Este trabalho versa sobre a boa-fé na nova lex mercatoria, sob a premissa de sua utilidade como princípio geral para seu ordenamento jurídico. A boa-fé, objetiva e aplicável desde as tratativas até a fase pós-contratual, deve ser entendida como meio de reforço da autonomia da vontade e do pacta sunt servanda, assegurando a consecução da finalidade e do espírito (princípio da materialidade) do contrato, a partir da expectativa legítima ou razoável das partes e do respeito à alocação de riscos ajustadas pelas partes na celebração do contrato. A compreensão da boa-fé deve ser construída a partir da identificação de suas três funções (interpretação, integração e, em caráter excepcionalíssimo) e da criação e implementação dos deveres acessórios. / The thesis debates good faith in the new lex mercatoria, based on its utility as a general principle for such legal system. The good faith, objectively understood and applicable during the whole contractual cyclem, from negotiation to post-contractual phase, shall be construed as a means of securing the sanctity of contracts, thus ensuring the achievement of the purpose and spirit (principle of materiality) of the contract, from the perspective of the legitimate or reasonable expectation of the parties and protection of the allocation of risks set forth by the parties when entering into the contract. The understanding of good faith has to be stem from the identification of its three functions (interpretation, integration, and, only in most exceptional cases, correction) and the creation and implementation of accessory duties.

Este trabalho versa sobre a boa-fé na nova lex mercatoria, sob a premissa de sua utilidade como princípio geral para seu ordenamento jurídico. A boa-fé, objetiva e aplicável desde as tratativas até a fase pós-contratual, deve ser entendida como meio de reforço da autonomia da vontade e do pacta sunt servanda, assegurando a consecução da finalidade e do espírito (princípio da materialidade) do contrato, a partir da expectativa legítima ou razoável das partes e do respeito à alocação de riscos ajustadas pelas partes na celebração do contrato. A compreensão da boa-fé deve ser construída a partir da identificação de suas três funções (interpretação, integração e, em caráter excepcionalíssimo) e da criação e implementação dos deveres acessórios. / The thesis debates good faith in the new lex mercatoria, based on its utility as a general principle for such legal system. The good faith, objectively understood and applicable during the whole contractual cyclem, from negotiation to post-contractual phase, shall be construed as a means of securing the sanctity of contracts, thus ensuring the achievement of the purpose and spirit (principle of materiality) of the contract, from the perspective of the legitimate or reasonable expectation of the parties and protection of the allocation of risks set forth by the parties when entering into the contract. The understanding of good faith has to be stem from the identification of its three functions (interpretation, integration, and, only in most exceptional cases, correction) and the creation and implementation of accessory duties.

O presente trabalho refere-se à análise da aplicação da boa-fé na arbitragem internacional. Para a consecução do objetivo do estudo proposto, a boa-fé é analisada a partir de seus conceitos clássicos subjetivo e objetivo. É estudada conforme suas diversas formas de conceituação nos principais sistemas jurídicos ocidentais, com referência principal aos sistemas romano, germânico e de common law. Em seguida, é compreendida em nível internacional, através do estudo detido de suas manifestações nos contratos internacionais do comércio, nos princípios contratuais de aplicação internacional e nos princípios gerais de direito do comércio internacional. O papel dos árbitros na veiculação dos preceitos internacionais do princípio da boa-fé é cuidadosamente verificado, incluindo o estudo da atividade do árbitro na escolha da lei aplicável às demandas. Sintetizada a teoria de boa-fé internacional, é realizado seu estudo através de sentenças arbitrais proferidas por tribunais arbitrais especializados, notadamente, os da Câmara de Comércio Internacional. As sentenças analisadas dividem-se em grupos representativos da manifestação multifacetada da boa-fé, sempre estudada sob a óptica do comércio internacional, seus usos e costumes. O resultado do trabalho é a verificação de um conceito particular de boa-fé no comércio internacional, reunido e considerado a partir da verificação da exigência comum de parâmetros comportamentais específicos de cooperação, razoabilidade e justiça contratual. / This study is related to the analysis of the application of good faith in international arbitration. In order for the objectives of the proposed study to be achieved, good faith is analyzed from its subjective and objective classic concepts. It is studied in accordance with the several forms of classification within the main Western legal systems, with primary references to the Roman, Germanic and Common Law systems. In continuance it is interpreted in an international level, through its manifestations within the international commercial agreements, the internationally applicable contractual principles and the general principles of international commercial law. The role of the arbitrators in the dissemination of the international concepts of the good faith principle is carefully scrutinized, including the study of the arbitrators activity in deciding choice of law matters. Once perceived the theory of the international good faith, its study is effected through awards rendered by specialized courts of arbitration, notably, the ones connected to the International Chamber of Commerce. The analyzed awards are divided into groups which represent the multiple manifestations of good faith, always studied under the concept of international trade, its usages and customs. The conclusion of this analysis is the conceptualization of a particular theory of good faith in international trade, gathered and considered through the verification of the regular requirement of specific standards of behaviour of cooperation, reasonableness and contractual justice.

