FARE AFFARI IN KAZAKHSTAN Milano, 30 giugno 2015 ore Aspetti Legali. Avv. Marco Tupponi Avv. Alessandro Russo

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1 FARE AFFARI IN KAZAKHSTAN Milano, 30 giugno 2015 ore Aspetti Legali Avv. Marco Tupponi Avv. Alessandro Russo 1

2 1991 Indipendenza dall Unione Sovietica Programma Politico di Privatizzazioni a cui possono partecipare solo cittadini Kazaki. Riforme politiche: Rimosso il controllo dei prezzi, ridotta l influenza pubblica nell economia, incoraggiata la crescita nel settori industriali e di servizi, liberalizzato il commercio estero, facilitato il trasferimento dei capitali, incoraggiati gli investimenti stranieri, riforma fiscale e del sistema doganale (Unione Doganale in atto con Russia, Bielorussia, Armenia, Kirghizistan). Settori economici principali: PETROLIO E GAS Carbone, minerali, acciaio, uranio, rame, nichel, cobalto, cromo Il Kazakhstan ha sottoscritto accordi economici e politici con 110 Paesi: In particolare: 2

3 i)1995 accordo di Partnership and Cooperation Agreement con l UE per lo sviluppo economico- politico ii) 1994 (in vigore dal 1996): Bilateral Investment Treaty con l Italia Protezione contro discriminazioni, requisizioni, nazionalizzazione e diritto di risolvere controversie sugli investimenti tramite arbitrato internazionale 3

4 Verifica situazione economica-patrimoniale del cliente tramite informazioni commerciali (Istituto commercio estero) Rischio commerciale (fido cliente) Rischio politico (analisi rischio paese) Rating paese: - S&P= BBB negativo - Moody s= Baa2 stabile - Fitch= BBB+ stabile Analisi sistema giudiziario e giuridico del Paese nel quale risiede il cliente (analisi enforcement) 4

5 Fonte generale per la facilità o meno di fare affari con il paese nel quale risiede il cliente: Il Kazakhstan è 77esimo nella graduatoria 2014 Piano marketing, studio di fattibilità (ad esempio per costituzione joint-venture locale), consulenza legale, fiscale e doganale 5

6 APETTI CONTRATTUALI SUBSECTION II. GENERAL PROVISIONS CONCERNING AGREEMENTS Chapter 22. The Definition and Conditions of Agreements Article 378. The Definition of Agreement 1. An arrangement of two or several persons concerning the establishment, amendment or cessation of civil rights and obligations shall be recognized as agreement. 2. The rules for bilateral and multilateral transactions as stipulated in Charter 4 of this Code, shall apply to agreements. 3. General provisions concerning agreements shall apply to agreements concluded by more than two parties (multilateral agreements), unless this contradicts the multilateral nature of such agreements. Article 380. Freedom of Contract 1. Citizens and legal entities shall be free in concluding agreements. Compulsion to conclude an agreement shall not be allowed, except for the cases where the obligation to conclude an agreement is contemplated by this Code, legislative actors by the obligation adopted voluntarily. 2. Parties may conclude agreements both as provided for and as not provided for by legislation. 6

7 Article 383. Agreements and Legislation 1. An agreement must comply with the rules which are obligatory for the parties and which are established by legislation (imperative rules), which are effective at the moment of its conclusion. 2. When after the conclusion of an agreement, legislation establishes for the parties the rules which are different from those that were effective when the agreement was concluded, the terms of the concluded agreement shall remain valid, except for the cases where legislation establishes that it applies to the relations which arose from the agreements concluded earlier. Article 385. Price 1. Execution of an agreement shall be paid in accordance with the price established by agreement of the parties. In the cases which are stipulated by legislative acts, the prices (tariffs, fees, rates, etc.) shall apply as established or regulated by the state bodies authorized accordingly. 2. Changing prices after concluding agreements shall be allowed in the cases and on the terms as specified in the agreement, legislative acts, or in accordance with the procedure established by legislative acts. 3. In the cases where, in a chargeable agreement, the price is not stipulated and may not be determined on the basis of the provisions of the agreement, it shall be deemed that the execution of the agreement must be carried out at the price which, at the moment of the conclusion of the agreement was usually charged for similar goods, work and services under similar conditions. 7

