涉外、涉港澳台商事审判白皮书

（2016-2019年度）

中英文版

青岛市中级人民法院

二〇二〇年五月

目录

前言

一、青岛法院审理涉外、涉港澳台商事案件的基本情况

二、涉外、涉港澳台商事案件主要特点分析

三、开拓创新，积极打造涉外商事审判精品工程

四、服务大局，为青岛国际大都市建设提供切实司法保障

五、保障开放型经济发展、营造优质法治环境的相关建议

附：涉外、涉港澳台商事审判白皮书英文版

前言

涉外商事审判是人民法院审判工作的重要组成部分，对于保障“一带一路”国际合作、构建开放型经济新体制、增强国家核心竞争力、维护良好的国际贸易环境具有重要作用。当前我国正处于更高水平对外开放的新阶段，面临世界百年未有之大变局，机遇与挑战并存。青岛具有重要的战略地理位置，是我国“一带一路”战略规划中新亚欧大陆桥经济走廊主要节点城市和海上合作战略支点城市，是中国对外开放的窗口和前沿，是山东对外开放的桥头堡，开放型经济非常活跃。去年上合地方经贸合作示范区和山东自贸试验区青岛片区相继在青岛设立，青岛被赋予打造“一带一路”国际合作新平台国之重任，可以说青岛站在了中国开放发展的新风口，迎来了高质量发展的新机遇。

青岛法院深入实施涉外商事审判精品战略，以推动创新、便利诉讼、优化外商投资环境为立足点和出发点，充分发挥审判职能作用，优质高效审理各类涉外商事案件，积极回应开放型经济发展的司法需求。自2016年至2019年，青岛两级法院共受理涉外商事案件1058件，涉案标的额逾88亿元人民币，案件涉及全球50多个国家和地区，其中涉“一带一路”沿线的国家有17个，受理国际、区际司法协助案件119件。白皮书通过对青岛法院近年来受理的涉外商事案件司法统计数据进行深入分析，研究涉外商事案件的趋势、特点，进而提出司法建议，为青岛建设开放、现代、活力、时尚的国际化大都市提供优质高效的司法服务与保障。

一、青岛法院审理涉外、涉港澳台商事案件的基本情况

（一）收案情况

1.2016年：共受理206件（标的额：10亿元人民币），其中涉欧、美案件40件，涉韩、日案件71件，涉其他国家案件11件，涉港澳台案件60件，司法协助类涉台案件19件，司法协助类涉外案件5件。

2.2017年：共受理267件（标的额：14亿元人民币），其中涉欧、美案件35件，涉韩、日案件48件，涉其他国家案件32件，涉港澳台案件88件，司法协助类涉港澳台案件26件，司法协助类涉外案件38件。

3.2018年：共受理278件（标的额：19亿元人民币），其中涉欧、美案件47件，涉韩、日案件46件，涉其他国家案件91件，涉港澳台案件71件，司法协助类涉港澳台案件11件、司法协助类涉外案件12件。

4.2019年：共受理307件（标的额45亿元人民币），其中涉欧、美案件45件，涉韩、日案件68件，涉其他国家案件58件，涉港澳台案件116件，司法协助类涉港澳台案件2件、司法协助类涉外案件18件。

（二）结案情况

1 .2016年：结案215件，其中涉外一审案件157件，涉外二审案件35件，司法协助案件23件。审结的157件涉外一审案件中，调解21件，撤诉26件，调撤率为30%。

2 .2017年：结案230件，其中涉外一审案件180件，涉外二审案件19件，司法协助案件31件。审结的180件涉外一审案件中，调解36件，撤诉41件，调撤率为43%。

3 .2018年：结案259件，其中涉外一审案件211件，涉外二审案件27件，司法协助案件21件。审结的211件涉外一审案件中，调解34件，撤诉31件，调撤率为31%。

4 .2019年：结案312件，其中涉外一审案件276件，涉外二审案件16件，司法协助案件20件。审结的276件涉外一审案件中，调解24件，撤诉59件，调撤率为30%。

从上述数据分析，青岛法院受理的涉外商事案件数量及标的额呈逐年增长趋势，案件标的额2016年-2018年分别为10亿元人民币、14亿元人民币和19亿元人民币，三年内累计增长13亿元人民币，增幅达90%。2019年标的额达到45亿元人民币，超过前三年收案标的额之和。案件数量增长迅速，收案数量2017年比2016年增长30%，2018年比2017年增长4%，2019年比2018年增长10%。

受理的涉外商事案件中，案件当事人所涉及的国家和地区范围广泛，包括美国、加拿大、英国、法国、德国、西班牙、新西兰、日本、韩国、澳大利亚等五十多个国家和地区，涉及的“一带一路”沿线国家有俄罗斯、哈萨克斯坦、新加坡、印度、泰国等17个国家。

涉港澳台商事案件335件，占比36%；涉韩、日商事案件233件，占比25%；涉欧、美商事案件167件，占比18%；涉其他国家商事案件192件，占比21%。

案件类型以商事主体参与的典型国际商事交易引发的纠纷为主，涉及多个案由，其中，一般货物买卖、服务贸易及借贷类纠纷611件，占58%；公司股权类纠纷91件，占9%；其他类纠纷187件，占17%；信用证纠纷27件，占3%。申请承认与执行外国法院民事判决、裁定、外国仲裁裁决类案件11件，占1%。司法协助类案件131件，占12%。从结案方式看，一审涉外案件调撤率较高，每年都在30%以上。

二、涉外、涉港澳台商事案件主要特点分析

(一)地域性特点显著，涉港澳台和涉韩、日商事案件所占比重较大

近四年来，青岛法院受理的涉港澳台案件数量占所受理涉外案件总数的36%，占比最大；受理的涉韩、日案件数量占25%。而之前的2010-2014年，所受理的涉港澳台案件数量占比为23%，涉韩、日案件数量占比为37%。可见，近四年来涉港澳台案件数量占比上升较大，涉韩、日案件数量占比有所下降。从案件类型看，涉港澳台案件类型一般集中在国际货物买卖、股权转让类纠纷，涉韩、日商事案件以国际货物买卖及一般借贷纠纷为主。从上述数据可以看出，青岛与港澳台经济交往一直很活跃，经济交往的深度和广度都比较高，较为常见的案件类型有股权转让、股东资格确认以及损害公司利益的纠纷，这些案件往往涉及公司巨大利益的归属问题，法律认定比较复杂。青岛与韩国、日本的企业经济交往也比较频繁，因为青岛与韩国、日本隔海相望，地缘相近，长期以来，青岛与韩国、日本在经济和人员方面的交流都非常频繁，与之相对应，也产生了不少发生在中日、中韩普通民众、小企业之间的民间借贷、担保类纠纷，案件标的额通常比较小。

（二）案件数量及类型与国内、国际经济发展的形势密切相关，呈现“三多一少”现象

“三多一少”中的“三多”主要是指新类型案件逐年增多、服务类合同纠纷增多、涉“一带一路”沿线国家及地区的案件数量及标的额逐年增多；“一少”主要是指国际货物买卖合同纠纷中涉及矿产、橡胶等大宗货物贸易纠纷数量有所减少。

新类型案件逐年增多。案件类型涉及电子商务、金融创新等领域，反映出青岛开放型经济日趋多元化及精细化的特点。

涉外服务类合同纠纷增多。涉境外旅游合同纠纷、涉外保险合同纠纷明显增多。上述特点反映出随着生活水平的提高，居民出境旅游人数大幅增长，与之相对应，涉外旅游合同纠纷及涉外保险合同纠纷也越来越多。该类纠纷的焦点主要在于合同条款效力的确定、服务提供者的义务责任范围认定等问题。青岛是国家服务外包示范城市，在服务贸易不断发展的情况下，加强风险防范意识，规范服务行业的服务标准和质量，减少纠纷的发生，是开放型经济全面推进中面临的一个重要课题。近年来，青岛法院通过个案审判、司法建议等方式，对合同条款的内容拟定、合法性问题等进行指引。在案件审理中坚持既要支持和保障面向生产、服务民生的现代服务业的自身发展，又要及时纠正服务提供者的不当行为的原则，不断帮助服务提供者完善经营管理,提高服务水平。

