国际金融法

《国际金融法（英文版）》是上海交大法学院徐冬根教授所主持的“国家级双语教学示范课程”——国际金融法的配套教材。本书用英文创作，共分八章，分别对国际商业贷款法律制度、国际银团贷款法律制度、国际项目融资法律制度、国际贸易融资法律制度、国际支付法律制度、资产证券化法律制度、国际融资担保法律制度和国际金融法律实践中的法律意见等，做了详细的阐释。本书在有限篇幅内，把重点放在对国际金融法的法律制度与实践的阐释上，对于基本原则等理论知识尽量予以精简。同时，在理论阐释过程中，穿插术语精解（interpretation）、案例探讨（case）和例举说明（illustration），既全方位、多角度地深化对基本理论和制度的理解，又增加了可读性和趣味性。此外，书中使用了大量原创的示意图、流程图等图表，直观、形象、生动。

《国际金融法（英文版）》特别适合高等学校法学和国际金融专业双语教学使用。

目录
- 前辅文
- CHAPTER 1 INTERNATIONAL COMMERCIAL LOAN
  - §1 Commercial Loan and Loan Agreement
    - 1.1 Commercial Loan
    - 1.2 Loan Agreement
  - §2 Facility and Interest
    - 2.1 Facility
      - 2.1.1 Term Loan
      - 2.1.2 Revolving Loan
      - 2.1.3 Other Sub-Facility
    - 2.2 Interest and Fees
      - 2.2.1 How Interest Works?
      - 2.2.2 LIBOR and Margin
      - 2.2.3 From LIBOR to SHIBOR
      - 2.2.4 Fixed Interest Rate and Variable Interest Rate
      - 2.2.5 Calculation and Payment of Interest
      - 2.2.6 Cost and Fees
  - §3 Conditions Precedent and Notice of Drawdown
    - 3.1 What Are Conditions Precedent?
    - 3.2 Legal Features of Conditions Precedent
    - 3.3 Purposes of Conditions Precedent
    - 3.4 Notice of Drawdown
  - §4 Representations and Warranties
    - 4.1 What Are Representations and Warranties?
    - 4.2 Aspects Covered by Representations & Warranties
  - §5 Special Covenants
    - 5.1 Negative Pledge Clause
      - 5.1.1 Negative Pledge Clause in Legal Sense
      - 5.1.2 Negative Pledge Clause in Functionality
      - 5.1.3 World Bank Negative Pledge Clause
      - 5.1.4 Do Basic Negative Pledge Clauses Create Security Interests?
    - 5.2 Pari Passu Clause
    - 5.3 Financial Covenants
    - 5.4 Restrictions on Disposals of Assets Clause
    - 5.5 Waiver of Sovereign Immunity
    - 5.6 Evidence Clause of Indebtedness
  - §6 Events of Default and Default Remedies
    - 6.1 Events of Default
    - 6.2 Typical Clauses of Events of Default
    - 6.3 Consequences of the Occurrence of Events of Default
    - 6.4 Default Remedies
  - §7 Miscellaneous
    - 7.1 Dispute Resolution Provisions
      - 7.1.1 Generality
      - 7.1.2 Arbitration
      - 7.1.3 Jurisdiction
    - 7.2 Governing Law
- CHAPTER 2 SYNDICATED LOAN
  - §1 Generality
    - 1.1 What Are Syndicated Loans?
    - 1.2 Reasons for Syndicated Loans
      - 1.2.1 Benefits of Syndicated Loan for Borrowers
      - 1.2.2 Benefits of Syndicated Loan for Lenders
    - 1.3 Legal Structure of Syndicated Loan
    - 1.4 The Syndication Process in Outline
    - 1.5 Typical Case of Syndicated Loan
      - 1.5.1 Shanghai Disney Resort: Overview
      - 1.5.2 Ownership: Main Investors of the Shanghai Disney Resort
      - 1.5.3 Business and Financing Schedule
    - 1.6 Club Loan: Special Syndicated Loan?
  - §2 Legal Issues in Initial Stage of Syndicated Loan
    - 2.1 Mandate
    - 2.2 Functions of Arranger
      - 2.2.1 Primary Functions of Arranger
      - 2.2.2 Multiple Arrangers in Same Syndicatied Loan
    - 2.3 Information Memorandum
      - 2.3.1 Is Information Memorandum Prospectus?