8 Article 389. Adherence Agreement 1. An agreement of which the conditions are determined by one of the parties in pro-formas or any other standard forms and may be adopted by the other party in no other way but by way of adherence to the proposed agreement as a whole, shall be recognized as an adherence agreement. 2. A party which adheres to an agreement shall have the right to claim the dissolution of the agreement if the adherence agreement, although does not contradict legislation, but deprives that party of the rights which are usually granted in agreements of such a type, excludes or restricts the liability of the other party for violation of the obligations or contains other clearly onerous conditions for the adhering party, which it would not accept on the basis of its reasonably understood interests, should it have the possibility to participate in defining the provisions of the agreement. 3. Where the circumstances exist as stipulated in paragraph 2 of this Article, the claim to dissolve the agreement, made by the party which had adhered to the agreement in connection with its exercise of entrepreneurial activities, shall not be subject to satisfaction, if the party which adhered knew or should have known on which conditions it concluded the agreement. Article 390. Preliminary Agreement 1. In accordance with a preliminary agreement, the parties assume an obligation to conclude in the future an agreement on the transfer of assets, performance of work or rendering services (principal agreement) on the terms specified in the preliminary agreement. 2. A preliminary agreement shall be concluded inthe form as established by legislation for the principal agreement, and if the pro-forma of the principal agreement is not established, then in 8

9 writing. Failure to comply with rules for the pro-forma of the preliminary agreement shall entail its invalidity. 3. A preliminary agreement must contain the provisions which allow the identification of the subject matter, and other material conditions of the principal agreement. 4. In a preliminary agreement the period shall be indicated within which the parties are obliged to conclude the principal agreement. When such a period is not defined in the preliminary agreement, the agreement envisaged by it shall be subject to conclusion within one year from the moment of the conclusion of the preliminary agreement. 5. In the cases where one party which concluded a preliminary agreement evades the conclusion of the agreement which is envisaged thereby, it shall be obliged to compensate the other party for the losses incurred by that, unless it is otherwise stipulated in legislation or the agreement. 6. The obligations which are stipulated in the preliminary agreement shall terminate if prior to the expiry of the period within which the parties must conclude the principal agreement, it is not concluded, or none of the parties sends to the counter-party the proposal to conclude the agreement. 7. A letter of intent (agreement of intentions), unless it directly provides for the intent of the parties to impart to it the status of a preliminary agreement, shall not be deemed to be a civil law agreement and failure to execute it shall not entail any legal consequences. 9

10 Le trattative pre-contrattuali DIFFERENZA CON IL CONTRATTO PRELIMINARE Documenti tipici scambiati nella fase delle trattative: Non disclosure agreement /secrecy agreement Letter of intent Memorandum of Understanding Gentleman agreement (DA NON UTILIZZARE IN KAZAKHSTAN IN QUANTO TIPICO DEL COMMON LAW) Chapter 23. Conclusion of an Agreement Article 393. Material Terms of An Agreement 1. An agreement shall be deemed to be concluded when consensus is reached between the parties in accordance with the required form, on all the material terms of it. The provisions concerning the subject-matter of the agreement, the provisions which are recognized by legislation as material or which are necessary for the agreements of that type, and also all the provisions on which according to the application of either party, consensus must be reached, shall be recognized as material terms. 2. Where in accordance with legislative the conclusion of an agreement requires a transfer of property, the agreement shall be concluded from the moment of the transfer of that property. 10