受理的涉“一带一路”沿线国家及地区的案件数量及标的额呈逐年增多趋势。2016年受理24 件，标的额9790万元人民币；2017年受理30件，标的额12065万元人民币；2018年受理52件，标的额26485万元人民币；2019年受理55件，标的额33543万元人民币。上述数据反映出青岛作为我国新亚欧大陆桥经济走廊主要节点城市和海上合作战略支点城市，积极参与国家“一带一路”建设，与“一带一路”沿线国家及地区经济联系日益密切，开放型经济充满活力。

国际货物买卖合同纠纷中涉及矿产、橡胶等大宗货物贸易纠纷数量有减少趋势。随着近年来国际矿产及橡胶等大宗原材料价格的相对稳定，涉及到的相关案件数量明显减少。

（三）以外资银行作为原告起诉的融资类纠纷、涉信用证、独立保函纠纷仍是占比较大的传统类型案件

目前青岛有17家外资银行，涉及较多的纠纷类型为融资类纠纷，有的外资银行所涉纠纷的相对方多为小微企业，标的额通常较小，在200万元人民币以下；有的外资银行所涉纠纷的相对方则多为大中型企业，标的额通常在几千万元人民币以上。另外，国内银行为内地企业在国际贸易业务中开具信用证、独立保函等引发的纠纷，近年来也一直占有相当的比例。随着近年来青岛法院加强诉讼指引，各银行对合同条款中涉及到的送达地址、法律适用、约定管辖、担保效力等问题进行了改进，合同签订及履行过程日益规范，因此在纠纷发生时能够及时得到司法救济，一定程度上保障了金融体系的健康运行。

近年来，信用证欺诈及独立保函纠纷日益增多。国际商事活动中，开立信用证与独立保函作为履约担保是惯常做法。部分企业在纠纷发生时，会采取申请止付信用证、独立保函的方式意图减小损失。但信用证、独立保函止付所要求的的相应举证责任十分严格，通常难以达到。对于独立保函欺诈与信用证欺诈事实的认定，青岛法院一直严格按照最高人民法院发布的相关司法解释进行认定，以保障国内银行在国际上的征信信用。通过案件审理，可以看出，国内部分企业对信用证以及独立保函的规则并不了解，将其与一般的融资担保相混淆，为促成交易，在合同条款约定不明确、不细致的情况下，草率申请开立信用证或者独立保函，导致蒙受损失。涉诉企业中，既有小微企业，也不乏知名国企，应当引起足够重视。

（四）申请承认与执行外国仲裁裁决、外国法院生效判决纠纷案件逐年增加

近年来审理的多起承认与执行外国仲裁裁决和外国法院生效判决案件呈现以下两种特点。目前青岛中院审理的申请承认与执行外国法院生效判决，多是外国人对在我国境内生活的其本国人提起的诉讼，这是缘于在青岛境内进行稳定工作生活的外国人逐年增多以及我国同国外的司法协助日益加强而随之产生的。申请承认与执行外国仲裁裁决案件，则基本为外国主体对我国境内的企业所提出，该类案件法院依据《承认及执行外国仲裁裁决公约》进行审查，主要审查程序问题，被申请人所提出的大量实体争议并不在审查范围，其主张难以得到支持，败诉情况较多。从中可以看出，国内企业在对外贸易中对争议解决条款的约定不够重视，部分企业在对外贸易中也未持有长期合作的态度，对送达地址的约定不明确，导致在纠纷发生时国内企业无法接到国外仲裁机构送达的通知，或者接到通知之后，考虑到国外仲裁的成本而放弃参加仲裁。一旦仲裁相对方取得胜诉裁决，则可根据《承认及执行外国仲裁裁决公约》到我国法院申请承认与执行，直接影响到国内企业的实体权益。

（五）法律适用中适用域外法的情形增多，案件连结点的确定日益复杂，案件审理难度进一步增大

适用域外法的情况多出现在有关域外担保的效力、域外关联公司的责任承担、域外股权投资的认定等案件中。其中域外关联公司的责任承担问题较为集中和典型，尤其是域外公司的股东责任认定问题。我国公司法有明确的关于股东责任承担的规定，包括一人公司股东责任认定、有限责任公司特殊情况下的责任承担等。对于在域外注册的商事主体而言，其股东是否要承担责任以及如何承担责任需要依据注册地法律进行评判，故域外法的查明便成为影响案件进度以及责任认定的重要一环。

在对国际货物买卖合同纠纷的审理中发现，随着对外经贸的发展，国内的一些缺乏诚信理念的企业通过设立离岸公司转嫁商业风险的做法越来越多。这些企业通过在境内外注册名称相似的多家关联公司，在订立合同的过程中使外方当事人就此产生混淆，企图通过此种方式达到逃避法律责任的目的。对此类案件的处理，青岛法院一是积极进行域外法的查明；二是通过对人员、资金和业务的审查，确定公司的实际经营地，从而准确认定连结点，合理确定应适用的法律。坚持在严格遵守法律的情况下，保障诚信企业的主体权益，打击恶意逃债的不正之风，依法保护外方当事人对我国投资和贸易的信心。

（六）案件调撤率较高，多元化纠纷解决机制应用较为成功

因涉外案件送达方式特殊、举证难度大、法律适用复杂、审理周期一般较长，积极开展多元化纠纷解决机制的调研和创新，对提高涉外商事案件的审理质效意义重大。

多年来，青岛法院一直注重采用多元化方式化解涉外商事纠纷，建立了涉台纠纷联处工作机制、仲裁司法审查联动机制等创新工作机制，积极发展多元化纠纷解决机制，同多部门进行协作，形成合力，为案件以调解、撤诉方式解决打下了良好基础。四年来，涉外一审案件的调撤率一直在30%以上，明显高于同类国内商事案件。

三、开拓创新，积极打造涉外商事审判精品工程

(一)作出全国首例承认与执行韩国法院判决的裁定

对外国法院判决的承认与执行是涉外审判工作中的一个难点， 根据我国民事诉讼法的规定，承认与执行外国法院的判决主要是依据相关国际条约、双边条约或者基于互惠原则进行。由于同我国订立包含判决承认与执行的双边民事司法协助协定的国家有限，我国法院承认与执行外国法院民商事判决的案件数量不多。2019年3月，青岛中院裁定承认与执行韩国水原地方法院所作的一份商事判决，这是我国法院首次依照互惠原则承认韩国法院商事判决效力，也是继韩国首尔地方法院在1999年对我国山东省潍坊市中级人民法院作出的商事判决予以承认后，20年来我国法院首次基于互惠原则作出对韩国民商事判决的承认，引起了国内外学术界和司法界的广泛关注。韩国驻青总领事馆副总领事为此专程到青岛中院走访，这是韩国驻青岛总领事馆1994年设立以来首次走访青岛中院。该案例被评为山东省法院“服务保障一带一路和上合示范区建设”典型案例。

经济全球化时代，各国都意识到相互承认民商事判决有助于促进国际间经贸往来，实现共同发展。基于互惠原则承认与执行外国法院的商事判决，有助于密切国家间司法合作，营造有利于开放型经济发展的法治软环境。我国和韩国之间经济贸易往来频繁，相互承认与执行民商事判决对于促进双方的经贸往来具有重大意义，有利于加强对中、韩双方投资者合法权益的平等保护，鼓励、支持和引导中韩两国资本进行双向投资合作，促进两国的贸易发展。

（二）加强法院内部联系，合力保障“一带一路”建设

青岛中院与连云港中院及其他20多家中级法院、海事法院联合签署了《新亚欧陆海联运通道司法协作框架协议》，为进一步密切法院间协作，形成推动“一带一路”建设的司法合力奠定了坚实的制度基础。同时，青岛中院受邀参与国家法官学院“一带一路”司法研究中心的课题研究，撰写了《人民法院服务和保障“一带一路”建设白皮书》中多元争端解决机制这一专题。

