The Courts and the Development of Commercial Law [1 ed.] 9783428461769, 9783428061761

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The Courts and the Development of Commercial L a w

Comparative

Studies

in Continental and Anglo-American Legal History Vergleichende Untersuchungen zur kontinentaleuropäischen u n d anglo-amerikanischen Rechtsgeschichte Herausgegeben von Prof. D r . D r . h.c. mult. H e l m u t

Coing

und Prof. D r . K n u t W o l f g a n g

Band 2

Nörr

T h e Courts a n d the Development of Commercial L a w

Edited by

Prof. Dr. Vito Piergiovanni

D U N C K E R

&

H U M B L O T

/

B E R L I N

G e d r u c k t m i t U n t e r s t ü t z u n g der G e r d a - H e n k e l - S t i f t u n g , Düsseldorf

C I P - K u r z t i t e l a u f n a h m e der D e u t s c h e n B i b l i o t h e k T h e courts and the development of commercial law / ed. b y V i t o P i e r g i o v a n n i . - B e r l i n : D u n c k e r u n d H u m b l o t , 1987. ( C o m p a r a t i v e studies i n c o n t i n e n t a l a n d A n g l o - A m e r i c a n legal h i s t o r y ; B d . 2) I S B N 3-428-06176-4 N E : P i e r g i o v a n n i , V i t o [Hrsg.]; G T

Alle Rechte vorbehalten © 1987 Duncker & Humblot, Berlin 41 Satz: Klaus-Dieter Voigt, Berlin 61 Druck: Berliner Buchdruckerei Union GmbH, Berlin 61 Printed in Germany ISBN 3-428-06176-4

Foreword The first c o n t r i b u t i o n given b y the w o r k i n g G r o u p " T h e Courts a n d the Development of C o m m e r c i a l L a w " ( w h i c h is a p a r t i n the w i d e r research p r o g r a m " A n g l o - A m e r i c a n a n d C o n t i n e n t a l L e g a l H i s t o r y " ) evidences the d i f f i c u l t i e s connected to the h i s t o r i c a l - c o m p a r a t i v e researches between the C o n t i n e n t a l European a n d the A n g l o - A m e r i c a n l a w . The p r i o r problem, c o m m o n to b o t h experiences, is c e r t a i n l y the k n o w l edge of sources (being these the evidence of the w o r k of Courts or lawyers) a n d has the consequence of m a k i n g d i f f i c u l t any effort to generalize. F o r C o n t i n e n t a l Europe, the existence of a w i d e range of p r i n t e d or h a n d w r i t t e n m a t e r i a l , p r o d u c e d b y the Courts, emerges f r o m the c o n t r i b u t i o n s collected i n this volume, w h i c h deal w i t h cases c o m i n g f r o m I t a l y , N e t h e r lands a n d Germany. Such m a t e r i a l is s t i l l w a i t i n g for b e i n g considered a n d studied. Also for the reconstruction of the B r i t i s h j u r i d i c a l scenario, Coquilette (whose studies are p u b l i s h e d i n the t h i r d v o l u m e of the series) goes back, i n a d d i t i o n to the p r i n t e d w o r k s , also " t o the C o u r t records a n d the professional diaries a n d papers of p r o m i n e n t judges a n d p r a c t i t i o n e r s " , s t i l l h a n d written. The need for a more complete a n d deeper knowledge, offering the means for the e l a b o r a t i o n of w e l l based opinions, applies also to the doctrine: i n fact even i f the most famous w o r k s are p r i n t e d , i t is possible t o f i n d i m p o r t a n t c o n t r i b u t i o n s s t i l l i n t h e i r h a n d w r i t t e n form, a n d u n k n o w n , as evidenced b y the study of Savelli. F o r a more concrete perception of the scarcity of studies o n the commerc i a l doctrine, i t s h o u l d be sufficient t o compare our knowledges to the l i s t of the j u r i d i c a l books w h i c h are p a r t i n the l i b r a r y of L o r d Mansfield, p u b lished b y Rodgers as an a d d e n d u m t o his paper. Rodgers w e n t better i n details, on single themes, about the i m p o r t a n c e of the European l i t e r a r y t r a d i t i o n on L o r d Mansfield, a n d has i d e n t i f i e d f o u r cathegories of w o r k s : " t h e c o n t i n e n t a l codes a n d other models of commerc i a l l a w , the t e c h n i c a l treatises o n the l a w merchant, the t h e o r e t i c a l w o r k s of the n a t u r a l lawyers, a n d the l e a d i n g w o r k s of the c o n t i n e n t a l c i v i l i a n s " . L o r d Mansfield, i n his a c t i v i t y as judge, employs w i t h great competence these sources a i m i n g t o create the basis of the B r i t i s h c o m m e r c i a l l a w .

6

Foreword

The theme of the connection between the Courts (both as i n s t i t u t i o n s a n d as producers of judgements) a n d the commercial doctrine, can be c e r t a i n l y considered as the l e a d i n g theme w h i c h connects the c o n t r i b u t i o n s of the v o l ume; they differ i n the subject b u t are a l l equally emblematic i n perspecting, i n different m i l i e u , the different t y p o l o g y of the connection between the w r i t e r s i n commercial l a w a n d the j u d i c i a l praxis. The studies b y Coquilette offer a w i d e o u t l i n e of conflicts, inside the A n g l o - S a x o n w o r l d , between lawyers a n d Courts of " c i v i l l a w " a n d those of " c o m m o n l a w " , each one b o u n d to manage, i n a more or less m o n o p o l i s t i c w a y , the professional and t r i a l spaces opened b y the development of the c o m m e r c i a l relationships. A less c o n f l i c t u a l correspondence between doctrine a n d Courts emerges f r o m the reconstruction of the D u t c h experience on the theme of the " b i l l of exchange", made b y Asser, a n d w e f i n d a more constructive a n d o r i g i n a l dialectic i n the judgements issued b y the A d m i r a l t y C o u r t i n H a m b u r g , studied b y E v a - C h r i s t i n e Frentz, or i n the decisions of the Rota of Genoa, b y Piergiovanni. These are, as i t is obvious, the reconstructive elements c o m i n g f r o m d i f f e r ent experiences w h i c h , i n order to be compared, need some f u r t h e r element, b u t I guess t h a t they do already c o n t a i n very interesting suggestions. I t h i n k , for instance, of the reconsideration or, w e m a y even say, of the ree v a l u a t i o n of the B r i t i s h " c i v i l i a n s " made b y Coquillette, w i t h results w h i c h are rather different w i t h respect to the h i s t o r i o g r a p h i c a l B r i t i s h t r a d i t i o n : a continuous dialectic w i t h the Romanistic t r a d i t i o n is evidenced f r o m this study; and, inside this more general process, the r i s i n g of a special a t t e n t i o n b y the c i v i l i a n s to the development of the m e r c h a n t - l a w doctrine, evidences very good chances of c o m p a r i n g w i t h c o n t i n e n t a l Europe i n this b r a n c h of law. A n example of the results w h i c h m a y derive f r o m such comparison a n d a significant m e t h o d o l o g i c a l guideline for f u t u r e studies are contained i n the w o r k b y N ö r r , w h o , i n a previous study, h a d n o t i c e d h o w i n a first stage of e v o l u t i o n of the E n g l i s h commercial l a w , the A d m i r a l t y Court i n charge for " r e l a t i o n to foreign t r a d e " , " w a s m a n n e d b y c i v i l i a n s w h o a p p l i e d the c o n t i nental doctrines"1. The comparison of the specific elements of a j u r i d i c a l experience w i t h supernational negotiable a n d j u d i c i a l practice, t y p i c a l of the e v o l u t i o n of the c o m m e r c i a l l a w , is f u n d a m e n t a l for trespassing the obstacles a n d b i n d ings produced b y the p o l i t i c a l , regional or n a t i o n a l conditions. 1 K. W . Nörr, T h e E u r o p e a n side of the E n g l i s h L a w : a F e w Comments f r o m a Continental Historian, in Englische und kontinentale Rechtsgeschichte: ein F o r s c h u n g s p r o j e k t (vol. 1 of C o m p a r a t i v e Studies i n C o n t i n e n t a l a n d A n g l o - A m e r i can L e g a l H i s t o r y ) , B e r l i n 1985, p. 22.

Foreword I t is significant, i n this respect, the correspondence set b y the same N ö r r i n the E n g l i s h m i d d l e age w o r l d , between the first development of the comm e r c i a l l a w and the canonical beneficial l a w . I n the m o d e r n age the f i g h t between the students of c i v i l l a w a n d those of c o m m o n l a w is, b y itself, a significant aspect of the conflicts e x i s t i n g i n the E n g l i s h society: the almost n a t u r a l result, after the differences have become less marked, is found, i n the X V I I I century, i n L o r d Mansfield. He, i n e l a b o r a t i n g some principles of the E n g l i s h commercial l a w , adopts w i d e l y the c o n t i n e n t a l European experience, f i l t e r e d f r o m the " c i v i l i a n s " a n d makes i t effective i n a p e r i o d of great economic expansion a n d increasing p o l i t i c a l i m p o r t a n c e of Great B r i t a i n , as demonstrated b y Coquilette a n d Rodgers. The same e v a l u a t i o n on the f u n c t i o n a l aspect of the c o m m e r c i a l l a w to the s t i l l e x p a n d i n g p o l i t i c a l r e a l i t y is documented b y the w o r k b y Asser on the X V I I I Century N e t h e r l a n d and, even i n different dimensions, corresponds to the X V I Century Genoa, t h a t was going to become, t h r o u g h the refinement of the credit instruments, one of the most i m p o r t a n t f i n a n c i a l centres i n Europe. The judgements of the A d m i r a l t y Court of H a m b u r g , for w h i c h the m o t t o " n o n u r b i sed o r b i " corresponds to the real a c t i o n of the j u d g i n g organ, are even more e x p l i c i t i n l o o k i n g for improvements to t h e i r jurisprudence even out f r o m close j u r i d i c a l boundaries. The research for n e w sources a n d the reconsideration of those already k n o w n , the connection C o u r t - D o c t r i n e a n d the f u n c t i o n a l i t y of the development of commercial l a w to the e c o n o m i c - p o l i t i c a l processes t a k i n g place d u r i n g the M o d e r n Age, are the themes c o m m o n to a l l researches of this first v o l u m e of the w o r k i n g G r o u p " T h e Courts a n d the Development of the Commercial L a w " . I n a close f u t u r e the study of the b a n k a n d the credit w i l l take the G r o u p to compare the specific experiences on the same theme. The w i s h w h i c h is b e i n g expressed b y the C o o r d i n a t o r is t h a t this first experience of t e a m w o r k , i m p o r t a n t also f r o m the h u m a n v i e w p o i n t due to the s p i r i t of cooperation a n d friendship established among the components of the Group, can continue to give sound a n d serious scientific results. Vito

Piergiovanni

U n i v e r s i t y of Genoa, I t a l y

Inhaltsverzeichnis Vito

Piergiovanni

Courts a n d C o m m e r c i a l L a w at the B e g i n n i n g of the M o d e r n A g e Vito

11

Piergiovanni

The Rise of t h e Genoese C i v i l R o t a i n the X V I t h C e n t u r y : T h e "Decisiones de M e r c a t u r a " C o n c e r n i n g Insurance Rodolfo

23

Savelli

B e t w e e n L a w a n d M o r a l s : Interest i n t h e D i s p u t e o n Exchanges d u r i n g the 16th C e n t u r y

39

W. D. H. Asser B i l l s of E x c h a n g e a n d A g e n c y i n the 18th C e n t u r y L a w of H o l l a n d a n d Zeel a n d . Decisions of the Supreme C o u r t of H o l l a n d a n d Z e e l a n d 103 Eva-Christine

Frentz

S e e r e c h t s e n t w i c k l u n g d u r c h Seerechtsprechung: D e r B e i t r a g des H a m b u r g i schen A d m i r a l i t ä t s g e r i c h t s 131 Christopher

P. Rodgers

C o n t i n e n t a l L i t e r a t u r e a n d t h e D e v e l o p m e n t of t h e C o m m o n L a w b y the K i n g ' s Bench: c. 1750 - 1800 161 Knut

Wolfgang

Nörr

Procedure i n M e r c a n t i l e M a t t e r s : Some C o m p a r a t i v e Aspects Verzeichnis der M i t a r b e i t e r

195 203

VITO PIERGIOVANNI

Courts and Commercial L a w at the Beginning of the Modern Age The medieval o r i g i n of c o m m e r c i a l l a w is n o w a generally accepted fact a n d a s t a r t i n g p o i n t for s t u d y i n g c o m m e r c i a l l a w . S i m i l a r l y , at the other extreme, the French c o m m e r c i a l code of 1807 comes at the end of a process w h i c h , even t h o u g h i t shows lesser i n t e r n a l development, nonetheless remains f u n d a m e n t a l l y coherent. I t m a y be useful, for this purpose, to refer to the most recent suggestions for classifications proposed b y t w o G e r m a n researchers, P o h l m a n n a n d Schemer, to schematize the h i s t o r y of c o m m e r c i a l l a w a n d its study i n the M i d d l e Ages a n d i n the M o d e r n Age 1 . I n the M i d d l e Ages one can observe t w o movements of diverse o r i g i n , b u t w h i c h are basically convergent. O n the one hand, c o m m o n commercial p r a c tice was established along geographical lines extended to c o m m e r c i a l l y homogenous areas (the Mediterranean, the A t l a n t i c , N o r t h e r n Europe), a n d essentially consisted of the relevant contracts connected to m a r i t i m e trade (these practices are also c o m p i l e d i n w i d e l y - s p r e a d collections, such as the B o o k of the Consulate of Barcelona a n d the Rules of V i s b y a n d of Oleron). O n the other hand, commercial l a w , w h i c h became dependent u p o n the requirements of a more a n d more p o w e r f u l merchant-class, was progressively b e i n g c o m p i l e d i n volumes of Statuti w i t h i n each i n d i v i d u a l State 2 . M e d i e v a l l a w scholars obviously c o u l d n o t ignore this phenomenon, w h i c h , l i k e the f e u d a l one 3 , h a d considerable professional a n d economic potential. The w o r k of l a w scholars consisted i n r e l a t i n g the r e g u l a t i o n of the n e w m e r c a n t i l e practices to the l o n g - s t a n d i n g categories of R o m a n l a w , b u t , the n e w emphasis on the professional rather t h a n scientific value of the 1 H. Pohlmann, D i e Q u e l l e n des Handelsrechts, i n H a n d b u c h der Q u e l l e n u n d L i t e r a t u r der n e u r e n europäischen Privatrechtsgeschichte, I, M i t t e l a l t e r (1100 - 1500), D i e gelehrten Rechte u n d die Gesetzgebung, ed. ff. Coing, M ü n c h e n 1973, pp. 801 - 802; Κ. Ο. Scherner, die Wissenschaft des Handelsrechts, i b i d e m , I I / l , Neuere Z e i t (1500 1800), Das Z e i t a l t e r des gemeinen Rechts, Wissenschaft, ed. ff. Coing, M ü n c h e n 1977, pp. 799 ss. 2 ff. Pohlmann, D i e Quellen, 802. 3 M . Bellomo, Società e i s t i t u z i o n i i n I t a l i a d a l Medioevo a g l i i n i z i d e l l ' e t à moderna, C a t a n i a 1982, 438 - 440.

Vito Piergiovanni

12

phenomenon, is best i l l u s t r a t e d b y the consilia. commercial activity

a n d of m a r i t i m e

The influences of everyday

a c t i v i t y i n p a r t i c u l a r , were

the

d y n a m i c force w h i c h , t e n d i n g to l i n k legal theory w i t h practice, gave rise to the attempts at i n c o r p o r a t i n g the new legal practices w i t h i n the w i d e r scope of the R o m a n l a w t r a d i t i o n . I n this practice itself, i n its d y n a m i s m , i n its requirements for legal precision, r e q u i r i n g a q u i c k settlement of controversial situations, a n d i n its peculiarities, connected w i t h a t h o r o u g h e v a l u a t i o n of b e h a v i o u r i n s p i r e d b y honesty a n d good f a i t h , w e m u s t l o o k for the persistence, however l i m ited, of the presence of learned lawyers a n d of t h e i r c o n t r i b u t i o n to its development. Justice, i n the f i e l d of trade, was entrusted to Courts composed of merchants, w h o were f a m i l i a r w i t h customs a n d were m o s t l y inclined, b y an accurate a n d close e x a m i n a t i o n of the case i n p o i n t , t o b o t h search for the quickest solution, b y s i m p l i f y i n g a n d shortening t i m e - l i m i t s a n d requirements i n legal proceedings, a n d b y using t h e i r c r i t e r i a of comm o n sense a n d good f a i t h 4 . I n some cases, though, a correct legal d e f i n i t i o n m a y have s u b s t a n t i a l effects r e g a r d i n g the f a i r conclusion of a l a w suit: so, there was n o w r o o m for learned lawyers a n d w e can e x p l a i n the presence of some of the most i m p o r t a n t names, such as B a l d o a n d Paolo d i Castro, w h o were called b y the judges or b y the parties involved, to settle disputes or to support the claims of t h e i r respective clients. Such interventions, w h i c h made use of concepts a n d references t a k e n f r o m the R o m a n t r a d i t i o n , were the first, somewhat l i m i t e d , c o n t r i b u t i o n to w h a t w o u l d i n the f u t u r e become the independent science of c o m m e r c i a l l a w 5 . A n o t h e r c o n t r i b u t i o n derived f r o m m o r a l a n d theological speculations 6 , w h i c h is more d i f f i c u l t to evaluate i n its t a n g i b l e effects a n d raises problems concerning the real influence i t h a d on the lawyers' w o r k : p r o b a b l y the greatest i m p o r t a n c e lies i n the creation of an economic a n d c o m m e r c i a l l e x i c o n a n d i n the specific reference to more a n d more complex cases, often w i t h the a i m of offering a means of overcoming ecclesiastical p r o h i b i t i o n of usury. The X V I t h century b r o u g h t considerable m o d i f i c a t i o n s to the m e d i e v a l p i c t u r e o u t l i n e d above: a renewed interest i n the theological a n d m o r a l f i e l d r e g a r d i n g economic subjects, w h i c h grew out of the Second Scholastica, was counterbalanced b y the development of the first treaties of l a y c o m m e r c i a l law. 4 H. Pohlmann , D i e Quellen, 802. See M. Ascheri, L a decisione nelle C o r t i g i u d i z i a r i e i t a l i a n e d e l T r e - Q u a t t r o c e n t o e i l caso della M e r c a n z i a d i Siena, i n p r i n t i n t h e G r o u p " L a w R e p o r t i n g a n d Records" ( C o m p a r a t i v e Studies i n C o n t i n e n t a l a n d Anglo-American Legal History). 5 K. O. Schemer , D i e Wissenschaft, 799. 6 Ibid.

Courts and Commercial Law at the Beginning of the Modern Age

13

Some scholars, l i k e Schemer, w h e n discussing this t o p i c t a l k about a classical p e r i o d i n the science of commercial l a w 7 : This science tends to v a r y along n a t i o n a l grounds o n l y f r o m the second h a l f of the X V I I t h century onwards. I n I t a l y , i n p a r t i c u l a r , the scientific t r e a t m e n t of commercial l a w t o o k place, to a considerable extent, b y means of the r o u t i n e procedure of C o u r t decisions, a n d m o s t l y t h r o u g h the famous Rotae of Rome, Florence, Genoa a n d others 8 , f r o m the X V I I t h century onwards. The basic concept of this process is a k i n d of u n i t y , present i n c o m m e r c i a l science at the b e g i n n i n g of the M o d e r n Age, w h i c h was afterwards replaced b y a d i s u n i f y i n g process due to the rise of n a t i o n a l peculiarities. As for I t a l y , I t h i n k t h a t this p i c t u r e can be enriched b y some specific elements: f i r s t l y , I t a l i a n commercial l a w between the X V I t h a n d the X V I I t h centuries ( w h i c h is a c t u a l l y restricted to the w o r k s of Stracca a n d Scaccia) was connected w i t h the h i s t o r i c a l a n d p o l i t i c a l context a n d was largely cond i t i o n e d i n its development b y the environment. The second element concerns the Courts a n d the i m p o r t a n c e of t h e i r l a w - m a k i n g : i n m y o p i n i o n , they p l a y e d a basic role f r o m the X V I t h century onwards i n the process of m a k i n g c o m m e r c i a l l a w autonomous a n d lay. F r o m the outset i t is necessary to examine the lawyers a n d the Courts more closely, p o i n t i n g out t h a t m y analysis w i l l consider three subjects; the personalities a n d w o r k s of b o t h Stracca a n d Scaccia a n d the setting u p of the Genoese c i v i l Rota w i t h its l a w - m a k i n g . I n m y o p i n i o n , the reasons for a different a n d more d e t a i l e d e v a l u a t i o n of the e v o l u t i o n of commercial science i n I t a l y w i l l be evident f r o m this analysis. The beginnings of c o m m e r c i a l l a w as an independent science are t r a d i t i o n a l l y connected w i t h the names of three jurists: Benvenuto Stracca, f r o m Ancona, w h o l i v e d between 1509 a n d 1578, whose m a i n w o r k De mercatura seu mercatore tractatus was first p u b l i s h e d i n 1553 9 ; the Portuguese Pedro de Santarem (Petrus de Santerna), a u t h o r of a Tractatus de assecurationibus et sponsionibus mercatorum, whose a c t i v i t y , carried out i n I t a l y , has recently been r e - e x a m i n e d f r o m the chronological p o i n t of v i e w b y Domenico M a f f e i 1 0 ; and, f i n a l l y , the R o m a n l a w y e r Sigismondo Scaccia, w h o practised l a w between the second h a l f of the X V I t h century a n d the b e g i n n i n g of the X V I I t h and w h o w r o t e a Tractatus de commerciis et cambio , p u b l i s h e d i n Rome i n 1619 1 1 . 7

I b i d . , 799 - 800. β I b i d . , 800. 9 I n f r a , 14. 10 D. Maffei , I I g i u r e c o n s u l t o portoghese Pedro de Santarém, a u t o r e d e l p r i m o t r a t t a t o sulle assicurazioni (1488), C o i m b r a 1983 (Separata do n û m e r o especial do B o l e t i n da F a c u l d a d e de D i r e i t o de C o i m b r a - Estudes em H o m e n a g e n aos Profs. M a n u e l Paulo Merêa e G u i l h e r m e B r a g a da Cruz, 1983), 703 - 728. " I n f r a , 16.

14

Vito Piergiovanni O n the basis of the above-mentioned research b y Maffei, the earlier d a t i n g

b y several decades of Santerna's w o r k , a n d also the greater i m p o r t a n c e of i t w i t h respect to Stracca's w o r k w i l l p r o b a b l y cause historians t o a t t a c h an earlier date to this n e w scientific p e r i o d of c o m m e r c i a l l a w . I t w i l l be necessary, to make more detailed assessment of the range and influence of the w o r k b y Pedro de Santarem, b y e x a m i n i n g the sources a n d the content a n d to a t t r i b u t e to h i m the probable role of p r e p a r i n g the w a y for the more complex w o r k b y Stracca. Stracca's scientific personality is c e r t a i n l y the best k n o w n , m o s t l y thanks to F r a n c h i , a scholar of c o m m e r c i a l l a w , w h o shows reliable h i s t o r i c a l accuracy, a n d afterwards t h r o u g h Lattes. The figure of Stracca certainly deserves a l l t h i s a t t e n t i o n , even t h o u g h his w o r k was n o t constantly appreciated b y subsequent authors a n d historians. The detailed a n d accurate b i o g r a p h y b y F r a n c h i , p u b l i s h e d i n 1888, u n d e r l i n e d the lawyer's c u l t u r a l development a n d v o c a t i o n a l education, Stracca's detailed k n o w l e d g e of the h u m a n i t i e s a n d his cursus honorum. H i s p o l i t i c a l a n d a d m i n i s t r a t i v e career began i n 1538, w h e n the p a p a l d o m i n i o n over A n c o n a became d e f i n i t i v e and Stracca's profession was practised i n f u l l accordance w i t h the n e w p o l i t i c a l s i t u a t i o n 1 2 . I n 1889, j u s t one year after Franchi's w o r k was published, Giuseppe Tamassia, i n a review, positive on the w h o l e b u t permeated w i t h Risorg i m e n t o - f e e l i n g a n d a n t i c l e r i c a l harshness, u n d e r l i n e d the d e d i c a t i o n of this character " t o the R o m a n court a n d t o the most o u t s t a n d i n g members of i t " ; the fact t h a t i n the c o u n c i l of A n c o n a Stracca's o p i n i o n " t u r n e d out nearly always to be the most moderate a n d t h a t he never shared the a t t i t u d e of o p p o s i t i o n against p a p a l outrages"; and, f i n a l l y , t h a t o u r l a w y e r j o i n e d the group of those w h o praised the Jesuits w h o were tolerated b y the C o u n c i l of A n c o n a i n 1565 1 3 . The points of c r i t i c i s m , aroused b y the b r i l l i a n t polemic s p i r i t of Tamassia, were r e - e x a m i n e d i n a different a n d more t h o r o u g h w a y i n 1909 i n an article b y Alessandro Lattes. The h i s t o r i a n of c o m m e r c i a l l a w was given the task b y Sraffa a n d V i v a n t e of c o m m e m o r a t i n g the four h u n d r e d t h anniversary of the b i r t h of Stracca, i n the " R i v i s t a d i D i r i t t o C o m m e r c i a l e " 1 4 .

12 L. Franchi, B e n v e n u t o Stracca giureconsulto a n c o n i t a n o d e l secolo X V I , N o t e b i o - b i b l i o g r a f i c h e , R o m a 1888, 18 - 35. 13 G. Tamassia, rev. L . Franchi, B e n v e n u t o Stracca g i u r e c o n s u l t o a n c o n i t a n o d e l secolo X V I : N o t e b i o - b i b l i o g r a f i c h e , A r c h i v i o g i u r i d i c o d i r e t t o da F i l i p p o Serafini, X L I I (1889), 368. 14 A. Lattes , L o Stracca giureconsulto, R i v i s t a d i D i r i t t o commerciale, V I I / 1 (1909), 624 - 649.

Courts and Commercial Law at the Beginning of the Modern Age

15

F r o m the scientific p o i n t of v i e w , Stracca is h i g h l y praised: Lattes states t h a t " t h e subject of m o d e r n c o m m e r c i a l l a w itself h a d never been gathered together i n a single v o l u m e before Stracca w r o t e his w o r k . The i n d i v i d u a l issues c o u l d be read i n books, here a n d there i n a disorderly w a y , i n commentaries on c i v i l a n d C u r c h l a w , i n counsels a n d opinions expressed on i n d i v i d u a l specific cases; controversies were settled exclusively according to R o m a n l a w and its principles, whenever there were no precise b i n d i n g regulations of the Statuti

to be a p p l i e d " .

