跨多元司法管辖区诉讼背景下中外律师的合作机制与角色定位

刘相文中伦视界 2022-03-20

作者：刘相文王德昌王涛王宇博

I. The Overall Market for Cross-border Litigation in China

一、中国企业跨境诉讼的市场形势

Nowadays, with the development of the globalization, considering the complexity of the global economic situation and the effect of the following internal and external factors, Chinese corporations are likely to face increasing cross-border disputes.

伴随全球化的大潮，考虑到全球经济形势的复杂性以及下文即将提到的内外部因素，中国企业可能面临更多的跨境纠纷。

Downside Risks of Global Economy

（一）全球经济下行

First, increased downside risks of the global economy could well materialize. According to the October 2019 World Economic Outlook and October 2019 Global Financial Stability Report, both published by the IMF, global economic growth remains weak. Currently, there are a number of key vulnerabilities in the global financial system, including a rise in corporate debt levels.

首先，全球经济呈现下行趋势。国际货币基金组织发布的《2019年10月世界经济展望》和《2019年10月世界金融稳定性报告》显示，全球经济增长依旧疲软，金融体系脆弱指数依然处在一个较高的状态，其中包含了企业债务风险的增高。

The Rise of Protectionism

（二）贸易保护主义

Second, the rise of protectionism is harming the global economy as well as the daily operation of various corporations. While the trade war between China and the US is the most glaring example, serious issues also exist within both the US and Europe. This shift is likely to result in a substantial change in international trade, adversely affecting the global economy and supply chains, and raising the operating costs and debt risks of a wide range of companies.

其次，贸易保护主义正在损害全球经济，并影响众多企业的日常运作。虽然中美贸易摩擦表现成为其中最瞩目的例子，欧美之间也存在着这些问题。这种变化损害了全球经济的健康环境，使得全球供应链受到负面影响，提高了众多受影响企业的运营成本和债务风险。

The Belt and Road Initiative and Chinese Overseas Investment

（三）中国企业对外投资与“一带一路”

Third, increasing Chinese overseas investment brings about more potential disputes between Chinese investors and foreign entities. China’s top 100 multinational corporations have total overseas assets of more than RMB 9000 billion, overseas revenues of more than RMB 6000 billion, and overseas employees of more than 1.3 million. With the increasing overseas investment driven by the Belt and Road Initiative, Chinese companies are facing more cross-border disputes in the fields of trade, investment, engineering, labor, intellectual property, etc.

最后，中国企业的对外投资日益增加，从而面临更多潜在的纠纷。中国100大跨国企业海外资产总额超过90000亿元人民币，海外营收超过60000亿元人民币，海外员工数量超过130万人。在一带一路计划下，中国企业在对外投资与合作中，面临更多潜在的贸易、投资、工程、劳动、知识产权等领域的跨境纠纷。

II. The Status Quo of Cross-border Litigation of Chinese Enterprises

二、中国企业跨境诉讼的现状分析

The legal market of cross-border dispute resolution involving Chinese companies is gradually expanding. Chinese companies are likely to sustain substantial losses if they lose the case, and therefore are seeking to behave more positively and actively in cross-border disputes.

在市场现状上，涉及中国企业的跨境争议解决市场正在逐步扩大。中国企业败诉后可能面临较大损失，因此开始更加积极主动地应对跨境纠纷。

The Growth of Demand

（一）业务需求增加

The demand for dispute resolution services of Asian enterprises, including Chinese companies, continues to grow. The International Chamber of Commerce (ICC) has recently established a new representative office in the Shanghai Free Trade Zone, and the International Center for Dispute Resolution (ICDR) announced in August 2019 that its Singapore office is expanding. A news release published by Dorsey & Whitney LLP in 2018 stated that they saw a growing market in dispute resolution services demanded by Chinese companies.

包括中国企业在内的亚洲企业相关的跨境争议解决市场逐渐扩大。国际商会仲裁院（ICC）近期在上海自由贸易区设立了新的办事处。国际争议解决中心（ICDR）也在2019年8月宣称，其新加坡办公室正在扩张。美国德汇律师事务所（Dorsey & Whitney LLP）2018年发布的新闻稿显示，中美争议解决业务正处于增长态势。

The Seriousness of Current Situation

（二）总体情况严峻

The overall results of cross-border litigation and international arbitration by Chinese enterprises are generally unsatisfying. They face difficulties from incomplete compliance systems, weak knowledge of foreign laws, lack of experience in cross-border litigation, and cultural misunderstandings. Once lost in litigation, Chinese enterprises can sustain a substantial financial loss and an adverse impact on their reputation.

