh vc FDI v.v.. Mt trong nhng nguyn tc l nguyn tc thin ch, p dng trong vic kim sot cc quc gia thc thi cc quyn ca mnh. V c bn, cc nguyn tc chung ca php lut quc t c tnh rng buc i vi mi quc gia.

Theo khon 1 iu 38 Quy ch To n quc t (ICJ), cc hc thuyt ca cc hc gi ni ting l ngun b tr c s dng tm ra cc quy phm lut quc t.

Lut mm l khi nim thng c gii hc gi nhc ti. y l nhng quy tc khng c gi tr rng buc v mt php l, tuy nhin trong thc tin li thng c cc ch th tun th cht ch, v d, phn ln cc ngh quyt v tuyn b ca i hi ng Lin hp quc, cc hc thuyt php l, cc lut mu, cc b quy tc ng x, k hoch hnh ng v.v.. C th k ra mt s lut mm ng ch nh: Ngh quyt ca i hi ng Lin hp quc s 3201 nm 1974 v trt t kinh t th gii mi (ngy 1/5/1974, UNGA, Res. 3201 (S-VI), UN Doc. A/9559); Ngh quyt s 1803 (XVII) nm 1962 ca i hi ng Lin hp quc v ch quyn vnh vin i vi ngun ti nguyn thin nhin (17 UN GAOR Supp. (No.17), 115, UN Doc.5217 (1962)); Tuyn b nm 1976 ca OECD v u t quc t v cc MNCs; Hc thuyt hnh vi quc gia (xem Mc 1 - Chng 1 ca Gio trnh); Hc thuyt Can-v; Hc thuyt Dra-g v.v..

Hc thuyt Can-v l hc thuyt v chnh sch i ngoi, cho rng quyn ti phn i vi cc tranh chp v u t quc t phi thuc v quc gia ni tin hnh hot ng u t. Do , hc thuyt ny cho rng cc nh u t cn phi chn to n ca quc gia s ti gii quyt cc tranh chp v u t thay v chn to n ca quc gia mnh, v cc chnh ph khng c tin hnh bo h ngoi giao hoc can thip qun s bo v nh u t ca mnh. Hc thuyt mang tn lut gia ngi c-hen-ti-na Cc-lt Can-v c tuyn b t th k XIX v c p dng rng ri cc nc chu M La tinh v mt s khu vc khc trn th gii. Hc thuyt Dra-g c xy dng da trn nguyn tc ca hc thuyt Can-v nhng c phm


572

vi p dng hp hn.31

Nhng lut mm khc trong php lut thng mi quc t cng cn nhc n, l B nguyn tc v hp ng thng mi quc t ca UNIDROIT (vit tt l PICC) (xem Mc 3 - Chng 5 ca Gio trnh); B nguyn tc v lut hp ng chu u ca y ban v lut hp ng chu u (vit tt l PECL) (xem Mc 3 - Chng 5 ca Gio trnh); Lut mu v thng mi in t ca UNCITRAL (xem Mc 3 - Chng 6 Gio trnh) v.v..

Mc d lut mm khng mang tnh rng buc php l nhng c tnh khuyn ngh v nh hng rt cao i vi hot ng lp php ca cc quc gia, cng nh hot ng m phn cc iu c quc t.

Khng phi l khng c l khi cc DCs cho rng php lut thng mi quc t ch yu phn nh li ch ca cc nc pht trin. Lex mercatoria ra i t trung tm thng mi a Trung Hi v cc hi ch thng mi chu u thi Trung c. Php lut thng mi quc t hin i mc d c gng hi ho lut chi thng mi khp ni trn th gii nhng cng cha quan tm hoc t quan tm n kinh nghim v trnh thng mi ca cc DCs. Cu hi t ra hin nay l lm th no iu hnh mt th gii ton cu ho vi mc hi nhp su sc v ngy cng nhiu cc cng quc?