Lattes continues, declaring t h a t "Stracca was the first t o d r a w u p a t r e a t y dealing exclusively w i t h m e r c a n t i l e subjects, where texts of sources a n d b y learned lawyers referring to trade a n d merchants were collected, l e a v i n g aside a l l the issues of mere c i v i l l a w , either w i t h o u t m e n t i o n i n g t h e m at a l l or s i m p l y m a k i n g a short reference to t h e m 1 5 . H a v i n g acknowledged the i m p o r t a n c e of this w o r k of i d e n t i f i c a t i o n of the subject a n d sources, I t h i n k the p r o b l e m t h a t Lattes raises is negligible: t h a t is w h e t h e r Stracca is an expert i n c o m m e r c i a l l a w a n d is aware of this, or w h e t h e r he is a c i v i l l a w y e r w h o admits the i m p o r t a n c e of the n e w elements. As far as I a m concerned, the remarks connecting the A u t h o r a n d the events of his life to certain d o c t r i n a l choices, w h i c h are evident i n his w o r k , are m u c h more n o t e w o r t h y . Lattes, i n fact, moderates Tamassia's negative v i e w , o n the basis of his personal comments, according to w h i c h : " p a p a l d o m i n i o n i n A n c o n a was a l i m i t a t i o n of freedom enjoyed t i l l then, r a t h e r t h a n the a c t u a l suppression of m u n i c i p a l liberties a n d a subjection to a n e w l o r d " . Therefore, i n Lattes's o p i n i o n , Stracca's agreement w i t h the new régime does n o t mean he bet r a y e d the i d e a l of former independence 1 6 . The dispute a n d the more or less positive p o l i t i c a l e v a l u a t i o n of the a t t i t u d e of Stracca is q u i t e significant, i f w e connect i t w i t h the concrete results t h a t the new s i t u a t i o n i n A n c o n a b r o u g h t about also i n the A u t h o r ' s scientific activities. I n fact, the w o r k is n o t complete a n d i t can be supposed t h a t for some subjects, such as companies, exchange or insurance (insurance b e i n g dealt w i t h an i n d i v i d u a l treaty) - I a m q u o t i n g f r o m Lattes - " t h e gaps have been left on purpose, p r o b a b l y because such subjects i n p a r t i c u l a r i m p l i e d to the u t m o s t the question of usury, a n d f i c t i t i o u s contracts were very f r e q u e n t l y used i n order to get out of i t " . Furthermore, "Stracca w a v e r e d a m i d the open conflict between merchants a n d canonists ... a n d he was neither able n o r w i l l i n g to take a precise s t a n d " , and, f i n a l l y , he left "aside the most 15 I b i d . , 642. le I b i d . , 626.

16

Vito Piergiovanni

embarassing topics, on the p r e t e x t of the intensive studies made of t h e m by scholars, b u t w i t h the real i n t e n t i o n of m a i n t a i n i n g a more ambiguous position"!7. B u t , i n m y o p i n i o n , Lattes does n o t d r a w the r i g h t conclusions f r o m these statements for a w i d e r e v a l u a t i o n of the A u t h o r a n d of his w o r k . I believe t h a t the reason for the l a c k of consideration a n d l i m i t e d resonance of Stracca's w o r k i n the subsequent development of commercial science a c t u a l l y lies i n this reticence a n d a m b i g u i t y , d e r i v i n g f r o m p o l i t i c a l c o n d i t i o n i n g , a n d also i n the fact t h a t he too often takes the merchant b a c k g r o u n d of A n c o n a as a reference p o i n t , w h i l e i t certainly was n o t among the most advanced i n either I t a l i a n or European economic life. Stracca's p o l i t i c a l choice of prudence, w h i c h consists, on a scientific level, of a v o i d i n g or g e t t i n g a r o u n d the basic theoretical problems of the n e w discipline, has the effect, generally speaking, of r e s t r i c t i n g his c o n t r i b u t i o n to the process of m a k i n g c o m m e r c i a l l a w more l a y i n its nature. O n the contrary, e x t e r n a l influences t h o u g h present a n d n o t less i m p e n d i n g a n d p o t e n t i a l l y dangerous, seem t o have a lesser influence on the w o r k of another great scholar of c o m m e r c i a l l a w , Sigismondo Scaccia, w h o was active between the end of the X V I t h a n d the b e g i n n i n g of the X V I I t h century18. U n l i k e Stracca, w h o spent almost a l l his life i n Ancona, Scaccia, besides p r a c t i s i n g the legal profession i n Rome, performed the d u t y of Judge of the Rota i n Genoa i n 1614 a n d possibly i n Florence i n 1620 1 9 . A c t u a l l y , this l a w y e r s t i l l lacks a serious biographer to investigate the i m p o r t a n c e of his role, n o t o n l y regarding commercial l a w , b u t also trials. A l t h o u g h Scaccia too practised i n the p a p a l states, he succeeded i n using his deep k n o w l e d g e of m o r a l a n d theological c u l t u r e as an i n s t r u m e n t for c o n t i n u i n g the process of decanonising commercial l a w . The general topics are developed i n the first p a r t of his w o r k , whereas i n the second p a r t he takes advantage of his p r a c t i c a l experience as a l a w y e r a n d a judge to examine closely the problems connected w i t h the contract of exchange 2 0 . 17

I b i d . , 638, 641. P. Mandosio, B i b l i o t h e c a r o m a n a , R o m a 1682, 305; C. Schwarzenberg , Scaccia Sigismondo, N o v i s s i m o Digesto I t a l i a n o , X V I , T o r i n o 1969, 670. 19 Leges novae R e i p u b l i c a e Genuensis, Genuae 1617, p. 129: D e Sp. S i g i s m o n d o Scaccia. 1614. D i e 4 F e b r u a r i j . Sp. S i g i s m o n d o Scaccia existens i n Rota c i v i l i , e x t r a c tus f u i t p r o Rota c r i m i n a l i , et declaratus i m p e d i t u s , et i n u r n a m reponendus, a m i n o r i C o n c i l i o ...; G. Gorla, S u l l a v i a d e i „ m o t i v i " delle „sentenze": lacune e t r a p p o l e , I I F o r o I t a l i a n o , 1980, col. 204, ,,Lo Scaccia ... f u m e m b r o d e l l a Rota f i o r e n t i n a i n t o r n o a l 1620"; R. Savelli , B e t w e e n l a w a n d morals: interest i n the d i s p u t e o n exchanges d u r i n g the 1 6 t h c e n t u r y , i n t h i s v o l u m e . 18

Courts and Commercial Law at the Beginning of the Modern Age The quaestio prima

f r o m the Tractatus

de commercio

17

et cambio , p u b l i s h e d

i n 1619, is f u n d a m e n t a l i n assessing the c o n t r i b u t i o n made b y Scaccia to the independence process of c o m m e r c i a l l a w . T h r o u g h a r i c h c o n f r o n t a t i o n of arguments of theologians and lawyers, Scaccia wishes to show t h a t decisions concerning usury a n d i l l i c i t trade are mainly

taken

by

learned

lawyers,

whose

opinion

prevails

over

the

theologists'. Since abstention f r o m a l l trade w o u l d be too d e t r i m e n t a l to a l l countries, the A u t h o r m a i n t a i n s t h a t i t is necessary to make a d i s t i n c t i o n between trade w h i c h endangers the salvation of the soul a n d t h a t w h i c h does not, a n d t h a t i n any case i t is necessary to v e r i f y the presence of the correct legal a n d m o r a l requirements every t i m e for each f o r m of t r a d e 2 1 . This contrivance allows Scaccia to attenuate the settlement of these issues i n an exaggerated a n d c i r c u m s t a n t i a l n u m b e r of cases, thus eventually reassessing the f u n c t i o n of theology a n d u n d e r l i n i n g the difference between m o r a l a n d legal judgments. The t r a d i t i o n a l survey r e s t r i c t i n g the first p e r i o d of commercial l a w studies to the w o r k s of Santerna, Stracca a n d Scaccia must, i n m y o p i n i o n , be enlarged b y other sources, such as the judgments of some Courts, w h i c h exerted t h e i r legal p o w e r between the X V I t h a n d X V I I t h centuries as an i n t e g r a l p a r t of the n e w d i s c i p l i n e 2 2 . These Courts too are the f r u i t of a specific h i s t o r i c a l a n d p o l i t i c a l context, w h i c h , to a certain extent, s h o u l d n o t be excluded f r o m the general events of the m o d e r n i z a t i o n of the European States i n the M o d e r n Age. Concerning the discourse on commercial l a w , I believe t h a t the events of the Genoese c i v i l Rota a n d of its mercantile l a w - m a k i n g are p a r t i c u l a r l y significant, b u t first i t is necessary to m a k e some short general remarks about I t a l i a n Courts i n the M o d e r n Age. N o t m a n y years ago, M a r i o Ascheri evaluated the p u b l i c a t i o n s of " D e cisiones" b y famous I t a l i a n Courts i n the M o d e r n Age, i n an i n t e g r a l t e x t p u b l i s h e d under the patronage of the M a x P l a n c k I n s t i t u t e of F r a n k f u r t . This operation has enabled scholars b y means of the b i b l i o g r a p h i c a l structure, to understand the c o n d i t i o n of the relevant h i s t o r i c a l w r i t i n g s , a n d has 20 S. Scaccia , T r a c t a t u s de commerciis et cambio, Romae 1618. F u r t h e r e d i t i o n s Coloniae 1619, 1620, 1738, F r a n c o f u r t i 1648, Venetiae 1650, Genevae 1664, Coloniae 1738 (K.O. Schemer , D i e Wissenschaft, 864), a n d also Venetiis 1669. 21 S. Scaccia, T r a c t a t u s de commerciis et cambio, Venetiis 1669, 1 - 92. 22 G. Gorla, I T r i b u n a l i S u p r e m i d e g l i s t a t i i t a l i a n i p r e u n i t a r i q u a l i f a t t o r i d e l l a u n i f i c a z i o n e d e l d i r i t t o n e l l o S t a t o e della sua u n i f o r m a z i o n e f r a S t a t i , A t t i d e l terzo congresso I n t e r n a z i o n a l e della Società I t a l i a n a d i S t o r i a d e l D i r i t t o , Firenze 1977, 447 - 532.

2 Piergiovanni

18

Vito Piergiovanni

c o n f i r m e d the idea t h a t these Courts s t i l l r e t a i n the fascination of m y s t e r i ous spheres. These Courts are scarcely t a l k e d about, w i t h great c a u t i o n a n d n o b o d y dares p u t f o r w a r d hypotheses or conclusions w h i c h m a y lead to generalizations23. C a u t i o n seems j u s t i f i e d i f w e consider t h a t some research i n t o this subject shows a h i g h l y v a r i e d s i t u a t i o n , keeping to the i n d i v i d u a l i n s t i t u t i o n a l contexts w h e r e b y the Courts establish a n d exercise j u r i s d i c t i o n rather t h a n to general notions w h i c h r a t i o n a l i z e the legal system. Some magistratures are recent, t h a t is s t a r t i n g a p p r o x i m a t e l y f r o m the b e g i n n i n g of the X V I t h century, such as the F l o r e n t i n e a n d the Genoese Rotae ; others are ancient, such as the R o m a n Rota , b u t a l l of t h e m a i m to g a i n legal supremacy w i t h i n the i n d i v i d u a l States a n d some of t h e m even to e x p a n d this b e y o n d the borders of t h e i r States. W i t h i n the States, obviously i t is n o t a question of precedents, as i n the case of A n g l o - S a x o n l a w , b u t , more s i m p l y , of a necessary a n d due regard to the conclusions of predecessors. Outside the States, on the contrary, w e realize the progressive presence of the decisions made b y these Courts i n c o m m o n l a w . P r i n t i n g collections of legal documents is an extremely v a l i d t o o l for the w i d e r k n o w l e d g e a n d c i r c u l a t i o n of this material, w h i c h , more often t h a n one m i g h t t h i n k a n d not o n l y i n the case of the R o m a n Rota, is r e m a r k a b l e for its technical a n d legal content w h i c h is of a generally h i g h standard. O n the basis of the considerations expressed so far, I t h i n k i t is necessary to d i s t i n g u i s h between the t w o aspects they present: f i r s t l y , the i n s t i t u t i o n a l a n d operative life of these magistratures, w h i c h , i n t h e i r o r i g i n a n d evolut i o n are f u n c t i o n a l w i t h i n the settings i n w h i c h they are established; secondly, the course of t h e i r decisions, w h i c h , collected a n d p r i n t e d , have an independent life connected to c o m m o n l a w - m a k i n g a n d are raised above the subjective a n d p a r t i c u l a r circumstances w h i c h produced them. The scheme of this concept shows t w o lines, w h i c h come close at times, b u t r e m a i n largely independent: one representing the events t a k i n g place w i t h i n the i n d i v i d u a l Courts, a n d the other the a d o p t i o n outside the Courts of the m a t e r i a l produced. B y i n s e r t i n g also the h i s t o r y of the Genoese Rota a n d of its p u b l i s h e d decisiones w i t h i n this f r a m e w o r k , w e get a more precise and, f r o m certain 23 M. Ascheri , Rechtsprechungs- u n d K o n s i l i e n s a m m l u n g e n , I t a l i e n , H a n d b u c h der Q u e l l e n u n d L i t e r a t u r der neurer europäischen Privatrechtsgeschichte, I I / 2 , N e u r e Z e i t (1500 - 1800), Das Z e i t a l t e r des gemeinen Rechts, Gesetzgebung u n d Rechtsprechung, ed. H. Coing , M ü n c h e n 1976, 1113, 1221.

Courts and Commercial Law at the Beginning of the Modern Age

19

p o i n t s of v i e w , a more emblematic v i e w of the s i t u a t i o n of the famous I t a l i a n Courts i n the M o d e r n Age. I n c l u d e d i n the complex i n s t i t u t i o n a l reform, w h i c h i n 1528 renewed the structure of the Genoese Republic, the C i v i l Rota was needed i n order to e l i m i n a t e a series of magistratures composed of n o n - t e c h n i c a l judges a n d t o replace t h e m w i t h learned l a w y e r s 2 4 . Besides the guarantee of i m p a r t i a l i t y , d e r i v i n g f r o m the fact t h a t they were outsiders these judges were obliged to offer f u r t h e r guarantees of a professional nature, such as U n i v e r s i t y l a w studies and, at least, a five-year p e r i o d of t r a i n i n g as judges or lawyers. A m o n g others, almost a l l merchants controversies were b r o u g h t before t h e m a n d s u b m i t t e d to t h e i r judgement whereas these controversies h a d form e r l y been settled b y the Uffici di Mercanzia, Gazaria, Banchi and Rotti . Nevertheless, the n e w Court c o u l d n o t completely e l i m i n a t e the features of the abolished magistratures, as i t was ordered to solve cases t a k i n g i n t o account, besides its o w n regulae, the inveterata consuetudo f i r m l y established i n the L i g u r i a n c o m m e r c i a l w o r l d 2 5 . The technical a b i l i t y of learned lawyers was soon adapted t o the l i v e l y a n d d e m a n d i n g Genoese m e r c a n t i l e setting, a n d offered extremely interesting results. T r a d i t i o n , or even the influence of the mercantile Courts' l a w - m a k i n g w h i c h the Rota replaced a n d the n e w regulae of the j u d i c i a l b o d y l e d learned judges to examine closely the theoretical notions p u t f o r w a r d b y merchants a n d to endavour to transfer t h e m i n t o the rigorous f r a m e w o r k of ius commune. The f u n d a m e n t a l c o n t r i b u t i o n to the r i s i n g science of commercial l a w a c t u a l l y came b y passing t h r o u g h t h i s process, using the t o o l of the Rota's j u s t i f i e d decisiones 26. I n 1582, a collection of the Rota's decisiones de mercatura was p u b l i s h e d i n Genoa, a n d an i d e n t i c a l v o l u m e appeared one year later i n Venice, due to personal a n d p o l i t i c a l disagreement between the p r i n t e r s 2 7 .

24 V. Piergiovanni , The rise of t h e Genoese c i v i l Rota i n t h e X V I t h c e n t u r y : The "decisiones de m e r c a t u r a " c o n c e r n i n g insurance, i n t h i s v o l u m e . 25 Ibid. 26 I b i d . 27 N. Calvini, U n a strana cinquecentina genovese: Decisiones Rotae Genuae de M e r catura, L a Berio, 1968/1, 2 4 - 29; A. Cioni , Bellone A n t o n i o , D i z i o n a r i o B i o g r a f i c o d e g l i I t a l i a n i , V I I , R o m a 1965, 759 - 760; M. Chiaudano , Rotae Genuae (Decisiones de M e r c a t u r a ) , N o v i s s i m o Digesto I t a l i a n o , X V I , T o r i n o 1969, 273 - 274; AT. Ascheri, Rechtsprechungs- u n d K o n s i l i e n s a m m l u n g e n , 1 1 5 3 - 1 1 5 4 , 1181 (where the e d i t i o n s are e n u m e r a t e d i n w h i c h the Decisiones are p u b l i s h e d alone: Genova 1582, Venezia 1582, 1599, 1601, 1606).

2

Vito Piergiovanni

20

The i m p o r t a n c e of this collection was d e f i n i t e l y c o n f i r m e d b y i n s e r t i n g i t i n the Lyons e d i t i o n of the De mercatura

Decisiones

et Tractatus

varii , and

i n subsequent editions i n F r a n k f u r t a n d i n A m s t e r d a m 2 8 . I cannot express m y o p i n i o n on the commercial aspects of l a w - m a k i n g of other I t a l i a n Rotae i n the early p a r t of the M o d e r n Age, other t h a n b y referr i n g to a few elements w h i c h are scarcely v e r i f i e d b y specialised researchers: u n d o u b t e d l y , above a l l the R o m a n a n d the F l o r e n t i n e Rotae, besides the Genoese Rota, have a p o s i t i o n of great prestige a n d a u t h o r i t y i n this m a t t e r too. I recently started research i n c o l l a b o r a t i o n w i t h some colleagues, a i m i n g at assessing the judges of some famous Rotae , such as those of Genoa, F l o r ence, Siena a n d L u c c a a n d I hope t h a t i t w i l l be a positive step t o w a r d s a better u n d e r s t a n d i n g of these Courts. E v e n t h o u g h w e have l i t t l e knowledge of other j u d i c i a l sources, i n the end, i t is a question of e s t i m a t i n g to w h a t extent the experience of the Genoese C o u r t may be generalized a n d considered v a l i d for an o v e r a l l u n d e r s t a n d i n g of the h i s t o r y of c o m m e r c i a l l a w between the X V I t h a n d the X V I I t h centuries. I t h i n k I can state t h a t the necessary keeping w i t h R o m a n practice, the loss of interest i n theological a n d m o r a l aspects, the consideration for local l a w a n d m e r c a n t i l e customs, make t h e i r judgements a basic t o o l i n the p r o cess of decanonisation of c o m m e r c i a l l a w . I do n o t agree w i t h those scholars w h o , w i t h i n the scope of c o m m o n l a w , give different values to systematic a n d case l i t e r a t u r e : I t h i n k i t is an error d e r i v i n g f r o m an i n t e l l e c t u a l o u t l o o k w h i c h does n o t belong to the p e r i o d w e are studying. Some years ago, as far as Casaregi was concerned, m y o p i n i o n was t h a t the u n d e r e s t i m a t i o n of his w o r k s h o w n b y G o l d s c h m i d t a n d Lattes were not acceptable: t h e i r views were based on systematical incompleteness a n d i m p l i e d a negative consideration of the relevant l i t e r a t u r e dealing w i t h legal practice. I t was m y impression t h a t , besides the consideration for the i n t r i n s i c q u a l ities of Casaregi's w o r k , his fame among b o t h his contemporaries a n d later scholars raised doubts about the c r e d i b i l i t y of such an e v a l u a t i o n 2 9 .

28 M . Chiaudano , Rotae Genuae, 274, e M. Ascheri, Rechtsprechungs- u n d K o n s i l i e n s a m m l u n g e n , 1181, r e p o r t the e d i t i o n s L y o n s 1582, 1590, 1592, 1593, 1608, 1610, 1621 a n d F r a n k f u r t 1612, 1652, Cologne 1622, A m s t e r d a m 1669; L . Franchi, Benven u t o Stracca, 144 - 146 a f f i r m s t h a t the first L y o n s e d i t i o n of D e M e r c a t u r a decisiones et t r a c t a t u s v a r i i s was p u b l i s h e d i n 1592. 29 V. Piergiovanni, D o t t r i n a , d i v u l g a z i o n e e p r a t i c a alle o r i g i n i della scienza c o m m e r c i a l i s t i c a : Giuseppe L o r e n z o M a r i a Casaregi, A p p u n t i per u n a biografia, M a t e r i a l ! per la storia d e l l a c u l t u r a g i u r i d i c a , I X (1979), 325 - 326.

Courts and Commercial Law at the Beginning of the Modern Age

21

I w i s h to repeat the same n o t i o n regarding the l a w - m a k i n g of the Genoese c i v i l Rota , its a p p l i c a t i o n a n d frequent a p p r e c i a t i o n i n l a w - m a k i n g a n d legal practice f o l l o w i n g its p u b l i c a t i o n . This w o r k , l i k e those b y Stracca a n d Scaccia, must however be considered as the f r u i t of p a r t i c u l a r h i s t o r i c a l conditions w h i c h existed i n I t a l y i n the X V I t h century, l i n k e d to the process of p o l i t i c a l a n d i n s t i t u t i o n a l m o d i f i c a tions, w h i c h , however t e n t a t i v e l y , aimed at e x t e n d i n g State c o n t r o l to f u n d a m e n t a l activities, such as commerce a n d justice. The o u t l o o k of these w o r k s is n o t scientifically n e u t r a l a n d i f they o n l y u n d e r l i n e the differences observed d u r i n g the second h a l f of the X V I I t h cent u r y , this means once again t h a t one has to choose an i n t e r p r e t a t i v e scheme, t a k i n g the French legislative m o d e l as a reference p o i n t . This v i e w degrades a n d schematizes, perhaps too a r b i t r a r i l y , the w e a l t h of the h i s t o r i c a l i m p l i c a t i o n s of this complex phenomenon, w h i c h is o n l y appreciated as far as i t can be compared to some models of c o d i f i c a t i o n w h i c h i n any case are considered as being of a higher standard. O n the contrary, as I stated above, i t is necessary to re-appraise a n d b r i n g o u r h i s t o r i c a l i m p l i c a t i o n s , i f w e do not w a n t to believe t h a t the commercial science of the X V I t h century started f r o m n o t h i n g , b y the i n t u i t i o n of some isolated minds. O n the contrary, the w o r k s b y Santarem, Stracca a n d Scaccia a n d the l a w - m a k i n g of the Genoese Rota grew out of a p a r t i c u l a r e n v i r o n m e n t a l a n d p o l i t i c a l context, w h i c h produced a n d influenced them: they are the f r u i t of a society a n d an economy endeavouring to r a t i o n a l i z e bureaucratic structures a n d to p r o v i d e a legal system adapted to the changing p o l i t i c a l s i t u ation. This situation, i f n o t new, is certainly different f r o m t h a t of the M i d d l e Ages. I c e r t a i n l y do n o t i n t e n d to assert t h a t w e are t a l k i n g about m o d e r n States, such as France, b u t I t h i n k i t is neither h i s t o r i c a l l y correct to ignore the ferm e n t a n d the changes w h i c h stirred these societies at the b e g i n n i n g of the M o d e r n Age. The i n s t i t u t i o n a l results are interesting a n d the reasons w h y they h a d no f u r t h e r e v o l u t i o n are m a n y a n d complex a n d there is no p o i n t i n t a l k i n g about t h e m here. W i t h i n this p i c t u r e a n d w i t h such connections, the A u t h o r s a n d texts t h a t I have e x a m i n e d and, more generally, I t a l i a n commercial science of the X V I t h century, m a y j u s t i f y its present features a n d the reasons w h i c h a l l o w e d i t to create i n n o v a t i o n s of content, i n t e r p r e t a t i o n a n d systemization a l l of w h i c h guaranteed its spread a n d fame t h r o u g h o u t Europe.

VITO PIERGIOVANNI

The Rise of the Genoese Civil Rota in the X V I t h Century: The "Decisiones de Mercatura" Concerning Insurance S u m m a r y : I. T h e rise of the c i v i l Rota; I I . Events c o n c e r n i n g the rules of t h e Genoese c i v i l Rota b e t w e e n the X V I t h a n d the X V I I t h centuries; I I I . Decisiones conc e r n i n g insurance.