(三)加强与院校等科研机构合作，破解域外法查明、适用的难题

青岛中院深入研究经济全球化进程中出现的新情况、新问题，与国际法专业在全国享有盛名的华东政法大学建立了全方位战略合作。华东政法大学在青岛中院设立法学研究与实践基地，双方建立了域外法查明合作机制。华东政法大学外国法查明中心协助青岛中院专业化查明涉外民商事案件需适用的域外法，该项法律查明服务同时向青岛企业开放，为青岛企业走出去参与“一带一路”建设适时提供法律服务与帮助。2019年青岛中院审理的三起涉外案件分别涉及英国法、美国法及俄罗斯法律中的相关规定，为查明和准确适用域外法，平等保护中外当事人的合法权益，青岛中院应用同华东政法大学建立的域外法查明合作机制委托华东政法大学专家进行域外法查明。查明相关法律后，经过法官的释法析理，三件疑难复杂的涉外案件中两件以调解、撤诉结案，一件进行了及时判决。

（四）发挥涉台特邀调解员优势，妥善化解涉台纠纷

青岛中院依托与青岛市台港澳办建立的涉台纠纷联处工作机制，聘请青岛市台商协会中的台湾商人担任涉台商事纠纷特邀调解员，参与诉前、诉中及执行过程中的调解工作，为涉台商事纠纷当事人提供了多元化的纠纷解决渠道，使涉台商事纠纷能够更加高效快捷地得到化解。2019年，青岛中院在审理涉某知名台资食品公司房屋租赁合同纠纷一案时，邀请了涉台纠纷特邀调解员对案件进行调解，增进了双方当事人对于法院工作的理解和配合，最终原、被告双方在庭前达成了和解。青岛中院还依托台湾同胞投资企业协会平台，组织形式多样的服务台商、台企活动，以授课、走访等多种方式进行法律宣讲，帮助台商、台企增强对大陆地区法律制度、司法体制的了解，有效预防各类民商事法律风险。

(五)建立仲裁司法审查联动机制，妥善审理仲裁司法审查案件

为进一步规范法院对仲裁裁决的司法审查工作，公正高效地办理仲裁司法审查案件，青岛中院与青岛仲裁委员会建立了仲裁司法审查案件办理联动机制，联合出台了《仲裁司法审查联动工作机制实施细则》，为仲裁司法审查案件的办理提供切实有效的规范指引。规定了定期通报制度，建立了联动调解机制，完善了仲裁卷宗文书的传递、送达工作，积极打造仲裁调研学习平台，切实提高了仲裁司法审查案件办理的效率和规范化水平。当事人申请撤销仲裁裁决的案件数量逐年减少。青岛中院与青岛仲裁委员会建立的仲裁司法审查案件办理联动机制，不仅提高了仲裁司法审查案件的办理水平，还维护了仲裁裁决的公信力，促进了多元化纠纷解决机制的健康发展。

四、服务大局，为青岛国际大都市建设提供切实司法保障

(一)在上合地方经贸合作示范区设立涉外审判巡回法庭

以上合峰会在青岛召开为契机，2018年8月，青岛中院在上合地方经贸合作示范区设立涉外审判巡回法庭，积极回应示范区在经贸保护和营商环境建设方面国际化、法治化、便利化的司法需求。以推动创新、便利诉讼、优化示范区营商环境为立足点和出发点，优质高效化解各类涉外商事纠纷，使纠纷不出上合地方经贸合作示范区就能得到有效化解，为示范区经济建设提供切实司法保障。

青岛中院定期选取具有典型示范意义的涉外商事案件在示范区进行公开开庭审理。2019年4月，青岛中院在上合地方经贸合作示范区涉外审判巡回法庭公开开庭审理了两起涉外纠纷，并邀请上合示范区企业代表旁听庭审。经过办案法官耐心细致地释法析理，两起案件的当事人均当庭达成调解。同时，青岛中院携胶州法院与部分外资企业、外国企业代表举行座谈，就企业在对外经贸往来过程中的司法需求以及法律风险防范进行交流和沟通,切实提高了法院服务保障开放型经济发展的有效性。

 (二)及时出台司法保障意见，为青岛打造对外开放新高地贡献司法智慧

为深入贯彻落实习近平总书记视察山东的重要讲话精神，充分发挥人民法院的审判职能作用，深入实施国际化城市战略，为青岛加快形成全面开放新格局保驾护航，青岛中院结合审判实践，先后出台了《关于充分发挥涉外商事审判职能作用为青岛加快形成全面开放新格局提供有力司法保障的意见》、《关于为中国—上海合作组织地方经贸合作示范区提供司法服务和保障的实施方案》，切实服务一带一路经济建设，以法治方式保障开放型经济实现高质量发展，助力青岛打造对外开放新高地。

(三)定期召开涉外金融机构座谈会，服务保障外资金融机构健康发展

青岛辖区外资银行众多，数量居山东省首位。青岛法院依法审理涉金融业综合经营、外汇管理、跨境财富管理等创新试点业务纠纷，平等保护外资银行等金融机构的合法权益，尊重市场主体的意思自治，鼓励交易，积极促进金融业开放政策的落实，维护金融秩序和金融安全。2018年6月，青岛中院与青岛市银保监局、在青外资银行召开青岛地区外资金融机构座谈会，通报了2014年以来法院审理的涉外资银行案件情况，对审判中发现的典型问题进行了通报和提醒。通过座谈，加强了青岛中院与外资银行的沟通交流，有利于外资银行合规经营，防范经营中的法律风险，维护金融秩序稳定。

(四)对审判中发现的问题，及时提出司法建议

青岛中院充分发挥司法的延伸服务功能，对于审判中发现的典型性问题及时提出司法建议。对于案件审理中发现的涉外金融机构在金融借款合同中送达地址约定不明及应收账款融资问题，青岛中院从防范金融风险，降低融资成本，加强引导监管的角度向青岛银保监局发出司法建议。青岛银保监局在收到司法建议后，立即组织辖区内各金融机构对合同约定送达地址和应收账款融资情况开展自查，认真落实法院提出的相关司法建议，积极整改相关问题。青岛中院还对于境外旅游合同纠纷案件审理中发现的游客在境外旅游中出现突发事件时，缺乏必要的语言协助，而游客所投保的险种均不包含境外语言救助内容等问题，分别向青岛市旅游局、保险行业协会提出相关司法建议。上述部门对于司法建议中提出的在相关保险服务中设立24小时语言救助热线、加强旅游保险服务宣传等方面的问题，召开了专题座谈会研究解决。

五、保障开放型经济发展、营造优质法治环境的相关建议

(一) 加强对涉上合地方经贸合作示范区、自贸试验区法律问题的前瞻性研究

上合地方经贸合作示范区、自贸试验区在青岛的设立，对于我国与上合组织成员国之间、与“一带一路”沿线国家之间、与其他贸易伙伴之间的经济交流以及青岛市的经济发展，必将产生巨大的促进作用，同时也会伴生更为复杂多样的商事纠纷。

青岛两级法院作为上合地方经贸合作示范区、山东自贸试验区青岛片区的司法机关，深刻认识到上合示范区、自贸试验区建设的重大意义，切实提高政治站位，准确把握司法服务保障的着力点。为满足上合示范区、自贸试验区的司法需求，青岛法院加强与高校、法律科研机构的交流与合作，共同研究化解涉上合地方经贸合作示范区、自贸试验区的新类型、疑难复杂的法律纠纷。同时，认真学习上海、深圳等法院的先进做法，结合青岛的审判实践，探索形成青岛地区的涉上合地方经贸合作示范区、自贸试验区的司法服务保障经验，总结提炼经验做法和典型案例，通过走访涉外企业、邀请旁听庭审、发送司法建议、通报典型案例、发布审判白皮书等方式，为涉外企业提供有针对性的法律服务。充分发挥司法审判对上合地方经贸合作示范区、自贸试验区有关国际投资及贸易规则的引领作用，为青岛打造对外开放新高地提供优质司法服务。

