^hdp, ludt ed Xinh It S68(317)jJ018
LOGIC THONG T H I A N G CUA PHAP LUAT PHA SAN VA LUAT PHA SAN NAM 2014
• TS. NGUY£N MANH THANG *
Tdm tdt: Tir vi^c khdi luge vd phdn tich logic thong thu&ng cua phdp ludt phd sdn cdng nhu trong Lugt Phd sdn Vigt Nam ndm 2014, tdc gid chi ra nhung bdt cgp vd nguyen nhdn. tir do. de xudt mgt so kiin nghi de Ludt Phd sdn phdt huy dugrc vai trd cua no trong dai song kinh te - xd hgi'.
Abstract: From the summary and analyzation of ordinary logic of bankruptcy law as well as the Law on Bankcruptcy of 2014, the author points out inadequacies and reasons, and from that point, makes some proposals for the improving the role of the Law on Bankruptcy in the social - economic life.
1. Logic thong thu'dng cua phap ludt pha san Trong hoat dpng san xuit, kinh doanh cd the cd nhflng thyong nhan lam an thua Id dan den tinh trang khdng trd duge ng hay cdn gpi la vd ng. Theo each hieu thdng thudng, khdng tra dygc ng hay vd ng la viec khdng cd khd nang ehi tra mpt khoan hole nhflng khodn ng tdi han va dugc chia thdnh hai loai khdc nhau: (I) Khdng du tdi san cd de tra ng; (ii) Khdng ed dii tiln mat hay hinh thflc thanh toan thich hgp de tra ng. Ve nguyen tic, dli vol trudng hgp thfl nhat, quy che phd san cd the dygc mang ra dp dung;
con dil vdi trydng hgp thfl hai, vipc giai quylt cd thi bing phyong thflc thich hgp khac, chang han nhy thyong lygng lien quan tdi mpt khodn phgt hogc se chl tra trong tyong lai gan khi con ng bdn mdt hoac nhilu tai san cua ciia minh de liy tiln mgt chi tra. Tuy nhidn, cac nudc cd quan nipm khac nhau ve vd ng (Insolvency) va pha san (bankruptcy), Phdp luat Anh djnh nghTa: "Mpt cdng ty la ngudi vd ng (khdng chi tra dygc eac khoan ng ciia nd) nlu nd hoac khdng cd du tdi san cd de trang trai cac khoSn ng (tflc Id gia trj ciJa tai sdn cd it han ting so tai san ng), hoac neu nd
khdng the chl tra cdc khoan ng cda nd khi tdi hgn" va
"mpt ca nhan la ngydi vd ng neu ngydi nay khdng the gidi phdng ede khoan ng cua minh khi tdi hgn";
ding thdi xdc djnh cdng ty bj vd ng ap dyng cdc thCi tyc nhy: Quan ly (administration), quan tdi vien quan ly (administrative receivership), hogc thanh 1;^
(liquidation) trong khi dd ca nhdn phai theo thu tyc pha san (bankmptcy)^. Khac vdi md hinh nay, phap luat ve pha san cua Vidt Nam ke tyc md hinh lugt pha san cua Phap dugc du nhap vdo Vipt Nam qua con dudng chinh phyc thupc ^a^. Lugt Phd sdn nam 2014 cua Viet Nam chi dp dyng cho cdc doanh nghipp vd hgp tac xa (Oleu 3), giong nhy md hinh lugt phd san eua Phap ap dyng cho thuang nhan, Dgo lugt nay quan nipm: "Doanh nghiep, hgp tac xa mat kha nang thanh toan la doanh nghiep, hgp tac xa khdng thye hien nghTa vu thanh toan khoan ng trong thdi han 03 thang k l tfl ngay den han thanh todn" va
"pha san la tinh trgng cda doanh nghiep, hgp tac xd mit kha nang thanh toan vd bj Tda an nhan dan ra quyet djnh tuygn bo pha san" (khoan 1 va khoan 2 Oleu 4). cac quy djnh nay cho thiy, phap lugt Vipt
I Ddn ChCi & Phdp ludt * Cong ty CSphdn Ddu tu do thi vd Khu cong nghidp Song Dd 7
^Phap luU ea JUnh U 86 8(317)-2018
Nam hien nay khdng cd sy phdn bipt gifla vd ng va pha san vd quy chl pha san chi ap dyng cho thyong nhan. Vi vay logic cua lugt pha san ndi d day chi de cap tdi ca cac van de lien quan tdi md hinh do,
Theo PGS.TS. Ngo Huy Cyong, ludt pha san cua cac nude d n phai giai quyet eac van de trpng yeu nhu: Phgm vl ap dyng ciia quy chl phd san; nhflng ngudi cd quyen yeu d u pha san; thim quyen giai quyet pha san; quan tn san nghiep pha san; nhdm hpp cdc chu ng; chflng minh cdc khoan ng; phan chia tai san cdn lai cua con ng; tao lap ill thoat khdi tinh trang tuyet vpng tai ehinh cua con ng; xu ly tai san cda con ng d nudc ngoai; che tai hinh sy lign quan tdi pha san^... Tuy nhidn, cac van de ndy thydng xoay quanh logic thdng thydng ciia lugt pha san.