I. The rise of the civil Rota The origins a n d rise of Central Courts i n the M o d e r n Age are connected w i t h the process of the c e n t r a l i z a t i o n of p u b l i c bodies a n d met the d e m a n d for the better operation and u n i f o r m i t y of justice for those w h o were subject to one p o w e r w i t h i n the State. The judgements made b y these Courts reflect the r e a l i z a t i o n of such legal policies, b u t are also a reliable i n d i c a t i o n of the problems a n d tension w h i c h the economic a n d social life of the State was prone to. W i t h i n this jurisprudence the q u a n t i t y a n d q u a l i t y of the judgements related to trade, w h i c h were expressed i n monetary terms, a n d the range of relevant geographical extent, can best show the extent a n d c o m p l e x i t y of economic relations, a n d the means a n d s k i l l used b y the merchant classes. Favourable e n v i r o n m e n t a l conditions were a s t i m u l u s to the process of specialization a n d the t e c h n i c a l a n d legal i m p r o v e m e n t of the i n d i v i d u a l m e r c a n t i l e i n s t i t u t i o n s and e x p l a i n the greater fame a n d d i f f u s i o n of the decisiones of some central Courts as opposed to those of others. These h i s t o r i c a l a n d e n v i r o n m e n t a l considerations give a clearer i n s i g h t i n t o the events s u r r o u n d i n g the Genoese c i v i l Rota, w h i c h can be g r a p h i c a l l y represented, i n the space of a century, f r o m 1530 to 1630, b y a rise a n d t h e n decline i n close connection w i t h the economic a n d social l i f e of the Repubblica di S. Giorgio. The most interesting documents s h o w i n g the a c t i v i t y a n d the results achieved b y this Court is the collection of judgements e n t i t l e d Decisiones Rotae Genuae de mercatura et pertinentibus ad earn , w h i c h was p r i n t e d for the first t i m e i n Genoa i n 1582. This collection consists of 215 decisiones gathered b y a p r i v a t e citizen, offering to dealers a n d to p r a c t i c a l a n d

24

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theoretical lawyers the best cases f r o m one of the most i m p o r t a n t authorities i n the M e d i t e r r a n e a n area. The l a w - c o u r t h a d been c o n s t i t u t e d f a i r l y recently, h a v i n g started its a c t i v i t y i n 1530, w h e n a r a t i o n a l i z a t i o n process i n Genoese legal life led to the a b a n d o n i n g of the previous system of magistrates. The t r i b u n a l of the Rota, i n fact, f e l l w i t h i n the r e f o r m p l a n w i c h i n 1528, m o s t l y t h r o u g h A d m i r a l A n d r e a D o r i a , aimed at achieving b o t h the p o l i t i c a l goal of r e n d e r i n g the l o c a l r u l i n g class homogeneous and the i n s t i t u t i o n a l goal of s i m p l i f y i n g a n d q u a l i f y i n g the bureaucratic a n d l a w g i v i n g structure of the State 1 . The choices adopted for such m o d e r n i z a t i o n were q u i t e common: i n the f i e l d of j u r i s d i c t i o n some special n o n - t e c h n i c a l magistratures were replaced b y a single Bench, formed of foreign learned lawyers w i t h a 2-year t e r m of office, w h o were n o t i m m e d i a t e l y re-eligible and were subject to c o n t r o l finito munere. The refom l a w s 2 s i m p l y gave q u i c k lines w h i c h a committee of four greatly respected citizens stove to i m p l e m e n t : they were assigned the task of " . . . revidendi, c o m m e m o r a n d i et refferendi quae ad r e m i p s a m p e r t i n e r e n t et i u s t i t i a e et veritatis, considerata n a t u r a i p s a r u m causarum, et pro l i t i b u s minuendis, ac q u a n t o citius f i e r i potest, c u m m i n o r i i a c t u r a l i t i g a n t i u m expediendis . . . " 3 . The members of the c o m m i t t e were required, i n short, to b o t h determine more precisely the m a i n features of the a c t i v i t y (the natura causarum ), assigned to the n e w Court, a n d to establish codes of procedure i n order to 1 L e L e g g i et R i f o r m e d e l l a ... R e p u b b l i c a d i Genova, f a t t e ... l ' a n n o M D X X V I I I , P a v i a 1575, p. 30 v., 12 marzo 1529: " I p r e d e t t i Mag. S i g n o r i D o d i c i R e f o r m a t o r i della Eccelsa R e p u b b l i c a d i Genova, r a g u n a t i i n sufficiente e l e g i t t i m o n u m é r o , mossi per d e g n i r i s p e t t i , i n o g n i m i g l i o r modo, et c. h a n n o deliberato, che f r a ' l p r i m o g i o r n o d i G e n n a i o prossimo sia i s t i t u i t a u n a Rota d i c i n q u e D o t t o r i f o r a s t i e r i d a i r i l l u s t r i s s i m o D u c e e M a g n i f i c i G o v e r n a t o r i , con q u e l salario, e m o l u m e n t o , a u t o r i t é , e b a l i a ; con a p p e l l a t i o n e e senza, come l o r o p a r r à ; t o g l i e n d o v i a e r i m o v e n d o e tenendo per t o l t a e rimossa, f i n i t o i l presente anno, t u t t a q u e l l a a u t o r i t à e b a l i a , che h a n n o nelle cose c i v i l i i m a g i s t r a t i de c i t t a d i n i , ο a l t r i q u a l s i v o g l i a n e l l a presente C i t t à ; cioè l ' u f f i c i o d e l l a m e r c a t a n t i a , d e l l a Gazaria, de b a n c h i e t u t t ' a l t r i u f f i c i de c i t t a d i n i . I n t e n d e n d o perö che l a p r e d e t t a Rota sia o b l i g a t a g u i d i c a r e secondo le regole, o r d i n i e decreti, e secondo la n a t u r a d e i s u d d e t t i u f f i c i i respettivamente; eccettuando n o n d i m e n o d a l p r e d e t t o r i m o v e r d i b a l i a , d e l l a q u a l e si è detto, l ' u f f i c i o de consoli della ragione. I I quale u f f i c i o resti fermo i n sua possanza . . . " . F o r a general h i s t o r i c a l s e t t i n g C. Costantini , L a R e p u b b l i c a d i Genova n e l l ' e t à moderna, T o r i n o 1978 (Storia d ' l t a l i a d i r e t t a da G. Galasso, I X ) . 2 As the t e x t of the l a w s e s t a b l i s h i n g the c i v i l Rota, three copies b e a r i n g no s i g n i f i cant defferences have been t a k e n i n t o account. T w o copies are k e p t at A r c h i v i o S t o r i c o del Comune d i Genova ( A . S . C . G . ) , ms. N . 89, C o n s t i t u t i o n e s Rotae C i v i l i s Genuae 1529, fo. 2 r . - 10 v., fo. 18r. - 26r. (we s h a l l m a k e reference to the l a t t e r l a t e r on, as i t also includes the subsequent l a w s c o n c e r n i n g the Rota); w h i l e t h e t h i r d can be f o u n d at the A r c h i v i o d i S t a t o d i Genova ( A . S . G . ) , ms. N . 128, fo. 69 v. - 77r. 3 A . S . C . G . , ms. N . 89, C o n s t i t u t i o n e s Rotae, fo. 18r. T h e a p p o i n t e d j u r i s c o n s u l t s are G i o v a n B a t t i s t a Cattaneo Lazagna, G i o v a n B a t t i s t a de N i g r o f u Oberto, Jacopo Cattaneo, G i o v a n n i I m p e r i a l e B a l i a n o .

The Rise of the Genoese C i v i l R o t a i n the X V I t h C e n t u r y

25

s h o r t e n t h e t i m e s of j u d i c i a l p r o c e e d i n g s a n d t o r e d u c e C o u r t costs b o r n e b y the parties. A t the same time, the a m o u n t of salary to be p a i d to the n e w judges w a s f i x e d , a n d i t w a s d e c i d e d t o f o r w a r d t h i s d e l i b e r a t i o n per litteras Italiae

civitates,

ad

diversas

i n order to urge a n y c a n d i d a t e to a p p l y for these posts4.

O n J a n u a r y 8 t h , t h e d e f i n i t i v e t e x t o f t h e Constitutionen

Rotae

was pub-

l i s h e d a n d i t c a m e i n t o f o r c e a t t h e s a m e t i m e as t h e e f f e c t i v e s t a r t o f t h e n e w Court5. T h e p r o b l e m of the a c t i v i t y of the n e w Court, w h i c h u n d e r w e n t

sub-

s e q u e n t stages of a d j u s t m e n t f r o m t h e decree of i n s t i t u t i o n of 1530 u p t o t h e Statuta

of 1589, m u s t b e l i n k e d t o t h e a b o v e - m e n t i o n e d f i r s t e l e m e n t of t h e

judges' professional qualities w h i c h were estimated according to the n o r m a l r e q u i r e m e n t s o f a u n i v e r s i t y curriculum s e q u e n t cursus

honorum

c o n c l u d e d b y a degree a n d a sub-

i n the law-courts and i n the forum.

I n fact, t h e first decree states l i t e r a l l y : „ E t i n p r i m i s s t a t u u n t , i m p o n u n t , et o r d i n a n t M a g i s t r a t u m u n u m Rotae q u i n q u e I u r i s p e r i t o r u m , et D o c t o r u m i n C i v i t a t e Genuae, sub m o d i s et f o r m i s inferius declar a n d i s e l l i g e n d o r u m , cuius M a g i s t r a t u s i u r i s d i c t i o i n c i p i a t i n K L . J a n u a r i i p r o x i m i a n n i M i l l e s i m i q u i n g e n t e s i m i t r i g e s i m i , q u i M a g i s t r a t u s Rotae i n t e l l i g a t u r habere et habeat i u r i s d i c t i o n e m , a u t h o r i t a t e m et b a i l i a m , ac competens sit, et esse i n t e l l i g a t u r super o m n i b u s et singulis causis, quaestionibus, et d i f f e r e n t i i s , et i n d e p e n d e n t i bus ab eis de q u i b u s sunt et esse consueverunt tarn ex regulis o r d i n a m e n t o r u m Januae, q u a m e t i a m ex i n v e t e r a t a consuetudine sp. Officiales mercantiae, B a n corum, et Gazariae t a m o f f i c i i Gazariae s i m p l i c i t e r , q u a m o f f i c i i Gazariae C o m m i s sarii, et D e l e g a t i etc., ac e t i a m officiales R u p t o r u m , ac e t i a m de causis, quae ex f o r m a C a p i t u l i Januae p o s i t i sub R u b r . de causis c i v i l i b u s et p e c u n i a r i i s b o n i s v i r i s c o m m i t t e n d i s , possunt c o m m i t t i duobus bonis v i r i s de t a b u l a , i t a et t a l i modo, q u o d omnes et singulae causae, et j u r i s d i c t i o n e s praedictae, et q u a e l i b e t e a r u m d e v o l v a n t , et i n t e l l i g a n t u r devolutae, et spectare, et spectent i u d i c i o , i u r i s d i c t i o n i , ac d e t e r m i n a t i o n i d i c t i M a g i s t r a t u s Rotae praedictae, de q u i b u s o m n i b u s et singulis causis p r a e d i c t i s d i c t u s M a g i s t r a t u s Rotae sit competens, et de p r a e d i c t i s causis n u l l u s alius M a g i s t r a t u s possit nec debeat se i n t r o m i t t e r e . D e c l a r a t o semper a d caut e l a m q u o d d i c t u s m a g i s t r a t u s Rotae n o n sit competens, nec possit se i n t r o m i t t e r e de causis quae ex f o r m a c a p i t u l i Januae p o s i t i sub r u b r . De causis n o n c o m m i s s i b i l i b u s bonis v i r i s , n o n possint nec debeant bonis v i r i s c o m m i t t i , nec e t i a m de causis de q u i b u s officiales M o n e t a r u m sunt compétentes, nec e t i a m de causis spectantibus D D . Consulibus r a t i o n i s , nec e t i a m de causis R u p t o r u m seu R u p e n d o r u m possit se i n t r o m i t t e r e d i c t u s M a g i s t r a t u s Rotae, n i s i p r i u s per D D . A n t i a n o s Januae, seu a l i u m s u p e r i o r e m f u e r i t d e c l a r a t u m a l i q u e m B a n c h e r i u m sive a l i u m r u p t u m esse, seu r u m p e n d u m , facta transmissione Praefato M a g i s t r a t u i R o t a e " 6 . T h e a c t i v i t y of the n e w C o u r t d i d not e x t e n d to all c i v i l controversies, b u t i t r a t h e r t e n d e d to r e u n i f y a l l such controversies u n d e r the a u t h o r i t y of a 4

I b i d . , D e salario Rotae. The precise date can be d r a w n f r o m the copy A . S. G., C o n s t i t u t i o n e s Rotae, ms. N . 128, fo. 69 v. 6 A . S . C . G . , ms. N . 89, C o n s t i t u t i o n e s Rotae, fo. 18v. - 19r. 5

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b o d y composed of q u a l i f i e d p u b l i c magistrates, w h i l e controversies h a d form e r l y been settled b y boni viri a n d b y n o n - t e c h n i c a l judges. Indeed, people h a d previously h a d recourse to the boni viri for a l l issues w h i c h were n o t w i t h i n the competence of the Praetor or of his Vicarius 7, as they concerned neither the p u b l i c interest n o r the prerogatives of State sovereignty. I n matters of great economic importance, for instance problems of succession, the boni viri w o u l d often have to t u r n to a j u r i s c o n s u l t for advice, i n order to clear u p a n d settle the most controversial legal problems. Since the establishment of the Rota, legal aspects concerning these controversies were also better e x a m i n e d a n d more t h o r o u g h l y assessed t h a n they h a d been b y n o n - t e c h n i c a l judges. U n d o u b t e d l y , the f i e l d i n w h i c h this change i n j u d i c i a l development was most f r u i t f u l was the m e r c a n t i l e field. The Rota, as the charter of i n s t i t u t i o n claims, assumed the functions a n d the competence of some o l d special Courts: f i r s t l y of the Officium Mercantiae, the members of w h i c h , according to the ancient Statuta , of 1414: " . . . Q u i officiales et o f f i c i u m mercantiae sint et esse i n t e l l i g a n t u r et debeant magistratus super o m n i b u s et singulis differentiis, quaestionibus et controversiis quae coram eis m o v e b u n t u r m e r c a n d i causa, scilicet occasione m e r cantiae, v e l alicuius m e r c a t i de quibus n o n sit i n s t r u m e n t u m p u b l i c u m . Quas q u i d e m differentias, quaestiones et controversias d i c t u m o f f i c i u m teneatur et debeat declarare t e r m i n a r e et d i f f i n i r e summarie et de piano, sine s t r e p i t u et f i g u r a i u d i c i i ac e t i a m pignore b a n d i , q u a m cicius f i e r i poter i t bona fide, v i n c u l o i u r a m e n t i servato iuris ordine et modo (rectius, non) servato, oretenus et i n scriptis, habendo c u m per (rectius, semper) i n t u i t u m ad d i c t u m (rectius, deum) et v e r i t a t e m n e g o t i i . . . sine consilio i u r i s p e r i t i n i s i ad u t r i u s q u e p a r t i s i s t a n t i a m .. . " 8 . The a u t h o r i t y of the ' U f f i c i o d i Gazaria' ( w h i c h h a d been replaced b y the Rota) was instead more specific, responsible super facto navigandi, while the Officium Banchorum governed the compere, paghe a n d luoghi of the Commune. The Rota's a u t h o r i t y i n the m a t t e r of b a n k r u p t c y was peculiar: i n fact, i t c o u l d o n l y act w h e n a p o l i t i c a l body, such as the Magistratus Antianorum considered i t opportune, n o t o n l y by legal criteria, to start proceedings 9 . 7 S t a t u t a et décréta C o m m u n i s Genuae, A. M. Visdomini ed., Bononiae 1498, L . I, cap. 8, c. 6r. " D e causis c i v i l i b u s et p e c u n i a r i i s bonis v i r i s c o m m i t t e n d i s " ; cap. 9, c, 9r., " D e causis n o n c o m m i s s i b i l i b u s bonis v i r i s " . 8 I b i d . , L . I V , cap. 96, c. 81 r., " D e potestate et b a i l i a O f f i c i i M e r c a n t i a e " . 9 V. Piergiovanni , B a n c h i e r i e f a l l i t i nelle "Decisiones de m e r c a t u r a " della Rota c i v i l e d i Genova, D i r i t t o comune, d i r i t t o commerciale, d i r i t t o veneziano, a cura d i K .

The Rise of the Genoese Civil Rota in the XVIth Century

27

U n l i k e other c e n t r a l T r i b u n a l s , w h i c h , i n the same period, tended to organize t h e i r activities i n an exclusive w a y for a l l c i v i l a n d c r i m i n a l m a t ters, the Genoese c i v i l Rota tended to act m a i n l y as a specialized C o u r t i n m e r c a n t i l e a n d m a r i t i m e matters. The decree of i n s t i t u t i o n was very clear i n this m a t t e r w h e n , t a k i n g u p the n o t i o n expressed b y the reformers i n 1528, i t insisted on respect for the rules, orders, decrees a n d also the features of the previous m e r c a n t i l e Courts, w h i c h h a d n o w been replaced b y the Rota, a n d r e m i n d e d lawyers t h a t Uditori h a d the f a c u l t y of j u d g i n g tarn ex regulis quam ex inveterata consuetudine 10. F o r m a l l y , the rules of procedure t h a t can be f o u n d i n the decree of i n s t i t u t i o n are rather s i m i l a r to the rules of other t r i b u n a l s , a n d t a k e u p the texts q u o t e d above r e g a r d i n g the Officium Mercantiae almost l i t e r a l l y 1 1 : i n t w o contexts specific reference is made to the p e c u l i a r i t y of the m e r c a n t i l e Court. Indeed a passage claims: " . . . Insuper p r o m a i o r i deliberatione, a t t e n tis regulis et o r d i n a m e n t i s Ianuae, ac inveterata consuetudine declarant et s t a t u u n t , q u o d i n causis c a m b i o r u m et recambiorum, exationis securitatis et exationis n a u l o r u m , et i n aliis causis executionis, videlicet i l l a e quae i u r i s d i c t i o n i Praefati M a g i s t r a t u s spectant, debeat procedi et t e r m i n a r i execut i v e et sub i l l i s modis et formis p r o u t c o n t i n e t u r i n Decretis, ordinamentis, et regulis antea conditis et p r o u t antea servari consuevit, q u a n t u m a d m o d u m et f o r m a m procedendi, praedictis n o n obstantibus, i n quibus causis executionis de q u i b u s supra n o n possit nec debeat dari, nec concedi d i l a t i o de foris i n f o r m a t o r i a , nec e t i a m p r o b a t o r i a .. . " 1 2 . L a t e r on w e read: " . . . Praeterea p r o tollendis d i f f i c u l t a t i b u s , declarant et s t a t u u n t q u o d C a r t u l a r i i s B a n c h e r i o r u m Ianuae scriptis per N o t a r i u m p u b l i c u m de Collegio N o t a r i o r u m Genuae a d h i b e a t u r plena fides t a m p r o B a n cheris, q u a m contra B a n c h e r i u m , ac e t i a m i n t e r alias extraneas Personas The f o u n d i n g decree of the Rota, after establishing the d i s t i n c t i v e p r i n c i ples of the Court a n d the references to the rules a n d customs of the mercant i l e t r a d i t i o n a n d regular practice t h a t i t m u s t f o l l o w , goes b a c k to the t r a d i t i o n a l hierarchy of sources, i n c l u d i n g R o m a n l a w : " . . . M a g i s t r a t u s Rotae, N e h l s e n - v o n S t r y k e D . N ö r r , (Centro Tedesco d i S t u d i Veneziani, Q u a d e r n i , 31) 17 38. 10 C o n s t i t u t i o n e s Rotae, fo. 18r. 11 T h e Constitutiones Rotae deal e x h a u s t i v e l y w i t h specific p r o c e d u r a l aspects conc e r n i n g evidence, testimonies, t i m e l i m i t s i n j u d i c i a l proceedings, delays of i n f o r m a t i o n a n d p r o b a t i o n appeals, w h i c h have m a n y p o i n t s of contact w i t h the previous Genoese regulations of t h e Statuti, d a t i n g b a c k to 1414. These r e g u l a t i o n s were s u p p l e m e n t e d a n d m o d i f i e d b y reforms m a n y times, see b e l o w p a r a g r a p h 2. 12 C o n s t i t u t i o n e s Rotae, fo. 19v. - 2 0 r . !3 Fo. 2 3 r - 2 3 v .

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salvis semper et servatis contentis i n praesentibus c o n s t i t u t i o n i b u s , quae observari debeant, q u o d observent et observare teneantur capitula, et o r d i n a m e n t a Ianuae tarn c o n d i t a q u a m condenda coram eis exhibenda et ipsis defficientibus i u r a r o m a n a .. . " 1 4 . I n this p a r t i c u l a r circumstance, t h a t is at the m o m e n t of the c o n s t i t u t i o n of the new t r i b u n a l , this reference to R o m a n l a w is more significant t h a n i t n o r m a l l y is i n legal systems w h i c h were i n t e n d e d to cover a w i d e r a n d w i d e r range of dealings w i t h one p a r t i c u l a r f o r m of legislation, a n d thus tended to a n t i c i p a t e a l l foreseeable cases and to be based on rules of necessity w h i c h increasingly a i m e d at e x c l u d i n g possible outside influences. I t is necessary to a d d to these general considerations t h a t , i n the specific case of Genoa, the n e w Court h a d to judge m e r c a n t i l e relations w h i c h often developed separ a t e l y f r o m l o c a l t r a d i t i o n a n d w h i c h were, instead, connected w i t h customary forms a n d procedures w h i c h at the w i s h of the l a w - m a k e r s , the new judges hat to obey. I t w o u l d appear to be a very d i f f i c u l t s i t u a t i o n for R o m a n l a w , b u t the i n n o v a t i o n of the Genoese Rota lies i n the personalities of the n e w judges, w h o , t h a n k s to t h e i r a b i l i t y to reconcile m e r c a n t i l e regular practice w i t h school t r a d i t i o n , were to give success to the jurisprudence of the Courts. The Officium Mercantiae , Gazariae, Banchorum, w h i c h the c i v i l Rota replaced, were n o t composed of legal experts b u t of citizens, especially m e r chants w h o , t h a n k s to t h e i r experience, w i s d o m a n d honesty were called to sit on the Benches. The c o m p o s i t i o n of the Rota was, instead, governed b y other criteria, as the requirements were: " D D . Iudices Rotae eligendi ad i p s a m r o t a m sint Doctores u t r i u s q u e i u r i s et canonici et civilis, et seu saltem c i v i l i s t a n t u m , ac bonis m o r i b u s o r n a t i , et i u s t i habeantur, et t r a c t e n t u r I n a d d i t i o n to this, they were requested to have been b o r n a n d to d w e l l w i t h i n at least 50-miles of the t o w n of Genoa, to be older t h a n 35 a n d t h a t : " . . . p o s t q u a m f u e r i n t doctorati, q u o d se exercuerint i n d i c t o exercitio D o c toratus advocando, et seu iudicando, et consulendo, seu practicando saltem per annos q u i n q u e .. . " 1 6 . Therefore, merchant-judges were replaced b y graduate-judges w i t h experience i n practice a n d i n the Courts, w h o were shifted to an e n v i r o n m e n t w i t h its o w n rules a n d customs to w h i c h they h a d to adapt a n d w h i c h , above all, they h a d to enforce. A study of the o r i g i n a n d previous experience of these judges w o u l d be interesting a n d appreciated; a n y w a y , w e t h i n k t h a t they carried out t w o very i m p o r t a n t t e c h n i c a l operations w i t h very p r o f i t a b l e consequences. 14

Fo. 24r. Fo. 24 r. iß Fo. 24 r. 15

The Rise of the Genoese Civil Rota in the XVIth Century

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F i r s t l y , t h r o u g h the i n c o r p o r a t i o n of the most v a l i d parts of m e r c a n t i l e regular practice a n d t h e i r fusion w i t h the n e w rules of the C o u r t procedures (both those issued b y l a w - m a k e r s a n d those arising f r o m the everyday a c t i v i t y a n d previous experience of the n e w judges), a stilus g r a d u a l l y developed, w h i c h , f r o m t i m e to time, was j u s t i f i e d a n d theorized a n d eventually cont r i b u t e d to i n t r o d u c i n g the most significant example of m e r c a n t i l e l a w (not o n l y regarding Genoa, b u t , at least, the M e d i t e r r a n e a n area). The previously quoted examples of causae cambiorum et recambiorum or of cartularii bancheriorum are peculiarities of the Genoese stilus. Secondly, the judges' effort to use the t r a d i t i o n a l notions of the j u r i s t s of R o m a n f o r m a t i o n a n d the auctoritates w h i c h supported them, leads to corresponding research i n t o the subject emerging f r o m a m e r c a n t i l e Court. These t w o experiences, one p r a c t i c a l a n d one theoretical, were c o m b i n e d i n the same group of persons a n d helped to give a v a l i d c o n t r i b u t i o n to the r i s i n g science of commercial l a w . We shall give some examples of this w i t h regard to insurance, l a t e r on. The p o s s i b i l i t y of c i r c u l a t i n g the m a t e r i a l w o r k e d out b y the Genoese c i v i l Rota was made concrete f r o m the t i m e w h e n i t was decided t h a t the Auditores w o u l d be obliged to j u s t i f y the judgements of the Court. The procedure of appeal against the decisions of the Rota, w h i c h was p r o v i d e d for b y the decree of 1530, already q u o t e d several times, established the practice of g i v i n g grounds for decisions. The decree states: " . . . I t e m s t a t u u n t , declarant et decernunt, q u o d a sententiis ferendis per D. de Rota quando f u e r i n t quinque, v e l q u a t o r ex eis vere concordes i n i u d i c a n d o , a sententiis eorum n o n possit, nec debeat appellari, revocari, reclamari, nec de n u l l i t a t e dici, sed ipso iure et facto transeant i n r e m i u d i c a t a m , et exequant u r , et exequi debeant; si vero n o n essent concordes i n i u d i c a n d o u t supra, t u n c et eo casu possit r e c l a m a r i a sententiis eorum ad D D . Procuratores Praefatae Reipublicae. Q u i causas dictae appellationis u t supra interpositae c o m m i t t a n t t r i b u s p r o u t eis melius v i d e b i t u r , et q u a m commissionem faciant t r i b u s D o c t o r i b u s extraneis ecclesiasticis, si adessent i n c i v i t a t e Ianuae, si eis v i d e b i t u r sine suspicione eisdem possit c o m m i t t i , et q u o d ab eis a d m i n i s t r a r i debeat i u d i c i o eorum, consideratis considerandis, a l i o q u i n possit earn c o m m i t t e r e I u r i s p e r i t i s ex Collegio I u r i s p e r i t o r u m Ianuae, q u a m e t i a m aliis n o n I u r i s p e r i t i s et tarn c o n i u n c t i m q u a m i n societate, q u a m a l i ter, et p r o u t melius v i d e b i t u r D o m i n i s Procuratoribus Praefatae Reipublicae I n 1534 the o b l i g a t i o n of g i v i n g grounds was i n t r o d u c e d i n order to increase the chance of appeal i n those cases where the judges of the Rota disagreed: " S i e n i m i n t e r ipsos D. A u d i t o r e s i n proferendis e o r u m sententiis i n 17

Fo. 21 v. - 2 2 r .

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i l l i s scilicet causis, q u i b u s ex forma i n s t i t u t i o n i s Rotae appellatio data est discordes f u e r i n t teneantur et debeant i n u t r a q u e e o r u m sententia inserere s u b s t a n t i a l i t e r eorum m o t i v a , q u i b u s m o t i f u e r i n t a d sie i u d i c a n d u m .. . " 1 8 . The d e f i n i t i v e i n s t i t u t i o n a n d generalization of the o b l i g a t i o n of g r o u n d can be f o u n d i n the Reformationes Rotae Genuae aeditae anno MDLVII, according to w h i c h : " . . . Rationes et causas, quibus m o t i f u e r i n t a d i u d i c a n d u m , i n o m n i b u s et singulis sententiis per eos ferendis, sive f u e r i n t concordes, sive discordes, teneantur D o m i n i A u d i t o r e s i n t r a octo dies dare notario causae, allegando iura, rationes, et decisiones, quibus m o t i fuerint ad sic i u d i c a n d u m , et n o n per r e l a t i o n e m a d acta v e l processus, exceptis causis m i n o r i s summae l i b r a r u m ducentarum, et exceptis iis causis executivis, i n q u i b u s i u r a p a r t i u m sunt reservata i n i u d i c i o o r d i n a r i o , quae m o t i v a subs c r i b i debeant per u n u m q u e m q u e ex ipsis D o m i n i s A u d i t o r i b u s et remanere debeant penes acta causae, et de eis f i a t copia p a r t i , quae i l l a m petierit. Declarato, q u o d omissio m o t i v o r u m n o n v i c i e t sententiam nec e t i a m expressio ipsorum, q u a m v i s esset i n i u s t a et erronea, ex eo t a n t u m , q u o d i n ipsis sententiis apposita fuerint, n o n noceat aut nocere possit sententiis, adeo q u o d ex eo q u o d f u e r i n t expressa m o t i v a , v e l n o n expressa, v e l iniusta, v e l erronea, n u l l o modo possit d i c i de n u l l i t a t e , v e l excessu nec a l i q u i d o p p o n i contra ipsas sententias, respectu i p s o r u m m o t i v o r u m , perinde ac si ipsa m o t i v a , et rationes i n sententiis v e l actis redditae n o n fuissent. D i c t i tarnen auditores debeant s y n d i c a r i de praedictis, a r b i t r i o s y n d a c a t o r u m , . . " 1 9 . I n 1559 the system seems to have been consolidated a n d the Auditores asked for a pay increase "respectu maioris laboris i n extendendis m o t i v i s i n sententiis, quae deinceps extendere d e b e b u n t " 2 0 . A p o r t f o l i o of these decisions based o n grounds h a d been p u b l i s h e d i n t w o editions, a Genoese a n d a Venetian one, some years earlier, i n 1582, w h i l e the d e f i n i t i v e sanction, l e a d i n g to c i r c u l a t i o n a n d r e n o w n i n Europe was to be o b t a i n e d b y the i n s e r t i o n of these judgements i n the Lyons v o l u m e De mercatura decisiones et Tractatus varii et de rebus ad earn pertinentibus (1582), also r e p r i n t e d i n the X V I I t h century i n Cologne, F r a n k f u r t a n d i n Amsterdam. The press was a p r i m a r y s o u n d i n g b o a r d for the Genoese decisiones a n d established t h e m as one of the cornerstones i n the r i s i n g science of European c o m m e r c i a l l a w 2 1 .