Memoria de prueba para optar al grado de Licenciada en Ciencias Jurídicas y Sociales de la Universidad de Chile / La doctrina ha dicho que los Incoterms son el “conjunto de reglas internacionales, regidos por la Cámara de Comercio Internacional, que determinan el alcance de las cláusulas comerciales incluidas en el contrato de compraventa internacional” relativas a las condiciones de entrega de la mercancía1. Para que estas reglas produzcan efecto, es necesario que se modifiquen y adapten a los cambios que presente la actividad comercial y las prácticas mercantiles. Es así como la Cámara de Comercio Internacional ha ido modificado estas reglas en diversas oportunidades desde su creación en 1936 creándose nuevas modalidades de contratación, modificando las ya existentes o incluso eliminando reglas que han caído en desuso. Bajo este contexto, los Incoterms versión 2010 llegan a modificar la versión anterior del año 2000, proponiendo adaptaciones de las reglas al uso comercial. Para entender el porqué de cada una de las versiones de los Incoterms se hace necesario un análisis de ellos abarcando en primera instancia el contexto histórico en el que nacen, para luego analizar los motivos que dan origen a dichas adaptaciones posteriores que derivan en la modificación, eliminación o creación de nuevos términos Incoterm.

L’intérêt principal de l’analyse du cadre des investissements miniers et pétroliers chinois en Afrique est la détermination du chantier juridique résultant de la cohabitation de deux cultures juridiques en vue de l’émergence d’une lex mercatoria dans les investissements sino-africains. Elle comprend deux parties principales. D’abord, l’étude se penche sur l’origine des fonds chinois investis sur le continent africain qui sont les fonds souverains. La problématique des fonds souverains est celle de savoir s’il s’agit d’instruments politiques ou financiers. Néanmoins, cette inquiétude ne freine pas la force opérationnelle grandissante des fonds souverains chinois sur le continent africain. Rentrant dans l’encadrement et le contenu du contrat proprement dit, l’analyse des figures contractuelles usitées dans l’industrie pétrolière et minière sino-africaine séparément dans les contextes chinois et africains révèle l’inadéquation des contrats et de la législation africaine aux besoins économiques et technologiques du continent. En outre, l’examen particulier des clauses de choix de la loi applicable et de règlement des différends dans les contextes chinois et africain permet de soulever quelques options possibles pour le contexte sino-africain. Ensuite, l’analyse se penche sur les mécanismes mis en place pour favoriser les investissements chinois miniers et pétroliers sur le continent africain avant de relever les conséquences dans les domaines sociaux et environnementaux desdits investissements. Il ressort donc que des avantages fiscaux et douaniers sont mis en place en faveur des investissements chinois en Afrique ainsi que des traités bilatéraux signés entre la Chine et de nombreux pays africains. Cependant, sur le plan social, l’on s’interroge sur la place accordée à la lutte contre la corruption et la promotion de la transparence dans l’industrie extractive africaine avec ses relations avec la Chine. L’on constate également que l’absence de transfert de technologie influe négativement sur le développement économique et technologique, la concurrence et l’emploi local du pays hôte. De même, la protection de l’environnement dans le contexte sino-africain semble être reléguée au dernier plan. L’environnement africain court donc le risque de connaître une crise comme celle de la chine causée par l’industrialisation du pays. La société civile nous apparaît donc au regard de ces effets peu glorieux des investissements chinois en Afrique dans les domaines miniers et pétroliers comme une troisième partie de cette relation qui devra être la médiatrice ou