 (二)建立完善涉外商事纠纷多元化解机制，多措并举妥善解决涉外纠纷

近年来，青岛中院一直致力于加强诉讼与非诉讼相衔接的涉外商事纠纷多元化解机制建设。通过涉台纠纷联处工作机制、仲裁司法审查联动机制等制度创新，充分发挥多元化纠纷解决机制的优势，妥善化解了多起涉外、涉港澳台商事纠纷，提高了审判效率，节约了司法资源。对上合地方经贸合作示范区而言，根据上合组织各国国情、经济发展程度、法律制度等，建立一套为上合组织各国所接受，同时具备法律实践操作性的纠纷解决体系，是上合地方经贸合作示范区发展的重要法治保障。青岛法院将积极参与全市涉外商事纠纷多元化解机制建设,加强与非诉解纷组织的对接，推动在上合地方经贸合作示范区法智谷统筹建立适应上合组织国家的多语种（中、英、俄、印）纠纷多元化解线上、线下平台，支持中外当事人通过调解、仲裁等非诉讼方式解决纠纷，完善商事调解、仲裁调解、人民调解、行政调解、行业调解、司法调解联动工作机制，发挥各种纠纷解决方式的优势，不断满足中外当事人纠纷解决的多元化需求。

 (三) 进一步完善司法机关与相关机构的协同监管，提高风险防范能力

积极防范法律风险是保障开放型经济发展的重要一环，青岛法院将结合现代化信息手段，加强司法大数据分析，研判不断变化的经济形势，加强对涉“一带一路”基础设施建设、先进技术装备和关键零部件出口、优势企业“走出去”等经贸行为的法律风险防范提示，助力企业把风险消灭在萌芽中或限制在可控范围内、提高企业稳健经营和抗风险能力，保障青岛开放型经济有序运行。

青岛法院将进一步加强与工商、税务、海关、公安、检察等部门的沟通联系，扩大数据交换共享范围。建立风险协作防范机制，对新业态相关纠纷及可能存在的行业风险及时进行沟通，协助行政管理机关及时发现行业领域中的风险问题，协同落实风险防范和监管。加强与上合地方经贸合作示范区、自贸试验区管委会的合作，促进对合同中关于纠纷发生时的送达地址和送达方式的约定，有效解决司法“送达难”问题。

 (四)加强涉外商事审判信息化建设

建立融合互联网、云计算、区块链等新兴技术的涉外审判智慧诉讼平台，实现电子送达、异步远程开庭、互联网审判和诉讼文书自动生成，有效提高涉外审判的质量和效率。积极推动互联网法庭建设，便利域外当事人参加庭审，通过异步开庭功能解决外国当事人和国内当事人身处不同时区的时差问题，便利当事人诉讼。综合运用传统媒体和新媒体平台，积极宣传法院服务保障上合地方经贸合作示范区、自贸试验区建设的创新做法、典型事例等，并适时邀请驻华使节、国际交流合作人员旁听典型案件庭审，增进国际社会对我国司法的了解与信任。

 (五)加强司法层面的国际交流与宣传

加强与上合组织国家地方法院、法官的相互交流，定期举办国际化的学术论坛。学习借鉴各国法律制度中的先进经验，拓展法官的国际视野，提高法官应对处理国际事务的能力。

积极开展国际司法协作与交流，进一步强化国际、区际司法协助工作，健全办理司法协助事务的规范化体系，提升办理国际、区际司法协助案件的专业化水平。

在以后的审判工作中，青岛法院将继续充分发挥涉外商事审判的窗口作用，加强司法公开的法治宣传，展现我国涉外商事审判的公正性和专业性，展示我国法官文明司法的国际形象，不断提升我国司法的国际公信力。

White Paper on Foreign, Hong Kong, Macau and Taiwan-Related Commercial Trials

(2016-2019)

The Qingdao Intermediate People’s Court

May 2020

Contents

Foreword

I. The Statistics on the Hearings of Commercial Cases Involving Foreign Countries, Hong Kong, Macao and Taiwan by the Courts in Qingdao

II. The Analysis of Major Characteristics of Commercial Cases Related to Foreign Countries, Hong Kong, Macao and Taiwan

III. Making Exploration and Innovation, and Actively Creating High-Quality Foreign-Related Commercial Trial Projects

IV. Serving the Overall Situation and Providing Practical Judicial Guarantees for the Construction of Qingdao as an International Metropolis

V. Relevant Suggestions on Safeguarding the Development of Open Economy and Creating a High-Quality Rule of Law Environment

Foreword

Foreign-related commercial trials, as an important part of people’s courts trail work, play a significant role in safeguarding international cooperation along the “Belt and Road”, building a new open economic system, enhancing the country’s core competitiveness, as well as creating and maintaining a favorable environment for international trade. At present, China is at a new stage of higher lever opening-up, facing a period of major changes that were rarely seen in a century. The opportunities and challenges coexist. Qingdao has an important strategic geographical position. It is the Chinese main node city of the New Asia-Europe Continental Bridge Economic Corridor and the fulcrum city of maritime strategic cooperation, the window and frontier of China’s opening-up and the bridgehead of Shandong’s opening-up, which is active in open economy. Last year, the Shanghai Cooperation Organization (SCO) Demonstration Zone for Local Economic and Trade Cooperation and the Qingdao area of the Shandong Pilot Free Trade Zone (FTZ) were established in Qingdao. The city is entrusted with building a new international cooperation platform for the “Belt and Road”. Qingdao is standing at the new stage of China’s opening-up and development, and ushered in new opportunities for high-quality development.

The Courts in Qingdao profoundly implement the strategy of high-quality foreign-related commercial trials. In order to promote innovation, facilitate litigation, and optimize foreign investment environment, the courts underline the role of judicial functions, hear various foreign-related commercial cases in a high-quality and efficient manner, and actively respond to the judicial needs of open economic development. From 2016 to 2019, the two-layer courts in Qingdao accepted 1,058 foreign-related commercial cases, with an amount of subject matter of over CNY 8.8 billion. The cases involved more than 50 countries and regions worldwide, including 17 countries along the “Belt and Road”. Besides, 119 international and interregional judicial assistance cases were accepted. Based on an in-depth analysis of judicial statistics on foreign-related commercial cases accepted by the courts in recent years, the trends and characteristics of these cases are investigated, and then judicial advices are forwarded, so as to provide high-quality and efficient judicial services and guarantees for Qingdao to build itself into an open, modern, dynamic and fashionable international metropolis.

I. The Statistics on the Hearings of Commercial Cases Involving Foreign Countries, Hong Kong, Macao and Taiwan bythe Courts in Qingdao

i. Casesaccepted

1. In 2016, 206 cases were accepted (the amount of subject matter: CNY 1 billion), among which 40 cases were related to Europe and the United States, 71 to South Korea and Japan, 11 to other countries, 60 to Hong Kong, Macao and Taiwan, and 19 judicial assistance cases to Taiwan, 5 to foreign countries.

2. In 2017, 267 caseswere accepted (the amount of subject matter: CNY 1.4 billion), among which 35 cases were related to Europe and the United States, 48 to South Korea and Japan, 32 to other countries, 88 to Hong Kong, Macao and Taiwan, and 26 judicial assistance cases to Hong Kong and Taiwan, 38 to foreign countries.

3. In 2018, 278 caseswere accepted (the amount of subject matter: CNY 1.9 billion), among which 47 cases were related to Europe and the United States, 46 to South Korea and Japan, 91 to other countries, 71 to Hong Kong, Macao and Taiwan, and 11 judicial assistance cases to Taiwan, 12 to foreign countries.

4. In 2019, 307 cases were accepted (the amount of subject matter: CNY 4.5 billion), among which 45 cases were related to Europe and the United States, 68 to South Korea and Japan, 58 to other countries, 116 to Hong Kong, Macao and Taiwan, and 2 judicial assistance cases to Hong Kong and Taiwan, 18 to foreign countries.

ii.Cases concluded

1. In 2016, 215 cases were concluded, among which 157 cases were offoreign-related first-instance, 35 of foreign-related second-instance and 23 of judicial assistance. Of the 157 foreign-related first-instance cases concluded, 21 were mediated and 26 were withdrawn, with a mediation and withdrawal rate of 30%.