18 Fo. 28r. 1 9 Reformationes Rotae Genuae aeditae anno M D L V I I , Genuae 1557, 1 0 - 1 1 . 20 C o n s t i t u t i o n e s Rotae, fo. 29, D e salario D o m i n o r u m A u d i t o r u m Rotae (1559, feb.,

22).

21 V. Piergiovanni, Age, i n t h i s v o l u m e .

Courts a n d C o m m e r c i a l L a w at the b e g i n n i n g of the M o d e r n

The Rise of the Genoese Civil Rota in the XVIth Century

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I I . Events concerning the rules of the Genoese civil Rota between the X V I t h and X V I I t h centuries W h i l e the p u b l i c a t i o n of the Decisiones de mercatura m a r k s the height of glory of the Genoese Court, the supplements a n d adjustments of legislation, f o l l o w i n g the Constitutiones Rotae of 1530, a n d w h i c h c o n t i n u e d u p to the first decade of the X V I I t h century, show the i n i t i a l eagerness and the p r o gressive decline of the C o u r t 2 2 . The first i m p o r t a n t i n t e g r a t i o n i n t o the Constitutiones Rotae of 1530 t o o k place after a few years, i n 1534: i n a d d i t i o n to the o b l i g a t i o n of s t a t i n g grounds w e have already discussed, some i n t e r n a l regulations of the C o u r t were established such as the d i s t r i b u t i o n of l a w s u i t s among the Uditori, relations w i t h parties a n d lawyers, documents r e l a t i n g to p r e l i m i n a r y investigations and, f i n a l l y , the decision 2 3 . I n 1538, the first p r i n t e d t e x t of the regulae was issued at the i n i t i a t i v e of the Genoese Government, as the laws concerning the Rota were incomplete a n d vague a n d needed to be reformatae , locupletatae, distinctae. I t consists of a rather peculiar t e x t , w h i c h , b y concise directive statements, besides s u m m a r i z i n g the Constitutiones of 1530, explains some aspects the Constitutiones merely touched on, such as execution proceedings, delays and terms, interventions i n cases of cambia et recambia, i n s u r ance a n d sea f r e i g h t 2 4 . I n spite of this legislative c l a r i f i c a t i o n , the w a y of o p e r a t i n g of the f l e d g l i n g C o u r t t u r n e d out to be defective; i n fact, o n l y t w o years later, i n 1540, the Genoese Government realized the need to consult some jurists, a n d to ask t h e m to d r a f t the reform b i l l s of the Rota's regulation. Some of these reports, w h i c h have been preserved, are s t i l l i n our hands a n d p o i n t out the problems a n d expectations of the lawyers and citizens concerning the Court. The judges' behaviour is debated, m o s t l y because of the tendency to a v o i d the rule of g i v i n g the relatio processus i n the presence of the parties a n d of the lawyers for the defence; lawyers are accused of the tendency to lodge cavillationes et exceptiones inutiles, and i t is advised t h a t they be obliged to sign a l l t h e i r deeds i n order to contest the h a b i t as a p r e t e x t of m a n y C o u r t records. I n the m e r c a n t i l e branch, i t is suggested t h a t the rules concerning insurance and exchanges should be cleared up, b u t , perhaps, the most i n t e r 22

Supra, 25. C o n s t i t u t i o n e s Rotae, fo. 27 r. - 28r.; another copy, Ordo et régula servanda per A u d i t o r e s Rotae, i n A . S . G . , B i b l . , L e g u m n. 6, fo. 66 v. - 68 r. 24 Leges Rotae Genuensis n u p e r reformatae, Genuae 1538 (the copies are e x t r e m e l y rare a n d the one I refer to can be f o u n d i n the B r i t i s h M u s e u m of L o n d o n ) . 23

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esting aspect is the request, r e g a r d i n g the appeals of the causae

mercantiles ,

to set u p a b o d y i n w h i c h a merchant joins w i t h t w o learned l a w y e r s 2 5 . This is proof t h a t the m e r c a n t i l e e n v i r o n m e n t d i d n o t accept the t o t a l replacem e n t of its o w n members w i t h learned lawyers a n d i t is a prelude to the p a r t i a l r e t u r n to special magistratures w e shall t a l k of l a t e r on. The instance concerning the t r i a l report b y the Uditori was g r a n t e d b y a short r e f o r m l a w enforced one year later, i n 1541 2 6 , w h i l e the presence of merchants i n the appeal of mercantile suits was accepted b y a subsequent r e f o r m of the Rota regulations issued i n 15 5 7 2 7 . The above-mentioned e d i t i o n of 1557 is a complete t e x t w h i c h takes up, w i t h l i t t l e i n n o v a t i o n , a l l previous legislation. Some aspects of execution proceedings are better determined, above all, as far as insurance p a y m e n t a n d compensation i n case of average are concerned 2 8 . Moreover, i n 1572, an a p p e n d i x to these reforms was issued to settle cert a i n p r o c e d u r a l aspects a g a i n 2 9 . Then, a very d i f f i c u l t economic a n d p o l i t i c a l p e r i o d t r o u b l e d the Genoese Republic, harassed b y i n t e r n a l conflicts a n d b y the r u i n o u s consequences of Spanish b a n k r u p t c y 3 0 , a n d the Rota seemed b y t h a t t i m e to have ended its most creative period. O w i n g to spanish b a n k r u p t c y , i t was decided, i n order to cope better w i t h the wave of insolvencies, to deprive the C o u r t of its a c t i v i t y i n this field, b y establishing an Ufficio dei Rotti n o t composed of lawyers b u t of trade experts31. The c i v i l Statuti of 1589 d e f i n i t e l y seemed to c o n f i r m the reappraisal of the R o t a 3 2 : the Uditori entrusted w i t h o r d i n a r y l a w s u i t s were reduced f r o m 25 A . S . G . , Senato 1540 - 41, Sala B a r t o l o m e o Senarega, f i l z a 1231, C o m memorationes sp. d. io. B a p t i s t a e C a t t a n e i L a z a n i e et N i c o l a i de Senarega et soci. super regulis r o t t e reformandis. 26 C o n s t i t u t i o n e s Rotae, fo. 2 8 r . - 29 r. 27 Reformationes Rotae aeditae anno M D L V I I , 12 - 13, " . . . Q u i M a g n i f i c i D . P r o c u r a t o r s t e n e a n t u r dictas appellationes c o m m i t t e r e t r i b u s i u d i c i b u s , tarn D o c t o r i b u s , et i u r i s p e r i t i s de collegio i u d i c u m C i v i t a t i s Genuae v e l extraneis a u t ecclesiasticis, q u a m aliis c i v i b u s et m e r c a t o r i b u s , h a b e n t i b u s tarnen d o m i c i l i u m Genuae, v e l e t i a m m i s t i m m e r c a t o r i b u s , et D o c t o r i b u s p r o u t eis v i d e b i t u r , ea t a m e n h a b i t a consideratione, q u o d u b i causa f u e r i t m e r c a n t i l i s , plures s i n t iudices mercatores, q u a m D o c tores, et u b i f u e r i t de a p i c i b u s i u r i s , plures s i n t i u r i s p e r i t i et hoc a r b i t r a t u , et coscient i a i p s o r u m M a g n i f i c o r u m D . P r o c u r a t o r u m .. 28 I b i d . , 16 - 18. 29 A d Reformationes Rotae, et S t a t u t a Genuae, a p p e n d i x aedita, anno M D L X X I I , Genuae 1572. 30 R. Savelli, L a R e p u b b l i c a oligarchica. Legislazione, i s t i t u z i o n i e ceti a Genova n e l Cinquecento, M i l a n o 1981. 31 V. Piergiovanni, B a n c h i e r i e f a l l i t i nelle "Decisiones de m e r c a t u r a " d e l l a Rota c i v i l e d i Genova, 24.

The Rise of the Genoese Civil Rota in the XVIth Century five to three a n d a Rota competent for causae executivae composed of three Uditori

33

et breviores , also

was a d d e d 3 3 .

The c r i m i n a l Rota, w h i c h arose i n 1576 3 4 , grew m u c h more p o l i t i c a l l y i m p o r t a n t w i t h i n the Republic, to the extent t h a t , i n 1629, the c i v i l Uditori addressed a s o r r o w f u l p e t i t i o n to the Government of the Republic asking to be made equal to c r i m i n a l judges, considering the h i g h - l e v e l services they performed for the R e p u b l i c 3 5 . I n the space of a century, t h a t is, since the t i m e w h e n the c i v i l Rota h a d first been established i n 1529, the Genoese Court f o l l o w e d the destiny of the Republic, w h i c h f r o m protagonist declined i n t o a spectator of the great European p o l i t i c a l a n d economic events. F r o m the golden age, t h a t is about h a l f w a y t h r o u g h the X V I t h century, these r e m a i n the collection of the Decisiones de mercatura w h i c h , w i t h its subsequent reprints a n d its c i r c u l a t i o n i n Europe, stood as one of the first p i l l a r s of the r i s i n g science of c o m m e r c i a l l a w . Π Ι . Decisiones concerning insurance I n order to esemplify the role of the Genoese c i v i l Rota i n the m e r c a n t i l e field, let us examine the decisiones concerning insurance contracts. Insurance controversies are present i n the l a w - m a k i n g collection of the Genoese Rota to a more l i m i t e d extent t h a n m i g h t be expected (and w e w o u l d p o i n t out t h a t , i n this period, the almost exclusive f o r m i n w h i c h this contract appears is connected w i t h navigation). A l t h o u g h the m a t t e r is an i n e x h a u s t i b l e source of dispute, m a i n l y concerning the d e t e r m i n a t i o n of the elements t h a t were the real cause of accidents a n d compensantion, perhaps, l a w s u i t s used as a p r e t e x t were curbed b y the Court's a t t i t u d e , w h i c h was very f i r m a n d resolute i n rejecting legal c o r r u p t i o n to the advantage of good f a i t h a n d i n f o r m a l i t y , w h i c h were t y p i c a l of the merchants' a c t i v i t y a n d of the m e r c a n t i l e Courts. So, i n decisio III , i n r e p l y to the d e m a n d of the i n v a l i d i t y of some testimonies, the Rota recalls b o t h its one regulae a n d the m e r c a n t i l e regular practice: " . . . secuta quoque est o r d i n a t i o rotae, u t testes h i n c inde e x a m i n a t i p u b l i c a r e n t u r salvis i u r i b u s , et exceptionibus p a r t i u m ; v e r u m nos, q u i a regulis admonemur, u t D e u m et v e r i t a t e m prae oculis habeamus, et quos n o n 32 S t a t u t o r u m c i v i l i u m R e p u b l i c a e Genuensis n u p e r r e f o r m a t o r u m l i b r i sex, G e n u a e 1589. 33 I b i d . , L . I, cap. 7, 11 - 14, " D e R o t a c i v i l i et eius i u r i s d i c t i o n e " . 34 R. Savelli, Potere e g i u s t i z i a . D o c u m e n t i per l a storia d e l l a Rota c r i m i n a l e a Genova a l i a fine d e l '500, Idee e a t t e g g i a m e n t i s u l l a repressione penale, M a t e r i a l i per u n a storia della c u l t u r a g i u r i d i c a , V (Bologna 1 9 7 5 ) , 2 9 - 1 7 2 . 35 C o n s t i t u t i o n e s Rotae, cit., fo. 41 r. - 4 1 v., M e m o r i a l e M . A u d i t o r u m Rotae c i v i l i s .

3 Piergiovanni

34

Vito Piergiovanni

latet i n curia mercatorum, u b i negotia veritate t e r m i n a n t u r reiectis i u r i s apicibus, q u i s u b t i l i t a t e m magis aspiciunt, q u a m f a c t i v e r i t a t e m u t per B a r t . ... m u l t a de stricto, et summo iure solere r e m i t t i , u t per Strac. i n tract, de mercatura ... n o n p l u r i s fecissimus hanc n u l l i t a t i s oppositionem, q u a m p a r fuisset, et forte ad v e r i t a t e m f a c t i t a n t u m l i b e n t e r respexissemus .. . " 3 6 . A n o t h e r i n d i c a t i o n of the o p e n - m i n d e d discretion used b y the Court i n insurance l a w s u i t a n d i n the e v a l u a t i o n of subjective elements can be f o u n d i n the same decisio: " Q u a ex re forte f a c t u m f u i t , u t ipse suis p r o b a t i o n i b u s n o n a d m o d u m i n v i g i l a v e r i t , et eo magis concedenda f u i t d i c t a reservatio, q u o d de n o t a b i l i q u a n t i t a t e agitur, ex qua n o n leve d a m n u m sensurus est dictus reus, contra vero assecuratores si quandoque succumbuerint, n o n aequalem i a c t u r a m sunt f a c t u r i , q u i p p e q u i i n t o t a l i summa assecurationis habeant p a r t i c u l a s .. . " 3 7 . Therefore, the refusal of legal c o r r u p t i o n is absolute: " . . . i n causis secu r i t a t u m , quae f i u n t i n t e r mercatores, n o n sunt c u r a n d i apices i u r i s , . . " 3 8 ; " . . . v e r i t a t i inhaerendo p r o u t moris n o s t r i est, c o n t r a r i a m sententiam de iure veriorem, et magis foro m e r c a t o r u m et a e q u i t a t i consonam esse d u x i m u s . . . " 3 9 ; " . . . c u m m a x i m e coram Rota procedatur h a b i t o i n t u i t u ad Deum, et v e r i t a t e m negotii, v e l saltern q u i a a l l e g a t u m oretenus, et i n scriptis v i d e b a t u r sufficere .. . " 4 0 . O n this basis of greater u n d e r s t a n d i n g of the merchants' needs a n d of m e r c a n t i l e regular practice, the Rota judges t r i e d to i d e n t i f y the characteristic elements of the contract and, above all, to b r i n g t h e m back to the t r a d i t i o n of c o m m o n l a w . W i t h regard to the dogmatic q u a l i f i c a t i o n of the contract, the references f o u n d i n the decision are few, b u t sufficient to c o n f i r m the l i n e of Genoese jurisprudence a n d t r a d i t i o n , t h a t , after a short t i m e i n w h i c h the insurance contract h a d been considered as a false loan, t h e n i t came to treat i t as a false sale, too. So, decisio III: " . . . D i c t u m vero r e u m d i g n u m e x i s t i m a v i m u s , q u i recuperaret consteum securitatum, v e l i l l u d retineret respective, ex quo n o n f u i t locus assecurationi, et sic e m p t i o n i p e r i c u l i : est e n i m contractus iste 36 Decisiones Rotae Genuae de m e r c a t u r a et p e r t i n e n t i b u s a d earn, in D e m e r c a t u r a decisiones et t r a c t a t u s v a r i i et de rebus a d earn p e r t i n e n t i b u s , L u g d u n i 1610 (repr. T o r i n o 1971), decisio I I I , 26. F o r a general s e t t i n g a n d b i b l i o g r a p h y , G. Giacchero, S t o r i a delle assicurazioni m a r i t t i m e . L'esperienza genovese d a l M e d i o e v o a l l ' età contemporanea, Genova 1984, e M . J. Pelaez, Cambios y seguros m a r i t i m o s en derecho c a t a l a n y belear, B o l o n i a 1984 ( S t u d i a A l b o r n o t i a n a X L I I ) . 37 Decisiones, dec. I l l , 29. 38 Dec. V, 38. 39 Dec. X L , 162. 40 Dec. L V , 176.

The Rise of the Genoese Civil Rota in the XVIth Century

35

emptionis, et v e n d i t i o n i s , seu e m p t i o n i a s s i m i l a t u r c u m sit i n n o m i n a t u s , facio, u t des, v e l do, u t facias, ratione p r e t i i q u o d d a t u r : q u i a

qui

assecurationem facit, p r o p t e r p r e t i u m d i c i t u r emere e v e n t u m p e r i c u l i . . . " 4 1 . A n d again decisio XXXVI : " . . . Consideravimus quoque, q u o d contractus assecurationis d i c i t u r contractus i n n o m i n a t u s ... unde debet r e g u l a r i i u x t a n a t u r a m c o n t r a c t u u m n o m i n a t o r u m , q u i b u s assimilatur, et c u m assimiletur e m p t i o n i , et v e n d i t i o n i p r o p t e r p r e t i u m , q u o d d a t u r ratione p e r i c u l i . . . " 4 2 . I n t w o other decisions, however the r e l a t i o n between the v a l i d i t y of the contract a n d the c o n d i t i o n occurred is obvious: " . . . tunc n o n aderat subiect u m , super quo assecuratio f i e r i posset, ad q u i d e n i m assecurare, q u o d i a m amissum est? Est e n i m contractus assecurationis contractus c o n d i t i o n i s u t d i c i t L u s i t a n u s ... et n a t u r a c o n d i t i o n i s est respicere f u t u r u m casum, et c u m i a m casus sit praeteritus, n o n potest v e r i f i c a r i c o n d i t i o .. , " 4 3 . As far as the subjects are concerned, the figure, the professional i n t e g r i t y a n d the presumed prudence of the merchant p l a y an i m p o r t a n t role i n judges' evaluations a n d there are several examples of this. Decisio LV, concerning insurance made w h e n the ship is already lost, states: " . . . E x parte e t i a m assecuritatis a b s u r d u m oriebatur, si diceretur e u m voluisse assecurare super periculo secuto, c u m n o n sit hoc credendum de mercatore, q u i h a b e t u r p r o v i r o p r o v i d o , u t not. L u s i t . , . . " 4 4 ; Decisio LXIII a r g u i n g the question of w h e t h e r the captain's change of course frees the insurance company, reminds us t h a t : " . . . considerata i n t e n t i o n e c o n t r a h e n t i u m quae i n o m n i b u s inspicienda e s t . . . et m a x i m e q u i a hoc d i c t â t aequitas i n t e r mercatores observanda .. , " 4 5 . A g a i n , the characteristics of the m e r c a n t i l e profession are decisive i n decisio CLXVI: " . . . assecuratos eius n o m i n e fuisse, et esse mercatores, q u i soient negotiari, et n o n tenere suas pecunias otiosas, sed solitos l u c r a r i i n negotiis m e r c i u m , et aliis ... m e r i t o condemnavimus r e u m c o n v e n t u m ad solv e n d u m d i c t o A n t o n i o interesse l u c r i cessantis a die morae .. , " 4 6 . T w o decisions r e g a r d i n g the j o i n t a n d several l i a b i l i t y of partners, w h i c h was r a t i f i e d , as the Rota claims, because " e m p t u m fuisse ... p e r i c u l u m et i a m i n s o l i d u m , c u m n o n sit d u b i u m , q u i n ex facto unius socii a l i i i n s o l i d u m teneantur . . . " 4 7 .

41

Dec. I l l , 29. Dec. X X X V I , 154. 43 Dec. C I I , 238 e dec. L X I I I , 187. 44 Dec. L V , 174. « Dec. L X I I I , 187. 46 Dec. C L X V I , 302. 47 Dec. C L X V I , 301 e dec. X X I X , 134. 42

3*

Vito Piergiovanni

36

I t was decided, however, t h a t the insured parties' heirs may t a k e action against the insurance company, even i f they h a d n o t been expressly m e n t i o n e d i n the apoca

assecurationis

48

.

I n fact, the greatest i m p o r t a n c e is given to the content a n d expressions of the insurance document, as is stated again i n decisio CII: " . . . verba e t i a m assecurationis ponderanda s u n t . . . q u i a certissimi i u r i s est, q u o d i i contractus r e c i p i u n t legem a pactis et conventionibus . . . " 4 9 ; a n d again, concerning the a u t h o r i t y of Santerna a n d other authors decisio XXV reads: " . . . verba assecurationis potissime ponderanda s i n t . . . ; . . . c l a r u m est, q u o d d i c t i assecuratores de alio casu, et de alio viagio n o n tenentur, n i s i de promisso, et comprehenso i n assecuratione .. . " 5 0 . Therefore, the t e x t of the insurance p o l i c y was f u n d a m e n t a l i n d e t e r m i n i n g the extent of the risk, f r o m w h i c h the baratteria del capitano was excluded b y custom i n Genoa, as w e shall see later on, b u t other cases, such as iactus et avaria m a y be excluded as w e l l , as w e can read i n decisio CXXIXsi. A n o t h e r element for d e t e r m i n i n g r i s k is the sea voyage for w h i c h the cont r a c t of insurance has been d r a w n u p , and, according t o the Genoese Rota too, viagium means the first voyage (unless otherwise specified): decisio XXV declares, i n fact, t h a t w h e n the ship begins its second voyage the i n s u r ance company covering the first is f r e e d 5 2 . I n the same w a y , the insurance company is freed i n case of change of course a n d the Rota decides this according to decisio LXIII 53. I n another case, w h e n the counterpart does not succeed i n p r o v i n g t h a t there has a c t u a l l y been a mutatio viagii , the decision is, instead, j u d g e d i n favour of insured p a r t i e s 5 4 . The judges oppose a l l contestations p u t f o r a w a r d b y the insurance companies a n d accept Santerna's opinions, w h o " . . . q u a e r i t an assecurator possit opponere assecurato quaestionem, q u o d res n o n erant suae, et per consequens q u a m v i s illas sint deperditae, q u o d n o n debet habere e a r u m aestimationem, et respondet i b i allegando iura, et decisiones, q u o d quando a l i q u i s c o n v e n i t u r ex contractu, n o n potest opponere contra agentem, quaestionem d o m i n i i , q u o d d i c i t esse n o t a n d u n , q u i a assecuratores, quando v e n i t tempus solvendi, securitates m u l t as p e r q u i r u n t , u t excusentur, et u t solutionem a u f u g i a n t " 5 5 . A g a i n , a voyage n o t cairred out « Dec. C I I , 238. 49 Ibid. so Dec. X X V , 118. si Dec. C X X I X , 264. 52 Dec. X X V , 118. 53 Dec. L X I I I , 187. 54 Dec. V, 35. 55 I b i d . , 38.

The Rise of the Genoese Civil Rota in the XVIth Century

37

leads the Rota to consider insurance p o l i c y on n o n - l o a d e d goods n u l l a n d void, against the insurance company's advice. The t e x t shows the Court's w i l l to f o l l o w mercantile customs rather t h a n the rules of strict l a w : ... satis est q u o d ex m u t a t i o n e v i a g i i d e s t i n a t i resolutus sit contractus, v e l i l l i locus n o n f u e r i t . . . " 5 6 . I t is k n o w n t h a t i n Genoa the risks t h a t insurance companies t o o k u p o n themselves were the same as i n other markets, w i t h the exception of the baratteria del capitano. A m o n g the Rota's decisions o n l y one set of examples can be f o u n d i n decisio CI a n d this is n o t an exhaustive list. I n case a ship is captured a n d k e p t for three days, even i f i t is afterwards salvaged, the Rota considers t h a t an accident has t a k e n place, w i t h the consequent l i a b i l i t y of the insurance company: " . . . q u o n i a m i n processu constat n a v e m assecuratem fuisse ab i n f i d e l i b u s captam, et per eos i n eorum d o m i n i o , ac f o r t i i s per très dies detentam, et m e r i t o censuimus casum s i n i s t r u m evenisse, et propterea assecuratores i u x t a promissa teneri: casus e n i m l a t r o n u m , h o s t i u m incursus, p i r a t o r u m insidiae, n a u f r a g i u m , et i n c e n d i u m a e q u i p a r a n t u r .. . " 5 7 . This was regular Genoese practice and, therefore, the Rota t o o k a p a r t i c u l a r stand i n the case of baratteria del capitano , i n o p p o s i t i o n to Santerna's o p i n i o n a n d the notions of c o m m o n l a w . Decisio III (and i n the same terms decisio C L X V I ) reads: " . . . et licet Santerna lusitanus i n suo tract, de spons. mercat. v i d e a t u r tenere q u o d culpa commissa per gubernatores navis n o n excuset assecuratorem, et propterea q u o d assecurator, q u i d a m n u m p e r i c u l i p a t i t u r , ipse agere debeat contra eum, cuius occasione p e r i c u l u m c o n t i g i t , n i h i l o m i n u s i n casu proposito a l i u d c o n c l u d e n d u m esset, i n quo perinde habetur, ac si c o n v e n t u m expresse fuisset i n apodisia securitatis, q u o d excepta esset fraus navarchi, ex quo reus praesuposuit i n processu, q u o d iste casus i n securitate exceptus fuisset: hie est q u o d ipse n o t i f i c a r i fecit praesentem l i t e m d i c t o L a m b r u s c h i n o , u t i n processu constat: praeterea v u l g o observari i n hanc c i v i t a t e m accepimus, u t assecuratores n o n teneantur de dolo, et b a r a t t a r i a p a t r o n i , q u i c q u i d a i u r e i n c o n t r a r i o r u m d i s p o n a t u r The last, most interesting subject concerns compensantion a n d its procedure, a n d is l i n k e d on the one h a n d to the evidence t h a t the accident has t a k e n place and, on t h e i r other hand, to the p o s s i b i l i t y of t a k i n g a c t i o n w i t h executory judgement sooner t h a n w i t h o r d i n a r y judgement. Decisio XXXVI is perhaps the one w h i c h best clarifies the characteristics of regular Genoese Insurance practice. Discussing the v a l i d i t y of an i n s u r 56 Dec. X L , 162. s? Dec. CI, 236. 58 Dec. I l l , 25 e dec. C L X V I , 301.