基于自身合规体系不尽完善、对境外法律不够了解、缺乏跨境诉讼经验，以及文化误解等原因，中国企业进行跨境诉讼和国际仲裁的总体情况不容乐观。一旦败诉，往往损失巨大，投资金额无法回收，声誉也受到影响。

The Shifting Attitude

（三）态度转变

In the past, Chinese enterprises would at times choose to evade lawsuits because of their ignorance and distrust of foreign legal proceedings. They were often fearful that they would be treated unfairly in foreign courts. With the further globalization of Chinese enterprises, there has been a gradual realization that managing litigation is a significant part of their overseas operation. When encountering cross-border disputes, Chinese enterprises have begun to develop litigation strategies positively and actively and become increasingly willing to initiate and respond to litigation overseas.

由于对境外司法程序不了解、不信任等因素，过去很多中国企业对境外诉讼抱持消极回避的态度，常常担心在外国法庭上受到不公平待遇。随着企业全球化运营程度加深，中国企业逐步意识到诉讼是企业境外运营的重要组成部分，在遇到纠纷时积极主动地制订诉讼策略，越来越敢于在境外正面提起和应对诉讼。

III. Cooperation Mechanisms for Chinese and Foreign Legal Counsel

三、中外律师的合作机制

Cross-border litigation is usually conducted with cooperation between Chinese and foreign legal counsel. There are two major types of cooperation mechanisms:

Chinese law firms serve as general contractors for the entire cross-border litigation project and then subcontract projects to foreign law firms in different jurisdictions.
Clients sign legal service agreements with Chinese law firms and foreign law firms independently.

Under both mechanisms, Chinese lawyers serve as the coordinator/lead counsel and conduct overall project management, while foreign legal counsel are in charge of litigation in their jurisdiction. However, we recommend Mechanism One because it usually reduces litigation costs for clients.

跨境诉讼通常由中外律师合作完成。双方的合作机制主要有两种：一是由中国律师总包，然后分包给外国律师；二是由客户分别和中国律师、外国律师签订法律服务协议。在业务上，机制一和机制二都是由中国律师负责制订总体诉讼策略和统筹管理整个案件，由外国律师具体负责各个司法管辖区的诉讼。在经济上，机制一更容易帮助客户控制经济成本。因此，我们推荐机制一。

The roles of Chinese and foreign lawyers in cross-border litigation under Mechanism One will be discussed in detail below.

以机制一为基础，以下将分别讨论中国律师和外国律师在跨境诉讼中的角色和作用。

IV. The Roles of Chinese Lawyers in Cross-border Litigation

四、中国律师在跨境诉讼中的角色和作用

Make Overall Planning and Develop Litigation Strategies

（一）制定整体战略，统筹管理案件

Developing overall litigation strategies is crucial in cross-border litigations. Chinese lawyers can comprehensively consider Chinese and foreign laws and the actual situation of Chinese companies, which better positions them to help enterprises develop and implement overall strategies. In the landmark case, Danone vs. Wahaha, lawyers from different jurisdictions disagreed over the legal analysis, enforcement, etc. Chinese lawyers led throughout the entire process by utilizing holistic case management, and the dispute was resolved successfully.

跨境诉讼中，整体诉讼策略的制订至关重要。中国律师参与跨境诉讼案件，可以综合考虑国内外法律规定和中国企业的实际情况，更好地帮助企业制订和实施整体战略。“达能-娃哈哈”之战中，不同司法管辖区的律师在法律观点和执行方面意见不一致，在中国律师全程主导、统筹管理之下，境内外案件相互制衡配合，最后成功解决争议。

Choose a Proper Court to File the Lawsuit

（二）选择管辖法院

Cross-border litigation generally involves multiple foreign jurisdictions. It is necessary to choose the jurisdiction that is most beneficial to the client in terms of efficiency, the availability of evidence, the financial burden, the convenience of enforcement, etc. For instance, we are working on a cross-border debt collection case that involves six jurisdictions. The disputed shares are registered in Country A. Since Country A usually does not enforce foreign non-monetary judgments, we chose to bring the lawsuit in Country A to facilitate the enforcement of court orders and judgments, although Country B, C, and D also have jurisdiction over this case.