régulatrice entre les deux autres. / The main objective of this analysis is to determine the juridical patterns of the Chinese and African legal cultures cohabitations, in order to pursue a Chinese-African lex mercatoria. The survey of Chinese mines and oil investments in Africa will be done in two principal parts. First, the study goes over the origin of the Chinese funds invested in Africa. Sovereign wealth funds in general causes questioning concerning their real purpose: are they financial or political instruments? Nevertheless, it is still obvious that this questioning does not stop Chinese sovereign wealth funds to continue to expand all over Africa. Also, going into the contracts and the legislation itself, the analysis of the contractual figures used in the mining and oil extractive industry individually in the Chinese and African context reveals the African contracts and legislation is not adequate to the continent’s economical and technological needs. Continuing into the particular analysis of the applicable law and the arbitration clauses in the Chinese and African context individually, it was possible to outpoint some options to the Chinese-African context. Secondly, the survey points out the mechanisms enabling Chinese investment into Africa and the consequences of these investments in the economical, social and environmental context. It was then pointed out that fiscal and customs mechanisms and also bilateral investment treaties signed in between China and numerous African countries favors Chinese investments in Africa. Still, the main social impact reveals some interrogations concerning the fight against corruption and promotion of transparency in Africa. Is the Chinese partnership considerate of this aspect? Moreover, the lack of technology transfer gets to negatively influence local competition and employment as well as economical and technological development. Also, environmental protection in the Chinese-African context seems to me sent far behind. Therefore, the African environment risks to face an environmental crisis just like China did because of the country’s industrialization. Civil society here, considering these less attractive impacts of Chinese investment in oil and mining sectors in Africa, appears to be a very useful third party with the role of mediation and regulation between the two others.

This Master's Thesis deals with the application of the concept of lex mercatoria in process of contracting process and in the dispute resolution, particularly in international commercial arbitration. The first chapter briefly describes the historical development of lex mercatoria and examines in detail the circumstances of the establishment of modern lex mercatoria . Further, the Thesis describes the general methods of regulation of the private relations with an international element. In connection with the use of lex mercatoria in the process of contracting the specific attention is given to the choice of applicable law by reference to certain rules of lex mercatoria. The criticism of such choice-of-law method is analysed, as well as its justification and also the requirements for the validity of such choice-of-law method. The second half of the Thesis is dedicated to a particular formalized rules of lex mercatoria, as well as to their legal grounds in Czech law, and also to some legislative changes in the Czech Republic after January 1, 2014, relevant to the lex mercatoria. The final chapter addresses the practical application of lex mercatoria in the international commercial arbitration. The chapter begins with a brief and general introduction to the international commercial arbitration....