38

Vito Piergiovanni

ance contract made for a ship, w h i c h , at the t i m e w h e n the contract is d r a f t e d has already been captured, the Rota recalls t h a t a decree was i n force i n Genoa w h i c h considered even one testimony alone as b e i n g sufficient to substantiate the news, the loss of the ship. I n order n o t t o alter the w e l l - e s t a b l i s h e d t r a d i t i o n s of c o m m o n l a w too much, w h i c h r e q u i r e d at least t w o testimonies, the single witness m u s t be a t least above a l l suspicion59. The effort to j u s t i f y infringements of c o m m o n l a w was n o t j u s t i f i e d b y u p h o l d i n g the i n d i s p u t a b l e a p p l i c a t i o n of customary l a w , b u t r a t h e r b y seeking support w i t h i n c o m m o n l a w itself: i n this case, the judges c l a i m e d t h a t there were auctoritates t h a t gave the judge the p o w e r to assess evidence a n d t h a t i n d i f f i c u l t matters, such as the loss of a ship or of an accident, the l a w was satisfied w i t h lesser evidence. The r e l a t i o n between an executory judgement, i n s t i t u t e d i n order to o b t a i n more r a p i d compensation a n d an o r d i n a r y j u d g e m e n t b r o u g h t b y the insurance company to recover w h a t they believed they u n d u l y paid, are dealt w i t h i n other Decisiones. Decisio III, i n the basis of the regulae Rotae a n d of c o m m o n l a w considers t h a t evidence i n executory judgement does n o t count i n o r d i n a r y j u d g e m e n t 6 0 ; decisio V obliges insurance companies to ask to be refunded for w h a t they p a i d i n the executory judgement to prove a change of course 6 1 ; decisio C permits a foreigner to ask for payment, i n an executory w a y , of compens a t i o n as modus executionis attenditur locus contractus 62. I t should be mentioned, even t h o u g h the topic deserves to be dealt w i t h i n more d e t a i l t h a t the auctoritates, to w h i c h the Rota judges referred w h e n f o r m i n g t h e i r judgements, gave p a r t i c u l a r a t t e n t i o n to Bartolo's a n d Baldo's quotations r e g a r d i n g jurisprudence a n d the R o m a n school t r a d i t i o n s . As far as m o d e r n lawyers are concerned, the w o r k concerning insurance b y Santerna has f o u n d great support, w h i l e Stracca seems to be used to a m u c h more l i m i t e d extent. We have given examples of insurance matters contained i n the collection of the Genoese Rota decisions de mercatura, considering the various aspects, w h i c h , p u t together, c o n t r i b u t e to m a k i n g a complete reconstruction of the i n s t i t u t i o n . A p a r t f r o m some l o c a l peculiarities, such as the different conside r a t i o n of Captain's c o r r u p t i o n , the solutions seem on the w h o l e to conform to regular I t a l i a n legal practice i n the X V I t h century.

59 Dec. X X X V I , 153 e dec. X L I I , 164. eo Dec. I l l , 23. 61 Dec. V, 35. 62 Dec. C, 235.

RODOLFO SAVELLI

Between L a w and Morals: Interest in the Dispute on Exchanges during the 16th Century

" Q u i f a c i t usuras v a d i t ad i n f e r n u m , et q u i n o n f a c i t v e r g i t a d i n o p i a m " B e n v e n u t o R a m b a l d i da I m o l a

to my brother

Daniele

I. Sigismondo Scaccia and the problem of exchanges in Genoa 1. "Sinuosissimus l a b y r i n t h u s " was the d e f i n i t i o n adopted b y Sigismondo Scaccia to characterize i n a suggestively significant w a y the c o m p l e x i t y of the p r o b l e m of exchanges. Since t h e n the j u r i d i c a l - t h e o l o g i c a l l i t e r a t u r e a n d the h i s t o r i o g r a p h i c a l research (a first example of this is effectively represented b y the De commerciis et cambio b y Scaccia) has n o t failed to a d d pages to pages. The o p i n i o n b y R a y m o n d de Roover is also w e l l k n o w n : according to i t " s u r l a c o n t r o verse de changes on p o u r r a i t f a c i l m e n t r é u n i r toute une b i b l i o t h è q u e " 1 . I t Abbreviations: ACG ARSI ASF ASG ASLSP ASV BAM BAV BCB BNF BNN BUG DBI

A r c h i v i o S t o r i c o d e l Comune d i Genova A r c h i v u m R o m a n u m Societatis Jesu A r c h i v i o d i S t a t o Firenze A r c h i v i o d i S t a t o Genova A t t i della Società L i g u r e d i S t o r i a P a t r i a A r c h i v i o Segreto V a t i c a n o Biblioteca Ambrosiana Milano Biblioteca Apostolica Vaticana B i b l i o t e c a C i v i c a B e r i o Genova B i b l i o t e c a N a z i o n a l e Firenze Biblioteca Nazionale Napoli B i b l i o t e c a U n i v e r s i t a r i a Genova Dizionario Biografico degli Italiani

1 R. De Roover, L a s t r u c t u r e des banques a u m o y e n âge, i n Troisième conférence i n t e r n a t i o n a l e d ' H i s t o i r e économique, M u n i c h 1965, vol. V, Paris - L a H a y e 1974, p. 162.

Rodolfo Savelli

40

may, thus, be advisable to a v o i d f u r t h e r c o n t r i b u t i o n s to this ever increasing b i b l i o g r a p h y . H o w e v e r interest on this subject leads one to trespass the l i m i t s of prudence: the fascination of the l a b y r i n t h , i n fact, attracts b o t h the p r u d e n t a n d incautious. To these reasons w e have also to a d d t h a t the figure of Scaccia himself is p r a c t i c a l l y so u n k n o w n t h a t research i n t o his c u l t u r a l b a c k g r o u n d seemed to be of great interest. The first, a n d fragmentary, results of this study are contained i n this w o r k 2 . A book w r i t t e n b y A n t o n i o Merenda, professor at the U n i v e r s i t y of Pavia, d u r i n g the first h a l f of the 17th Century, contains a controversial e v a l u a t i o n of De commerciis et cambio w h i c h is useful to recall: S u p e r v e n i t deinde t r a c t a t u s de c a m b j i s S i g i s m u n d i Scacciae, q u i a n x i e i n t u t a n d i s abusibus c a m p s o r u m adeo versatus f u i t , u t rarissime ab ipsis discedat: n o l u i t q u i p p e i n g r a t u s v i d e r i suis magistris, campsoribus v i d e l i c e t Genuensibus, a q u i b u s , d u m i b i A u d i t o r esset Rotae C i v i l i s , u n i v e r s a m c a m b i e n d i f o r m a m d i d i c i t 3 .

The u n k i n d judgement b y A n t o n i o Meranda, w h o c e r t a i n l y is n o t the last one to r e m a i n steadfast to r i g o r i s t attitudes, contains i m p o r t a n t elements of t r u t h a n d interest. Persons w h o studied the pages w r i t t e n b y Scaccia k n o w the clear evidence of the Genoese " e x a m p l e " . B u t Merenda recalls t h a t these are n o t s i m p l y examples. The charge is precise: the Genoese bankers were the teachers of Scaccia. I t w o u l d be m i s l e a d i n g n o w to t h i n k t h a t the short p e r i o d i n w h i c h Scaccia h e l d the p o s i t i o n of judge i n the C i v i l Rota i n Genoa, f r o m J u l y 1612 to J u l y 1615 4 , m i g h t have been the o n l y source for a w o r k of the i m p o r t a n c e and c o m p l e x i t y of the De commerciis et cambio; a n d this is p r o v e d b y the fact t h a t the first ecclesiastical a u t h o r i z a t i o n was issued i n December 1616 5 . B u t i t is certain, a n d Merenda clearly realizes i t , t h a t the Genoese period, 2 S t i l l i n the N o v i s s i m o Digesto I t a l i a n o X V I (1969) p. 670, the error of c o n s i d e r i n g Scaccia Genoese is repeated. E v i d e n t l y n o t even the frontispiece of his w o r k s is read, w h e r e i n the i n d i c a t i o n " c i v i s r o m a n u s " is a l w a y s present. 3 A . Merenda, D e c a m b i o n u n d i n a l i , Papiae, a p u d I o a n n e m A n d r e a m M a g n u m , 1645, p. 89. 4 I n 1609 - 1610 the f i r s t i n d i c a t i o n s of his person as possible c a n d i d a t e for b o t h the c i v i l a n d the c r i m i n a l Rota are found. The a c c o m p a n y i n g j u d g e m e n t is a l w a y s h i g h l y g r a t i f y i n g : "passa 50 a n n i , d i m o l t a v i r t ù e v a l o r e n e l l a sua professione . . . h a s c r i t t o i n legge e scrive t u t t a v i a con m o l t a lode universale, è stato podestà i n L u c c a , e s o p r a t t u t t o è h u o m o da bene e d i m o l t a isperienza e i n t e g r i t à " ( A S G , Rota c r i m i n a l e 366). B e i n g d r a w n b y l o t o n 9 t h J a n u a r y 1612 he t o o k his office o n 11th J u l y (ASG, A r c h i v i o Segreto 860). O n 6 t h A u g u s t 1615 he o b t a i n e d the p o s i t i v e f i n a l j u d g e m e n t f r o m the S i n d a c a t o r i (ASG, Senato, Sala G a l l o , 1 0 6 6 ) . I n l 6 1 3 h e was also chosen f o r t h e c r i m i n a l Rota a n d "attese le buone q u a l i t à " , he was proposed for the i m m e d i a t e a p p r o v a l a n d transfer t o t h e c r i m i n a l Rota, w h i c h was i n great need of good judges; t h i s p r o p o sal was n o t a p p r o v e d ( A S G , A r c h i v i o Segreto 861 a n d 1031). D u r i n g t h e last m o n t h s of his stay i n Genoa he received threats a n d w a s p h y s i c a l l y a t t a c k e d b y some n o b l e m e n (ASG, A r c h i v i o Segreto 1031 a n d 1563, R o t a C r i m i n a l e 366). 5 S. Scaccia, D e commerciis et cambio, Romae, s u m p t i b u s A n d r e a e B r u g i o t t i , ex t y p o g r a p h i a I a c o b i M a s c a r d i , 1619, c. [3] r.

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together w i t h his role as judge at the Rota, was for Scaccia an absolutely f u n d a m e n t a l experience. A m o n g the few decisions, s t i l l extant, issued b y Scaccia, there is one i n w h i c h w e f i n d some concepts w h i c h w i l l be systemized i n the w o r k i n quest i o n 6 . This suit is i n t r i g u i n g , " d i f f i c i l i s et periculosa" (to use Scaccia's w o r d s to define the subject of exchanges), a case " m u t u i ad n e g o t i a n d u m pro determ i n a t o l u c r o " : at the level of an ecclesiastic court, the contract is clearly i l l i c i t , b u t Scaccia comes t o the conclusion t h a t the secular judge m a y acknowledge an interest w h e n this is o w e d for other obligations. A t present, however, i t is i m p o r t a n t to stress t w o f u r t h e r concepts. They are: I n c i v i t a t e Genuae est e x p e d i t u m q u o d d e b e t u r interesse a l t e r i u s interesse, e t i a m si excedat sortem, p r o b a t a solita n e g o t i a t i o n e c a m b i o r u m ... O m n i s e n i m Genuensis est mercator, forus est semper p a r a t u s v o l e n t i b u s dare et accipere cambio, et c a m bia responderunt tot.

The i m p o r t a n c e of the conclusions a r r i v e d at b y Scaccia is evident i n itself, a n d does n o t need m u c h comment: i t is however w o r t h u n d e r l i n i n g some of the arguments used. The habits of the place j u s t i f y w h a t w o u l d be d i f f i c u l t to j u s t i f y (interests on interests, higher t h a n the capital). I n his q u a l i t y of judge at the C i v i l Rota he cannot b u t conform to the l o c a l uses. The Genoese m a r k e t , however, is n o t o n l y peculiar for its uses, b u t presents some general peculiarities w h i c h i n v o l v e the merchants a n d the w h o l e of the subjects a n d t h e i r qualities. I t has to be considered h o w the topos " o m n i s genuensis est m e r c a t o r " is reconsidered i n the De commerciis : Genuae ... omnes fere cives, sive nobiles, sive plebei, sive divites, sive pauperes, sive m a g i s t r a t u m gererites, sive p r i v a t a m v i t a m agentes, sive i n d i g n i t a t e c o n s t i t u t i , u t Doctores, sive alius quisque adeo negotijs c a m b i o r u m et m e r c i u m i n c u m b u n t , u t res e t i a m a d mulieres pervenerit, et nemo ex his m o m e n t o t e m p o r i s suas pecunias otiosas t e n e t 7 .

I t s h o u l d be noted, moreover, t h a t the above passage has been l i t e r a l l y copied f r o m another judgement of the Genoese c i v i l Rota, one of those judgements w h i c h h a d the h o n o u r of b e i n g p r i n t e d i n 1581 - 1582 8 . Scaccia thus reconsiders the habits of the merchants, the r o t a l t r a d i t i o n , a n d expands on t h e m t h r o u g h a systematic consideration. The other aspect of the problem, i. e. t h a t of the interests a n d of the r a t i o between those a n d the exchanges, has also to be considered. I n the treatise, dealing w i t h the p r o b l e m of the d e t e r m i n a t i o n of the q u a n t i t y a n d of the settlement of interests, he reminds us, once more, of the Genoese use: 6

A S G , R o t a C i v i l e , 4 (judgement d a t e d 3 0 t h October 1614). Scaccia, pp. 2 1 7 - 2 1 8 ; see also p. 236: "omnes genuenses sunt mercatores i n t a n t u m u t valeat consequentia est genuensis ergo m e r c a t o r " . 8 Decisiones Rotae Genuae de m e r c a t u r a , Genuae, s. t., 1582, n ° C X X X V I I (c. 200 v). O n t h e Decisiones a n d t h e i r e d i t i o n see u l t r a § I V . 7

42

Rodolfo S a v e l l i

Genuenses u t se e x i m a n t ab hac d i f f i c i l i q u a n t i t a t i s l i q u i d a t i o n e ... n e g o t i a n t u r i n cambijs, q u o r u m interesse f a c i l l i m e l i q u i d a n t , f a c i u n t e n i m l i s t a m c a m b i o r u m et r e c a m b i o r u m de foro i n f o r u m , c u m r e d i t i b u s cuiusque fori, eamque l i s t a m f a c i u n t ostendi testibus e x a m i n a n d i s ... v e l e x h i b e n t l i s t a m confectam a Cancellario gabella c a m b i o r u m 9 . T h i s is a t y p i c a l p r o c e d u r e , several e x a m p l e s o f w h i c h h a v e b e e n f o u n d a m o n g t h e papers of t h e Genoese notaries. T h r o u g h t h e courses of exchanges a n d "re-exchanges", f r o m fair to fair, the current rate of interest on money is d e t e r m i n e d 1 0 . T h i s p r o c e d u r e t o d e f i n e t h e i n t e r e s t c o n n e c t e d t o t h e p r o b l e m of the interest on interests h a d already been w i d e l y accepted b y the Genoese Rota. A predecessor of Scaccia, L u c a A l b r i z z i , w a s t h u s able to w r i t e i n a j u d g e m e n t d a t e d 1587: N o n obstat q u o d d i c e b a t u r u l t i m o loco de interesse i n t e r e s s u u m ad r a t i o n e m c a m b i o r u m et r e c a m b i o r u m , q u o d de i u r e n o n d e b e t u r c u m f r u c t u s f r u c t u s parere nefas est; n a m i s t u d p r o c e d i t i n mercatore et s o l i t o n e g o t i a r i cui, u t p r e d i x i , omne i n t é r esse c a m b i o r u m et r e c a m b i o r u m i n q u i b u s q u o t i d i e versatur et l u c r a r i solet, absque scrupolo d e b e t u r 1 1 . B u t t h e c o m b i n a t i o n o f t h e s e p r i n c i p l e s w i t h t h e o n e t h a t e a c h G e n o e s e is, p e r se, a m e r c h a n t , l e a d s S c a c c i a t o r e c a l l a f u r t h e r " u s e " w h i c h i n v o l v e d t h e complete change of one of the w e l l established points of the t r a d i t i o n a l doct r i n e (i. e. t h e r i g h t o f t h e m e r c h a n t , a n d h i s r i g h t a l o n e , t o t h e i n t e r e s t s o n t h e basis of t h e p r i n c i p l e of t h e loss of gain). Collige ... ex hac p r a x i q u o d genuenses hac v i a c o n s e q u u n t u r l u c r a c a m b i o r u m et r e c a m b i o r u m , sine cambio; q u i a supposita n e g o t i a t i o n e c a m b i o r u m p r o l i c i t a ... creditores omnes i n v i m i l l i u s n e g o t i a t i o n i s c o n s e q u u n t u r l u c r a c a m b i o r u m per v i a m l u c r i cessantis 1 2 . The p r o b l e m of the interest o n m o n e y (like t h a t already m e n t i o n e d of the interests calculated on interests) i m p l i e d facing a l o n g a n d consolidate t r a d i t i o n of opinions. Scaccia w a s certainly very p r u d e n t a n d d i d n o t strongly oppose w e l l established positions, b u t

9

offered,

through

t h i s use of

the

Scaccia, p. 300. See for instance for Cremona t h e r e m a r k s b y G. Politi, I I banco cremonese d i G i a n f r a n c o A m i d a r i i n e g l i u l t i m i a n n i d i a t t i v i t à ( 1 5 6 9 - 7 9 ) , i n A t t i d e l Convegno I s t i t u z i o n i e a t t i v i t à f i n a n z i a r i e m i l a n e s i d a l X I V a l X V I I I secolo, M i l a n o 1977 ( d u p l i cated): " t h e reference t o t h e " B e s a n ç o n " fairs has the o n l y a i m , as a d m i t t e d i n a m o m e n t of confidence b y t h e n o t a r y , to settle the rate of interest of his b a n k " . Α . Ρ . Usher , T h e E a r l y H i s t o r y of D e p o s i t B a n k i n g i n M e d i t e r r a n e a n Europe, C a m b r i d g e Mass. 1943, p. 123: at L y o n fairs " e a c h n a t i o n a l g r o u p . . . agreed u p o n a rate of i n t e r est o n f u n d p a y a b l e at t h e n e x t f a i r . . . T h i s rate is described i n the c o n t e m p o r a r y documents as a rate of exchange, b u t i t is m o r e accurately described to a m o d e r n reader as a rate of i n t e r e s t " . See also R. De Roover, L ' E v o l u t i o n de l a L e t t r e de Change, X l V e - X V I I I e siècles, Paris 1953, p p . 6 1 - 6 2 ; J. G. Da Silva , B a n q u e et crédit en I t a l i e au X V I I e siècle, Paris 1969, vol. I, p. 212. T h e b o o k b y M. Cassandro, L e fiere d i L i o n e e g l i u o m i n i d ' a f f a r i i t a l i a n i n e l C i n quecento, Firenze 1979, is m a i n l y a c o m p i l a t i o n . 11 A S G , Rota c i v i l e 1, cc. 5 1 0 r - 511 v. 12 Scaccia, p. 301 (my italics). 10

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Genoese " h a b i t " , conceptual i n s t r u m e n t s to liberalize the doctrine f r o m the restrictions imposed b y the p r o h i b i t i o n of usury. I n the previously m e n t i o n e d j u d g e m e n t 1 3 , there is a very significant passage i n this respect: "consideravi ... q u o d secundum m o r e m regionis Genuensis n u m m u s n u m m u m parere solet." Scaccia, evidently, appreciated the concept, a n d repeated i t , i n a s i m i l a r l y significant w a y i n the treatise, w h e r e i n he affirms t h a t , on the basis of a certain reasoning, " s a l v a t u r , seu excusatur, Genuensium vulgare i l l u d contra A r i s t o t e l i c a m d o c t r i n a m d i c t u m , denà fa denà". A proverb of a merchant t o w n is, i n this case, opposed to the f o r m a l (and a u t h o r i t a t i v e ) A r i s t o t e l i a n t r a d i t i o n 1 4 . Moreover, more t h a n one century before, a D o m i n i c a n of Genoese origin, T h e o p h i l o G i u s t i n i a n i , h a d already considered the p r o b l e m i n s i m i l a r terms, g i v i n g an answer w h i c h d i d n o t appear too different: q u e r i t u r ergo come stano insieme che i l denaro n o n facia denaro et tarnen i n I i c a m b i j el denaro fa denaro.

The answer h a d been t h a t " t h r o u g h business" (i.e. t h r o u g h l a w f u l contracts, l i k e p e r m u t a t i o n or sale a n d purchase) " i l denaro fa d e n a r o " 1 5 . If, at this p o i n t , w e w i s h e d to recall this q u o t a t i o n f r o m G i u s t i n i a n i ' s w o r k , i t is to u n d e r l i n e h o w Scaccia has f o u n d a very fertile ground, f u l l of ideas to be discussed w h e n he a r r i v e d i n Genoa, a t o w n i n w h i c h the debate 13

See note 6. Scaccia, p. 219. O n t h e theme of the A r i s t o t e l i a n t r a d i t i o n see the i n t e r e s t i n g conclusions d r a w n b y O. Langholm , W e a l t h a n d M o n e y i n the A r i s t o t e l i a n t r a d i t i o n , Bergen 1983, p. 53, a n d Id., The A r i s t o t e l i a n A n a l y s i s of U s u r y , Bergen 1984, passim. 15 T. I u s t i n i a n i , T r a c t a t u s c a m b i o r u m , B A V , Vat. L a t . 6434 c. 316 v. T h e i n f o r m a t i o n a b o u t G i u s t i n i a n i is v e r y scarce: f r o m the V a t i c a n codex i t appears t h a t t h e treatise was m a d e i n Chios ( p r o b a b l y i n t h e p e r i o d b e t w e e n t h e end of t h e X V a n d the f i r s t years of t h e X V I c e n t u r y : the w o r k b y D e V i o is n o t , for instance, m e n tioned). E v i d e n t l y T h e o p h i l o descended f r o m some b r a n c h of t h e G i u s t i n i a n i of Chios, o n w h i c h see Ph. P. Argenti, T h e O c c u p a t i o n of Chios b y the Genoese a n d t h e i r A d m i n i s t r a t i o n of t h e I s l a n d , 1346 - 1568, C a m b r i d g e 1958, i n w h i c h some notes r e g a r d i n g the s e t t l i n g of D o m i n i c a n s can be f o u n d , a n d A. Rovere, D o c u m e n t i d e l l a m a o n a d i Chio (sec. X I V - X V I ) , i n A S L S P X I X ( X C I I ) , vol. I I (1979). H e belonged to the congregation of Observants of L o m b a r d i a a n d is m e n t i o n e d w i t h w o r d s of a p p r e c i a t i o n b y M a t t e o B a n d e l l o w h o remembers h i m i n his role of d e p u t y P r i o r i n the Genoese monastery of S. M a r i a d i Castello i n 1504 (M. B a n d e l l o , Opera l a t i n a i n e d i t a v e l rara, ed. C. Godi, Padova 1983, p. 179) a n d f o r t h e same monastery he is also remembered, m a y be w r o n g l y , as t h e P r i o r (Ε . Pandiani, U n anno d i storia genovese, i n A S L S P X X X V I I , 1905, p. 441 and, contra, R. A. Vigna, S t o r i a cronologica d e l C o n v e n t o d i Santa M a r i a d i Castello, i n A S L S P X X I , 1889). G i o v a n n i Salvago i n the H i s t o r i e d i Genova, ms. A r c h i v i o D o r i a Genova, n° 1912, c. 8r, remembers T h e o p h i l o as "grecho cresciuto ne l a i z o l a d i S c i o " a n d m e n t i o n s the fact (even i f he w i l l t h e n delete t h e sentence i n question) t h a t , t h e " p o p u l a r i " m e r c h a n t s gathered i n his r o o m d u r i n g t h e r e b e l l i o n of 1506. I n 1512 D e V i o ordered h i m t o leave Chio; t h e f o l l o w i n g year he h a d a q u a r r e l w i t h t h e monastery of S. M a r i a d i Castello of Genoa (see A. De Meyer, R e g i s t r u m L i t t e r a r u m Fr. T h o m a e de V i o C a i e t a n i O.P. M a g i s t r i O r d i n i s 1508 - 1513, R o m a 1935, p p . 275 - 277). 14

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on the different aspects of the p r o b l e m of exchanges h a d been present for more t h a n a century. Recent a n d n o t so recent c o n t r i b u t i o n s have focused the a t t e n t i o n o n some texts w r i t t e n b y Genoese, or i n the Genoese circles, i n the second h a l f of the 16th or the b e g i n n i n g of the 17th c e n t u r y 1 6 . H o w e v e r i f w e f o l l o w the specific i n d i c a t i o n s b y the R o m a n j u r i s t or i f special themes or b i b l i o g r a p h i c i n d i c a t i o n s are investigated, w e realize h o w this subject can be e x a m i n e d further. Obviously Genoa was n o t an " u n i c u m " i n the I t a l i a n a n d European scenario. F r o m Florence to Venice, f r o m M i l a n to Rome, f r o m L o n d o n to A n t w e r p , f r o m L y o n to M e d i n a del Campo bankers a n d businessmen b a r tered on money a n d exchanges, a n d discussions on the exchanges were going on. B u t i f w e w i s h to consider a d o m i n a n t image i n the general conscience a n d i n the l i t e r a r y transposition, this image reflects the Genoese b u s i nessman. 2. We w i l l j u s t i f y later the f u r t h e r reasons for w h i c h , i n this essay, an observatory l i k e t h a t of 16th Century Genoa is privileged. L e t us j u s t recall h o w the debate on the p r o b l e m of exchanges, w i t h i n the more general one r e g a r d i n g usury, finds i n this very century its m a x i m u m development at a European level. This is a debate w h i c h is constantly renewed w i t h changing economic a n d i n s t i t u t i o n a l r e a l i t y ; i n w h i c h the intersections of different disciplines are numerous a n d entangled. As always Scaccia synthetizes, w i t h great accuracy, h o w "haec c a m b i j m a t e r i a a p u d omnes Theologos et Jureconsultos r e p u t a t u r obscura, d i f f i c i l i s et i n t r i c a t a . " B u t the debate i n v o l v e d n o t o n l y theologians a n d jurists, even i f t h e i r opinions are the best k n o w n a n d the most w i d e l y studied. There were also those (rarely expressed a n d spread t h r o u g h p r i n t e d works) of merchants (as w e w i l l be r e m i n d e d b y the Theatine L e o n a r d o D u a r d o ) "audentes de just i t i a c a m b i j disputare ac determinare, c u m litteras i g n o r e n t ; et récusantes t h e o l o g o r u m et c a n o n i s t a r u m j u d i c i u m se s u b m i t t e r e " 1 7 . A n d even i f today i t is rather d i f f i c u l t to stick completely to the o p i n i o n b y Lattes according to w h i c h "businessmen d i d always strongly oppose the canonic p r o h i b i t i o n s " 1 8 , i t is sure t h a t the debate on exchanges (and usury) was a debate 16 G. Cassandro, U n t r a t t a t o i n e d i t o e l a d o t t r i n a d e i c a m b i n e l Cinquecento, N a p o l i 1962 ( r e p r i n t e d w i t h o u t the w o r k b y Palescandolo, i n Saggi d i storia del d i r i t t o c o m merciale, N a p o l i 1974) a n d D. Maffei, N o t i z i e su a l c u n i t r a t t a t i cinque-seicenteschi i n t e m a d i c a m b i , i n Ricerche storiche ed economiche i n m e m o r i a d i Corrado B a r b a g a l l o , N a p o l i 1970, I I , p p . 329 - 347. 17 L . D u a r d o , C o m m e n t a r i a i n E x t r a v a g . P i i Papae Q u i n t i de Cambiis, N a e p o l i [sic], A p u d O c t a v i a n u m B e l t r a n u m 1641, p. 147. 18 A. Lattes, I l d i r i t t o commerciale n e l l a legislazione s t a t u t a r i a delle c i t t à i t a l i a n e , M i l a n o 1884, p. 147. - The image of the m e r c h a n t is w e l l represented i n T. W i l s o n , A discourse u p o n usury, w i t h a n h i s t o r i c a l i n t r o d u c t i o n b y R. H. Tawney, L o n d o n 1925,