2. In 2017, 230 cases were concluded, among which 180 cases were of foreign-related first-instance, 19 of foreign-related second-instance and 31 of judicial assistance. Of the 180 foreign-related first-instance cases concluded, 36 were mediated and 41 were withdrawn, with a mediation and withdrawal rate of 43%.

3. In 2018, 259 cases were concluded, among which 211 cases were of foreign-related first-instance, 27 of foreign-related second-instance and 21 of judicial assistance. Of the 211 foreign-related first-instance cases concluded, 34 were mediated and 31 were withdrawn, with a mediation and withdrawal rate of 31%.

4. In 2019, 312 cases were concluded, among which 276 cases were of foreign-related first-instance, 16 of foreign-related second-instance and 20 of judicial assistance. Of the 276 foreign-related first-instance cases concluded, 24 were mediated and 59 were withdrawn, with a mediation and withdrawal rate of 30%.

The analysis of the forgoing data shows that the quantityand the amount of subject matterof foreign-related commercial cases accepted by the Courts in Qingdaoincreased year by year. The amounts of subject matter of cases reached CNY1 billion, CNY1.4 billion and CNY1.9 billion respectively from 2016 to 2018, which were increased by CNY1.3 billion accumulatively in three years or up to 90%. Theamount of subject matterin 2019 reached CNY4.5 billion, higher than the sum of that in the previous three years. The quantity of cases acceptedalso increased rapidly, with the number in 2017 increasing by 30% from 2016, 4% in 2018 from 2017 and 10% in 2019 from 2018.

In the foreign-related commercial cases accepted, parties to the cases covered a wide range of countries and regions of totally more than 50, including the United States, Canada, the United Kingdom, France, Germany, Spain, New Zealand, Japan, South Korea, Australia and others. The 17 countries along the “Belt and Road”including Russia, Kazakhstan, Singapore, India, Thailand and others.

There were 335 commercial cases related to Hong Kong, Macao and Taiwan, accounting for 36%; 233 to South Korea and Japan, accounting for 25%; 167 to Europe and the United States, accounting for 18%; and 192 to other countries, accounting for 21%.

Most cases were typical commercial disputes involving international business entities and multiple causes. Specifically, there were 611 disputes over the general sale of goods, service trade and loan, accounting for 58%; 91 over corporate equity, accounting for 9%; 187 over other causes, accounting for 17%; and 27 overLetter of Credit (L/C), accounting for 3%. There were 11 cases on applications for the recognition and enforcement of civil judgments and rulings of foreign courts and foreign arbitral awards, accounting for 1%, and 131 cases of judicial assistance, accounting for 12%. In terms of the way of settling cases, the mediation and withdrawal rate of foreign-related cases in the first instance was relatively high, more than 30% annually.

II. The Analysis of Major Characteristics of Commercial Cases Related to Foreign Countries, Hong Kong, Macao and Taiwan

i.Prominent regional characteristics, with a large proportion of commercial cases related to Hong Kong, Macao, Taiwan, South Korea and Japan

In recent four years, the number of Hong Kong, Macao and Taiwan-related cases accepted by the courts in Qingdao were of 36% of the total number of foreign-related cases accepted, accounting for the largest proportion; and the number of cases involving South Korea and Japan accounted for 25%. Whereas from 2010 to 2014, the proportion of the Hong Kong, Macao and Taiwan-related cases accepted was 23%, and that of South Korea and Japan-cases was 37%. It is thus obvious that, the proportion of casesrelated to Hong Kong, Macao and Taiwan in the latest four years has increased greatly, while that of cases involving South Korea and Japan has decreased to some extent. In terms of the types of cases, the Hong Kong, Macao and Taiwan-related cases generally focused on international sale of goods and equity transfer disputes, while the international sale of goods and general loan disputes dominated in commercial cases involving South Korea and Japan. The above data shows that Qingdao has always been active in economic exchanges with Hong Kong, Macao and Taiwan, which are in great depth and breadth. The more common types are equity transfer, confirmation of shareholders’ qualification and disputes over damage to the interests of the company, which often involve the ownership of huge interests of the company, and the legal identification is relatively complicated. Qingdao also has a close economic tie with South Korea and Japan due to geographical vicinity. For a long time, Qingdao has conducted frequent economic and personnel exchanges with South Korea and Japan. Correspondingly, many private loan and guarantee disputesoccur amongordinary people and small businesses in the three countries. Theamount of subject matter of these cases is usually small.

ii. The number and types of cases are closely related to domestic and international economic development, showing a “three increases and one decrease”phenomenon

The so-called “three increases” mainly means that the number of new types of cases has increased, disputes over service contracts are on the rise, and the number and amount of subject matter of cases involving countries and regions along the “Belt and Road”has grown year by year; while the “one decrease”refers to that the number of disputes over international sales of goods involving bulk commodity trade such as minerals and rubber has decreased.

New types of cases have increased year by year. The types involve e-commerce, financial innovation and others, reflecting the increasingly diversified and refined characteristics of Qingdao’s open economy.

Disputes over foreign-related service contracts have increased. Disputes arising from overseas tourism contracts and foreign-related insurance contracts are increasing significantly, reflecting that with the improvement of living standards, the number of residents traveling abroad has significantly increased.Correspondingly, disputes arising fromthese contracts are on the rise. The determination of the validity of contract clauses and the scope of obligations and liabilities of service providers are the main focuses of such disputes. Qingdao is a national service outsourcing demonstration city. With the constant development of service trade, it becomes an important issue in the comprehensive promotion of open economy to strengthen the awareness of risk prevention, regulate service standards and the quality of the service industry, and reduce the occurrence of disputes. In recent years, the courts in Qingdao offered guidance on the drafting of contract clauses and the legality thereof through case trials, judicial advices and other ways. In the trial of cases, the courts shall adhere to the principle of not only supporting and guaranteeing the self-development of the modern service industryaiming at production and serving people’s livelihood, but also correcting the misconducts of service providers in a timely manner, and continuously helping service providers to improve theirmanagementand service level.

The number and amount of subject matter of cases involving countries and regions along the “Belt and Road” has increased year by year.In 2016, 24 cases were accepted with anamount of subject matter of CNY 97.90 million; in 2017, 30 cases were accepted amounting CNY 120.65 million; in 2018, 52 cases were accepted amounting CNY 264.85 million; and in 2019, 55 cases were accepted amounting CNY 335.43 million. The above data reflects that Qingdao, as the Chinese main node city of the New Asia-Europe Continental Bridge Economic Corridor and the fulcrum city of maritime strategic cooperation, actively participates in the national construction of the “Belt and Road”, and has increasingly close economic relations with the countries and regions along the “Belt and Road”. The open economy develops with full vitality.

The number of disputes over international sales of goods involving bulk commodity trade such as minerals and rubber has decreased. With the relative stability of the prices of bulk raw materials such as minerals and rubber in recent years, the number of related cases has obviously decreased.

iii. Disputes over financing,L/C and independent guarantee with foreign-invested banks as plaintiffs are still traditional cases accounting for a large proportion

At present, there are 17 foreign-funded banks in Qingdao, and most of the types of disputes thatthey are involved are related to financing. The counterparties in some disputes are mostly small and micro enterprises, and the amount of subject matter is generally small,less than CNY 2 million. The counterparties of others are mostly large and medium-sized enterprises, and the amount of subject matter is usually above tens of millions CNY. Besides, disputes generated from domestic banks issuing L/C and independent guarantee for domestic enterprises in international trade business also account for a considerable proportion in recent years. In recent years, along with the strengthening of litigation guidance by the courts in Qingdao, banks have developedrelevant contract clauses involving the address of service, application of law, jurisdiction issues, guarantee validity and other issues.The contract signing and performance processes have also become increasingly standardized. Therefore, in the event of disputes occurrence, judicial relief can be timely obtained, which has, to some extent, protected the healthy operation of the financial system.