A dissertação analisa o papel dos contratos comerciais internacionais na sociedade pós-industrial a partir da reflexão sobre os elementos, limites e desafios da nova lex mercatoria. A transição da sociedade industrial para a pós-industrial, moldada pela globalização e apoiada em maior ou menor parte em concepções pós-modernas, dá origem a características novas do direito. Assim, sob a perspectiva do pluralismo jurídico, i.e., de um direito que não se funda necessariamente em um território ou espaço geográfico, mas que também pode existir e se desenvolver em um espaço jurídico observa-se que a nova lex mercatoria, como expressão de um grupo social diferenciado (a business community ou societas mercatorum), constitui ordem jurídica transnacional de escopo limitado. Cabe então, identificar seus principais elementos âmbito de aplicação (contratos comerciais internacionais), atores (públicos privados ou de caráter coletivo, nacionais, internacionais ou transnacionais), fontes normativas (princípios gerais - especialmente os Princípios UNIDROIT, usos e jurisprudência arbitral) e respectivas fontes de cognição, bem como os limites impostos pela ordem pública dos Estados, transnacional e internacional. Com o reconhecimento da produção de regras jurídicas por autoridades privadas, a reflexão deve se voltar às críticas que questionam sua legitimidade e identificam a nova lex mercatoria como meio de privilegiar interesses econômicos dos que detém maior poder (principalmente as empresas transnacionais dos Estados do Norte, do Ocidente) em detrimento de outros interesses econômicos, sociais ou políticos. A correção desse curso (trajetória) da nova lex mercatoria baseia-se na concepção de que o contrato deve transcender a esfera puramente individual e na imposição de novos parâmetros pelo direito internacional ao qual a nova lex mercatoria se subordina que devem ser implementados principalmente pela arbitragem comercial internacional. / Diese Arbeit beschäftigt sich mit der Rolle der internationalen kommerziellen Verträge in der Post-industrielle Gesellschaft nach Reflexionen über die Elemente, die Grenzen, und die Herausforderungen der neuen Lex Mercatoria. Der Übergang von der industriellen Gesellschaft zu der post-industriellen Gesellschaft, von der Globalisation geprägt und mehr oder weniger von post-modernen Konzeptionen inspiriert, verursacht neue Eigenschaften an das Recht. Demnach folgert heraus, unter der Perspektive des juristischen Pluralismus, dass die neue Lex Mercatoria, als Ausdruck einer besonderen sozialen Gruppe (business comunity, oder societas mercatorum), eine transnationale zwecksbegrenzte juristische Ordnung ausmacht. Der juristische Pluralismus entspricht einem nicht unbedingt von einem bestimmten geographischen Raum hergestellten, aber immer hin in einem juridischen Raum bestehenden und sich entwickelnden Recht. Es ist zuerst nötig, die Hauptelemente von Lex Mercatoria Verwendungsbereich (internationalen kommerziellen Verträge), Schauspieler (öffentlich, privat, national, international oder transnational), normative Quellen (generelle Prinzipien hauptsächlich die Prinzipien von UNIDROIT, Gebräuche und schiedsgerichterliche Rechtsprechung, jeweilige Erkenntnissquellen, wie auch die aus staatlichen, transnationalen und internationalen öffentlichen Ordnung Grenzen festzustellen. Die Annerkennung der von Privatautoritäten hergestellten juristichen Regeln führt die Reflexionen an die Beschäftigung mit den Kritiken, die die Legitimität der neuen Lex Mercatoria bestreiten und die neue Lex Mercatoria als Mittel zur Privilegien der Wirtschaftinteressen einer Gruppe, die mehr Wirtschaftmacht hat (hauptsächlich transnationalen abendländischen Firmen oder Nordfirmen) zum Schaden anderer Wirtschaft-, Sozial- oder Politikinteressen feststellen. Die Vorschlag einer Bearbeitung der neuen Lex Mercatoria basiert sich auf die Idee, dass der Vertrag das bloße individualle Bereich überschreiten soll, und auf die Entstehung von neuen Parametern (die hauptsächlich von der kommerziellen schiedsgerichterlichen Rechtsprechung eingeführt sollen) vom Volksrecht, dem die neue Lex Mercatoria undtergeordnet ist.