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g r o u p i n g several opinions simultaneously, a n d i n w h i c h - also - the role of the Courts, l i k e the Genoese or the R o m a n Rota, was f u n d a m e n t a l i n the acknowledgement a n d the f o r m a l i z a t i o n of the n e w economic and social realities. The doctors " a n t i q u i o r e s " c o u l d ignore the " c a m b i u m Bezenzonense ... c u m hoc cambio n o n sit m u l t u m a n t i q u u m " 1 9 , b u t i t was u p to the Rote to decide a n d f i n d the conceptual means to set contract regulations a n d o b l i g a tions. The "doctores" d i d n o t c o n t r i b u t e to the development of n e w theories, o n l y i n t h e i r role of judges at the courts. Jurists, canonists, theologians were c o n t i n u o u s l y called, t h r o u g h the 16th Century, to express t h e i r opinions: the request came either f r o m the Pope, or the l o c a l religious authorities, or f r o m the secular authorities or even the merchants themselves. L e t us recall, b y w a y of example, some dates a n d events: -

1 5 1 3 - 1 5 1 5 : debate i n the G e r m a n Universities a n d i n t h a t of Bologna on the p r o b l e m of i n t e r e s t 2 0 ;

-

1515: the " I n t e r M u l t i p l i c e s " b u l l establishes a w e l l - d e f i n e d p o i n t on the p r o b l e m of the " m o n t i d i p i e t à " 2 1 ;

-

1517: statement of the doctors of the U n i v e r s i t y of Paris on exchanges 2 2 ;

-

1517 a n d f o l l o w i n g years: debate i n L u c c a on exchanges 2 3 ;

-

1532: the Spanish merchants of A n t w e r p again press the U n i v e r s i t y of Paris for an o p i n i o n on exchanges 2 4 ;

-

1554: i n L i s b o n c a r d i n a l H e n r y of P o r t u g a l submits doubts to A z p i l c u e t a about the p r o b l e m of l o a n a n d u s u r y 2 5 ;

see, e.g., at p. 251: " y o u m a y aswel f o r b i d d e b y i n g a n d selling, as f o r b i d d e t a k i n g interest for money; for, I p r a y y o u , w h a t difference is there b e t w i x t t h e one a n d t h e other?" 19 Scaccia, p. 150. 20 H. A. Oberman, W e r d e n u n d W e r t u n g der Reformation, T ü b i n g e n 1977, pp. 160ff. 21 See the recent i n t e r p r e t a t i o n b y P. Prodi, L a nascita dei M o n t i d i Pietà: t r a s o l i d a r i s m o c r i s t i a n o e logica d e l p r o f i t t o , i n A n n a l i d e l l ' I s t i t u t o S t o r i c o i t a l o - g e r m a n i c o i n T r e n t o V I I I (1982), pp. 211 - 224. 22 L . Vereecke, L a l i c e i t é d u " c a m b i u m bursae" chez Jean M a i r (1469 - 1550), i n Revue H i s t o r i q u e d u d r o i t français et étranger, I V serie, X X X (1952), pp. 125ff., w i t h the r e c a l l a n d t h e discussion o n the famous passage b y D . Soto, D e i u s t i t i a et iure, L . 6, q. X I I , art. 5 (ed. A n t v e r p i a e , a p u d P h i l i p p u m N u t i u m , 1567, c. 2 1 5 r a n d v). 23 G i r o l a m o [ F r e d i a n i ] da L u c c a , D e Cambiis, Papiae, A p u d J a c o b u m de B u r g o franco, s.d. [ 1 5 1 7 - 1 5 1 8 ] (and i n T r a c t a t u s u n i v e r s i i u r i s , Venetiis 1584, V I , I, cc. 4 0 8 r - 410v); a n d Orpheus de B o n o n i a , T r a c t a t u s de m a r c h i i s , B A V , V a t . L a t . 7720. 24 J. A. Goris, Études sur les colonies marchandes m é r i d i o n a l e s (portugais, espagnols, italiens) à A n v e r s de 1488 à 1567, L o u v a i n 1935, p p . 503 ff. 25 M . A z p i l c u e t a , E n r i c h i d i o n sive m a n u a l e confessariorum, Romae, A p u d V i c t o r i u m R o m a n u m , 1573, c. 242 v.

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1554: i n Genoa the A r c h b i s h o p V i c a r promotes a debate ( i n v o l v i n g theologians, jurists a n d merchants) on the l e g a l i t y of exchanges 2 6 .

We w i l l n o w stop at this date, being aware of the fact t h a t the most i m p o r t a n t moments of debate are s t i l l to come. The more specifically d o c t r i n a l c o n t r i b u t i o n s , as w e said i n agreement w i t h de Roover, are numerous: let us j u s t c a l l to m i n d , at the b e g i n n i n g of the century, the De cambiis b y Tommaso de V i o O.P. (the famous Cajetanus), precisely for its great influence a n d for h a v i n g been the f i r s t w o r k p u b l i s h e d a n d dedicated specifically to the p r o b l e m 2 7 . Closely l i n k e d , even i f more w i d e l y autonomous, is the collection of w o r k s on usury a n d interest; f r o m the 30 s to the 50 s w e note a real explosion of interests i n Europe: f r o m D u M o u l i n , H o t m a n , Doneau, to A z p i l c u e t a , Soto a n d a l l the Spanish w o r k s . Catholic a n d reformed countries, M e d i t e r r a n e a n a n d C o n t i n e n t a l Europe: everywhere the problems of money, its m a r k e t , a n d of the c o n t r a c t u a l forms r u l i n g its t r a f f i c are constantly d e b a t e d 2 8 . I t has often been p u t f o r w a r d as an o b j e c t i o n t h a t a l l these discussions effectively i n v o l v e d neither merchants n o r bankers, a n d t h a t the p r o h i b i tions b y the C h u r c h d i d n o t effectively influence the r e a l i t y of economic a n d commercial life. Referring to a p e r i o d before t h a t considered, C. Bee was able to a f f i r m t h a t "ne parvenant pas à d é f i n i r une d o c t r i n e u n i q u e et claire, les docteurs n'exercent que peu d'influence sur les marchands contemporains. Leurs traités sont s t é r i l e s " 2 9 . I f such a statement can, I suppose, be discussed for the p e r i o d of the 14th a n d 15th Centuries, b o t h the theory a n d practice of exchange contracts i n the 16th a n d 17th Centuries show its extremely s i m p l i f y i n g a n d p a r t i a l l y deviant character. Interest loans, also w i t h h i g h rates of interest, were effect i v e l y used; the fact remains, however, t h a t specific forms of contracts were adopted just to a v o i d b e i n g condemned or criticized. D e Roover was n o t the

26

See i n the sequel, § I I . W r i t t e n at the monastery " d e l l e G r a z i e " i n M i l a n i n 1499, p u b l i s h e d several times d u r i n g 1500; a " c r i t i c a l " e d i t i o n of t h e same exists i n T. D e Vio, S c r i p t a p h i l o sophica: Opuscula economica-socialia, ed. P. P. Zammit, Romae 1934, pp. 91 - 133 ( f r o m w h i c h w e quote); i n a d d i t i o n to the e d i t i o n s e x a m i n e d b y Z a m m i t , w e i n d i c a t e : the f i r s t one (see I n d i c e generale d e g l i I n c u n a b o l i delle B i b l i o t e c h e d ' I t a l i a , V, R o m a 1972, n° 10332), a n d a f u r t h e r one, i n c l u d e d i n a c o l l e c t i o n of p h i l o s o p h i c a l w r i t i n g s b y D e V i o , I n p r a e d i c a b i l i a P o r p h y r i i . . ., Venetiis, Impensis L u c e a n t o n i j de G i u n t a , 1519, p r o b a b l y n o t n o t e d as i n the frontispiece no i n d i c a t i o n a b o u t t h e D e c a m b i i s appears). 28 Recent c o n t r i b u t i o n s , i n H a n d b u c h der Q u e l l e n u n d L i t e r a t u r der Neueren E u r o päischen Privatrechtsgeschichte. I I B : Neuere Z e i t (1500 - 1800). I : Wissenschaft, hg. v o n H. Coing, M ü n c h e n 1977 ( p a r t i c u l a r l y t h e c o n t r i b u t i o n s b y H. Ε. Troje a n d Κ. Ο. Schemer ) a n d i n J. Day (ed.), Etudes d ' H i s t o i r e monetaire, L i l l e 1984. 29 C. Bec, Les m a r c h a n d s écrivains à Florence. 1375 - 1434, Paris - L a H a y e 1967, p. 255. 27

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o n l y person w h o s u b m i t t e d c o n t r i b u t i o n s of p r i m e i m p o r t a n c e to this sector: the remarks made, l o n g ago, b y G. M a n d i c h , have to be considered: "Les principes tenaces de l a doctrine canonique ... e x p l i q u e n t sans doute, l ' e m p l o i si c o m p l i q u é de l a ricorsa q u i substitue à u n prêt manifeste, à échéance assez éloignée, une série de changes r é i t é r é s " 3 0 . These remarks, along w i t h vast d o c u m e n t a r y support, c o n f i r m the studies made by N i c o l i ni31. The p r o m u l g a t i o n of the b u l l In earn of 1571 h a d effects w h i c h were cert a i n l y n o t of secondary i m p o r t a n c e on the E u r o p e a n m a r k e t of exchanges f r o m S p a i n to L y o n 3 2 , to I t a l y a n d to Genoa itself, as w e shall see. The process t h r o u g h w h i c h the m a r k e t system came to be accepted, a n d thus also t h a t of money, was, effectively, extremely complicated; i t was a process i n w h i c h the role p l a y e d b y theories was certainly n o t secondary to the economic, real one. H e r b e r t L ü t h y summed i t u p w i t h keen insight: " l e marché, en effet, constitue une socété abstraite q u i ne distingue n i personne n i rang, j u r i d i q u e m e n t égalitaire parce q u ' a n o n y m e et fondée u n i q u e m e n t sur le do u t des, régie de t o u t échange et de t o u t c o n t r a t " . B u t this was, i n fact, a result. " L ' a l c h i m i e mystérieuse d u change" to use L ü t h y ' s words, m a y also have represented " u n e régression" 3 3 , b u t i t is also t r u e t h a t , as A . P . Usher judged, " t h e more w e l e a r n of the early h i s t o r y of c o m m e r c i a l paper, the more evident i t becomes t h a t the e v o l u t i o n of these seemingly simple concepts i n v o l v e d a s i n g u l a r l y complex p r o c e s s " 3 4 . F o r the most different reasons, d u r i n g the 16th century, w e note, f r o m cert a i n aspects, a p r o f o u n d d i c h o t o m y between m a r k e t practices a n d t h e o l o g i cal, j u r i d i c a l a n d m o r a l theories. This does n o t mean, however, t h a t the study of doctrines is less interesting a n d advantageous t h a n t h a t of f a c t s 3 5 . A l l the more so w h e n w e are i n the d o m a i n of j u r i d i c a l doctrines a n d of those r e g a r d i n g commercial contracts. M a r k e t economic relationships (even t h a t of money), are m e d i a t e d b y forms of contracts; w h i c h are elaborated 30 G. Mandich, L e Pacte de Ricorsa et le marché i t a l i e n des changes a u X V I I e siècle, Paris 1953, p. 4. 31 U. Nicolini, S t u d i s t o r i c i s u l pagherö c a m b i a r i o , M i l a n o 1936, p a r t i c u l a r l y p p . 46 ff. 32 H. Lapeyre, U n e f a m i l l e de M a r c h a n d s : Les Ruiz, Paris 1955, pp. 134f f., 319; see also M. Venard, C a t h o l i c i s m e et usure a u X V I e siècle, i n Revue d ' H i s t o i r e de l ' E g l i s e de France L U (1966), p. 66, w h o , erroneously, dates the b u l l at 1572. 33 H. Lüthy, L a B a n q u e Protestante en France de l a R é v o c a t i o n de l ' E d i t de Nantes à l a R é v o l u t i o n , Paris 1961, I I , p p . 764, 768 - 769. 34 Usher, p. 109. 35 See R. H. Tawney, R e l i g i o n a n d the Rise of C a p i t a l i s m , L o n d o n 1948, p. 11: " b e cause d o c t r i n e a n d c o n d u c t diverge, i t does n o t f o l l o w t h a t to e x a m i n e the formers is t o h u n t abstractions. T h a t m e n s h o u l d have t h o u g h t as t h e y d i d is sometimes as s i g n i f i c a n t as t h a t t h e y s h o u l d have acted as they d i d , a n d n o t least s i g n i f i c a n t w h e n t h o u g h t a n d p r a c t i c e are at v a r i a n c e " .

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Rodolfo Savelli

(and justified) i n the 16th Century n o t o n l y b y the i m p o r t a n t "hombres de negocios" b u t also b y the school jurists, the judges of the Rote a n d the theologians. 3. Sometimes the r i g i d i t y of the j u r i d i c a l forms of contracts is far greater t h a n the c h a n g i n g reality. A g a i n i n the first h a l f of the 18th Century, o n the Genoa f i n a n c i a l m a r k e t , w h e n entering i n t o a foreign loan, n o t o n l y was the w o r d " c a m b i u m " s t i l l employed, b u t also the clause " b y w h i c h the debtor promised to r e t u r n the c a p i t a l w i t h i n eight days f r o m the date of the contract, and, o n l y i n case of delay, c o m m i t t e d himself " q u a l e creditore moroso et i n m o r a l e g i t t i m a m e n t e c o s t i t u i t o " to pay the c r e d i t o r the interest agreed upon, to r e f u n d h i m for the expenses suffered a n d the damages for the l a c k of p r o f i t a n d the d e r i v i n g d a m a g e s " 3 6 . We have to consider t h a t these k i n d s of contract formulas h a d already been a p p l i e d since the 15th c e n t u r y 3 7 . W h y , then, are they s t i l l used? W h y does this t r a d i t i o n a l i s m persist? A c c o r d i n g to an a u t h o r i t a t i v e h i s t o r i a n of economics "Genoa was a monet a r y m a r k e t e x c e p t i o n a l l y free f r o m every i n t r u s i o n b y n o n c o m m e r c i a l elements. P r a c t i c a l l y no relevant pressure b y the C h u r c h on the f i n a n c i a l activities ever e x i s t e d " 3 8 . E v e n i f i t is t r u e t h a t the C h u r c h never d i d succeed i n h a m p e r i n g i n Genoa the development of S. Giorgio, or i n c r a m p i n g the f i n a n c i a l propensity of the Genoese p a t r i c i a n class, i t is however t r u e t h a t a constant pressure always existed, a n d h a d the same essential i m p o r t a n c e as elsewhere. A l r e a d y Sieveking h a d noted, i n his avant-garde study, t h a t some forms of p a y m e n t b y S. G i o r g i o gave rise t o c e r t a i n p r o b l e m s 3 9 . The recent studies b y K i r s h n e r w i d e l y demonstrated t h a t i n Genoa too, as i n Florence a n d elsewhere, the m a t t e r of the interest on p u b l i c debt titles (S. G i o r g i o or " M o n t i " ) was not accepted passively by everybody 4 0 . B u t i t is of great interest to under36 G. Felloni, G l i i n v e s t i m e n t i f i n a n z i a r i genovesi i n E u r o p a t r a i l Seicento e l a Restaurazione, M i l a n o 1971, p p . 363 - 364. 37 W. J. Ashley , A n I n t r o d u c t i o n t o E n g l i s h E c o n o m i c H i s t o r y a n d T h e o r y , I, I I , L o n d o n 1898, p p . 399ff. ( w i t h clear reference to the t h e o r i z a t i o n made b y Paolo d i Castro). 38 C. M. Cipolla, N o t e s u l l a storia d e l saggio d'interesse. Corso, d i v i d e n d i e sconto d e i d i v i d e n d i d e l Banco d i San G i o r g i o n e l sec. X V I , i n E c o n o m i a I n t e r n a z i o n a l e V (1952), p. 256, n° 1. 39 H. Sieveking , S t u d i o sulle finanze genovesi n e l M e d i o E v o e i n p a r t i c o l a r e s u l l a casa d i San G i o r g i o , i n A S L S P X X X V (1906), I, p p . 55 - 56, a n d I I , p. 27. 40 J. Kirshner , Conscience a n d P u b l i c F i n a n c e i n a Questio d i s p u t a t a of J o h n of L e g n a n o o n the p u b l i c d e b t of Genoa, i n E. P. Mahoney (ed.), P h i l o s o p h y a n d H u m a n i s m : Essays i n H o n o r of P a u l Oskar K r i s t e l l e r , L e i d e n 1976, pp. 434 - 453; Id., The m o r a l p r o b l e m of d i s c o u n t i n g genoese paghe, 1 4 5 0 - 1 5 5 0 , i n A r c h i v u m F r a t r u m P r a e d i c a t o r u m X L V I I (1977), pp. 109 - 167; Id., A n o p i n i o n of R a p h a e l de Pornassio O.P. o n the m a r k e t i n Genoese Lire de paghe, i n X e n i a M e d i i A e v i H i s t o r i a m I l l u s t r a n t i a o b l a t a T h o m a e K a e p p e l i O.P., ed. R. Creytens / P. Kuenzle, R o m a 1978, pp. 507 - 517; Id., R e a d i n g B e r n a r d i n o ' s sermon o n t h e p u b l i c debt, i n A t t i d e l S i m p o s i o I n t e r n a z i o n a l e C a t a r i n i a n o - B e r n a r d i n i a n o , ed. b y D. Maffei a n d P. Nardi, Siena 1982, pp. 547 - 621.

Between Law and Morals

49

l i n e t h a t everyone w h o expressed his o p i n i o n to defend the lawfulness of the " l u o g h i " , of the " p a g h e " (and of t h e i r discount) t r y to b r i n g the contract i n question back u n d e r the more general f o r m of the " c o n t r a c t u s emptionis et v e n d i t i o n i s " w h i c h , as Bartolomeo Bosco stated, "constat esse l i c i t u m , o m n i iure D i v i n o , Canonico et C i v i l i " 4 1 . We shall later examine the effective m e a n i n g of the a d o p t i o n of the category " e m p t i o - v e n d i t i o " for the exchange contract. For the m o m e n t let us just u n d e r l i n e t h a t t h i s was one of the m a i n ways, even i f t r a d i t i o n a l i n type, to j u s t i f y contracts t h a t c o u l d have been i n c l u d e d i n the category of the „ m u t u u m " , a n d for w h i c h interest was p r o h i b i t e d . L e t us b r i e f l y make a digression: even i n the famous w o r k b y Johannes Aepinus (Höck) In Psalmum XV Davidis Commentarius w h i c h is considered to be one of the key w o r k s for an u n d e r s t a n d i n g of the " n e w " a t t i t u d e of the reformed w o r l d w i t h respect to interest a n d usury, the concept of " e m p t i o " is used (even i f n o t alone, as w e w i l l see later): D o m i n i praecepta de beneficentia et m u t u o n o n debent o p p o n i e m p t i o n i r e d d i t u u m , q u i a D o m i n u s i n his praeceptis ne q u i d e m v e r b o a t t i n g i t e m p t i o n i s c o n t r a c t u m ... e m p t i r e d d i t u s a n o n i n d i g e n t i b u s p r o usura h a b e r i n o n possunt, q u i a r e d d i t u s sunt emptionis lucrum, non m u t u i 4 2 .

L e t us go back n o w to our m a i n issue. Genoa was n o t free f r o m m o r a l a n d religious tensions a n d the connection between f a i t h a n d business was far f r o m b e i n g simple. S t i l l i n 1515, according to a use of l o n g respected t r a d i tion, B a t t i s t a Spinola, w h e n m a k i n g his w i l l , stated t h a t the A u g u s t i n i a n Stefano Z o a g l i s h o u l d examine his account books, judge the lawfulness of the operations a n d decide, then, w h e t h e r any a m o u n t h a d to be r e t u r n e d 4 3 . B u t i f this use is, to some extent, t r a d i t i o n a l (and, moreover, demands an ex post judgement) another case is interesting, traces of w h i c h remains i n a judgement b y the R o m a n Rota (and this judgement has been f r e q u e n t l y m e n t i o n e d b y Scaccia). A c c o r d i n g to this decision, Father V i p e r a S.J. (who was the a u t h o r of a treatise on exchanges) h a d been asked to express a p r e v i ous j u d g m e n t on the lawfulness of a certain contract on " m o n e y " 4 4 . 41 B. Bosco, Consilia, L o d a n i , A p u d F r a n c i s c u m Castellum, 1620, p. 419 (n° 262). A b o u t Bosco, i n a d d i t i o n to the b i b l i o g r a p h y q u o t e d b y Kirshner, see also V. Piergiovanni, L e z i o n i d i storia g i u r i d i c a genovese, I I Medioevo, Genova 1983, pp. 181 ff. 42 I q u o t e f r o m the e d i t i o n of A r g e n t o r a t i , Iacobus C a m m e r L a n d e r , 1543, c. 2 7 r a n d v. O n t h i s t e x t , w i d e l y used b y D u M o u l i n , see H. Hauser, Les idées économiques de C a l v i n , i n L a m o d e r n i t é d u X V I e siècle, Paris 1963, p p . 121 - 122; P. Nelson, The Idea of U s u r y , P r i n c e t o n 1949, pp. 73, 91; J. L . Thireau, Charles D u M o u l i n , Genève 1980, p p . 359ff. 43 One copy of t h e w i l l i n A r c h i v i o d i Stato, L a Spezia, F o n d o L a m b a D o r i a , 1. 44 Decisiones Rotae Romanae i n causa i a n u e n s i p e c u n i a r i a . . . C o r a m Reverendiss. P. D . L a n c e l l o t t o , Genuae, a p u d I o s e p h u m Pavonem, 1611. The fact t h a t V i p e r a is the a u t h o r of a treatise o n exchanges ( w h i c h r e m a i n e d i n m a n u s c r i p t form) is asserted b y the T h e a t i n e B. G i u s t i n i a n i (see i n f r a note 144). A n o p i n i o n b y V i p e r a o n the " l i b r a n z e " a n d other contracts made b y the n o b l e Genoese is c o n t a i n e d i n A R S I , Opp. N N . 258, cc. 98ff.

4 Piergiovanni

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Rodolfo Savelli

B y this w e do n o t w a n t to state t h a t the ecclesiastical a n d religious presence was p a r t i c u l a r l y p e n e t r a t i n g a n d univocal. We w a n t to say t h a t i t existed a n d conditioned, under certain aspects, b u t i t was, i n t u r n , cond i t i o n e d i n other respects. I n 1567 some judges, f o l l o w i n g a mandate b y the R o m a n I n q u i s i t i o n , prosecuted a Benedictine m o n k , A m b r o g i o da M i l a n o : among the questions p u t to the witnesses (who i n c l u d e d some of the most d i s t i n g u i s h e d Genoese patricians) there was the f o l l o w i n g : i t e m si a l i q u i b u s n o b i l i b u s d i x e r i t eos posse m u t u a r i sub usuris a d r a t i o n e m t r i g i n t a p r o centenario regi Catholico, q u i a ipse Rex onerabat Januenses i n e x t r a c t i o n e b l a d o r u m plus i u s t o 4 5 .

The depositions were a l l i n favour of the poor m o n k , b u t p r o b a b l y the " i n f o r m a n t " h a d noted, to his surprise, these accents of economical w a r aimed at j u s t i f y i n g the p r o f i t a b l e business of the Genoese w i t h the Spanish Crown. I n 1588 the A r c h b i s h o p V i c a r issued a document i n w h i c h , i n order to face the f i n a n c i a l problems of the Genoese curia, he proposed a p a r d o n for a l l persons w h o h a d speculated on the exchanges after the b u l l b y Pious V, a n d t h a t "potessero quei t a l i fare u n a compositione con l a Sede A p o s t o l i c a " 4 6 . This is an essentially l a x i s t a t t i t u d e , of a person w h o tries to m a k e at least some p r o f i t f r o m a s i t u a t i o n w h i c h was, evidently, extremely d i f f i c u l t to control; an a t t i t u d e h i g h l y s i m i l a r to the one of an anonymous c o m p i l e r of a d r a f t on the fiscal problems of the Republic i n the m i d d l e of the 16th Century: T r o v o che si fanno i n l a C i t t à ... m o i t e q u a l i t é d i n e g o t i j dove il denaro fa denaro, senza a l c u n a gravezza, si come sarebbero c a m b i i d i Corte e de S i g n o r i , c o n t r i fermi, d e p o s i t i sopra l a fede e sopra o b l i g h i d i case, v e n d i t e d i paghe e d i l o c h i n o n s c r i t t i i n San Georgio e s i m i l i a , sopra t u t t i I i q u a l i v o r r e i poner gravezza d i mezzo per cento 4 7 .

A p a r t f r o m the interest for the " a n t i - A r i s t o t e l i a n " n o t i o n of money w h i c h generates money (and apart f r o m some aspects of fiscal p o l i c y i n the Republ i c of Genoa, w h i c h w i l l be discussed later) this evidence is q u i t e a good i n t r o d u c t i o n to the m u l t i f o r m w o r l d of business w h i c h Genoa was i n the m i d 16th Century, a n d w h i c h never failed to astonish a n d even perhaps inspire a d m i r a t i o n i n foreign judges a n d jurists w h o came to take p a r t i n the C i v i l Rota, l i k e Scaccia, or an u n k n o w n predecessor of his w h o , i n a judgement, w r o t e : "Genuae, u b i v i v i t u r super i n t e r e s s i b u s " 4 8 . I n the previously q u o t e d sentence, w e f i n d " m o i t e q u a l i t é d i n e g o t i j " . A l m o s t a l l these " n e g o t i i " passed t h r o u g h the hands of the notaries. I t is superfluous to m e n t i o n the i m p o r t a n c e of the Genoese w o r l d of notaries, a n d 45 46 47 48

A S G , N o t a i o G. B. Procurante, sc. 409. f. 1. B i b l i o t e c a Corsiniana, Roma, ms. 682 (35. B. 11), cc. 419 - 420. A S G , Senato, Sala Senarega 1276 (my italics). Decisiones Rotae Genuae, cit., c. 143 ν (n° L X V I I I ) .