In recent years, L/C fraud and independent guarantee disputes are increasing. In international commercial activities, it is a common practice to issue L/C and independent guarantee as performance guarantees. When disputes arise, some enterprises will try to reduce losses by applying for a stop payment of L/C and independent guarantee. However, the corresponding burden of proof required by a L/C or independent guarantee stop payment is very stringent and usually difficult to reach. Regarding the fact determinations of independent guarantee and L/Cfraud, the courts in Qingdao havealways carried out in strict accordance with the relevant judicial interpretations promulgated by the Supreme People’s Court to protect the international credit investigation of domestic banks. It shows through the trial that some domestic enterprises do not understand the rules on the L/C and independent guarantee, and confuse them with general financing guarantees. In order to facilitate the transaction, they hastily apply for issuing L/C or independent guarantee under circumstances where the contractual terms are unclear and undetailed, and thatresults in losses. Among the enterprises involved in the cases, there are small and micro enterprises but also some famous state-owned ones, which should be paid sufficient attention to.

iv. Cases of disputes onthe applications for the recognition and enforcement of foreign arbitral awards andforeign court effective judgmentshave increased year by year

In recent years, a number of cases on the recognition and enforcement of foreign arbitral awards and foreign court effective judgments have the following two characteristics. At present, most of the applications for the recognition and enforcement of foreign court effective judgments heard by the Qingdao Intermediate People’s Court are lawsuits brought by foreigners against their own nationals living in China. This is because the number of foreignersworking and livingin Qingdao has increased year by year, and China’s mutual legal assistance with foreign countries has increasingly strengthened. The cases of applications for the recognition and enforcement of foreign arbitral awards are basically those proposed by foreign entities against Chinese enterprises within the territory of China. Such cases are reviewed by the courts in accordance with the New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards(the New York Convention), and the main issue of review is that of procedures. A large number of substantive disputes proposed by the respondents are not within the scope of review; so that the claims are difficult to be supported and many of them are lost. It shows that domestic enterprises do not pay enough attention to dispute settlement clauses in foreign trade agreements, and some enterprises do not take a long-term cooperative attitude in foreign trade either.Theagreementon the address of serviceis not clear; so that when the disputes occur, domestic enterprises cannot receive the notice served by the foreign arbitration institution; or they give up participating in the arbitration considering the cost of foreign arbitration. Once the arbitration counterparty obtains the winning award, it may apply for the recognition and enforcement to a domestic court in accordance with the New York Convention, thus directly affecting the substantive rights and interests of domestic enterprises.

v. The application of extraterritorial law in the application of law has increased, the determination of connecting points in cases has become increasingly complicated and it has been more difficult to hear cases

The application of extraterritorial laws is mostly found in cases concerning the validity of extraterritorial guarantees, the liability assumption of extraterritorial affiliated companies, the identification of extraterritorial equity investment, etc. Among them, the issues on liability assumption by extraterritorial affiliated companies are concentrated and typical, especially the issue on determination of shareholders’liabilities of extraterritorial companies. ChineseCompany Lawprovides clear provisions on the assumption of shareholders’ liabilities, including the determination of shareholders’ liabilities of a one-person company, the assumption of liabilities of a limited liability company under special circumstances, etc. As for the commercial entity registered outside the territory, whether and how its shareholders shall assume liabilities needs to be judged according to the laws of the place of registration.Therefore, the ascertainment of the extraterritorial law becomes an important part which will affect the progress of the case and the determination of liabilities.

It has been found in the trial of disputes over contracts for international sale of goods that, with the development of foreign trade and economic cooperation, there areincreasing practice of transferring commercial risks by establishing offshore companies. Some domestic enterprises lacking good faith confuse the foreign parties in the conclusion of contracts through registering a number of affiliated companies with similar names at home and abroad, in an attempt to evade legal liabilities in this way. In dealing with such cases, on the one hand, the courtsin Qingdao actively ascertain foreign laws; on the other, they determine the actual place of business of the company through the examination of personnel, funds and business, accurately identify connecting points, and reasonably determine the applicable laws. The courts in Qingdao shall, persisting in strict compliance with the laws, safeguard the principal interests of honest enterprises, stop the unhealthy tendency of malicious debts evasion, and, in accordance with the law, protect the confidence of foreign parties in the investment in and the trade with China.

vi.The mediation and withdrawal rateis high and the application of diversified dispute resolution mechanismis successful

Due to the special mode for serviceof documents, the difficulty of proof, the complicated application of law, and the long trial period in regard to foreign-related cases, it is significant to actively carry out research and innovation on diversified dispute resolution mechanism in order to improve the quality and efficiency of handling foreign-related commercial cases.

Over the years, the courts in Qingdao have paid attention to resolving foreign-related disputes by diversified means. They have established innovative working mechanisms such as joint working mechanism for disputes involving Taiwanand joint arbitration judicial review mechanism, actively developed diversified dispute resolution mechanism, cooperated with multiple departments to form a joint force, and laid a good foundation for settling cases by means of mediation or withdrawal. Over the past four years, the mediation and withdrawal rate of foreign-related first-instance cases has been above 30%, which is obviously higher than that of the domestic commercial cases of the same category.

III. Making Exploration and Innovation, and Actively Creating High-Quality Foreign-Related Commercial TrialProjects

i．Making the first ruling on the recognition and enforcement ofSouth Korean court judgement nationwide

The recognition and enforcement of foreign court judgments is a difficult point in foreign-related trials. According to ChineseCivil Procedure Law, the recognition and enforcement of foreign court judgmentsis mainly based on relevant international treaties, bilateral treaties or under the principle of reciprocity. Due to the limited number of countries that have entered into bilateral civil judicial assistance agreements including the recognition and enforcement of judgments with our country, there is only a small number of cases in which our courts recognize and enforce civil and commercial judgments of foreign courts. In March 2019, the Qingdao Intermediate People’s Court made the ruling of recognizing and enforcing a commercial judgment made by the Suwon District Court of South Korea, which was the first time that the Chinese court recognized the validity of a commercial judgment made by a South Korean court according to the principle of reciprocity, and also the first time that the Chinese court recognized a commercial judgment according to the principle of reciprocity in 20 years after the Seoul District Court of South Korea recognized a commercial judgment made by the Weifang Intermediate People’s Court in Shandong Province in 1999. This has attracted extensive attention from academia and judicial circles both at home and abroad. The Consulate General of the Republic of Korea in Qingdao paid a special visit to the Qingdao Intermediate People’s Court, which was the first visit to the Qingdao Intermediate People’s Court since its establishment in 1994. The Deputy Consul General of the Consulate General of the Republic of Korea in Qingdao praised that the Court had equally protected the legitimate rights and interests of Chinese and South Korean parties in South Korea-related disputes, and made important contributions to creating a good investment environment for Qingdao. It is hoped that the reciprocal relations between the courts of South Korea and China in the mutual recognition and enforcement of civil and commercial judgments will continue. This case was rated as a typical case of “serving and guaranteeing the construction of the ‘Belt and Road’ and the SCO Demonstration Zone” by the Shandong Province Court.