Made available in DSpace on 2015-03-05T17:20:09Z (GMT). No. of bitstreams: 0 Previous issue date: 26 / CNPQ – Conselho Nacional de Desenvolvimento Científico e Tecnológico / A lex mercatoria faz parte de um pluralismo jurídico global que ressurge com a globalização e com a consolidação da sociedade mundial diferenciada. Por meio da teoria dos sistemas sociais autopoiéticos é realizada uma construção de um novo sentido para a lex mercatoria. Essa construção tem como base uma arquitetura sistêmica, que pressupõe três questões fundamentais: contingência, paradoxo e decisão; sendo dessa forma divididos os três capítulos que se seguem. O primeiro capítulo busca entre a contingência histórica evolutiva uma identidade com a sociedade mundial diferenciada, para a reconstrução de um sentido para a lex mercatoria. Assim, chega-se à hipercomplexidade da observação, que gera uma policontexturalidade operacional. A partir desses dois conceitos, a lex mercatoria pode ter um novo sentido e novos elementos comunicativos. No segundo capítulo, são enfrentados os paradoxos da lex mercatoria: o Direito Sem Estado é reconstruído por um Direito Heterárquico; droit corporatif por acoplamentos estrutura / The lex mercatoria is part of a global legal pluralism which reemerges with globalization and consolidation of world differentiated society. Through the autopoietic social systems theory is carried out a construction of a new meaning to the lex mercatoria. This construction is based on a systemic architecture that requires three key issues: contingency, paradox and decision; the three chapters are divided like that. The first chapter seeks between the historical evolution contingency an identity with the differentiated global society, to rebuild a meaning for the lex mercatoria. Thus, the hypercomplex observation generates an operational polycontexturality. From these two concepts the lex mercatoria may have a new direction and new communicative elements. The second chapter is facing the paradoxes of the lex mercatoria: Law without State is reconstructed by a Heterarchichal Law; droit corporatif by structural couplings; contract sans loi by soft law, customary Law by episodic Law. These four communicative ele

Submitted by Filipe dos Santos (fsantos@pucsp.br) on 2017-08-17T12:31:59Z No. of bitstreams: 1 Ígor Santos Katz.pdf: 2651768 bytes, checksum: 87ae1987965590cd3ef9fc0c57bbd73c (MD5) / Made available in DSpace on 2017-08-17T12:31:59Z (GMT). No. of bitstreams: 1 Ígor Santos Katz.pdf: 2651768 bytes, checksum: 87ae1987965590cd3ef9fc0c57bbd73c (MD5) Previous issue date: 2017-08-11 / The standardization of international trade is a global reality where we find traces since the period of Lex Mercatoria until more recently, in the 1920s, the ICC (International Chamber of Commerce) wanted to harmonize the main terms of trade that afterward would be called as Incoterms (International Commercial Terms), given that the current version is the 2010 and include 11 terms (EXW, FCA, FAS, FOB, CFR, CIF, CPT, CIP, DAT, DAP e DDP). The are International Organization such as WCO (Word Customs Organization) and OECD (Organization for Economic Co-operational and Development, among others, working hard to harmonize the rule of international trade. Regarding the Brazilian rules and the harmonization of international trade rules, a great part of militate in the customs area believes that the standardization of basic proceeds of international trade will bring greater legal security on business practice and maybe would avoid some questions that sometimes seems to be peculiar to Brazilian market. Proof of this, occurs when the Brazilian buyer requires to the European or American seller to issue the commercial invoice in accordance with the Brazilian regulation in order to avoid customs penalties and extra costs in the process, such as storage and demurrage. In the relentless pursuit of trade simplification and good-faith in the international trade relation is when we actually looks in the subject with vision that the importer and exporter could have more predictability of the process of customs clearance / O presente trabalho tem por objetivo analisar alguns aspectos da legislação aduaneira frente à necessidade de harmonização do comércio internacional. Em hipótese alguma visa apenas reduzir a termo tudo aquilo que já se conhece ou que já se fala atualmente sobre esta, que é uma das mais antigas atividades sobre a qual se tem informação. A padronização do comércio internacional é uma realidade global sobre a qual encontra-se vestígios desde a época da antiga Lex Mercatoria. Mais recentemente, na década de 1920, a Câmara de Comércio Internacional (CCI) buscou harmonizar os principais termos de comércio, que posteriormente seriam chamados de International Commercial Terms (Incoterms). Sua versão atual é de 2010 e contempla 11 termos (EXW, FCA, FAS, FOB, CFR, CIF, CPT, CIP, DAT, DAP e DDP). Existem organizações internacionais como a Organização Mundial das Alfândegas (OMA) e a Organização para a Cooperação e Desenvolvimento Econômico (OCDE), dentre outras, trabalhando com afinco para uniformizar as regras de comércio no âmbito internacional. No tocante às regras brasileiras e à uniformização das regras de comércio internacional, boa parte dos que militam na área aduaneira acreditam que a padronização de procedimentos básicos do comércio internacional traria maior segurança jurídica na prática e que, talvez, evitaria questionamentos que, às vezes, parecem peculiares ao mercado brasileiro. Prova disto ocorre quando o comprador brasileiro requer ao vendedor europeu ou americano a emissão de fatura comercial de acordo com a regulamentação brasileira com a intenção de evitar multas aduaneiras e, custos extras no processo relacionados, por exemplo, à armazenagem e demurrage. Na busca incessante de facilitar o comércio e a boa-fé nas relações de comércio internacional é que se debruça no tema com o objetivo de que o importador e o exportador possam ter maior previsibilidade do processo aduaneiro