      - 2.3.2 Arranger's Liability Because of Defect Information Memorandum
      - 2.3.3 Avoidance of Arranger's Liability
      - 2.3.4 Effect of Liability Disclaimers
    - 2.4 Offer and Acceptance of Loan
      - 2.4.1 Offer of Loan to the Borrower
      - 2.4.2 Acceptance by Participants
    - 2.5 Payment of Arranger Fees by Borrower
    - 2.6 Does Arranger Owe Fiduciary Duties to Participants?
      - 2.6.1 Fiduciary Duties under Common Law: Theory and Practice
      - 2.6.2 View Denying Fiduciary Duties
      - 2.6.3 “Fiduciary” Academic View
  - §3 Legal Issues Based on Syndicated Loan Agreement
    - 3.1 Severalty
      - 3.1.1 Several Obligation and Commitments of Participants
      - 3.1.2 Defaulting Lender Issues
    - 3.2 Majority Rule
      - 3.2.1 Issues Decided by Majorities
      - 3.2.2 Cases Accepted Majority Rule
      - 3.2.3 Could Participant Claim Contrary Wishes of Majority?
      - 3.2.4 Criticism on Majority Rule
    - 3.3 Unanimous Consent
  - §4 Responsibilities and Roles of Agent Bank
    - 4.1 Agent Bank：Partner to the Borrower
    - 4.2 Agent Bank：Agent of Participants
    - 4.3 Rights and Obligations of Agent Bank
    - 4.4 Roles of Agent Bank
      - 4.4.1 Certification of Compliance with Conditions Precedent
      - 4.4.2 Payment Services
      - 4.4.3 Monitoring Loan Covenants
      - 4.4.4 Duty to Act on Occurrence of Default
    - 4.5 Limitation on Liabilities of Agent Bank
      - 4.5.1 Disclaimer of Liabilities
      - 4.5.2 Ostrich Clauses
    - 4.6 Fees and Expenses Paid to Agent Bank
- CHAPTER 3 LOAN PARTICIPATION AND ASSIGNMENT
  - §1 Generality
    - 1.1 What Is Loan Participation?
      - 1.1.1 Borrower-Lead Bank Relationship
      - 1.1.2 Lead Bank-Participant Relationship
      - 1.1.3 Borrower-Participant Relationship
      - 1.1.4 Loan Participation v.Syndicated Loan
    - 1.2 Why Choose Loan Participations?
    - 1.3 Retention by Lead Bank Risk of Loss
  - §2 Participations: Securities or Loans?
    - 2.1 Are Participations Securities?
    - 2.2 Participations Denied as Securities by Leading Cases
    - 2.3 Legal Features of True Participations
  - §3 Transfer Forms of Loan Participation
    - 3.1 Assignment
    - 3.2 Sub-Participations
    - 3.3 Novation
    - 3.4 Risk Participations
    - 3.5 Restrictions on Transfer of Loan Interest
  - §4 Classification of Loan Participations
    - 4.1 Transfer of Participation as Loan
    - 4.2 Transfer of Participation as Sale
    - 4.3 Transfer of Participation as Trust
    - 4.4 Proposal on Model Participation Agreement
  - §5 Mechanism for Participants Protection
    - 5.1 Reducing Legal Risk of the Participant from Legal Documents
    - 5.2 Participant's Remedies of Claim Against the Lead
      - 5.2.1 Remedies Based on Lead's Misrepresentation Fraud
      - 5.2.2 Remedies Based on Lead's Liable for Intentional Fraud
      - 5.2.3 Remedies Based on Lead's Liable for Breach of Fiduciary Duty
      - 5.2.4 Remedies Based on Fraud Claim Under Securities Law
- CHAPTER 4 PROJECT FINANCE
  - §1 The Elaborate Structures
    - 1.1 What Is Project Finance?
    - 1.2 Project Company
      - 1.2.1 Basic Forms for Ownership of Project
      - 1.2.2 Social Responsibility of the Project Company
    - 1.3 Other Participants of the Project Finance
      - 1.3.1 Host Government and Its Concession
      - 1.3.2 Sponsor
      - 1.3.3 Lenders
      - 1.3.4 Construction Contractor
      - 1.3.5 Operator
      - 1.3.6 Product Offtaker
      - 1.3.7 Feedstock Supplier
    - 1.4 Law and Practice of Project Finance in China
      - 1.4.1 Development of BOT Project Finance in China
      - 1.4.2 Regulations and Rules of the BOT Project Finance in China
      - 1.4.3 Laibin B Power Station BOT Project Finance
  - §2 Capital Structure of the Project Finance
    - 2.1 Various Sources for Financing
    - 2.2 Equity and Debt Ratios
      - 2.2.1 Equity
      - 2.2.2 Debt
    - 2.3 The Advantages of the Project Finance
      - 2.3.1 Limited Recourse Debt Financing
      - 2.3.2 Highly Leveraged Debt
      - 2.3.3 Off-Balance-Sheet Treatment
  - §3 Risk Identification and Allocation
    - 3.1 Overview of Various Risks
      - 3.1.1 Classification of Risks
      - 3.1.2 Allocation of Risks
    - 3.2 Political Risks
      - 3.2.1 What Are Political Risks?