Trong nhieu each liy ng, pha san la mpt each thflc liy ng tap the ma myc dich cua nd la de khdng ngydi ndo ed thi lyc hoac cd thdng tin liy ng trude tren tdi san cdn lai ciia con no vd bd mgc cac chu ng khde. Vipc lay ng rieng re cd thi Idm mdi trudng kinh doanh bit on, khd cd thi thu hut dau tu vd md rdng san xuit, kinh doanh... Vi vay, trong thyong mai, ngydi ta thilt igp mpt thu tyc cho cac chu ng lay ng trgn CO sd nguydn tac binh dang gifla cac chu no.
Khflng chu ng nao dugc lay ng rigng re tren tai san con lai eiia eon ng (tai san cd). Mat khac, con ng khdng dygc tra ng ndng cho bit ky chu ng ndo. Co mpt ngoai le la chu ng cd bao dam trdn mpt tai sdn cu thi cua con ng ed thi liy ng trgn tai san do trude cac chu ng khac. Ol bao dam dygc myc dich liy ng tap thi, cae chu ng phai t l chflc thanh hpi nghj chu ng va dygc dai dien bdi quan tai vidn - md ngydi nay la ngudi dai dien cho cd chu ng lan con ng bj pha san. Quan tai vien cd quyen quan trj san nghipp ciia con ng vdi cac nhiem vu chu yeu la thu thap phin tai san cd va xac dinh cac khoan ng ve tai san. Bat diu tfl cac nhipm vu chij yeu nay phap luat cd quy djnh
cac nhiem vu eu thi hon lidn quan,
cac chii ng cd the glal quylt ng theo cac trudng hgp nhy: (i) Cho con ng tra ng dan va din tdi hp qua la con ng trd lai tinh trgng qudn trj binh thudng doi vdi san nghipp ciia minh; (II) Lay tai san ed ban dl de Idy tiln tra cho eac chii ng theo mgt ty Id tuong flng vdi cac trai quyin ciia hp sau khi da gidi quyet cac trai quyen uu tidn vd cae trai quyin cd bdo dam bang tai san cu thi cua con ng; (ill) Kit thuc thu tyc pha san nlu con ng khdng cdn tai san cd.
Hp qua la luat pha san thydng cd ba djnh chl quan trpng nhy; Toa an, hdi nghj chii ng va quan tai vidn. VI vay PGS.TS. Dyang Dang Hug cho rang, lugt pha san cd cdc dac diem: (i) La san pham tat yeu ciia kinh te thj trydng; (li) La mdt thu tuc ty phdp dgc biet duge the hien qua cdc dau hipu nhu: (a) Thii tuc pha san Id mpt thu tyc ddi ng tap the; (b) Thii tyc pha san Id thii tyc ddi ng dugc tiln hanh trong mdt hoan canh dac bidt, nhu mpt bien phap cull cung trong qud trinh ddi ng; (c) Thu tyc pha sdn la thii tuc ma hdu qua cua no thydng la sy cham dflt hogt dpng cua mpt thyong nhan; (d) Thij tue pha san khong chi thuan tuy la mdt thu tyc ddi ng, ma cdn la mpt thu tuc CO kha nang giup con ng phyc hoi; (e) ThCi tyc pha san la mdt thu tyc phdp ly cd tinh chit tong hgp5.