Tm tt Chng 1

Thng mi quc t v php lut thng mi quc t tri qua lch s pht trin lu di v phong ph t bui ban u ca nn vn minh nhn loi. Cc cuc cch mng khoa hc-cng ngh qua cc thi i tc ng mnh m n s pht trin thng mi ton cu.

Cc quan h thng mi quc t, cho d c s tham gia ca quc gia v cc thc th cng hay cc thng nhn, u chu s iu chnh phc tp ca c php lut quc gia ln php lut quc t.

V tr ca php lut thng mi quc t nm trong vng giao thoa gia lut quc t v lut quc gia. Php lut thng mi quc t l mt trong nhng sn phm c sinh ra t mi quan h phc tp gia lut quc t v lut quc gia.

31 http://en.wikipedia.org

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Gii hn lm trn th gii v Vit Nam c quan nim rt a dng v lnh vc php lut ny. Cc hc gi din t ton b hoc mt phn ni dung ca lnh vc php lut ny bng cc tn gi a dng nh: International Trade Law (Lut thng mi quc t); World Trade Law (Lut thng mi th gii); Global Trade Law (Lut thng mi ton cu); International Trade Regulations (cng c dch ra ting Vit l Lut thng mi quc t); International Commercial Law (cng c dch ra ting Vit l Lut thng mi quc t); International Business Law (Lut kinh doanh quc t); International Economic Law (Lut kinh t quc t); Droit Economic International (Lut kinh t quc t); Droit de Commerce International (cng c dch ra ting Vit l Lut thng mi quc t) v rt nhiu tn gi khc. Tuy nhin, iu quan trng l lnh vc php lut ny iu chnh c hai vn , bao gm: (i) vn lin quan n chnh sch i ngoi ca nh nc trong lnh vc thng mi quc t (nh thu quan v cc hng ro phi thu quan, nh gi hi quan, bn ph gi, tr cp xut khu...); v (ii) vn lin quan n hnh vi ca cc ch th (bao gm c nh nc, cc thc th cng v t nhn) trong cc giao dch kinh doanh quc t (nh hp ng mua bn hng ho quc t, thanh ton quc t, vn ti hng ho quc t...). Php lut thng mi quc t nn c xem nh l tng th nhng cu tr li ca php lut i vi nhu cu v thc tin ca cc quan h thng mi gia cc nh nc vi cng ng thng nhn.

Mt h thng cc quy nh nhm thc y thng mi t do dng nh cha y nhanh tc pht trin thng mi. t c mc ch ny, cn c khun kh php l ph hp iu chnh ton din cc lnh vc tc ng n thng mi quc t nh vn ti, ngn hng, tip th, truyn thng v.v..

Do php lut thng mi quc t l s th hin chnh sch thng mi, nn nu so vi bt c lnh vc php lut no khc, th lnh vc php lut ny c mi quan h cht ch nht vi lnh vc kinh t. Thm vo , quan h thng mi quc t v php lut thng mi quc t s khng th pht trin, nu cc chnh khch cha nhn thy nhng li ch m thng mi quc t c th mang li. Mt vn c v n gin v mt php l cng c th tr thnh nan gii v ngoi giao v i hi phi thng lng lu di. Li ch thng mi ca cc thng nhn c th phi ph thuc vo


574

li ch chnh tr ca cc quc gia c lin quan. V d, trong v Barcelona Traction [1970], khi cc chnh khch mt li ch, cc nh u t c th mt tin. Do vy, trc khi quyt nh tin hnh kinh doanh quc t, mt doanh nghip cn nh gi y tc ng ca cc iu c thng mi quc t v php lut ca cc quc gia lin quan n giao dch mnh s thc hin, v d, php lut v bo v quyn s hu ca doanh nghip (bao gm c IPRs), s thiu hiu qu ca iu c quc t no , hay tnh phc tp ca cc h thng php lut khc nhau Nh vy, cn phi tip cn php lut thng mi quc t nh l mt lnh vc a ngnh, bao gm kinh t, chnh tr, ngoi giao, giao tip gia cc nn vn ho, v tt nhin v ch yu l lnh vc php lut, bao gm c cng php quc t v lut quc gia, trong c t php quc t.