In an era of economic globalization, all countries have realized that the mutual recognition of civil and commercial judgments is conducive to promoting international economic and trade exchanges and achieving common development. Actively granting recognition and enforcement of foreign courts’commercial judgments based on the principle of reciprocity is contributive to close judicial cooperation among countries and soft environment creation under the rule of law in favor of open economic development. Given the frequent economic and trade exchanges between China and South Korea, the mutual recognition and enforcement of civil and commercial judgments is of great significance to promote economic and trade exchanges between the two sides. It is conducive to strengthening the equal protection of legitimate rights and interests of both Chinese and South Korean investors, encouraging, supporting and guiding the capital ofthe two countries in thetwo-way investment cooperation, and promoting the trade development of both countries.

ii. Strengthening inter-courtconnections to jointly safeguard the construction of the “Belt and Road”

The Qingdao Intermediate People’s Court, the Lianyungang Intermediate People’s Court, more than 20 other intermediate courts, and the Maritime Court jointly signed the Framework Agreement on Judicial Cooperation on the New Asia-Europe Land-Sea IntermodalTransport Corridor, laying a solid institutional basis for further strengthening inter-court cooperation and forming the judicial joint force to promote the “Belt and Road”. Meanwhile, the Qingdao Intermediate People’s Court was invited to participate in the project research of the “Belt and Road”led by the Judicial Research Center of the National Judges College, and wrote the topic of White Paper on People’s Courts Servicetoand Protection of the“Belt and Road”Construction: Diversified Dispute Resolution Mechanism.

iii. Strengthening the cooperation with colleges, universities and other scientific research institutions to solve the difficulties in the ascertainment and application offoreign laws

The Qingdao Intermediate People’s Court deeply analyzes the new situations and issues in the process of economic globalization, and has established an all-round strategic cooperation with the East China University of Political Science and Law, a nationally renowned university specializing in international law. East China University of Political Science and Law has set up a legal research and practice base in the Qingdao Intermediate People’s Court, and the two sides have established a cooperation mechanism for extraterritorial law ascertainment.The Foreign Law Ascertainment Center of East China University of Political Science and Law assists the Qingdao Intermediate People’s Court in specialized ascertainment of foreign civil and commercial laws applicable to foreign-related civil and commercial cases. The legal ascertainment service is simultaneously available to Qingdao enterprises, so as to provide them with legal services and assistance in due time for going global and participating in the construction of the “Belt and Road”. The three foreign-related cases heard by the Qingdao IntermediatePeople’s Court in 2019 involved the relevant provisions of British law, American law, and Russian law respectively. In order to ascertain and accurately apply foreign laws, and to equally protect legitimate rights and interests of Chinese and foreign parties, the Qingdao Intermediate People’s Court applied the cooperation mechanism for extraterritorial law ascertainment established with the University to entrust experts to conduct foreign law ascertainment. After the ascertainment of the relevant laws and with the judges’ interpretation and analysis, two of the three difficult and complicated foreign-related cases were concluded by way of mediation or withdrawal, and the restone was judged in a timely manner.

iv. Utilizing the advantages of Taiwan-related specially-invited mediators to properly resolve Taiwan-related disputes

Relying on the Taiwan-related disputes joint handling mechanism established with the Qingdao Taiwan, Hong Kong and Macao Affairs Office, the Qingdao Intermediate People’s Court invitesTaiwanese businessmen from the Qingdao Taiwanese Businessmen Association to serve as specially-invited mediators for Taiwan-related commercial disputes, and to participate in the pre-litigation, litigation and enforcement process mediation, thus providing the parties with diversified dispute resolution channels and enabling the disputes to be resolved more efficiently and expeditiously. In 2019, when hearing the housing lease contract dispute involving a well-known Taiwan-funded food company, the Qingdao Intermediate People’s Court invited a Taiwan-relatedspecially-invited mediator to mediate the case, which enhanced the understanding and cooperation of both parties with respect to the work of the court. Finally, the plaintiff and the defendant reached a settlement before the court session. The Qingdao Intermediate People’s Court also relies on the platform of the Taiwan Compatriot Investment Enterprise Association to organize various forms of activities for Taiwanese investors and enterprises, conduct legal publicity by means of lectures and visits, thus helpingTaiwanese investors and enterprises enhance their understanding of the mainland legal and judicial system, and effectively preventing various types of civil and commercial legal risks.

v. Establishing a jointarbitration judicial review mechanism to properly hear arbitration judicial review cases

In order to further regulate the judicial review of arbitral awards by courts and handle arbitration judicial review cases impartially and efficiently, the Qingdao Intermediate People’s Court, in concert with the Qingdao Arbitration Commission, has established a joint arbitration judicial review mechanism and jointly issued the Implementation Rules for the Joint Arbitration Judicial Review Mechanism (the Implementation Rules), which provides practical and effective guidance for handling arbitration judicial review cases. The Implementation Rules provides a regular reporting system, establishes a joint mediation mechanism, improves the transmission and service of arbitration documents, actively builds an arbitration research and study platform, and effectively improves the efficiency and standardization of handling arbitration judicial review cases. The number of cases in which an interested party applies for the revocation of an arbitral award has decreased year by year. The joint arbitration judicial review mechanism established by the Qingdao Intermediate People’s Court and the Qingdao Arbitration Commission not only improves the level of handling arbitration judicial review cases, but also maintains the credibility of arbitral awards and promotes the healthy development of the diversified dispute resolution mechanism.

IV. Serving the Overall Situation and Providing Practical Judicial Guarantees for the Construction of Qingdao as an International Metropolis

i. Setting up a foreign-related trial circuit court in the SCO Demonstration Zone for Local Economic and Trade Cooperation 

With the opportunityof the SCOSummit holding in Qingdao, in August 2018, the Qingdao Intermediate People’s Court set up a foreign-related trial circuit court in the SCO Demonstration Zone for Local Economic and Trade Cooperation,which actively responded to the international, law-based and convenient judicial needs of the Demonstration Zone in terms of economic and trade protection and business environment construction. In order to promote innovation, facilitate litigation and optimize business environment in the Demonstration Zone, the circuit court resolves various foreign-related commercial disputes in a high-quality and efficient manner, so that the disputes can be effectively resolved within the SCO Demonstration Zone, thus providing effective judicial guarantees for the economic construction in the Demonstration Zone.

The Qingdao Intermediate People’s Court regularly selects foreign-related commercial cases with typical demonstration significance to be heard in public in the Demonstration Zone. In April 2019, the Qingdao Intermediate People’s Court heard in public two foreign-related disputes in the foreign-related trial circuit court in the SCO Demonstration Zone, and invited representatives of enterprises to attend the court hearing. After the patient and careful legal interpretation by the judge, the parties to both cases reached mediation agreements in the court sessions. Meanwhile, the Qingdao Intermediate People’s Court and the Jiaozhou Court held a discussion with some foreign enterprises and their representatives to communicate about the judicial needs of enterprises and the prevention of legal risks in the process of foreign economic and trade cooperation,which has essentially improved the effectiveness of courts’ services toand protection of the development of open economy.

ii. Timely issuing judicial protection opinions to contribute judicial wisdom to building Qingdao into a new height of opening-up

In order to thoroughly implement the spiritof General Secretary Xi Jinping’s important speech delivered on his inspection to Shandong, to underline the judicial functions and roles of the people’s courts, and to implement the international city strategy, as well as to escort Qingdao in accelerating the formation of a new patternofcomprehensive opening-up, the Qingdao Intermediate People’s Court, in light of its judicial practice, successively issued the Opinions on Underlingthe Function and Roleof Foreign-related Commercial Trial to Provide Effective Judicial Guarantee for Qingdao in Accelerating the Formation of a New Patternof Comprehensive Opening-Up and the Implementation Proposals on Providing Judicial Service and Guarantee for the China-Shanghai Cooperation Organization Demonstration Zone for Local Economic and Trade Cooperation.The opinions and proposals effectively serve the economic construction of the “Belt and Road”, ensure high-quality development of open economy under the rule of law, and help Qingdao create a new height of opening-up.

iii. Holding regular seminars for foreign-related financial institutions to serve and guarantee the sound development of foreign-invested financial institutions

The number of foreign banks in Qingdao ranks first in Shandong Province. The courts in Qingdao shall, in accordance with the law, hear the disputes arising from the financial industry comprehensive operation, foreign exchange management, cross-border wealth management and other innovative pilot business, equally protect legitimate rights and interests of foreign-funded banks and other financial institutions, respect the party autonomy of market entities, encourage transactions, actively promote the implementation of the opening-up policies of the financial industry, and maintain the financial order and security. In June 2018, the Qingdao Intermediate People’s Court,the Qingdao Banking and Insurance Regulatory Bureau and foreign-funded banks in Qingdao held a symposium on Qingdao foreign-funded financial institutions. In the symposium, the courtreported the cases involving foreign-funded banks heard by it since 2014, briefed and remindedforeign-funded banks of typical problems found in the trial. Through the discussion, the Qingdao Intermediate People’s Court and foreign-funded banks has strengthened communication, which is conducive to the compliance operation of foreign-funded banks, the prevention of legal risks in operation and the maintenance of financial stability.