v l phan quy djnh ey thi theo logic trdn, trudc hit, luat pha san ludn phai xac djnh cae dieu kien cua viec iam vao tinh trang pha san. Tinh trgng nay thudng ed ba dilu kien de xac dinh. Biiu kien thCF nhat, ngudi lam vao tinh trgng pha san phai Id thuong nhdn, Nhy vay, phap lugt cd the phai loai tru vj thanh nidn va quy djnh vj thanh nien khdng the bj tuygn b l pha san bdi vj thanh nidn khdng the trd thanh thuong nhan, Nhflng ngydi khdng phai la thyong nhan cung khdng dygc ap dyng quy chl pha san, trfl cac trydng hgp nhy thuong nhan thyc te, nhflng ngudi da thdi lam thyang nhdn nhung trong thdi gian iam thuong nhan
Ddn chO & Phdp lu$t I
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cung da lam vao tinh trgng pha san, nhung thyong nhan da ehit, nhung ehu the khae lidn quan tdi pha san ciia thuong nhan (bao gom edng ty dli nhan, cong ty doi vin bj pha hgn va cdng ty dang thanh ly de glal the...). Biia kien thd' hai, ngudi lam vdo tinh trgng pha sdn la ngudi khdng tra dugc eac khoan ng tdi han. Vipc phan biet ng thyong mgi va cac khoan ng khac nhy ng dan sy va ng tai chinh cdng (ng thui) can phdi quy dinh Hgn quan tdi dilu kipn nay bdi chi CO thyong nhan mdi dygc ap dung quy chl pha san vd ng dan sy, ng thue cd quy each ddi ng rieng biet (lyu y: Cung cd quy che cho ehii ng dan sy kign ddi tuyen phd san doi vdi thuang nhan nlu thyong nhan khdng tra dygc cac khoan ng thuang mgi cua nhung chu ng khac). Vipc xac djnh tinh trgng khong trd dugc ng tdi hgn d n phai xem xet tdi sy tuyet vpng ve tai chinh; vipc dung nhflng phyong phap bat chinh d l tra ng vd xdc djnh tinh trgng ben trong cCia vipc khdng the trd dygc ng de xdc djnh ngay lam vdo tinh trang pha san. Biiu kiSn thw ba, vipc Idm vao tinh trgng phd san phai do Tda an xac nhan. Bdn chat ciia quylt djnh phd san la tuyen bo mpt tinh trgng thye t l va tfl dd lam phat sinh mpt so he qua khac. Ylu to d n cd sy xac nhan eiia Toa an la d n thiet cho vipc lam phat sinh cac hau qua phap ly mdi, Cdn thyc t l khdng trd duge ng cd thi din tdi cac hau qua khac khi Tda an chya xac djnh phd san.
ThCi tye xin tuygn bo phd san thdng thydng cd cac vin de sau: Tda dn cd tham quyin Id Toa an nai thyong nhan cd tni sd chinh; nguydn tic bit kha phan chia vu viee d l tap trung vide giai quylt pha san; Tda an til cao ehi djnh Tda an cd thim quyen dli vdi cac tranh chip v l thim quyen; thy ly vy an (bao gIm cac van de nhy: Don yeu d u md thii tuc phd san do chinh thyang nhan hay chu ng npp; don yeu d u md thu tue phd sdn do chinh con ng npp va phai kem theo cdc tai lipu chflng minh nhy bdng kit
toan.., trong thdi han nhit djnh; Tda an cung cd thi ty minh md thu tue phd sdn khi nhgn dugc cdc thdng tin ciia ngydi giu quyen cdng to ve tinh trang khdng tra dygc ng cua con ng; ehi dinh quan tdi vien dii nang lye, phim chit vd dgo dflc). Chu ng cd the yeu eau Tda an tuyen mpt thuong nhan phd san va cung cd thi ygu d u dli tyng vdi thuong nhan. (3 ddy chu ng khdng phai ydu d u thi hdnh cho minh md ygu d u thi hanh thCi tyc pha san. Vipc ygu d u md thCi tye phd san khdng d n neu ro khoan ng va ky hgn trd ng bdi chi yeu d u xac djnh tinh trgng khdng tra dygc ng tdi hgn vd chinh vy an phd san iam eho khoan ng chua tdi hgn thanh tdi han.