11 Article 394. Form of Agreements 1. If the parties agreed to conclude an agreement in certain form, it shall be deemed to be concluded from the moment of imparting to it the appropriate form, even if legislation does not require that form for such type of agreements. 2. The written form of an agreement shall be deemed to be complied with, if the written offer to conclude the agreement is accepted in accordance with the procedure provided for by paragraph 3 of Article 396 of this Code. Article 395. Offer 1. A proposal to conclude an agreement, which is made to one or several specific persons, provided it is sufficiently definite and expresses the intent of the person who made the proposal to deem himself bound in case of its adoption (acceptance), shall be recognized as offer. A proposal shall be deemed to be sufficiently definite, if it contains the material terms of the agreement and the procedure for their determination. 2. An offer shall bind the person who sends it from the moment of its receipt by the addressee. When the notice of revoking an offer is received earlier than or simultaneously with the offer itself, the offer shall be deemed to be not received. 3. An offer received by the addressee may not be revoked during the period which is established for its acceptance, unless it is otherwise stipulated in the offer itself, or ensues from the essence of the proposal or the situation in which it was made. 4. Advertisements and other proposals which are addressed to an indefinite circle of persons shall be considered as an invitation to make an offer, unless it is otherwise stipulated in the proposal. 5. A proposal which contains all the substantial terms of the 11

12 agreement, from which the will of the person who is making the proposal is understandable, to conclude the agreement on the terms specified in the proposal with anyone who responds, shall be recognized as an offer (public offer). Article 396. Acceptance 1. The response of a person to whom the offer is addressed, about accepting it shall be recognized as acceptance. Acceptance must be entire and unconditional. 2. Silence shall not be recognized as acceptance, unless it otherwise ensues from the legislative act, tradition of business practice or previous business relations of the parties. 3. The commitment by the person who received an offer, within the period which is established for its acceptance, of the actions to implement the provisions of the agreement which are indicated in it (shipment of goods, rendering of services, performing work, payment of the appropriate amount etc.), shall be recognized as acceptance, unless it is otherwise stipulated in legislation or indicated in the offer. 4. If a notice of revocation of the acceptance is received by the person who sent the offer, earlier or simultaneously with the acceptance itself, the acceptance shall be deemed not received. Article 397. The Procedure for Concluding Agreements 1. When an offer contains a deadline for its acceptance, the agreement shall be deemed to be concluded, if the acceptance is received (è il PRINCIPIO di RICEZIONE proprio del diritto Tedesco) by the person who sent the offer within the period indicated in it. 2. Where a written offer does not contain any deadlines for the 12

13 acceptance, the agreement shall be deemed to be concluded if the acceptance is received by the person who sent the offer, prior to the expiry of the period established by legislation, and if such period is not established, - within the time which is reasonably required for that. When an offer is made orally without any indication of the period for its acceptance, the agreement shall be deemed to be concluded, if the other party immediately declares its acceptance. 3. In the cases where a notice of acceptance timely sent is received with a delay, the acceptance shall not be considered late, if the party which sent the offer does not immediately notify the other party of receiving the acceptance with a delay. If the party which sent the offer immediately notifies the other party that the acceptance of the offer has been received with a delay, the agreement shall be deemed to be concluded. 4. The response of consent to conclude the agreement on the conditions different than those proposed in the offer, shall not be recognized as an acceptance. Such response shall be recognized as a refusal from the offer and at the same time it shall be a new offer. Article 398. The Place of Concluding an Agreement When an agreement does not specify the place of its conclusion, the agreement shall be deemed to be concluded in the place of residence of the citizen or in the place of location of the legal entity which sent the offer. Article 399. Concluding Agreements in an Obligatory Procedure 1. In the cases, where in accordance with this Code or any other legislative acts, the conclusion of an agreement is obligatory for one of the parties, that party must send to the other party the notice 13

14 of acceptance, or of the refusal to accept, or of acceptance of the offer (draft agreement) on different terms (protocol of differences to the draft agreement) within thirty days from the date of the receipt of the offer, unless a different period is established by legislation or is agreed by the parties. 2. The party which sent an offer and received from the party for which the conclusion of the agreement is obligatory a notice of acceptance on different terms (protocol of differences to the draft agreement), shall have the right to enter the disputes which arose in concluding the agreement, to a court for its consideration within thirty days from the date of the receipt of such notice, or upon expiry of the period for the acceptance, unless legislation concerning specific types of agreements establishes a different period. 3. In the cases where in respect of a draft agreement sent by one party for which the conclusion of the agreement is obligatory, a protocol of differences concerning the draft agreement is received, that party shall be obliged within thirty days from the date of the receipt of the protocol of differences to notify the other party of the acceptance of the agreement in that party's version or of declining the protocol of differences. When declining a protocol of differences or in the case of failure to receive the notice concerning the results of its consideration, within an indicated period, the party which sent the protocol of differences, shall have the right to enter the differences which arose in the conclusion of the agreement for the consideration of the court, unless legislation concerning specific types of agreements establishes otherwise. 4. When a party, for which in accordance with this Code or any other legislative acts, the conclusion of an agreement is obligatory, is evading its conclusion, the other party shall have the right to appeal to the court with the claim to compel to conclude the agreement. 14