L’intérêt principal de l’analyse du cadre des investissements miniers et pétroliers chinois en Afrique est la détermination du chantier juridique résultant de la cohabitation de deux cultures juridiques en vue de l’émergence d’une lex mercatoria dans les investissements sino-africains. Elle comprend deux parties principales. D’abord, l’étude se penche sur l’origine des fonds chinois investis sur le continent africain qui sont les fonds souverains. La problématique des fonds souverains est celle de savoir s’il s’agit d’instruments politiques ou financiers. Néanmoins, cette inquiétude ne freine pas la force opérationnelle grandissante des fonds souverains chinois sur le continent africain. Rentrant dans l’encadrement et le contenu du contrat proprement dit, l’analyse des figures contractuelles usitées dans l’industrie pétrolière et minière sino-africaine séparément dans les contextes chinois et africains révèle l’inadéquation des contrats et de la législation africaine aux besoins économiques et technologiques du continent. En outre, l’examen particulier des clauses de choix de la loi applicable et de règlement des différends dans les contextes chinois et africain permet de soulever quelques options possibles pour le contexte sino-africain. Ensuite, l’analyse se penche sur les mécanismes mis en place pour favoriser les investissements chinois miniers et pétroliers sur le continent africain avant de relever les conséquences dans les domaines sociaux et environnementaux desdits investissements. Il ressort donc que des avantages fiscaux et douaniers sont mis en place en faveur des investissements chinois en Afrique ainsi que des traités bilatéraux signés entre la Chine et de nombreux pays africains. Cependant, sur le plan social, l’on s’interroge sur la place accordée à la lutte contre la corruption et la promotion de la transparence dans l’industrie extractive africaine avec ses relations avec la Chine. L’on constate également que l’absence de transfert de technologie influe négativement sur le développement économique et technologique, la concurrence et l’emploi local du pays hôte. De même, la protection de l’environnement dans le contexte sino-africain semble être reléguée au dernier plan. L’environnement africain court donc le risque de connaître une crise comme celle de la chine causée par l’industrialisation du pays. La société civile nous apparaît donc au regard de ces effets peu glorieux des investissements chinois en Afrique dans les domaines miniers et pétroliers comme une troisième partie de cette relation qui devra être la médiatrice ou régulatrice entre les deux autres. / The main objective of this analysis is to determine the juridical patterns of the Chinese and African legal cultures cohabitations, in order to pursue a Chinese-African lex mercatoria. The survey of Chinese mines and oil investments in Africa will be done in two principal parts. First, the study goes over the origin of the Chinese funds invested in Africa. Sovereign wealth funds in general causes questioning concerning their real purpose: are they financial or political instruments? Nevertheless, it is still obvious that this questioning does not stop Chinese sovereign wealth funds to continue to expand all over Africa. Also, going into the contracts and the legislation itself, the analysis of the contractual figures used in the mining and oil extractive industry individually in the Chinese and African context reveals the African contracts and legislation is not adequate to the continent’s economical and technological needs. Continuing into the particular analysis of the applicable law and the arbitration clauses in the Chinese and African context individually, it was possible to outpoint some options to the Chinese-African context. Secondly, the survey points out the mechanisms enabling Chinese investment into Africa and the consequences of these investments in the economical, social and environmental context. It was then pointed out that fiscal and customs mechanisms and also bilateral investment treaties signed in between China and numerous African countries favors Chinese investments in Africa. Still, the main social impact reveals some interrogations concerning the fight against corruption and promotion of transparency in Africa. Is the Chinese partnership considerate of this aspect? Moreover, the lack of technology transfer gets to negatively influence local competition and employment as well as economical and technological development. Also, environmental protection in the Chinese-African context seems to me sent far behind. Therefore, the African environment risks to face an environmental crisis just like China did because of the country’s industrialization. Civil society here, considering these less attractive impacts of Chinese investment in oil and mining sectors in Africa, appears to be a very useful third party with the role of mediation and regulation between the two others.