51

Between L a w and Morals

the e x t r a o r d i n a r y w e a l t h of d o c u m e n t s w h i c h i t has left. W e just w i s h to c a l l a t t e n t i o n to one l i s t i n g t h a t a clerk of the B o a r d of Notaries made, at the request of the Rector, w h e r e i n the agenda were noted, a k i n d of m e m o r a n d u m f o r office use: D e n o t a r i j s u s u r a r i j s ... D e c o n t r a c t i b u s q u i f i u n t i n ecclesiis. D e i l l i s q u i i n diebus festivis et d o m i n i c i s de praecepto c o n f i c i u n t instrumenta. D e i n s t r u m e n t i s et c o n t r a c t i b u s f e n e r a t i t i i s 4 9 .

continue

W h o , better t h a n the Rector or the Clerk, c o u l d be aware of the e n o r m i t y of t h e p r o b l e m ? W e are at t h e e n d of t h e 60s, a n d f r o m a p r i v i l e g e d o b s e r v a t o r y , s u c h as w a s t h e G e n o e s e w o r l d o f n o t a r i e s , c o m e s p r e c i o u s e v i d e n c e o n a k i n d of " g o l d fever" w h i c h h a d infected the w h o l e t o w n and, therefore, the notaries themselves. There are n o t o n l y those notaries w h o l o a n

money

d i r e c t l y (at w h a t r a t e of interest?) b u t also those n o t a r i e s i n v o l v e d i n c e r t a i n a c t i v i t i e s b o r d e r i n g o n i l l e g a l i t y ; t h e s e a r e , e v i d e n t l y , so n u m e r o u s as t o cause some concern t o t h e R e c t o r of t h e B o a r d . T h e w o r r i e s c o n c e r n i n g the " n e g o t i j dove i l denaro fa d e n a r o " , a n d spec i a l l y t h e exchanges, w e r e n o t o n l y of e t h i c a l - r e l i g i o u s c h a r a c t e r . T h e r e is also a f u r t h e r

aspect of the o p p o s i t i o n to the d i f f u s i o n of the

financial

activities, w h i c h needs a n a l b e i t short d e s c r i p t i o n , also because of

some

repercussions i t w i l l also have i n the literature. I n a n a n o n y m o u s treatise o n exchanges (very p r o b a b l y w r i t t e n b y a Genoese A u g u s t i n i a n at the b e g i n n i n g of t h e 16th C e n t u r y ) at t h e e n d of the discussion i n w h i c h t h e " r i c a m b i " are considered to be l a w f u l , even if w i t h certain conditions, w e f i n d this statement: H i s n o n ostantibus n o n consulo nostris c i v i b u s q u o d omissa m e r c a t u r a se dent p e n i t u s et p e r d i t e cambijs, sed p o t i u s c a m b i a o r d i n e n t ad m e r c a t u r a m 5 0 . 49

M a n u a l e d i v e r s a r u m n o t u l a r u m q u i i n dies o c c u r r u n t . . ., A S G , N o t a i I g n o t i , 434. T h i s anonymous treatise o n exchanges is c o n t a i n e d i n the q u o t e d codex B A V V a t . L a t . 6434, cc. 197r - 2 2 2 v (the m e n t i o n e d q u o t a t i o n at c. 215r). T h i s codex is a collect i o n of i n t e r e s t i n g h a n d w r i t t e n a n d p r i n t e d documents o n the subject; i t is c e r t a i n l y of Genoese o r i g i n and, p r o b a b l y , i t was collected b y t h e F r a n c i s c a n A n g e l o G i u s t i n i a n i , B i s h o p of Geneva (among o t h e r documents there is also a f u r t h e r copy of the treatise b y Palescandolo, w h i c h c o n f i r m s its l o c a l d i f f u s i o n : see Maffei , p. 338). Of great interest are t h e letters (contained i n this codex) of the F r a n c i s c a n A r c a n g e l o B o t t i c i n o , addressed to G i u s t i n i a n i , i n w h i c h a l l p r o b l e m s a n d d o u b t s of a confessor w i t h respect to the m e r c h a n t w o r l d are expressed: " s i e n i m n u m q u a m liceret vendere u l t r a r i g i d u m p r e c i u m , esset d a m n a r e fere omnes mercatores . . . q u i a et Genuae et C l a v a r i et fere u b i q u e l o c o r u m v i x est m e r c a t o r q u i n o n a l i q u a n d o v e n d a t precio cred i t o et m a i o r e q u a m n u m e r a t o " . B o t t i c i n o was a reader of several authors: he n o t o n l y m e n t i o n s Raffaele da Pornassio, b u t i n t h e monastery of S. Francesco i n C h i a v a r i he h a d w o r k s to h a n d l i k e t h e S u m m a Rosella or t h e D e C o n t r a c t i b u s b y S u m m e n h a r t (the copies B U G : R a r i Α . V I I . 22 a n d H . V I . 11 come f r o m t h a t monastery a n d contain, h a n d w r i t t e n notes b y B o t t i c i n o ) . A b o u t A n g e l o G i u s t i n i a n i f i r s t i n f o r m a t i o n i n J. A . Besson, Mémoires p o u r l ' h i s t o i r e ecclesiastique des diocèses de Genève, Tarantaise . . ., N a n c y 1759, pp. 6 8 - 7 1 ; G. Cantini, I francescani d ' I t a l i a d i f r o n t e alle d o t t r i n e 50

4*

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Rodolfo Savelli

A n d also i n T h e o p h i l o G i u s t i n i a n i , b e l o n g i n g to the same period, w e f i n d t h i s consideration, r e g a r d i n g the lawfulness of " r i c a m b i " : cosi como q u e l l i c a m b i j [reali] si fanno p e r fine d ' i m p l i c a r e i n merce, ο fare p a g a m e n t i i n l i l o c h i per ove si danno, et h a n n o i l mercatare per fine l o r o ; cossi q u e s t i [ r i c a m b i ] sono f a c t i et o r d i n a t i , perché essi d e n a r i d a t i a c a m b i o siano r e m a n d a t i per r e c a m b i o et stare sopra queste v o l t e de c a m b i o et r e c a m b i o per p i ù guadagno senza a l t r a necessitade 5 1 .

We f i n d here, i n nuce, one of the themes r e c u r r i n g i n a large p a r t of the l i t erature of the 16th Century, i.e. the o p p o s i t i o n between "effective" t r a d i n g a n d f i n a n c i a l activities, a n d this theme h a d enormous repercussion, o b v i ously, also i n Genoa. I n t h i s t o w n , i n fact, f r o m the m i d d l e of the century on, w e f i n d ample evidence of an ever increasing o p p o s i t i o n to the n e w role assumed b y the finance inside the t o w n economy; a n d the correlative of w h i c h is, among other things, the p o l i t i c a l i m p o r t a n c e of financers i n the government of the Republic. Some of these texts have already been studied f r o m a different v i e w p o i n t to reconstruct the p o l i t i c a l a n d i n s t i t u t i o n a l debate e x i s t i n g i n Genoa between the 16th a n d the 17th C e n t u r y 5 2 . L e t us consider them, n o w , i n the l i g h t of the debate on exchanges. G i o v a n n i (Cibo) Recco, commercial entrepreneur, s i l k - m e r c h a n t , officer of the Republic and, i n his free time, h i s t o r i a n , returns several times, i n his Historie di Genova to the p r o b l e m of the e c o n o m i c - p o l i t i c a l t r a n s f o r m a t i o n of the t o w n , accusing the " p r i v a t a avarizia d i c i t t a d i n i p o t e n t i s s i m i " w h o became r i c h t h r o u g h " i l l e c i t i c a m b i " , a n d e x c l a i m i n g , at a certain p o i n t : i n v e r i t à sono p i ù lecite le prede de T u r c h i che d e g l i C r i s t i a n i e d i p i ù sicura conscienza v i sarebbero che i d e n a r i d a t i a c a m b i o 5 3 .

Recco is echoed b y an anonymous dialogue (the a u t h o r of w h i c h was, cert a i n l y , very close to the p o l i t i c a l positions of our entrepreneur) w h e r e i n the o p p o s i t i o n to the f i n a n c i a l oligarchy is no less v i o l e n t : h a n n o con le grosse usure ha v u t o g r a n d i s s i m i g u a d a g n i da 25 e 30 per cento Γ anno ... et i n d e b i t a t o t a n t o q u e l p o t e n t i s s i m o Re [of Spain] che, oppresso da t a n t i i n t e r essi, sarà sforzato far come l a corona d i F r a n c i a 5 4 . l u t e r a n e e c a l v i n i s t e d u r a n t e i l Cinquecento, Romae 1948, p p . 99 - 101; C. Fichera, R e g i s t r u m P r o v i n c i a e Ianuae 1520 - 1641. P r i m o registro d e l l a p r o v i n c i a francescana l i g u r e dell'osservanza, Genoa 1978, p. 73. A b o o k of sermons b y G i u s t i n i a n i , i n B N F , T o r d i , 277; the m o l t i p l i c i t y of interests of o u r c h u r c h m a n also comes f r o m the legacy of Greek m a n u s c r i p t s w h i c h is, p a r t i a l l y , k e p t at the Escorial; or f r o m the books l e f t to the monastery of the A n n u n z i a t a of Genoa (ASG, N o t a i o G. B. Cangialanza, sc. 582, f. 1). 51 B A V , V a t . L a t . 6434, c. 2 9 6 v ; a n d at c. 297 r: " l a honestà v o r r i a q u e l l i c a m b i j si facessino q u a l i fuseno u t i l i et necessarij a l mercante, et cosi e x o r t o " . 52 R. Savelli, L a R e p u b b l i c a o l i g a r c h i c a : Legislazione, i s t i t u z i o n e e ceti a Genova n e l Cinquecento, M i l a n o 1981, pp. 40ff.; Id., T r a M a c h i a v e l l i e S. G i o r g i o : C u l t u r a g i u s p o l i t i c a e d i b a t t i t o i s t i t u z i o n a l e a Genova n e l Cinque-Seicento, i n F i n a n z e e r a g i o n d i S t a t o i n I t a l i a ê i n G e r m a n i a n e l l a p r i m a E t à moderna, ed. b y A. De Maddalena a n d H. Kellenbenz, B o l o g n a 1984, pp. 284ff. 53 G. Cibo Recco, H i s t o r i e d i Genova , B C B , m r . V I I . 3.9, p. 452.

Between L a w and Morals

53

The person w h o s u m m e d u p the terms of this p o s i t i o n i n a certainly m o r e r e p r e s e n t a t i v e l i t e r a r y f o r m , w a s P a o l o F o g l i e t t a , a p o e t , w h o , i n h i s p l a y , II Barr ο h a s o n e o f t h e p r o t a g o n i s t s s p e a k as f o l l o w s : io vedo che i m e r c a t a n t i d i t u t t o i l m o n d o sono v e n u t i c a m b i s t i , che q u a s i v u o l d i r e u s u r a r i , se bene per honestare questa disonestà, q u a n d o d'ebrea fecero c r i s t i a n a l'usura, le cambiarono i l nome e l a chiamarono cambio ... v o r r e i fare m e r c a n t i a reale ... e n o n p u r è lecita, m a d i m e r i t o grande apresso D i o , p e r c h ' e l l a da i n v i a m e n t o a l p o p o l o suo, a l q u a l e lo levano i m o d e r n i c a m b i s t i , poichè n o n degnano p i ù d i far m e r c a n t i a , perché t e m o n o d i i m b r a t t a r s i le m a n i ... m a n o n t e m o n o già d ' i m b r a t t a r s i l ' a n i m a facendo c a m b i i l l e c i t i , I i q u a l i i n somma fanno p i ù v o l e n t i e r i che l a g i u s t a m e r c a n t i a per due cagioni, l ' u n a perché sono d i m i n o r f a t t i c a , che basta u n a p i c c o l a poliza, le quale fanno g i r a r i n o g n i p a r t e d e l m o n d o come i l sole; l ' a l t r a perché sono d i m a g g i o r g u a d a g n o 5 5 . Foglietta's play was not published u n t i l the 19th century, b u t the positions a d o p t e d b y h i m m u s t have been w i d e l y k n o w n , a n d n o t o n l y i n Genoa, since w e f i n d p r a c t i c a l l y i d e n t i c a l concepts i n B o t e r o 5 6 . W e are n o w far f r o m t h e times i n w h i c h Luca Pacioli could, optimistically, w r i t e that the exchange "è v e r a m e n t e l a q u a [sic] d e l a n a v e m e r c a n t e s c a , p e r c h é senza l u i serebbe q u a s i impossibile ben traficare"

57

.

T h e r e a s o n is t h a t b e t w e e n t h e t i m e i n w h i c h P a c i o l i w a s w r i t i n g , a n d t h a t i n w h i c h Foglietta and Botero were treating the "polizzino" ironically, a p r o f o u n d t r a n s f o r m a t i o n t o o k place i n the fairs of exchanges ( w i t h their s e p a r a t i o n f r o m those of goods) of w h i c h B e r n a r d o D a v a n z a t i left us a n accurate account: è stato i n v e n t a t o d a i Genovesi u n n u o v o cambio, ch'essi c h i a m a n o per le fiere d i Bisenzone, ove da p r i n c i p i o si andava: ora si v a n n o a fare i n Savoja, i n Piemonte, i n L o m b a r d i a , a T r e n t o , aile p o r t e d i Genova e o v u n q u e v o g l i o n essi; talchè assai m e glio, U t o p i e , cioè fiere senza luogo s'avrieno da chiamare; né d i fiere h a n n ' a l t r o che i q u a t t r o n o m i , a c c a t t a t i da quelle d i L i o n e ; perché n o n v i v a n n o p o p o l i a c o m p r a r mercanzie, m a solamente c i n q u a n t a ο sessanta c a m b i a t o r i con u n quaderno d i fogli, a r i c a p i t a r i c a m b i j f a t t i q u a s i i n t u t t a E u r o p a , e r i t o r n a r l i con quegl'interessi che q u i v i convengono58. 54

Sogno sopra l a R e p u b l i c a d i Genova, B U G , ms. Β . I. 19, c. 3 9 r . 55 P. F o g l i e t t a , I I B a r r o , i n A S L S P X X V / 2 (1892), p. 356. 56 G. Botero, D e l l a r a g i o n d i stato, ed. b y L. Firpo, pp. 78 - 79: " e c h i n o n sa che q u e i che v o g l i o n o a r r i c c h i r e d'usure, lasciando i l t r a f f i c o perché n o n si p u ô esercitare senza i l risico della r o b b a e stento d e l l ' a n i m o e d e l corpo, con u n p o l i z z i n o , vendendo p a r t e i l tempo, p a r t e l'uso d e l l a moneta, fanno f r u t t a r e i l denaro . . . ? . . . E g l i è forza che a questo modo, perché a d o g n u n o piace i l guadagno senza t r a v a g l i o , si d i s e r t i n o le piazze, si a b b a n d o n i n o le a r t i e s ' i n t e r m e t t a n o le mercanzie . . . A b b i a m o i n I t a l i a due r e p u b b l i c h e f l o r i d i s s i m e : Venezia e Genova; d i queste senza d u b b i o che Venezia avanza d i g r a n l u n g a Genova e d i stato e d i grandezza. Se ne cercaremo l a ragione, t r o v a r e m o ciö essere a w e n u t o perché Veneziani, attendendo a l l a m e r c a t a n z i a reale, si sono a r r i c c h i t i , mediocremente i n p a r t i c o l a r e , m a i n f i n i t a m e n t e i n c o m m u n e ; a l l ' i n c o n t r o i Genovesi, i m p i e g a n d o s i a f f a t t o i n c a m b i , h a n n o a r r i c c h i t o i m m o d e r a t a m e n t e le facoltà p a r t i c o l a r i , m a i m p o v e r i t o estremamente l ' e n t r a t e p u b l i c h e " . 57 L . P a c i o l i , S u m m a de A r i t h m e t i c a , Geometria, P r o p o r t i o n i et p r o p o r t i o n a l i t à , Venezia, Paganino de P a g a n i n i , 1494, c. 167 v.

54

Rodolfo S a v e l l i T h e p a s s a g e i s r i g h t l y f a m o u s , as D a v a n z a t i s u c c e e d e d i n s u m m i n g u p , i n

a f e w lines, t h a t c o m p l i c a t e d p h e n o m e n o n of c o n c e n t r a t i o n o n t h e one side, a n d of s u b j e c t i o n to the Genoese finance, o n the other, w h i c h has characterized the history of exchanges a n d of fairs of exchanges starting f r o m m i d d l e of the century. européenne"

-

" L e u r v i l l e devient le centre de t o u t e

the

l'économie

states B r a u d e l 5 9 , i n c o n c l u s i o n to a cycle of studies

and

research w h i c h analyzed the connections between Spanish crown, internat i o n a l finance a n d Genoese

asentistas.

N o t h i n g can be more eloquent a n d persuasive t h a n the synoptic

tables

elaborated by R a m o n Carande regarding the contracts made by Charles V 6 0 . A n d i f C a r a n d e d a t e d f r o m 1553 t h e y e a r s of t h e Genoese p r e d o m i n a n c e i n S p a i n , t h e s a m e p e r i o d o f y e a r s h a s b e e n i d e n t i f i e d as t h e t u r n - a b o u t w h i c h t o o k p l a c e i n t h e K i n g d o m of N a p l e s " p r e c i s e l y b e t w e e n 1552 a n d 1 5 5 8 " 6 1 . N o w , as H . L a p e y r e n o t e d , t h e asientos

d i d n o t necessarily also i n v o l v e the

d r a w i n g u p o f a n e x c h a n g e c o n t r a c t , " m a i s l e cas l e p l u s f r é q u e n t é t a i t l e c h a n g e " 6 2 ; a n d n o t o n l y for t e c h n i c a l a n d m i l i t a r y reasons ( w h i c h means e.g., a t r a n s f e r of f u n d s f r o m S p a i n a n d I t a l y t o t h e N e t h e r l a n d s , e n g a g e d i n w a r ) 6 3 , b u t also because t h r o u g h the d i f f e r e n t exchange techniques p r o f i t w a s added to p r o f i t 6 4 . D o n a Juana, the Princess Regent of Spain, w a s w e l l 58 B. D a v a n z a t i , N o t i z i a de' c a m b i j , i n S c r i t t o r i I t a l i a n i d i economia p o l i t i c a , Parte A n t i c a , T. I I , M i l a n o 1804, p. 61. 59 F. Braudel, C i v i l i s a t i o n matérielle, économie et capitalisme, X V e - X V I I I e siècle. T. 2: Les j e u x de l'échange, Paris 1979, p. 346. 60 R. Carande, Carlos V y sus banqueros. Los caminos d e l oro y de la p l a t a , M a d r i d 1967, passim. 61 G. Muto, T r a " h o m b r e s de negocios" e banche p u b b l i c h e : p r o g e t t i d i a u t o n o m i a f i n a n z i a r i a n e l l o stato n a p o l e t a n o (secoli X V I - X V I I ) , i n S t u d i s t o r i c i L u i g i S i m e o n i X X X I I I (1983), p. 89. 62 H. Lapeyre, L a p a r t i c i p a t i o n des génois a u x "asientos" de Charles Q u i n t et P h i l i p p e I I , i n A t t i d e l Congresso I n t e r n a t i o n a l e d i s t u d i s t o r i c i su R a p p o r t i GenovaM e d i t e r r a n e o - A t l a n t i c o n e l l ' e t à moderna, ed. b y R. Belvederi, Genova 1983, p. 149. I n the same v o l u m e see also the essay b y F. Otte, S e v i l l a y l a ferias genovesas: L y o n y Besançon. 1503 - 1560, pp. 247 - 277. 63 G. Parker, T h e A r m y of Flanders a n d the S p a n i s h Road. 1567 - 1659, C a m b r i d g e 1972, p p . 139ff. 64 F o r a s l i g h t l y l a t e r p e r i o d see the r e m a r k s b y G. Doria, U n q u a d r i e n n i o c r i t i c o : 1575 - 1578. C o n t r a s t i e n u o v i o r i e n t a m e n t i n e l l a società genovese n e l q u a d r o della c r i s i f i n a n z i a r i a spagnola, i n F a t t i e idee d i storia economica n e i secoli X I I - X I X . S t u d i d e d i c a t i a F r a n c o B o r l a n d i , B o l o g n a 1977, p. 392: " t h e t r a n s f o r m a t i o n of the Genoese hombres de negocios f r o m p u r e asentistas i n t o factores cambistas h a d s t i m u l a t e d the need for p u s h i n g the speculative manoeuvre o n exchanges to the m a x i m u m level: i t was necessary to m a k e m o r e a n d m o r e p r o d u c t i v e t h a t system of a r b i t r a t i o n s a n d "resources" due t o w h i c h the p r o f i t d e r i v i n g f r o m a c a r e f u l transfer of funds was a d d e d to the s i m p l e interest o n the advance, t h u s r e a l i z i n g a p r o f i t w h i c h was higher, m o r e i m m e d i a t e a n d free f r o m any c o n t r o l b y the orderer . . . W e can note h o w the p r o f i t c o m i n g to t h e Genoese businessmen i n the p e r i o d u n d e r Alessandro Farnese a n d A m b r o g i o S p i n o l a for the speculative manoeuvre alone (exchange a n d " r i c o r s a " ) was, u s u a l l y , b e t w e e n 18 a n d 20%, w h i l e the p a r t of p r o f i t c o m i n g f r o m the effective rate of interest was close to 10 - 12%."

Between Law and Morals

55

aware of this fact. She described as follows, i n 1554, the s i t u a t i o n of the f i n a n c i a l m a r k e t w i t h respect to the asientos made w i t h the Genoese: acerca de los excesivos intereses que l i e v a n los mercaderes, v i e n e n los cambios de I t a l i a a 26 p o r 100 d e l p r i m e r c a m b i o y, ademas de esto, se paga acâ ducado p o r escudo que son o t r o 7 p o r 100, en l a différencia de moneda y, ademas, se pone con ella o t r o 10 p o r 100, de manera que viene a costar el d i n e r o a 43 p o r 100, y despues corre el interés de l a d i l a c i ô n de l a paga a 14 p o r 100, y como las consignaciones son de h o y a très, cuatro, cinco y a u n seis anos, t o d o viene a m o n t a r t a n t o que los 339 000 escudos que ha t o m a d o el e m b a j a d o r de Genova, en estos postremos asientos, cuest a n 898000, poco mas ο m e n o s 6 5 .

This explains the p r i n c i p a l mechanism on the basis of w h i c h the usual rates of interest, acknowledged, o n loans, v a r i e d between 8 a n d 14% w h i l e the Genoese w r i t e r s either polemics or historians, always report 20 - 30% (and sometimes even more). These are the "concealed benefits" on w h i c h the Genoese "hombres de negocios" founded t h e i r fortune a n d t h e i r e x t r a o r d i n a r y p r o f i t s 6 6 . These economic gains were t h e n d i s t r i b u t e d , t h r o u g h a descending chain, to the collectors of savings, to the brokers of the exchange letters, to the m e d i u m a n d s m a l l savers 6 7 . We r e t u r n n o w , after this short b u t necessary digression, to our s t a r t i n g p o i n t , i.e. to the discussions i n w h i c h the "exchanges" were set against the " m e r c a n t i a reale". The interest of positions l i k e those of F o g l i e t t a or of Recco depends on the fact t h a t these people a c t i n g as spokesmen for the criticisms of the predominance of the f i n a n c i a l activities, w r i t i n g against the " u n l a w f u l exchanges" a n d the " u s u r y " , are also businessmen, certainly n o t c h u r c h m e n or " p u r e " , "professional" scholars, strangers to t h a t s h i n i n g w o r l d of trade t y p i c a l of 16th century Genoa. The hypotheses w h i c h w e can f o r m u l a t e to e x p l a i n this a t t i t u d e are of t w o different k i n d s : the first one is t h a t i n these w r i t i n g s w e f i n d the echo of a deeper conflict of interests connected to the economic development of the t o w n ; i.e. whoever argues against the " c a m b i s t i " (exchanges makers) can be cut off f r o m this stream of w e a l t h for m a n y different reasons (family, b e l o n g i n g t o one or another noble group); or else being a p a r t of those " m i d dle class" groups of merchants or manufacturers w h i c h were - or supposed to be - damaged b y the choice made b y saving i n favour of more p r o f i t a b l e investments, l i k e those connected to loans a n d exchanges ( w i t h the connected increase i n the cost of money). The second hypothesis ( w h i c h does n o t 65 Carande , p. 22; a n d see also the r e m a r k s made b y F. Ruiz Martin, Las finanzas espanolas d u r a n t e el r e i n a d o de F e l i p e I I , i n Cuadernos de H i s t o r i a . A n e x o s de l a r e v i sta H i s p a n i a 2 (1968), p. 114. 66 A n e x e m p l a r y analysis of t h i s m e c h a n i s m i n G. Doria, Consideraciones sobre las actividades de u n " f a c t o r - c a m b i s t a " genoves a l servicio de l a corona espanola, i n A. Otazu (ed.), D i n e r o y C r e d i t o (siglos X V I a l X I X ) , M a d r i d 1978, pp. 290 - 293 ( w h e r e f r o m I d e r i v e d the t e r m "concealed benefits"). 67 G. Doria, U n q u a d r i e n n i o , cit., p. 384; Braudel, p. 341.

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Rodolfo Savelli

rule out the first one b u t , on the contrary, m a y coexist w i t h it) is the one of a p e n e t r a t i n g influence (even i f certainly n o t u n i f o r m ) of the t r a d i t i o n a l doct r i n e on money a n d usury (grounded b o t h i n A r i s t o t e l i a n t r a d i t i o n a n d i n religious beliefs). This hypothesis .may be c o n f i r m e d b y an interesting document f o u n d among the papers of a t y p i c a l representative of the Genoese " m i d d l e class" of the 16th century, Teramo Canevari (1511 - 1592). H i s father, Matteo, t r a v e l l e d for a l o n g p e r i o d t h r o u g h Europe, t r a d i n g a n d w o r k i n g as b r o k e r of exchanges between Besançon a n d A n t w e r p . O n r e t u r n i n g to Genoa he opened a " v o l t a " for silk, for w h i c h i n the p e r i o d of greatest prosperity, u p to 50 looms were i n operation. Teramo became a member on the B o a r d of Notaries (on w h i c h he was to h o l d the t i t l e of Rector for several periods) b u t he was, at the same time, also a member of the " A r t of s i l k " ; the sons of Teramo were sent away to study (medicine for the famous Demetrio, a n d l a w for O t t a v i a n o ) 6 8 . M a t t e o a n d Teramo were n o t o n l y businessmen, b u t were also actively present i n the life of a famous religious C o n f r a t e r n i t y , t h a t of " D i v i n o A m o r e " , w h i c h w e w i l l again deal w i t h 6 9 . I n a codex i n w h i c h Teramo copied documents concerning b o t h his f a m i l y a n d the p o l i t i c a l l i f e of the time, a n d l i t e r a r y compositions, a l l i n a d m i r a b l e disorder (but he e v i d e n t l y a t t r i b u t e d great i m p o r t a n c e to these documents), an anonymous u n d a t e d l a t t e r , addressed to a clergyman, is also inserted. I n this letter the m a t t e r of exchanges is carefully considered 7 0 . I f the a u t h o r was n o t effectively Canevari, he very p r o b a b l y was another member of the C o n f r a t e r n i t y (wherein a h i g h n u m b e r of notaries were present); a b r i e f m e n t i o n of the dealings between the Republic a n d S. G i o r g i o can be used to set a sure t e r m ante quern, i.e. 1562 7 1 . A f u r t h e r element serving t o i d e n t i f y the w h o l e figure of the a u t h o r is given b y one of the f i n a l exclamations: " i n 68 I n a d d i t i o n to the i n f o r m a t i o n a n d sources r e p o r t e d i n the f o r e w o r d t o the C a t a logo d e l fondo D e m e t r i o C a n e v a r i della B i b l i o t e c a C i v i c a B e r i o d i Genova, ed. b y R. Savelli , Firenze 1974, see also A C G , ms. 1141; A S G , ms. 477, p. 172; G. Costamagna, I l n o t a i o a Genova t r a p r e s t i g i o e potere, R o m a 1970, p. 285. O n the Genoese " s e t a i o l i " see P. Massa, U n ' i m p r e s a serica genovese della p r i m a m e t à d e l C i n q u e cento, M i l a n o 1974 (and t h e b i b l i o g r a p h y q u o t e d therein); for t h e contrasted role of the Genoese " s e t a i o l i " i n the Genoese society of the second h a l f of the 16th C e n t u r y , see also Savelli, T r a M a c h i a v e l l i e S. G i o r g i o , cit., p. 292 a n d foil. 69 M a t t e o becomes a p a r t n e r i n 1555, T e r a m o i n 1558. F o r t h e sources, t h e b i b l i o g r a p h y a n d a first e v a l u a t i o n on the role of t h i s c o n f r a t e r n i t y i n the Genoese society, see R. Savelli, D a l l e c o n f r a t e r n i t é a l i o Stato: i l sistema assistenziale genovese n e l C i n quecento, i n A S L S P X C V I I I , N . S . X X I V (1984), p p . 171 - 216 (at p. 190 o n T e r a m o Canevari). 70 B C B , m r . 1.1.2, cc. 3 9 r - 42 v. T h e l e t t e r was p u b l i s h e d ( w i t h o u t i d e n t i f y i n g the origins a n d w i t h several inaccuracies) b y M . Rosi i n t h e a p p e n d i x to F o g l i e t t a , I I B a r r o , cit., p p . 531 - 534. 71 T h i s date can be advanced, w i t h some c e r t a i n t y , at least to 1554, the year i n w h i c h there is already a c o m m i s s i o n of S. G i o r g i o h a v i n g the a i m of n e g o t i a t i n g w i t h t h e R e p u b l i c for t h e r e t u r n of Corsica a n d t h e c o n t i n e n t a l zones u n d e r S. G i o r g i o (see A C G , Ms. 224: Raccolta d i t u t t i i m a g i s t r a t i che si sono f a t t i n e l l a casa d i S a n Giorgio).