Vy an pha san cd myc dich khde hon cac vy dn khae, bao gom: xac nhan tinh trgng pha san va ke dd tuyen bo ngydi mit kha nang tra ng nay pha san; an djnh ngay khdng tra dygc ng d l tydc quyen dieu hanh kinh doanh va quan ly tai sdn ciia thuang nhan, ding thdi trao cac quyen nay cho quan tai vien, cung nhy giai quyet cac vin d l lidn quan tdi tien phd sdn.
Vipc cdng bo ban an pha san cd nhflng diem khd dac biet vi ban an pha san khdng chi cd hipu lyc tuong dil ma cdn ed hidu lye tuydt doi. Cho ndn, ban an thudng dugc edng bo tgi cdc noi cd an phd san thdng qua bao chi va ghi vao s i dang k;^ thuong mai (hay ddng kj kinh doanh), Vipc cdng b l nay khdng dygc iam dung thu tyc cd the ddn tdi chl tdi doi vdi viec vl phgm, cd nghTa Id ngudi thfl ba bj thipt hai do ban an khong dygc cdng bo diing thu tyc cd the ddi ngydi cd trdch nhiem cdng b l bll thydng thidt hgi cho minh.
2. Sy the hidn logic thong thu'dng cua phap luat phd san trong Lugt Phd san nam 2014
Lugt Pha san nam 2014 cua Viet Nam da tuan thCi theo logic nay Tuy nhien, dgo luat nay cung the hien phin ndo cac dac thii ciig Vidt Nam. Vipc quy djnh ve vai trd va cac nhipm vy, quyen han cy the cua eo
E S Ddn chCi & Phdp ludt
l)hdp ludi 1^ JCinh il 86 8 (317)-2018
quan thi hanh an trong thii tyc pha san la mdt trong nhflng ddc thii dd. Vdi quy djnh tgi Dieu 17 Lugt nay cd t h i t h i y qudn tai vidn hay doanh nghipp quan ly, thanh ly tdi sdn chju s y tac ddng ciia ca t h i m phdn tien hdnh thiJ tyc pha san va ciia ca co quan thi hanh dn. Ching han khoan 4 Dieu 9 Lugt nay quy djnh tham phan t i l n hanh thii tyc phd san cd nhidm vu, quyin han "glam sdt sdt hogt dpng ciia qudn tai vidn, doanh nghipp qudn \^, thanh ly tai san", trong khi dd, khoan 3 Oilu 17 cung cd quy djnh ca quan thi hdnh dn ddn sy cd nhiem vu, q u y i n hgn "glam sat hoat dpng cua quan tai vien, doanh nghiep quan ly, thanh ly tai san khi thyc hipn thanh ly tai sdn cua doanh nghipp, hgp tac xa phd san; yeu d u qudn tai vien, doanh nghipp quan ly, thanh 1^ tdi san bao eao vipc thanh ly tdi sdn". Mgc du vide giam sat ciia co quan thi hanh an dan s y khong bao quat toan bd cdc hoat dOng cua quan tai vidn, doanh nghipp quan ly, thanh ly tai sdn, nhung cd the t h i y s y trCing l i p khi ma Tda dn va ea quan thi hanh an dan s y khdng cd m i l quan hp Ip thudc Cling hp t h i n g .