Khng c php lut no hon ho, m n c th c nhng mu thun, s thiu r rng v i khi c s khng cng bng. Php lut thng mi quc t cng cn nhiu vn rt kh gii quyt. Gia cc nc vn tn ti nhng khong cch v quan im trong mt s lnh vc ca php lut thng mi quc t.

Trong bi cnh ca Vit Nam - mt nc nng nghip ang pht trin trong giai on u ca tin trnh hi nhp kinh t quc t, vic hc hi nhng kin thc phc tp v php lut thng mi quc t cng ging nh ngi bnh dn thng thc nhc giao hng qu phi. iu ny qu tht khng d dng nhng li rt cn thit cho s pht trin v hi nhp vi th gii ca Vit Nam.

Cu hi/Bi tp

1. Ti sao cc quc gia tin hnh hot ng thng mi vi nhau?

2. Ti sao tin trnh hi nhp kinh t ngy cng gia tng?

3. Ngi ta bun bn ci g v ai tin hnh hot ng thng mi quc t?

4. Thng mi , ang v vn tip tc ng vai tr quan trng trong nn kinh t ton cu nh th no?

5. Thng mi t do l g? Thng mi t do c em li li ch cho tt c mi ngi hay khng? Ci g s gy tc ng cho c ngi thng v ngi thua trong thng mi quc t?

6. Ai c hng li t php lut thng mi quc t v ti sao?

CHNG 1. TNG QUAN

575

Ti liu cn c

1. Peter Van den Bossche, The Law and Policy of the World Trade Organization - Text, Cases and Materials, Cambridge University Press, Cambridge, 2nd edn., (2008).

2. Raj Bhala, International Trade Law: Interdisciplinary Theory and Practice, LexisNexis, 3rd edn., (2008).

3. Raj Bhala, Lut thng mi quc t: Nhng vn l lun v thc tin, LexisNexis, Ti bn ln th hai, (2000), Sch dch, Nh xut bn T php, (2006).

4. Folsom v cc tc gi khc, International Business Transactions, 9th edn., (2006).

5. Surya P. Subedi, International Economic Law, University of London Press, London, (2006).

6. Simon Lester v cc tc gi khc, World Trade Law - Text, Materials and Commentary, Hard Publishing, Oxford and Portland, Oregon, (2008).

7. Indira Carr, International Trade Law, Cavendish Publishing, 3rd edn., (2005).

8. Good on Commercial Law, Edited and fully revised by Ewan McKendrick, Penguin Books, 4th edn., (2010).

9. L. S. Sealy v R. J. A. Hooley, Commercial Law, Text, Cases, and Materials, Oxford University Press, 4th edn., (2009).

Websites hu ch

http://www.un.org http://www.wto.org http://www.imf.org http://www.worldbank.org http://www.iccwbo.org http://europa.eu.int http://www.worldtradelaw.net http://www.law.georgetown.edu http://www.cid.harvard.edu/cidtrade http://www.commercialdiplomacy.org


576

http://www.nafta-sec-alena.org http://www.aseansec.org http://www.unctad.org http://www.uncitral.org http://uscode.house.gov http://us-code.vlex.com http://lexmercatoria.net http://www.intertradelaw.hlu.edu.vn