iv. Timely issuing judicial advices on problems found in the trials

The Qingdao Intermediate People’s Court underlines the extended judicial service function and promptly issues judicial advices on typical problems found in the trials. With respect to the issues found during the trial as unclear agreements on the address of serviceand the accounts receivable financingin the financial loan contracts of foreign-related financial institutions, the Qingdao Intermediate People’s Court issued judicial advice to the Qingdao Banking and Insurance Regulatory Bureau from the perspectives of preventing financial risks, reducing financing costs and strengthening the guidance and regulation. Upon receipt of the judicial advice, the Qingdao Banking and Insurance Regulatory Bureau immediately organized the financial institutions within its jurisdiction to carry out self-inspection onthe address of serviceagreements and the accounts receivable financing in the contract, conscientiously implemented the relevant judicial adviceprovided by the court, and actively rectified the relevant problems. The Qingdao Intermediate People’s Court also provided related judicial advice to the Qingdao Municipal Tourism Bureau and the Insurance Association respectively on such issues found in the trial of overseas tourism contract disputes as that the necessary language assistance in unexpected incidents during tourists’ overseas tours was unavailable, while the insurance varieties insured by tourists did not include the overseas language assistance content. The aforementioned authorities held symposiums to research and solve the issues as raised in the judicial advice in such aspects as establishing a 24-hour language helpline in the relevant insurance services and strengthening the publicity of tourism insurance services.

V. Relevant Suggestions on Safeguarding the Development of Open Economy and Creating a High-Quality Rule of Law Environment

i. Strengthening the prospective research on legal issues related to the SCO Demonstration Zone for Local Economic and Trade Cooperation and the Pilot FTZ

The establishment of the SCO Demonstration Zone for Local Economic and Trade Cooperation and the Pilot FTZ in Qingdao will enormously promote economic exchanges amongChina and SCO member countries, the countries along the “Belt and Road” and other trade partners, as well as support economic development of Qingdao. However, it will also result in more complicated and diversified commercial disputes.

As the judicial organ of the SCO Demonstration Zone for Local Economic and Trade Cooperation and the Qingdao area of the Shandong Pilot FTZ, the two–layer courts in Qingdao have deeply realized the great significance of the construction of the SCO Demonstration Zone and the Pilot FTZ, effectively improved their political standing and accurately grasped the focus of judicial service guarantee. In order to meet the judicial needs of the Demonstration Zone and the Pilot FTZ, the courts in Qingdao have strengthened the exchange and cooperation with higher education institutions and legal research institutes, and jointly studied and resolved the new-type complicated legal disputes involving the Demonstration Zone and the Pilot FTZ. Meanwhile, the courtshave conscientiously studied the advanced practices of courts in Shanghai and Shenzhen and, in light of the trial practice in Qingdao, explored ways to form the Qingdao judicial service guarantee experience involving the SCO Demonstration Zone and the Pilot FTZ, and summarized and extracted experience, practices and typical cases.The courtshave providedforeign-related enterprises with targeted legal services by visiting foreign-related enterprises, inviting court hearing attendance, delivering judicial advices, reporting typical cases and publishing white papers on trials. The courts underline the leading role of judicial trials in respect of the relevant international investment and trade rules of the SCO Demonstration Zone and the Pilot FTZ, and provide high-quality judicial services for Qingdao in creating a new height of opening-up.

ii. Establishing and improving the diversified resolution mechanism for foreign-related commercial disputes, and taking multiple measures simultaneously for proper foreign-related disputes settlement

In recent years, the Qingdao Intermediate People’s Court has been strengthening the development of a diversified resolution mechanism for foreign-related commercial disputes that connect litigation and non-litigation proceedings. By innovating systems such as the Taiwan-related disputes joint handling mechanism and the arbitration and judicial review joint mechanism, the advantages of the diversified dispute resolution mechanism have been completely utilized, and a number of foreign-related, Hong Kong, Macao, and Taiwan-based commercial disputes have been properly resolved, which improves trial efficiency and saves judicial resources. For the SCO Demonstration Zone, the establishment of a set of dispute resolution systems,which are based on the national conditions, economic development level and legal systems of all SCO countries, acceptable to all SCO countries,and legally and practicably operable, is an important legal guarantee for the development of the Demonstration Zone. The courts in Qingdao will actively participate in the establishment of a diversified dispute resolution mechanism for foreign-related commercial disputes citywide, strengthen its connection with non-litigation dispute resolution organizations, promote the coordinated development of an online and offline platform for multilingual (Chinese, English, Russian and Indian) diversified dispute resolutionapplicable to SCO member countries in the SCO Demonstration Zone for Local Economic and Trade Cooperation Legal Wisdom Valley, support Chinese and foreign parties to resolve disputes through mediation, arbitration and other non-litigation means, improve the joint mechanism for commercial mediation, arbitration mediation, people’s mediation, administrative mediation, industry mediation and judicial mediation, utilize the advantages of various dispute resolution methods, and constantly meet the diversified dispute resolution needs of Chinese and foreign parties.

iii. Further improving the coordinated regulation of judicial organs and the relevant institutions to improve risk prevention capabilities

Actively preventing legal risks is an important part of guaranteeing the development of the open economy. The courts in Qingdao will, in combination with modern information means, strengthen the analysis of judicial big data, study and judge the constantly changing economic situation, strengthen the prevention warning on legal risks for economic and trade activities involving the infrastructure construction of the “Belt and Road”, the export of advanced technical equipment and key parts, and the “going global” of advantageous enterprises, help enterprises eliminate risks in the bud or limit them to control, improve enterprises’ stable operation and anti-risk capability, and safeguard the orderly operation of Qingdao’s open economy.

The courts in Qingdao will further strengthen the communication with the departments of industry and commerce, taxation, customs, public security, procuratorate and others, and expand the scope of data exchange and sharing. Risk coordination and prevention mechanism shall be set up to make timely communication on relevant disputes and possible industrial risks related to new business forms, assist administrative organs in timely discovering risk problems in the industrial fields, and cooperate in implementing risk prevention and supervision. The courts shall strengthen cooperation with the management committee of the SCO Demonstration Zone and the Pilot FTZ, develop the agreementsin contracts on the address and methods of service in case of disputes, and effectively solve the problem of judicial “difficult service”.

iv. Strengthening informatization construction of foreign-related commercial trials

Establish a smart litigation platform for foreign-related trials that integrate the Internet, cloud computing, blockchain and other emerging technologies, realize electronic service of documents, asynchronous remote court hearings, Internet-based trials and automatic generation of litigation documents, and effectively improve the quality and efficiency of foreign-related trials. Actively promote Internet courts construction, facilitate the participation of foreign parties in court hearings, solve the time difference problem between foreign and domestic litigants in different time zones through asynchronous court hearings, and facilitate litigants to file lawsuits. Make comprehensive use of traditional media and new media platforms, actively publicize innovative practices and typical cases of the courts’ service to and safeguard in the development of the SCO Demonstration Zone and the Pilot FTZ, and invite ambassadors stationed in China and personnel for international exchange and cooperation to attend the court hearingsof typical cases in due time, so as to enhance the international community’s understanding and trust in China’s justice.

v. Strengthening judicial international exchange and publicity

Strengthen mutual exchanges with local courts and judges in SCO countries, and regularly hold international academic forums. Learn from the advanced experience in the legal systems of various countries, expand the judges’ international perspective, and improve their ability to deal with international affairs.

Actively carry out international judicial cooperation and exchanges, further strengthen international and interregional judicial assistance work, improve the normative system for handling judicial assistance affairs, and enhance the professional level of handling international and interregional judicial assistance cases.

In the future trial work, the courts in Qingdao shall continue to underline the window role of foreign-related commercial trials, strengthen the legal publicity of judicial openness, demonstrate the fairness and professionalism of Chinese foreign-related commercial trials, establish the international status of Chinese judges’ civilized justice, and continuously enhance the international credibility of China’s justice.