d khia canh khac cd t h i t h i y Luat Phd san nam 2014 khdng xac djnh quan tdi vien hay doanh nghiep quan ly, thanh ly tai san Id dgi dipn cho eae ehii ng bdi hai \y do sau: (I) Nhflng ngudi ndy do t h i m phdn tiln hanh thu tyc pha sdn ehi djnh va thay doi theo s y lya chpn cua t h i m phan hoae d l xuat cua co quan thi hanh an dan sy; (11) Cae nhiem vy vd quyen hgn cua quan tai vien, doanh nghiep quan ly, thanh ly tai san dugc quy djnh trong Luat nay khdng the hien dieu dd. Thgm chi, quan tdi vien hay doanh nghiep quan ly, thanh ly tai sdn chi dgi dien cho con n g bj pha san trong mpt tnjdng hgp theo quy djnh tai khoan 2 D i l u 16 Luat Pha san nam 2014 nhy sau:
"Ogl didn cho doanh nghipp, hgp tae xa trong tnfdng hgp doanh nghiep, hgp tdc xa khdng ed ngydi dgi dien theo phdp luat". N l u xem t i n g t h i D i l u 16 Luat
Pha san nam 2014, cd t h i t h i y dgo luat nay dudng nhu xem quan tdi vien hay doanh nghiep quan ly, thanh ly tai san la ngudi gliip viec cho t h i m phdn tien hdnh thu tyc pha san. Tuy nhign, trong can cfl cht djnh quan tdi vidn hay doanh nghipp quan ly, thanh ly tai san cd d l cap tdi de xuat chi djnh ciia ngudi nop don yeu d u md thu tyc pha san (dilm b khodn 2 Oleu 45 Luat Pha san nam 2014). Dii vay, day cung chi la mpt trong nhflng can cfl de tham phdn tien hanh thu tuc pha san xem xet chi djnh.
Do khdng diing thuat ngfl thuong nhdn, do dd, Ludt Phd san nam 2014 khdng xac dinh dygc h i t pham vl ap dung ciia dgo lugt nay. Oleu 2 eua Lugt ndy ehi quy djnh: "Ludt nay dp dyng d l i vdi doanh nghiep va hgp tac xa, lien hipp hgp tac xa (sau day gpi chung la hgp tac xa) dygc thanh lap va hogt dpng theo quy djnh cija phap lugt". Phgm vl nay rat hpp vl dao luat da loai trfl hd kinh doanh (mdt logi hinh kinh doanh kha pho bien d Vipt Nam), dgc bipt id thyong nhan thyc t l , Hd kinh doanh khdng khac gl doanh nghiep (theo cdch gpi cua Vipt Nam hipn nay), chi kdm hon doanh nghidp d quy md vd phgm vl, song neu cd hai ca s d kinh doanh hogc sfl dung trgn mpt so lygng lao dpng nhat djnh bj bupc phai chuyen doi thanh doanh nghiep. Vay van d l dat ra la trong qua trinh hogt ddng san xuat, kinh doanh, hp kinh doanh khong the chl tra dygc cdc khoan ng tdi hgn thi dp dyng theo quy c h l ndo d l bdo ve quyin lgi cua tong t h i ehu ng? Ool vdi thyong nhan thyc t l theo quy djnh tai Oleu 7 Luat Thuong mai nam 2005 neu bj v d ng, thi quy che nao sd dygc dem ra dp dyng de bdo ve nhyng chu ng ngay tinh? Nhu trgn da ndi, theo md hinh phap lugt pha san cua Phap va truyln thong cua phap luat pha san cua Vidt Nam theo md hinh nay thi quy c h l pha san dp dyng eho thuong nhdn. Thyong nhan duge chia thanh hai logi Id thuong nhan t h i nhan (ca nhdn kinh doanh) va thuong nhan phdp
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nhdn (cac cdng ty thuang mgi). Vi vay bat k l ngydi nao tiln hanh cac hanh vi thyang mgi thydng xuydn va lay chiing iam nghe nghiep cua minh deu dygc xem la thyong nhdn^. cae hO kinh doanh cua Vipt Nam cd ddng ky kinh doanh, do do, hodn todn thda man cae dilu kipn Id thyong nhdn. Ngoai ra, nlu ngudi tien hanh kinh doanh ma khdng ddng ky, thi de bao vp ngudi thfl ba ngay tinh, d n phai dygc xem Id thyong nhan thyc te de ap dyng quy chl pha san cho nd.