15 The party which unreasonably evaded the conclusion of an agreement must to compensate to the other party for the losses caused by the refusal to conclude the agreement. LA LEGGE APPLICABILE AL CONTRATTO A) DAL PUNTO DI VISTA DELL UNIONE EUROPEA Il Regolamento CE n.593/2008 del 17 giugno 2008 sulla legge applicabile alle obbligazioni contrattuali Vendita: art.4 (a) «Il contratto di vendita è disciplinato dalla legge del paese nel quale il venditore ha la residenza abituale..» art.4 (b) «Il contratto di prestazione di servizi è disciplinato dalla legge del paese nel quale il prestatore di servizi ha la residenza abituale» Inoltre: Il contratto di agenzia è regolato dalla legge del paese ove ha sede l agente Il contratto di distribuzione è regolato dalla legge del paese ove ha sede il distributore B) IL KAZAKHSTAN HA CONDIVISO IL PRINCIPIO DEL CODICE CIVILE RUSSO CHE ALL ART e SEGG. Ribadisce IL PRINCIPIO, NEL SILENZIO DELLE PARTI, DELLA LEGGE DOVE SI SVOLGE LA PRESTAZIONE 15

16 CARATTERISTICA che è lo stesso che si applicava all art. 4 secondo comma della Convenzione UE di Roma sulla Legge applicabile alle Obbligazioni contrattuali ora sostituito dal già citato Reg. n. 563 del 17 giugno LA LEGGE APPLICABILE AL CONTRATTO DAL PUNTO DI VISTA DEL KAZAKHSTAN Il Codice civile Kazako consente che il contratto tra parte kazaka e parte straniera sia regolato dalla legge straniera (Freedom of the contract). Non consentito tra due parti kazake CONTRATTI COMMERCIALI VENDITA: IL KAZAKHSTAN NON ADERISCE ALLA CONVENZIONE DELLE NAZIONI UNITE SULLA VENDITA INTERNAZIONALE DI MERCI (VIENNA,1980) CONSEGUENZE OPERATIVE In caso di vendita predisporre un testo contrattuale che preveda, almeno, le seguenti clausole essenziali: Merci oggetto di vendita con parametri di conformità -! attenzione alla normativa tecnica nell Unione Doganale. 16

17 Prezzo, pagamento mediante credito documentario Garanzie sul rischio di mancato pagamento Consegna: Incoterms 2010 (modo e luogo), tempo della consegna e franchigia con tutele per il ritardo Garanzia di conformità merci / impianti Legge applicabile: Convenzione Onu su vendita int. (Vienna,1980) e legge italiana molto difficile da ottenere e comunque far sì che il contratto, in base al principio FREEDOM OF THE CONTRACT sia self regulatory. Risoluzione controversie (clausola arbitrale) Valutare assicurazione Agenzia CONTRATTI COMMERCIALI Article 166. Commercial Representation 1. The person who permanently and independently represents entrepreneurs in their concluding agreements (a commercial representative), shall act on the basis of a written agreement which contains indications of the authority of the representative, and in the case where such indications do not exist,- also of the power of attorney. 2. A commercial representative may at the same time represent the interests of various parties of an agreement which is concluded with his participation. In that respect, he shall be obliged to execute the instructions given to him with the diligence of a usual entrepreneur. 3. A commercial representative shall have the right to claim payment of the remuneration owed and the expenses incurred by him when executing the instructions of the parties to the 17