      - 3.2.2 Political Risk Insurance
      - 3.2.3 Political Risk Insurance Providers
    - 3.3 Legal Risks
      - 3.3.1 Changes in Law
      - 3.3.2 Legal System Status
    - 3.4 Risks During Construction
    - 3.5 Risks During Operation
      - 3.5.1 Operating Risks
      - 3.5.2 Market Risks
      - 3.5.3 Currency Devaluation Risks
  - §4 Major Contracts of the Project Finance
    - 4.1 Project Finance Contract
    - 4.2 Project Collateral Arrangements
      - 4.2.1 Pledge on Project Company's Shares
      - 4.2.2 Pledge on Project Company's Receivables
      - 4.2.3 Floating Charge on Whole Project's Assets
      - 4.2.4 Setting of Step-In Rights
      - 4.2.5 Assignment of Rights
      - 4.2.6 Other Project Collateral Arrangements
    - 4.3 Concession Contract
    - 4.4 Construction Contract & Completion Guarantee
      - 4.4.1 Construction Contract
      - 4.4.2 Completion Guarantee
    - 4.5 Operating Contract
    - 4.6 Product Offtake Contracts
    - 4.7 Feedstock Supply Contracts
    - 4.8 Insurance Contract
- CHAPTER 5 ASSET SECURITIZATION
  - §1 Generality of Asset Securitization
    - 1.1 What Is Asset Securitization?
    - 1.2 Reasons for Development of Asset Securitization
    - 1.3 Rate Is Lower than Commercial Loan?
    - 1.4 Process of Asset Securitization
  - §2 Major Legal Subjects and Elements
    - 2.1 Originator
    - 2.2 Special Purpose Vehicle(SPV)
    - 2.3 True Sale
      - 2.3.1 Factors Affecting True Sale
      - 2.3.2 True Sale Determination
      - 2.3.3 Other Legal Requirements for Transfer of Assets
    - 2.4 Bankruptcy Remote
      - 2.4.1 Traditional Bankruptcy Attacks
      - 2.4.2 Bankruptcy Remote Structure
    - 2.5 Credit Enhancement
      - 2.5.1 Third-Party Credit Enhancement
      - 2.5.2 Internal Credit Enhancements
    - 2.6 Rating Asset-Backed Securities
      - 2.6.1 What Are Credit Rating Agencies?
      - 2.6.2 Evaluation of General Credit Risk
      - 2.6.3 Evaluation of Cash Flow and Collateral Valuation
  - §3 Securitized Assets: From Credit Revenues to Intellectual Property
    - 3.1 Case of Ford Credit Securitization
      - 3.1.1 How Ford Credit Earn Revenues?
      - 3.1.2 Ford Shape-Shifting Asset-Backed Securities
    - 3.2 Case of Bowie Bonds: Securitization of Intellectual Property
      - 3.2.1 Expansion of Assets of Securitization to Intellectual Property
      - 3.2.2 Bowie Bonds: the First Securitization of Music Copyrights' Future Royalties
      - 3.2.3 David Pullman and“Pullman Bonds”
  - §4 Asset Securitization in China
    - 4.1 Development of Securitization in China
    - 4.2 Framework of China's Securitization Laws and Regulations
    - 4.3 Rules About Majors Elements of Securitization in China
      - 4.3.1 Originator of Asset-Backed Securitization
      - 4.3.2 Credit Assets
      - 4.3.3 SPV/Trustee
      - 4.3.4 True Sale
      - 4.3.5 Credit Rating
      - 4.3.6 Issuance and Trading of Asset-Backed Securities
    - 4.4 Case Analysis of Securitization of China Construction Bank
      - 4.4.1 Introduction
      - 4.4.2 Legal Structure
      - 4.4.3 Key Participants
- CHAPTER 6 LETTERS OF CREDIT
  - §1 Generality of Letters of Credit
    - 1.1 What Is Letter of Credit?