CHNG 2. LUT WTO

577

PHN 1 LUT THNG MI QUC T C S THAM GIA

CA NH NC V CC THC TH CNG

Hi nhp quc t tr thnh chnh sch i ngoi ln ca Vit Nam trong thi k hin nay, trong hi nhp kinh t quc t l trng tm v mi cp (ton cu, khu vc, v song phng). Vic tr thnh thnh vin chnh thc ca WTO ngy 11/1/2007 khng phi l im bt u, cng khng phi l im kt thc ca qu trnh i mi v hi nhp kinh t quc t ca Vit Nam. Cc hip nh thng mi t do khu vc v song phng cn c mc m ca cao hn so vi cc cam kt trong WTO. Nhng khc bit trong cc cam kt gia cc hip nh thng mi mi cp nu trn c th to ra cc tc ng khc nhau v thng mi v u t. hiu bit ton din v khi qut v nn tng php lut thng mi quc t c ba cp nu trn, Phn 1 ny ca Gio trnh gii thiu ba chng, c th l: Lut WTO - iu chnh quan h thng mi quc t tm ton cu (xem Chng 2 ca Gio trnh); Php lut hi nhp kinh t khu vc (xem Chng 3 ca Gio trnh); v cc hip nh hp tc thng mi song phng gia Vit Nam v mt s i tc (xem Chng 4 ca Gio trnh).

CHNG 2

LUT WTO

Mc 1. GII THIU (*)

T chc thng mi th gii (WTO) l mt trong nhng t chc quc t quan trng nht trn th gii hin nay. D l t chc cn tng i non tr, ch chnh thc c thnh lp t ngy 1/1/1995, nhng h thng thng mi nguyn

(*) Tc gi: Nguyn ng Thng, Thc s, Nghin cu sinh - Trng i hc Tng hp Cambridge,

Anh quc; Chuyn gia php lut, V php lut v iu c quc t, B Ngoi giao. Ngi bin dch: Nguyn Ngc Lan, C nhn quan h quc t, Ging vin, Hc vin Ngoi giao Vit Nam (DAV).


578

gc ca WTO c trc chnh bn thn t chc ny n gn na th k. Do , hiu v WTO, cn hiu v lch s ca t chc v c bit l GATT - nn tng ca h thng thng mi th gii. Mc ny xem xt s pht trin ca WTO v im qua nhng kha cnh ca WTO vi t cch l mt t chc quc t.

1. Tin lch s

Ngun gc ca WTO bt u t nhng nm cui ca Chin tranh th gii th II, khi cc nc m phn v k hoch hu chin. Cc nh hoch nh chnh sch cho giai on hu chin, ng u l Trc-trin (Th tng Anh) v Ru-d-ven (Tng thng Hoa K), u mun trnh lp li thm ha kinh t v chnh tr giai on gia hai cuc Chin tranh th gii,1 m mt trong nhng nguyn nhn ca n chnh l chnh sch bo h mu dch ca cc nc. Ngay t giai on ban u cho n nay, ngoi l do kinh t nh trnh by ti Chng 1, c s l lun c bn v lut thng mi quc t l kh n gin: Nu mun thc y thng mi xuyn bin gii th cn phi hn ch s can thip ca chnh ph vo vic vic bun bn hng ho ca cc cng ty t nhn - ch th ch yu tin hnh hot ng thng mi ny. Chnh t suy ngh m cuc tho lun gia Anh v Hoa K v thng mi c tin hnh t nm 1943 t cho ra i ti liu c tn gi Cc xut m rng thng mi v vic lm trn th gii (sau y gi l Bn xut) vo cui nm 1945.2 Bn xut ny d kin xy dng b quy tc iu chnh vic cc chnh ph hn ch thng mi quc t cng nh thnh lp T chc thng mi quc t (International Trade Organization - vit tt l ITO) gim st vic thc hin b quy tc .

n u thng 12/1945, sau khi cng khai Bn xut, Hoa K gi th mi 15 nc tham gia m phn v gim thu quan. Tr Lin X, n thng 1/1946, tt c cc nc c mi u nhn li tham gia m phn. Tuy nhin, cuc m phn khng c t chc sm m phi i n u nm 1947.3

Hoa K cng tn dng knh khc thc y thc hin Bn xut, l thng qua Lin hp quc - t chc cng c thnh lp nm 1945. Ti cuc hp u tin vo thng 2/1946, theo ngh ca Hoa K, U ban kinh t v x hi ca Lin hp quc thng qua ngh quyt v vic triu tp Hi 1 ng thi cng phi ni thm rng vo giai on ny, Hoa K sn sng gnh vc vai tr lnh

o th gii, v khng ch hn ch nh hng ca mnh M La-tinh. 2 Ti liu ny c a ra ti cuc hp bo ca B ngoi giao Hoa K ngy 6/12/1945, ti bn

trong ti liu 13 US Dept of State Bulletin 912-29, (1945). Trc khi chnh thc c a ra cng khai, ti liu ny c gi cho chnh ph ca mt s nc.