18 agreement in equal shares, unless it is otherwise stipulated in the agreement between them. 4. A commercial representative shall be obliged to keep secret the information which became known to him concerning commercial transactions, also after the implementation of the assignment entrusted to him. 5. Special considerations concerning commercial representation in certain spheres of entrepreneurial activity shall be established by legislation. Distribuzione Franchising previsto dalla Law 330-II of June 24, 2002 e Artt. 896 e ss. Civil Code CONCESSIONE IN USO DI UNA FORMULA COMMERCIALE /KNOW HOW E DIRITTI DI PROPRIETA INTELLETUALE VERSO UN CORRISPETTIVO LIBERAMENTE DETERMINABILE. LA LEGGE NON PRECISA LE MODALITA DEL CORRISPETTIVO: VIENE STABILITO DALLE PARTI: Royalty, LUMP SUM, gratuito, altro Soggetti dell accordo: Affiliante: concede i diritti di una determinata attività economica ad altro soggetto «affiliato» Supporto Statale allo sviluppo del franchising attraverso: Programmi di sviluppo/normative legali ad hoc/privilegi e garanzie/servizi di consulenza/ Pubblicità/Controllo dello 18

19 Sviluppo e dell osservanza della legge FRANCHISOR: Utilizzare i diritti concessi nel modo indicato nell accordo Concedere la possibilità all affiliante di effettuare qualsiasi controllo sullo svolgimento dell attività Non divulgare informazioni segrete nemmeno se si risolve il contatto Informare i consumatori che usa il nome e il marchio in forza di licenza Non partecipare ad attività in concorrenza con quelle dell affiliante Non trasferire a terzi i diritti concessi Effettuare i pagamenti tempestivamente Assicurare la qualità del lavoro FRANCHISEE Trasferire diritti, tecniche e documentazione commerciale Svolgere attività di formazione e consulenza all affiliato Non divulgare informazioni dell affiliato 19

20 PROPRIETA INTELLETTUALE Il K. ha aderito a numerose convenzioni internazionali sulla protezione della proprietà intellettuale Tutele: Copyright Law: diritto d autore protetto per 70 anni dopo morte Trademark law: 10 anni rinnovabile per altri 10 Patent Law: 20 anni FUNZIONAMENTO DELLA GIUSTIZIA Tre livelli (Corte Suprema, Corti Regionali, Corti distrettuali) Tempo per definire una lite in primo grado: 370 giorni =30 posto (Italia: 1185gg = 160 posto) Costo legali 22% della domanda, spese di giustizia 8,5%. Possibilitàdi Mediazione prima e durante il processo 20

21 ARBITRATO La clausola arbitrale nel contratto tra le parti La Convenzione di New York (NY,1958) sul riconoscimento e l esecuzione dei lodi arbitrali stranieri Spazio giuridico di applicazione Il Kazakhstan aderisce alla Convenzione di NY 1958 dal Tuttavia, l applicazione è contradditoria. Infatti le corti di giustizia kazake sono riluttanti a eseguire il lodo contro il governo o contro una influente compagnia kazaka. SI CONSIGLIA: Strategia contrattuale / mezzo di pagamento Nel 2004 vengono istituiti: Arbitration Courts Law: solo tra soggetti kazaki (Una filiale kazaka di un società straniera è considerata kazaka) International Commercial Arbitration Law: una parte è straniera Tuttavia, per una risoluzione della CORTE SUPREMA, vincolante per le corti locali i tribunali kazaki possono rimandare l esecuzione di lodi arbitrali sia stranieri sia domestici 21

22 RICONOSCIMENTO SENTENZE STRANIERE Riconoscimento sentenza straniera solo a condizione che vi sia un trattato in materia con il paese nel quale è stata resa la sentenza da riconoscere in Kazakhstan - NESSUN TRATTATO CON PAESE UE - NESSUN TRATTATO MULTILATERALE SU RICONOSCIMENTO SENTENZE STRANIERE TIPI DI SOCIETA : 1. GENERAL PARTNERSHIPS (SOCIETÀ NOME COLLETTIVO) Art. 63 C.C. 2. LIMITED PARTNERSHIP (SOCIETÀ IN ACCOMANDITA SEMPLICE) Art. 72 C.C. 3. LIMITED LIABILITY PARTNERSHIP (SRL) Art. 77 C.C. 4. PARTNERSHIP WITH ADDITIONAL LIABILITY Art. 84 C.C. 5. JOIN STOCK COMPANIES (SPA) Art. 85 C.C. Riferimenti giuridici Civil Code con all interno come per il Codice civile od italiano anche la normativa del diritto commerciale Law on Limited and Additional Liability Partnership 22/04/