跨境诉讼中，可能存在多个司法管辖区的法院对案件拥有管辖权的情况。此时，需要从诉讼周期、证据可得性、诉讼成本、执行便利等角度，选择最有利于客户的管辖法院。以我们正在处理的一起跨境追收案件为例，争议标的股权在A国，案涉交易当事人分布在B、C、D等多个司法管辖区。因为A国法院一般不执行境外非金钱判决，所以我们最终选择在A国而非B、C、D等地法院起诉。

Engage Foreign Legal Counsel

（三）选聘境外律师

Legal services in developed countries are highly divided and specialized. Top Chinese law firms generally have offices abroad or long-term relationships with foreign law firms and investigation agencies. Such a global network can help clients find excellent legal counsel in different fields at a reasonable price. In a patent case before the American Arbitration Association (AAA), we interviewed five US law firms, eventually chose a legal team consisting of a senior arbitration lawyer and a lawyer with science and engineering background, and achieved good results for our client.

境外尤其是发达国家的法律服务市场分工极为细化，国内顶级律所一般在境外设有办公室或者与境外律所、调查机构有长期合作关系，能够通过全球网络以合理的价格为客户寻找到细分领域的优秀专业人士。在我们代理的一起美国仲裁协会(AAA)专利纠纷案件中，我们为客户面试了五家美国律所，最终选择了由一名资深仲裁律师和一名理工科背景律师领衔的团队为客户提供法律服务，取得了比较理想的效果。

Explain and Help Understand Foreign Laws and Legal Proceedings

（四）解释理解境外法律规定和诉讼程序

The differences between Chinese and foreign legal systems, especially the common law system, can be substantial. Chinese clients are generally unfamiliar with foreign rules and proceedings such as case law, discovery, the adversarial system, and cross-examination. Many partners and associates in top Chinese law firms are now well armed with education background and practical experience in both Chinese and foreign laws. Their knowledge can help Chinese clients understand foreign laws and proceedings accurately.

中国和境外尤其是普通法系国家的法律规定和诉讼程序存在较大差异。中国客户一般不熟悉判例法、证据开示、对抗制、交叉盘问等境外法律和司法制度。目前国内顶级律所有大量兼具中外学术和实务背景的法律人才，对境外法律规定和诉讼程序有深刻认识，能够帮助中国客户准确理解境外法律规定和诉讼程序。

For instance, in discovery, foreign legal counsel might not know what documents Chinese enterprises have and therefore request that all documents be submitted. Chinese clients, for safety, might claim all documents as confidential and refuse to provide any of them. In this case, Chinese lawyers are needed in a more effective way of coordinating and selecting proper evidence to submit.

以证据开示为例，外国律师可能不知道中国企业有什么文件，就只能要求中国企业提交所有文件；中国客户可能保险起见，将所有文件列为机密，拒不提供。这时，需要中国律师梳理文件，统筹提供，协调管理境内外沟通，可以起到事半功倍的作用。

Sort Evidence and Train Witnesses

（五）梳理证据材料，培训证人出庭

Chinese lawyers, as native Chinese speakers, can sort out facts and documentary evidence more accurately and efficiently. If conducted by foreign lawyers with the help of interpretation and translation, the overall service can be costly. Meanwhile, due to cultural differences, Chinese witnesses may answer questions in an unclear way, or not based on personal knowledge, which undermines their credibility. Witnesses trained by Chinese lawyers can better understand and adapt to foreign trials and establish their credibility more easily, accordingly, exerting positive influence on the result.

中国律师在母语环境下梳理案件事实和书面证据，更为准确和高效。如果由外国律师通过翻译完成，费用会高出很多。由于文化差异，中国证人出庭时可能语焉不详、闪烁其词或者不据实回答，从而减损自身可信度。如果由中国律师对证人进行培训，可以助其更好地理解和适应国外的庭审环境，从而对案件结果产生积极影响。

Bridge Differences and Promote Effective Interaction

（六）弥合文化差异，促进有效沟通

Chinese clients consider not only costs and benefits, but also political consequences and traditional codes of conduct, while foreign clients may insist on performing the contract strictly. Therefore, foreign lawyers may have difficulties in accurately grasping the situation, needs, and expectation of Chinese clients. In this case, assistance from Chinese lawyers is necessary to bridge the differences and promote effective interaction.

中国企业有其自身的营商和监管环境，不仅讲实效，也要考虑政治、人情等因素。境外更多强调契约精神，严格按照合同约定行事。这就可能导致境外律师对中国客户的实际情况、需求和心理预期理解不够到位。这时，需要中国律师发挥桥梁作用，弥合文化差异，促进有效沟通。

Improve the Accuracy and Efficiency of Work Products, and Save Costs

（七）管理工作质量，控制诉讼成本

Nowadays, many Chinese lawyers have foreign legal education backgrounds, overseas working experience, or licenses to practice in foreign jurisdictions, and have developed a good understanding of foreign laws. Such multinational competency, as well as similarities between different legal systems, particularly in the area of commercial law, has enabled[WT/1] them to assist clients in managing the quality of legal services rendered by foreign legal counsel. In addition, through the holistic management of litigation, the knowledge of the overseas legal market, and the review of the work of foreign lawyers, Chinese lawyers can help clients reasonably control the costs of litigation.