      - 1.1.1 As Instrument of Payment
      - 1.1.2 As Sub-Facility of Loan
      - 1.1.3 As Conditional Commitment
      - 1.1.4 As Obligation Rather than Contract
    - 1.2 Parties and Their Relationship
      - 1.2.1 Parties Involving Letter of Credit
      - 1.2.2 Legal Relationship Among Parties
    - 1.3 Laws Applicable to Letter of Credit
    - 1.4 Principle of Independence of Letter of Credit
      - 1.4.1 Independent from Contract Between Beneficiary and Account Party
      - 1.4.2 Independent from Relationship Between Issuer and Account Party
    - 1.5 Types of Letter of Credit
    - 1.6 Letter of Credit Process
  - §2 Strict Compliance
    - 2.1 Principle of Strict Compliance
      - 2.1.1 Strict Compliance Rule
      - 2.1.2 Rule of Appearance
      - 2.1.3 Justification for the Principle of Strict Compliance
      - 2.1.4 Examination of the Documents
    - 2.2 Different Interpretation of Strict Compliance Rule
      - 2.2.1 Literal Compliance
      - 2.2.2 Substantial Compliance
      - 2.2.3 Opinions from the Banker, Importer and Exporter
    - 2.3 Refusal of Letter of Credit Payment and Case of Voest-Alpine Trading
      - 2.3.1 Introduction of the Case
      - 2.3.2 Facts of the Case
      - 2.3.3 The Court's Analysis
  - §3 The Fraud Exception Rule
    - 3.1 What Are Fraud and Fraud Exception Rule?
      - 3.1.1 Fraud: Exception from Principle of Independence
      - 3.1.2 The Sztejn Case
    - 3.2 Conditions for Application of Fraud Exception Rule
      - 3.2.1 Fraud Committed by the Beneficiary
      - 3.2.2 Established Fraud
      - 3.2.3 Material Fraud
      - 3.2.4 Clear and Obvious Fraud
    - 3.3 Restriction of the Fraud Exception
      - 3.3.1 Fraud Made by a Third Party
      - 3.3.2 Does Breach of Contract Constitute a Fraud?
      - 3.3.3 Does Soft Clause Constitute a Fraud?
    - 3.4 Fraud Exception v.Breach of Warranty
  - §4 Uniform Customs and Practice for Documentary Credits
    - 4.1 UCP and ICC Banking Commission
    - 4.2 Background of UCP
    - 4.3 Modification on Layout
  - §5 Choice of Law Rule for Letters of Credit
    - 5.1 UCP as Governing Law
    - 5.2 Choice of Law Rule Under the Convention
    - 5.3 Choice of Law Rule Under Revised UCC Article
    - 5.4 Conflicting Between UCP and UCC
- CHAPTER 7 GUARANTEES FOR INTERNATIONAL FINANCIAL TRANSACTION
  - §1 Guarantee Under Common Law
    - 1.1 What Is Guarantee?
      - 1.1.1 Guarantee May Be Conditional
      - 1.1.2 Guarantees May Be Limited and Indirect
      - 1.1.3 Guarantees May Be Documentary
      - 1.1.4 Guarantee May Be Primary or Secondary
      - 1.1.5 True Guarantee
      - 1.1.6 Parent Company Guarantee and Downstream Guarantee
    - 1.2 Discharge of Guarantor
      - 1.2.1 Implied Release and Variation of Underlying Principle Contract
      - 1.2.2 Release of Collateral or Discharge of any Co-Guarantor
      - 1.2.3 Failure to Perfect a Security Interest
      - 1.2.4 Invalidity of the Principal Obligation
      - 1.2.5 Anti-Discharge by Indulgence Clauses
    - 1.3 Bond and Indemnity
      - 1.3.1 Guarantee v.Bond
      - 1.3.2 Guarantee v.Indemnity
    - 1.4 Suretyship and Guaranty
      - 1.4.1 Suretyship Agreements
      - 1.4.2 Primary Liability of Surety
      - 1.4.3 Creditor's Duty of Disclosure to Surety
      - 1.4.4 Independent Legal Advice for Vulnerable Surety
      - 1.4.5 Surety's Defenses and “Impairment of Suretyship” Doctrine
      - 1.4.6 Guaranty Agreements
    - 1.5 Interpretation of Guarantee and Case of Marubeni
  - §2 Demand Guarantees
    - 2.1 Introduction
      - 2.1.1 What is Demand Guarantee?