23 Law on Joint Stock Companies 13/05/2003 PROCEDIMENTI OPERATIVE PER COSTITUIRE UNA SOCIETA Domanda all autorità competente - Certificato di registrazione della società madre (se filiale o sede di rappresentanza) - Tax registration number della società - Pagamento spese registrazione (78 $, se small 24$) - Registrazione capitale sociale (500,00 per un fondatore straniero) - Tutti i documenti devono essere firmati da Notaio con Apostille nel proprio paese e tradotti in Kazako o Russo Stabilita la sede/filiale occorre svolgere le seguenti formalità: - Partita iva se fatturato annuale supera 327,973 $ - Sigillo - Apertura conto corrente Tempi: 2-3 settimane LIMITED LIABILITY PARTNERSHIP Capitale sociale minimo: 1.195,00 $ (se small 0,6) I soci non sono direttamente responsabili per le obbligazioni: il rischio è limitato ai loro conferimenti Il trasferimento di quote a terze parti è soggetto diritto di prelazione 23

24 Uno o più soci senza limiti JOINT STOCK COMPANIES Capitale sociale minimo: 597,419 $ I soci non sono responsabili per le obbligazioni della società e assumono il loro rischio è limitato alle loro quote Illimitato numero di shareholders Quote liberamente trasferibili Uno o più soci senza limiti LAW OF LICENCING OBBLIGO per esercitare le attività economiche occorre specifica autorizzazione governativa. Viene evasa in 15 giorni dalla richiesta (30 giorni con riferimento a energia atomica, finanze, import/export per i prodotti soggetti a controllo export) Per regola generale gli stranieri sono soggetti alle stesse condizioni dei kazaki Operare senza licenza comporta: - RESPONSABILITÀ AMMINISTRATIVA E PENALE - INVALIDITÀ DELLE TRANSAZIONI - LIQUIDAZIONE COATTA 24

25 AUTORITA CHE RILASCIANO LE LICENZE: COSTRUZIONI Ministro dello Sviluppo ATTIVITA FINANZIARIE Comitato di controllo e supervisione del mercato finanziario e organizzazioni finanziarie della Banca Nazionale ENERGIA ELETTRICA Agenzia per la Regolamentazione Monopoli Naturali ENERGIA ATOMICA Comitato per l Energia Atomica TELECOMUNICAZIONI Comitato per Comunicazioni e Informazioni del Ministro dei Trasporti e delle Comunicazioni TV/RADIO Comitato per Informazioni e Archivi del Ministro della Cultura e Informazione REAL ESTATE E ADVOCACY Comitato per registrazione dei servizi e Disposizioni di Assistenza Legale del Ministro della Giustizia ATTIVITA DI INSEGNAMENTO Comitato per la supervisione dell educazione e Scienze del Ministro di Educazione e Scienza TRASPORTI Ministro di Trasporti e Comunicazioni INGEGNERIA AMBIENTALE Ministro Ambiente AUDITING/REVISIONE Comitato di Controllo Finanziario del Ministro delle Mfinanze INDUSTRIA DEL BENESSERE E FARMACEUTICA Dipartimento della Sanità INDUSTRIA 25

26 CHIMICA E MINERARIA Ministro dell Industria e Nuove Tecnologie SICUREZZA Ministro dell interno PETROLIO E GAS Ministro di Petrolio e Gas TECNICHE DI CRITTOGRAFIA Comitato di Sicurezza Nazionale LA LISTA, CAMBIA CONTINUAMENTE, A SECONDA DELLE ESIGENZE POLITICHE, NEL MOMENTO ATTUALE SI STA RIDUCENDO. TUTTAVIA PARE CONSIGLIABILE, PRIMA DI INTRAPRENDERE UN ATTIVITÀ FORMULARE RICHIESTA ESPRESSA AL GOVERNO CHIEDENDO SE OCCORRA O MENO LA LICENZA PER IL PRODOTTO/ATTIVITÀ INTERESSATA. 26