3 14 nc nhn li l: c, B, Brazil, Ca-na-a, Trung Quc, Cu Ba, Tip Khc, Php, n , Luch-xm-bua, H Lan, Niu Di-ln, Nam Phi v Anh.

CHNG 2. LUT WTO

579

ngh quc t v thng mi v vic lm, ng thi ch nh mt u ban tr b d tho ti liu tho lun ti Hi ngh. Mc ch ca Hi ngh khng ch gii hn vic m phn v gim thu quan m cn chun b mt hin chng vi ni dung rng hn cho ITO. ng ch l vo thi im , Hoa K sa i Bn xut nm 1945 thnh D tho Hin chng4 lm c s cho vic m phn Hin chng ITO.

Tng cng din ra bn cuc gp m phn Hin chng ITO. Cuc hp ca U ban tr b din ra ti Lun-n vo cc thng 11 v 12/1946 a ra c d tho u tin ca Hin chng ITO v sau c sa i li sau cuc hp th hai ca Nhm k thut (ph trch son tho vn bn) ti Lake Success, Niu Y-oc, vo u nm 1947. Cuc hp ch cht cho vic chun b Hin chng ITO l cuc hp th ba din ra ti Gi-ne-v t thng t n thng 10/1947 v sau c tip ni bng Hi ngh ton th v thng mi v vic lm do Lin hp quc t chc ti La Ha-ba-na t thng 11/1947 n thng 3/1948 hon thnh Hin chng ITO. Tuy nhin, Ngh vin Hoa K khng ng h Hin chng ITO v Hoa K - nn kinh t v quc gia thng mi hng u ca th gii, khng th tr thnh thnh vin ca ITO. iu ny dn n h qu l cc nc khc cng khng cn mn m vi vic thnh lp ITO na v Hin chng ITO khng bao gi c hiu lc.

Tuy ITO khng c thnh lp, nhng vn kin t do ho thng mi quan trng nht ca t chc ny, Hip nh chung v thu quan v thng mi (General Agreement on Tariff and Trade - vit tt l GATT 1947) li vn tn ti. GATT 1947 d kin ban u l Chng IV trong D tho Hin chng gm by chng v ITO ca Hoa K.5 Do , ni dung ca GATT 1947 c xy dng trong mt lot cc cuc m phn ca U ban tr b thnh lp ITO ni trn. Cuc hp u tin ca U ban tr b ti Lun-n tho lun cc iu khon ca GATT 1947 trong khun kh ca cuc tho lun rng hn v cc iu khon ca Hin chng hoc cc iu khon ca Tho thun v T chc thng mi quc t.6 Tuy nhin, phi n cuc hp ti Niu Y-oc th cc iu khon ca GATT 1947 mi c tch ring khi d tho Hin chng ITO.7 Cng ti cuc hp Niu Y-oc, cc on m

4 D tho Hin chng bao gm by chng c tiu l: I - Mc ch; II - Thnh vin; III - Cc

iu khon v vic lm; IV - Chnh sch thng mi chung; V - Cc phng thc kinh doanh hn ch; VI - Cc dn xp v hng ho lin chnh ph; v VII - T chc. Cc quy nh ti Chng IV sau l c s m phn v GATT.

5 Nh trn. 6 Xem ti liu s E/PC/T/33, tr. 4. 7 Hai d tho c nhiu iu khon ging nhau v phn ln vi li vn ging nhau. Ngoi l ng ch

l v cc bin php lin quan n tr cp. iu 30 trong D tho Niu Y-oc v Hin chng ITO bao gm cc bin php i vi c tr cp xut khu v ni a, trong khi iu XIV ca d tho

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