目前很多中国律师拥有海外留学、工作背景或者持有境外律师执照，对境外法律制度较为了解。各国法律尤其是商事领域的规定有很多相通之处，故中国律师有能力协助客户管理境外律师的工作质量。另外，中国律师通过对诉讼进程的把控、对境外法律市场的理解、对境外律所服务质量的鉴别，帮助客户合理控制经济成本。

V. The Roles of Foreign Lawyers in Cross-border Litigation

五、境外律师在跨境诉讼中的角色和作用

Keep Active Communication and Understand the Needs of Clients

（一）与客户和中国律师保持密切沟通，理解客户的实际情况和需求

There are huge differences between Chinese and foreign laws and regulations, legal procedures, languages, legal culture, etc. Foreign lawyers should be aware of these differences and maintain active communication with Chinese lawyers to fully and accurately understand the objectives and needs of clients.

中外法律规定、诉讼程序、语言文化等存在巨大差异，境外律师对此应有充分的认识和心理预期。境外律师应当与中国合作律师保持密切沟通，听取中国律师的意见，发挥中国律师的桥梁作用，充分理解客户的诉讼目标，精准把握客户的法律服务需求。

Help Develop Overall and Specific Litigation Strategies

（二）配合制订案件整体诉讼策略，并提出有针对性的具体诉讼方案

Since cross-border litigation generally involves multiple jurisdictions, the coordinator needs to develop overall strategies with the legal advice from foreign legal counsel who are responsible for making and implementing specific litigation strategies in their own practicing jurisdictions.

由于跨境诉讼涉及多个司法管辖区，需要案件总协调人在听取各司法管辖区律师专业意见的基础上，制订案件整体诉讼策略。在具体的司法管辖区内，应当以该司法管辖区的律师为主，设计和执行诉讼方案。

Follow Instructions from Clients and the Coordinator to achieve the Ultimate Goal of Clients

（三）按照客户和案件总协调人的指示开展工作，服务于客户整体目标的实现

With respect to the overall planning of the case, foreign lawyers should follow instructions from both clients and the coordinator and cooperate with lawyers from other jurisdictions. When disagreements arise between Chinese and foreign lawyers, the latter ones should try to see the whole picture and seek consensus to achieve the ultimate goal of the litigation without asymmetric information.

在案件整体策划和方向性问题上，境外律师应当接受客户和案件总协调人的工作指示，与其他法域的律师团队协调配合、共同推进，实现客户的整体诉讼目标。在与中国律师的意见发生分歧时，应当充分了解情况，在消除信息不对称的情况下寻求共识。

Provide Assistance to Decision-making with Local Resources and Experience

（四）利用对当地司法和营商环境的理解和对相对方情况的把握，为客户提供尽可能多的决策依据

The opposing parties may reside in the jurisdiction where foreign lawyers practice. Foreign lawyers, with their local resources and experience, can obtain information beyond the reach of Chinese clients and lawyers, which provides a better basis for decision-making.

跨境诉讼的相对方可能在境外律师执业的司法管辖区，境外律师凭借其当地资源和执业经验，能够掌握中国客户和中国律师无法获取的案件信息，为客户和中国律师提供决策依据。

Represent Clients in Specific Proceedings and Make Factual and Legal Arguments for Clients

（五）挖掘有利于客户的事实和法律理由，代表客户参加诉讼程序

Foreign lawyers directly participate in specific proceedings, including drafting and submitting legal documents, discovery, appearing in court, settlement negotiation, enforcement, etc., which requires foreign lawyers to provide high-quality legal services, particularly in developing claims and defenses, evidence production, and cross-examination.

境外律师直接参与本司法管辖区的诉讼程序，包括起草和提交法律文书、证据开示、出庭、谈判和解、申请强制执行等。在挖掘攻击防御点、证据开示、交叉盘问等程序中，需要境外律师提供高质量的专业法律服务。

The End

作者简介

刘相文律师

北京办公室合伙人

业务领域：诉讼仲裁, 合规/政府监管, 收购兼并

王德昌

北京办公室争议解决部

王涛

北京办公室争议解决部

王宇博

北京办公室争议解决部