      - 2.1.2 Risk Distribution Function of Demand Guarantee
      - 2.1.3 Payment Guarantee in Form of Demand Guarantee
      - 2.1.4 Model Form of the Agreement on Demand Guarantee
    - 2.2 Independence Principle and Fraud Exception
      - 2.2.1 Independence Principle of Demand Guarantee
      - 2.2.2 Rationales Behind the Independence Principle
      - 2.2.3 Fraud Exception of the Independence Principle
    - 2.3 New Exceptions to the Independence Principle
      - 2.3.1 Unconscionability
      - 2.3.2 Illegality
    - 2.4 Parties and Governing Law of Demand Guarantees
      - 2.4.1 Parties Involved in the Demand Guarantee
      - 2.4.2 The Governing Law of Demand Guarantees
  - §3 Performance Bond
    - 3.1 Introduction
      - 3.1.1 What Is Performance Bond?
      - 3.1.2 A Simple Hypothetical
    - 3.2 Form of Performance Guarantee
    - 3.3 Interpretation of Performance Bond
      - 3.3.1 Performance Bond as Guarantee
      - 3.3.2 Performance Bond Given by Noncommercial Entities Interpreted as Conditional Bond
      - 3.3.3 Performance Guarantee as On-Demand Bond
    - 3.4 The Edward Owen Case
      - 3.4.1 Fact
      - 3.4.2 Court's Analysis and Decision
    - 3.5 Performance Bond v.Letter of Credit
  - §4 Standby Letter of Credit
    - 4.1 What Is Standby Letter of Credit?
    - 4.2 The Main Uses of Standby Letters of Credit
    - 4.3 International Rules for Standbys
    - 4.4 Standbys v.Independent Guarantees
- CHAPTER 8 LEGAL OPINION FOR INTERNATIONAL FINANCIAL TRANSACTION
  - §1 Introduction of Legal Opinion
    - 1.1 What Is Legal Opinion
      - 1.1.1 Legal Opinion to the Client/Lender
      - 1.1.2 Third-Party Legal Opinions
      - 1.1.3 Opinion not as Form of Insurance
    - 1.2 Purpose of Opinion
      - 1.2.1 For Condition Precedent Requirement
      - 1.2.2 For Due Diligence Review
      - 1.2.3 For Closing of a Transaction
      - 1.2.4 For Comfort to the Parties
      - 1.2.5 For Efficiency
    - 1.3 Assumptions
    - 1.4 Facts and Law
    - 1.5 Due Diligence for Legal Opinion
  - §2 Form and Elements of Opinion
    - 2.1 Recitation of Opinion
      - 2.1.1 Description of Role of Counsel
      - 2.1.2 Jurisdictional Limitations
      - 2.1.3 Documents and Matters Examined
      - 2.1.4 Specific Qualifications or Exclusions
    - 2.2 Contents of Opinion
      - 2.2.1 Due Incorporation and Qualification
      - 2.2.2 Power and Authority
      - 2.2.3 No Conflict
      - 2.2.4 Binding Effect
      - 2.2.5 No Litigation
      - 2.2.6 Creation and Perfection of Security Interest
      - 2.2.7 Mortgages
      - 2.2.8 Governing Law
  - §3 Liability of the Opining Lawyer
    - 3.1 Contractual Liability
    - 3.2 Liability to Third-Party Beneficiary
      - 3.2.1 Intended Third-Party Beneficiary and Duty of Care
      - 3.2.2 Fiduciary Duty to a Third-Party Beneficiary
    - 3.3 Liability to Adverse Party
    - 3.4 Liability in Tort of Negligence
      - 3.4.1 Release of Privity for Negligent Misrepresentation Claim
      - 3.4.2 Third Party's Justifiable Reliance
    - 3.5 Liability in Tort of Fraud
      - 3.5.1 Fraud or Omitting Material Fact from Disclosure
      - 3.5.2 False Information as Misrepresentations
      - 3.5.3 Material Misstatements of Fact
    - 3.6 Could Disclaimers Exempt Attorney from Professional Liabilities?
  - §4 Experiences Refined from Cases and Practice
    - 4.1 Rules of Legal Opinions
    - 4.2 How Legal Opinions Form and Work
    - 4.3 How to Reduce Professional Liability
    - 4.4 Sample of Legal Opinions

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