Luat Pha san nam 2014 hau nhu khdng chii y tdi cdc chl tai dp dyng cho cdc vl phgm ddc thii ciia lugt pha san, vi du nhu che tdi bll thudng do vl phgm thu tyc cdng b l bdn an pha san nhy da ndi d phan trgn, Trong dao lugt nay co quy djnh ve che tai theo mlu chung cua tat ca cac dgo lugt d Vidt Nam hipn nay nhy sau: "Ca nhan, co quan, t l chflc cd hanh vl vl pham phap lugt trong qua trinh glal quyet vy vipc phd san thi tuy theo tinh chat, mflc dd vl pham md bj xfl 1^ k|^ luat, xfl phgt hanh chinh hoac bj tmy cflu trach nhiem hinh sy; neu gay thipt hgi thi phai boi thydng theo quy djnh cua phdp lugt" (khoan 1 Dieu 129). Cdc quy djnh tilp theo lien quan tdi vl pham cua quan tai vien hay doanh nghipp quSn \^, thanh ly tai san ciing theo mau nhu vgy Tuy nhien, cac quy djnh cCia khoan 2 Oilu 129 da Igc hdu vi khdng tinh tdi phap nhan
cung cd thi Id chu thi cda tpi pham, do do quy djnh;
"Trydng hgp qudn tai vien, ca nhan ciia doanh nghigp quan ly, thanh ly tai san vl pham phap lu^t hinh sy thi cd the bj truy cflu trach nhipm hinh sy theo quy djnh cua phdp lugt".
Tom lai, dli Lu^t Pha sdn nam 2014 c6 nhung tiln bp nhat djnh so vdi cac dao lugt pha sSn tnfdc dd cua Vipt Nam ke tfl sau nam 1975 ve phuang didn loai bd nhilu hon nhflng doanh nghipp iam an thua Id ra khdi thygng trydng de phdn b l lgi nguIn lyc sao cho cd lgi, nhyng edn kha nhieu bit cap xat tfl logic thdng thydng ciJa ludt pha san nhu d§ phdn tich d trdn.
Nguygn nhan chinh ciia cac bit d p nay cd thi bao gIm nhung khdng day du nhu sau: (I) Cac van ban phap lugt mat tinh dong bd nghiem trpng; (il) Lgi ich cyc bp the hipn kha rd trong Luat Pha san nam 2014; (lii) Thilu Idng tin vao co chl mdi; (Iv) Cdn hyt hlng v l tri thflc phap \y. Vi vdy, chung tdi cd m|t si kiln nghj sau: h/lgtla, nghidn eflu dly du logic eiia he thong phap luat ndi chung eua luat tu ndi rldng de bao dam tinh dong bp ciia luat ty; hai la, xdy dyng md hinh hp thong phap luat tm-dc khi xay dyng cac dgo lugt cy the; ba /d, d n xay dung cdc dgo ludt nln tang trudc sau do mdi xdy dyng cac dgo ludt rigng khacG
1. Bii viit nay trong kfiuon kho cua Di tii cip Dgi hgc Quoc gia Hi Ndi mang t6n "Ding bd hda luit tw trong boi cinh xay dgng nin kinh ti thj tnjeimg a Vigt Nam hign nay" do TS. Nguyen M?nh Thing lim ChO nhiem di tii
2. Association of Business Recovery Professionals (R3 - Rescue, Recovery, Renewal), Understanding Insolvency October 2008, UK, p. 3.
3. Ngo Huy Cuang (2014), "So sirih phip lu$t Vi$t Nam vdi phip luat cda m^t s6 nwdc vi pha sin vi dinh hwdng sua doi Luit Phi sin nim 2004" (Ky I) (tr. 35-38 8.48). Tgp chi Toa in Nhin din, S6 3/2-2014, tr. 35.
4. Ngd Huy Cwang (2014), "So sinh phap lugt Vi$t Nam v&i phap luit cua m^t s6 nw&c vi phi san vi djnh hadng sira doi Luat Phi sin nim 2004" (Ky t) (tr. 35-38 8,48), Tgp chi Toa in Nhin din. S6 3/2-2014, tr 35.
5. Dwong Ding Hu0 (2005). Phip luit phi sin cOa Vi^t Nam, Nxb. Tw phip. Hi N0i. tr. 7-16.
6. Xem Ngo Huy Cwang (2013), Giao trinh luit thwong m?i - Phin chung vi Thuang nhin, Nxb Bgi hgc Quic gia Ha Ngi, tr. 66.