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questa nostra r e p u b l i c a q u a n t i t i r a n n i s o t t ' a l m a n t e l de c i t t a d i n i " , one of the topoi of the w r i t i n g s of o p p o s i t i o n i n the 50s a n d 60s of the 16th century (the F o g l i e t t a brothers, Cibo Recco, the a u t h o r of the Sogno). L e t us n o w consider the most interesting p o i n t s of t h i s document, w i t h reference to the exchanges a n d to the " c o n t r a t t i p e c u n i a r i " ; w h i c h are, i n the A u t h o r ' s o p i n i o n , a v e r i t a b l e " p l a g u e " . W o m e n ( w i d o w s a n d y o u n g women) sell the " l u o g h i " of S. Giorgio, g o l d objects, "e fuorsi anco delle vesti, per t e n e r l i sopra c a m b i " ; " a l c h u n e ... sono anco p a r t e c i p a n t i i n q u e l l i 30 per cento, e p i ù et meno, come si fa i n l i c o n t r a t t i che si fanno con l i p r i n cipi". M a n y " n o n volendo p i ù l a s e r v i t ù della m e r c a t u r a " t u r n e d t h e i r hands to m a i n l y f i n a n c i a l business (leaving the " p o v e r i g i o v e n i " w i t h o u t w o r k a n d commissions) a n d thus have "posto talmente sotto l a mercatura, che p u o c h i sono l i negocianti d i merce che alle v o l t e n o n stien sotto c a m b i i . E t se alcuno per disgracia n o n si leva presto, resta facilmente r o v i n a t o , perché o r d i nariamente i l guadagno delle m e r c i n o n p u o esser tale che c o m p i r possi i l denaro de i c a m b i i " . We can see therefore t h a t there were m a n y reasons for the contrast b e t ween " m e r c a n t i a reale" a n d exchange. There were, then, people m a k i n g exchange "senza m a n d a r lettere e ciö fanno per n o n pagar p r o v i g i o n i né cabella, et per n o n c a m b i a r i l suo debitore che f a n q u i , et v o g l i o n o i l medesimo precio che si fa con coloro che pagano queste t a l i spexe": a t y p i c a l example of " d r y " exchange, i n w h i c h disapp r o v a l for the fiscal aspects of the p r o b l e m is added to the m o r a l censure ( " u z u r a " , "senz'alcuna c a r i t à " ) . N o less reproachable t h e n are a l l forms t h r o u g h w h i c h the m a r k e t of money was m a n i p u l a t e d : " q u a n d o sentono che Sua Maestà e a l t r i p r e n c i p i hanno f a t t o qualche p a r t i t o ... sanno ... m o l t o bene stringere e far stringere l a m o n e t a " . There often appears, then, a n o t completely clear reference to the "prestare a c o n t r o f e r m o " : the m e n t i o n e d rate of interest ( " a nove et dieci per cento") a n d the fact t h a t this is a l o a n w h i c h is made " a i r i c c h i " , to r i c h persons, (in correspondence w i t h the " p a r t i t i con p r e n c i p i " i n w h i c h a 30% interest is u s u a l l y charged) p r o b a b l y lead us to believe t h a t these contracts were made b y the s m a l l a n d m e d i u m savers w i t h the great "asentistas" ( " s i contentono d i guadagnar quel meno, per parersi a manco risico per u n a fera col suo c i t t a d i n o ο cognoscente, che fidare per u n o anno u n p r i n c i p e che n o n si p u ö a s t r i n g e r e " ) 7 2 . 72 See w h a t was asserted b y F a b i a n o C h i a v a r i i n t h i s respect, i n D e C a m b i i s (see i n f r a note 120): " H o c i d e m d i c e n d u m est [ t h a t t h e y are usurers] de i l l i s q u i suas a l i i s d a n t pecunias n o m i n e depositi, a u t (ut d i c i t u r ) c o n t r i f i r m i , a u t p a r t i t i , a u t c o m m o d i " (c. 7r).

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The letter, addressed to a clergyman, a n d w r i t t e n b y one w h o used to frequent Piazza d i B a n c h i (the merchant heart of Genoa, where businessmen, "hombres de negocios" a n d notaries used to meet) seemed to be an interesti n g proof of some aspects of the economic moral, a n d a w a y to i n t r o d u c e a very specific m o m e n t of debate, i n the p r o b l e m of exchanges, between theologians a n d lawyers.

I I . The debate of 1554 1. I n a judgement of the Genoese C i v i l Rota of 1588, w h i c h settled a comp l i c a t e d controversy between businessmen r e g a r d i n g an asiento with S p a i n 7 3 , w e f i n d a certain n u m b e r of interesting elements: b o t h regarding the h i s t o r y of the d i f f u s i o n of D u M o u l i n ' s w o r k (recalled herein t h r o u g h the i n t e r m e d i a t i o n of the successful C a v a l l i n i ' s " r e i s s u e " ) 7 4 a n d the h i s t o r y of the Genoese legal t r a d i t i o n on the subject of exchanges 7 5 . I n this judgement, i n fact, w e f i n d one of the infrequent references to t w o decisions b y the G o v ernment of the Republic w h i c h seem to c a l l i n t o question the t r a d i t i o n a l image of a s u b s t a n t i a l l y l i b e r a l l e g i s l a t i o n (even i f the judgement declares t h a t , i n the case i n p o i n t , they were n o t applicable). I n fact the act of 1363 ( " c o n t r a allegantes cambia v e l assecuramenta esse u s u r a r i a " ) is w e l l k n o w n . I t p r o h i b i t e d , " i n quocunque c o n t r a c t u mercant i a e " , to allege " q u o d i l l e contractus esset u s u r a r i u s " 7 6 ; w e l l k n o w n are also the rules of the t a x on exchanges of 1554 i n w h i c h an i t e m is dedicated to exchanges " i q u a l i si faranno per le dette fere senza mandare l e t t e r e " 7 7 .

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A S G , Rota civile, 1, cc. 568 - 593. See A. Lattes, Carlo D u m o u l i n e Gaspare C a b a l l i n o , i n A r c h i v i o G i u r i d i c o F i l i p p o S e r a f i n i s. I V , vol. X I (1926), pp. 7 - 19. A b o u t C a v a l l i n i see P. Colliva, D u e s t u d i o s i cinquecenteschi delle " C o n s t i t u t i o n e s " d e l l ' A l b o r n o z : V i r g i n i o de' Boccacci e Gaspare C a v a l l i n i da C i n g o l i , i n S t o r i o g r a f i a e Storia. S t u d i i n onore d i E u g e n i o D u p r è Theseider, R o m a 1974, pp. 835 - 866, a n d the a r t i c l e i n D B I vol. X X I I , p p . 773 774. 75 A b o u t w h i c h see A. Lattes, Genova n e l l a storia del d i r i t t o c a m b i a r o i t a l i a n o , i n R i v i s t a d e l d i r i t t o commerciale X I I I , p. I (1915), pp. 185 - 199. 76 The t e x t of the chapter is m i s s i n g i n t h e Statutes of 1363; as the same t i t l e is used for a statute of 1403, t h e n re-used i n 1459 i n t h e Statutes of the P a d r i del Comune, w e t h i n k t h a t the t e x t r e m a i n e d s u b s t a n t i a l l y t h e same. The reason q u o t e d i n t h e statute m e n t i o n e d is i n t e r e s t i n g : " s i e n i m per hec et s i m i l i a i m p e d i m e n t a i n s t r u m e n t a c a m b i i et a l i i contractus m e r c a n t i a r u m , facta c u m s c r i p t i s v e l sine, n o n possent e x e c u t i o n i m a n d a r i , v e r t e r e t u r i n m a g n u m d a m n u m et i n c o m m o d u m c i v i u m et m e r c a t o r u m I a n u e n s i u m q u i c o m m u n i t e r f a c i u n t similes contractus nec a l i t e r possent exerceri m e r c i m o n i a " : see S t a t u t o d e i P a d r i del comune della R e p u b b l i c a genovese, ed. b y A. Desimoni, Genova 1885, p p . 1 4 - 1 5 . 77 See D. Gioffré, Gênes et les foires de change de L y o n à Besançon, Paris 1960, p. 247. O n t h e p r o b l e m s of the fiscal l a w see also G. Felloni, Asientos, j u r o s y ferias de c a m b i o desde el observatorio genoves, i n A. Otazu (ed.), D i n e r o y credito, cit., p p . 347 ff. 74

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Less c o m m o n are, on the contrary, the t w o rules to w h i c h the judgement i n question refers: the first one is of 1467 a n d i n i t , among other things, also the " d r y " exchanges were forbidden, i.e. those made w i t h o u t m a i l i n g the relative l e t t e r s 7 8 . The second is dated 1555 a n d brings us d i r e c t l y to the core of the problem. The t e x t is h a r d l y k n o w n , as no m e m o r y of i t remains i n any of the collections of the Genoese l a w s i n the m o d e r n age, n e i t h e r has i t been assimilated at the level of

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.

W h i c h were the p r o h i b i t i o n s of this decree? T w o k i n d s of contract are condemned b y i t : q u i c u m q u e ... i n c i v i t a t e Genuae v e l d i s t r i c t u a l i q u a m pecuniae q u a n t i t a t e m deder i t v e l t r a d i d e r i t a l i c u i a d c e r t u m et t e r m i n a t u m l u c r u m u l t r a sortem p r i n c i p a l e m p e r c i p i e n d u m et d a n d u m sive sub n o m i n e m u t u i v e l c a m b i j v e l c u i u s l i b e t alterius contractus ... cadat ipso i u r e i n p e n a m ...

We face, n o w , the f o r m a l (and t r a d i t i o n a l ) p r o h i b i t i o n of the l o a n w i t h interest, i n w h i c h the element w h i c h generates the c o n d e m n a t i o n is the "cert u m et t e r m i n a t u m l u c r u m " , the p r o f i t agreed u p o n i n advance, h i d d e n i n any f o r m of contract w h i c h c o u l d be used to a v o i d the canonical condemnat i o n of usury, of w h i c h the one of the exchange h a d l o n g been the most used 8 0 . M o r e specific a n d detailed is w h a t is condemned b y the second p a r t of the law: n o n possit q u i v i s civis ... i n ferjis Bezensoni dare v e l recipere nec i n se i p s u m c a m b i a r e a l i q u a m p e c u n i a r u m q u a n t i t a t e m i n loco de n o n d i n i s a d n o n d i n a s v e l p r o a l i o t e r m i n o sub certo et t e r m i n a t o interesse v e l l u c r o u l t r a sortem p e r c i p i e n d o sive n o m i n i d e p o s i t i f i a t , v e l m u t u i v e l c a m b i j ac e t i a m assecurationum quae fierent ex r e d i t i b u s n u n d i n a r u m seu f e r i a r u m q u i r e d i t u s v u l g a r i t e r d i c u n t u r r e t o r n i .

The p r o h i b i t i o n , then, d i d n o t o n l y affect the Genoese, b u t also the other merchants t h a t , on the basis of the recent rules on fairs, h a d been a d m i t t e d " i n ponendis precijs c a m b i o r u m " . The element w h i c h activates the p r o h i b i t i o n is always the " c e r t u m et t e r m i n a t u m interesse", b u t the range of the p r o h i b i t e d activities becomes, here, more specific, a n d concerns the exchanges f r o m f a i r t o fair, the deposits a n d the " r i t o r n i " ( w h i c h , s i m i l a r l y to the exchanges h a d been charged, d u r i n g the previous year, to the p a y m e n t 78 T h e decree of 18th M a r c h 1467 is i n A S G A r c h i v i o Segreto 581, cc. 8 3 v - 8 5 r (a f u r t h e r copy i n B C B , m r . I I I . 4.13, cc. 186r - 188 v). The precedents have been c a r e f u l l y analyzed b y Kirshner, T h e m o r a l p r o b l e m , cit., p. 129 (at pp. 164 - 167 he publishes the m i n u t e s of a m e e t i n g w h i c h t o o k place s h o r t l y before the decree i n question, decree t h a t he does n o t seem to k n o w ) . 79 Copies of t h e decree i n A S G , Senato, Sala Senarega 1298; B C B , m r . I I I . 4.13, cc. 457 - 4 5 8 v ; A C G , A l b e r g o dei Poveri, U f f i c i o d e i Poveri, A t t i diversi, 1. T h e B C B codex also comes f r o m the C a n e v a r i f a m i l y , a n d t h e U f f i c i o d e i P o v e r i was one of t h e beneficiaries of the sanctions p r o v i d e d for i n the decree. 80 See, f o r instance, h o w already i n the 14th C e n t u r y there was, i n Genoa, a " g a b e l l a c a m b i o r u m v e l u s u r a r u m " (Gioffrè , p. 94).

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of the relative t a x , even i n the case of exchange w i t h o u t a letter). N o t o n l y were fines imposed, b u t for the r é c i d i v a n t notaries a n d brokers also the loss of office a n d a b a n for the p e r i o d of t w o years were foreseen. W h a t were the reasons for this f o r m a l r i g o u r , o n l y one year after the issue of a r u l e w h i c h p r o v i d e d for exchanges w i t h o u t the necessity of sending l e t ters of exchange? The most v i a b l e hypothesis is t h a t the a i m was to p u n i s h a single and specific type of c o n t r a c t u a l behaviour, w h i c h c o u l d be more evident, i.e. "exchanges" (let us use this term) i n w h i c h the interest was agreed u p o n i n advance, a n d n o t bound, on the contrary, to the f l u c t u a t i o n (and the risk) of the m a r k e t . Moreover, f r o m as early as 1552, a Court to repress usury contracts h a d been set u p i n Savona, a n d i n the f o l l o w i n g years s i m i l a r Courts were f o u n d i n other t o w n s a n d communities of the Genoese domain. I t m a y be w o r t h y of note t h a t an ecclesiastic was always called on to be a member of such Courts81. I personally believe t h a t i n the 1550s, the presence of the Genoese businessmen h a v i n g been w e l l established on the E u r o p e a n scenario, and the Republic h a v i n g reorganized the i n t e r n a l operation of f a i r s 8 2 , a debate began on the significance a n d lawfulness of the f i n a n c i a l activities i n the t o w n , proof of w h i c h h a d been previously reported. A n d i n an a t t e m p t to u n d e r s t a n d the c u l t u r a l b a c k g r o u n d of the l a w of 1555 a debate has been found, the repercussions of w h i c h were n o t restricted to the t o w n alone. 2. Raffaele Soprani, a 17th Century scholar, reports t h a t : l ' a n n o 1554 d ' o r d i n e d i M o n s i g n o r G e r o l a m o S a u l i Arcivescovo d i Genova, si r a d u n a r o n o per due v o l t e t u t t i I i Teologi e l i p i ù celebri L e g g i s t i della c i t t à i n conferenza sopra l a m a t e r i a de' c a m b i j d i L i o n e , ο sia Bisanzone, conforme si cos t u m a v a a n t i c a m e n t e i n s i m i l i casi d i considéra tione et i m p o r t a n z a 8 3 .

Soprani's account is, on the whole, q u i t e accurate even i f i t can be p a r t l y supplemented a n d completed b y other sources. L e t us say i m m e d i a t e l y t h a t the Genoese p u b l i c a n d ecclesiastic sources are, i n t h i s respect, completely silent (or completely absent) a n d t h a t the texts w h i c h have been traced are, u p t o n o w , o n l y three. The other evidence w h i c h gives some i n f o r m a t i o n comes f r o m inside the Society of Jesus: Lainez, on a mission i n Genoa i n t h a t period, writes, b y the 81 F o r Savona the e s t a b l i s h i n g l a w is i n A S G , Senato, Sala Senarega 1282. N e w s o n the existence, i n t h e 70s i n G a v i , Pieve d i Teco, L e v a n t o , N o v i , i n A S G , A r c h i v i o Segreto 818 - 825 a n d Senato, Sala Senarega 1393. See also E. Grendi, I n t r o d u z i o n e a l l ' a n a l i s i storica delle c o m u n i t à l i g u r i : Cervo i n età moderna, i n Miscellanea storica l i g u r e V I I I 2 ( = S t u d i d i m i c r o a n a l i s i storica), p. 205. 82 I n t e r e s t i n g documents o n t h i s theme r e g a r d i n g 1552 i n A S G , Senato, Sala Senarega 1283 a n d Camera, Finanze, 25. 83 R. S o p r a n i , L i s c r i t t o r i d e l l a L i g u r i a , Genova, Pietro G i o v a n n i Calenzani, 1667, p. 77.

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end of M a r c h , to L o y o l a t h a t the Government of the Republic h a d promised the A r c h b i s h o p V i c a r (effectively S a u l i was i n fact at t h a t time, d e p u t y legate i n Bologna) to order: que se j u n t e n algunos mercaderes â n a r a r sus contratos y p r o p o n e r las razones que le paresce que los j u s t i f i c a n y t a n b i é n se j u n t e n â o y r théologos y j u r i s t a s 8 4 .

This evidence is very interesting as i t shows t h a t the debate was n o t restricted to theologians a n d lawyers, b u t t h a t merchants were i n v o l v e d too. The p r o b l e m was n o t only of great concern to the members of the Society of Jesus, b u t also to the upper echelons of the ecclesiastic hierarchy. A few days l a t e r (on 5 t h A p r i l , to be exact) L o y o l a w r o t e to L a l n e z r e p o r t i n g t h a t he h a d discussed the p r o b l e m w i t h the Pope a n d other Cardinals, a n d t h a t C a r d i n a l C e r v i n i h a d passed a report to h i m on the problem, supplied " d e u n a persona de m u c h o crédito en v i d a y letras", b u t w h o w i s h e d to r e m a i n a n o n y m o u s 8 5 . N o w , among the papers of C e r v i n i a document has been f o u n d w h i c h , almost certainly, is t h a t s h o w n b y C e r v i n i to Loyola. Its t i t l e is Contractus quidam qui hac nostra tempestate a quibusdam Christi fidelibus celebrantur a n d the a u t h o r was the Genoese A u g u s t i n i a n F a b i a n o Chiavari, as can be deduced b y the accompanying l e t t e r 8 6 . The letter, undated, poses some chronological problems: i t begins, i n fact, w i t h this statement "haec ... sunt quae his p r o x i m i s t e m p o r i b u s Bononiae i n p r i m i s et subinde Genuae a probis Doctisque v i r i s e x a m i n a t a et decisa fuer u n t " . The discussion h a d thus already begun some t i m e before, c e r t a i n l y before the end of M a r c h 1554, w h i c h is the date of the Lainez's letter: p r o b ably near the end of 1553. I n fact: C h i a v a r i is certainly i n Genoa i n 1553 8 7 , b u t on 2nd M a r c h 1554 before l e a v i n g f r o m Brussels, Seripando sent a very k i n d l e t t e r to h i m i n Rome, referring to the studies w h i c h he was c o n d u c t ing88. 84 J. L a l n e z , M o n u m e n t a . E p i s t o l a e et A c t a . I. 1536 - 1556, M a d r i d 1912, pp. 251 252. O n the m i s s i o n of L a i n e z to Genoa see P. Tacchi Venturi, S t o r i a d e l l a C o m p a g n i a d i Gesù i n I t a l i a , I I 2, R o m a 1951, p p 482ff.; M. Scaduto, S t o r i a d e l l a C o m p a g n i a d i Gesù i n I t a l i a . L ' e p o c a d i G i a c o m o Lainez. I I governo, R o m a 1964, p p . 138ff. 85 I. de L o y o l a , E p i s t o l a e et i n s t r u c t i o n e s , V I , M a d r i d 1907, p. 561. 86 A S F , Carte C e r v i n i , 33, cc. 5 9 r - 60 v. A b o u t C h i a v a r i , k n o w n also as F a b i a n o da Genova, one of the closest collaborators of Seripando, see t h e excellent a r t i c l e b y G. F r a g n i t o i n D B I , vol. 24, pp. 624 - 627 a n d t h e b i b l i o g r a p h y q u o t e d therein. 87 A S G , C a n c e l l i e r i d i S. G i o r g i o 288 a n d S. G i o r g i o 3039 (PN), cc. 208 - 209: acts r e g a r d i n g the i n s t i t u t i o n b y C h i a v a r i of a " c o l o n n a " i n S. G i o r g i o i n f a v o u r of the M o n a s t e r y " d e l l a Consolazione" t o s u p p o r t e c o n o m i c a l l y t w o lecturers of theology a n d p h i l o s o p h y ; a n d see also D . A . G a n d o l f o , D i s s e r t a t i o h i s t o r i c a de ducentis celeb e r r i m i s a u g u s t i n i a n i s s c r i p t o r i b u s , Romae 1704, pp. 117 - 119. 88 B N N , Viennese L a t . 61, c. 52 r. The l e t t e r is d a t e d 2 n d M a r c h ; for the date of t h e leaving, see G. Seripando, D i a r i u m de v i t a sua. 1513 - 1562, ed D. Gutierrez , i n A n a lecta A u g u s t i n i a n a X X V I (1963), p. 101 (of the o f f p r i n t ) . F a b i a n o C h i a v a r i t o o k p a r t i n the i n i t i a t i v e for the p r i n t i n g of t h e w o r k s of E g i d i o Colonna; those e d i t e d b y h i m were p u b l i s h e d i n 1554 ( E x p o s i t i o i n cap. f i r m i t e r credimus, Romae, per A n t o n i u m

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I n a d d i t i o n , Chiavari, i n the f o r e w o r d to his treatise on exchanges, points out expressly t h a t the A r c h b i s h o p V i c a r recommended t h a t a l l persons t a k i n g p a r t i n the debate note t h e i r opinions. Thus he p a r t i c i p a t e d i n one of the first stages of the discussion, f o l l o w e d b y others, i n w h i c h Lainez also p a r t i c i p a t e d 8 9 . W h o were the others? One of t h e m w e k n o w b y name only, the D o m i n i c a n Clemente Serravalle (mentioned i n fact b y Soprani, b u t whose w r i t i n g s have n o t yet been traced). The o p i n i o n of another person remained, i n a d d i t i o n to the name: this is N i c o l a Senarega, one of the most a u t h o r i t a t i v e Genoese lawyers of the first h a l f of the 16th Century a n d one of the editors of the revision of the c r i m i n a l statutes issued i n 15 5 7 9 0 . Before a n a l y z i n g these papers, i t is perhaps necessary to p o i n t out a p a r t i c u l a r detail, w h i c h m i g h t help to c l a r i f y the c u l t u r a l s i t u a t i o n i n w h i c h this debate t o o k place. The settlement of the Jesuits i n Genoa i n 1553 is advocated b y the secret c o n f r a t e r n i t y of D i v i n o A m o r e (previously mentioned). The doge h o l d i n g office at t h a t time, Giacomo P r o m o n t o r i o , h a d l o n g since been a member of such c o n f r a t e r n i t y ; i n 1555 also the A r c h b i s h o p Vicar, E g i d i o Falcetta, Bishop of Caorle, was coopted i n t o the c o n f r a t e r n i t y 9 1 . We can suppose therefore t h a t among the promoters of this debate on the economic morals there were, surely, some of the most i m p o r t a n t representatives of the " c a t h olic r e f o r m " i n the t o w n , on thé uppermost echelons of the respective h i e r a r chies. 3. L e t us n o w consider separately, the three c o n t r i b u t i o n s s t i l l extant, b e g i n n i n g w i t h t h a t of N i c o l a Senarega. Published p o s t h u m o u s l y 9 2 i t stands B l a d u m , a n d the D e charactere, i n L i b e r de r e n u n t i a t i o n e Papae, ibid.). A great deal of i n f o r m a t i o n a b o u t t h i s e d i t i o n , t h e n i n t e r r u p t e d , is c o n t a i n e d i n the correspondence b e t w e e n S e r i p a n d o a n d C h i a v a r i f i l e d i n B N N . 89 I n M a y he w r i t e s t o L o y o l a t h a t they m e t three times (Lainez, p. 255). A reference to the fact t h a t the Bolognese Theologians were also c o n s u l t e d o n t h i s p r o b l e m is f o u n d i n J. A . de Polanco, V i t a I g n a t i i L o i o l a e et r e r u m Societatis Jesu h i s t o r i a , I V , M a d r i d 1896, p. 33, w h i c h also recalls the d o c u m e n t received f r o m C e r v i n i " a theologo quodam perito". 90 I n the years a r o u n d 152(f he is f o u n d a m o n g the "sapientes r e i p u b l i c a e " (ACG, Ms. 288) a n d he w i l l be i n the same c o n d i t i o n again i n 1554 (ASG, Senato, Sala Senarega 1293). H e d i e d o n 2 4 t h M a r c h 1563 ( A S G , N o t a i o M a r c o A n t o n i o M o r i n e l l o , sc. 348, f. 1); a n d see G. Montagna, I l collegio dei d o t t o r i a Genova: la documentazione d a l 1541 a l 1603, i n A n n a l i della facoltà d i G i u r i s p r u d e n z a d i Genova X V I I I (1980 1981), p. 97. 91 F o r the sources see R. Savelli, D a l l e confraternité, cit.; m a n y are the inaccuracies i n t h i s respect of G. Cassandro, U n t r a t t a t o , cit., p p . 3 1 - 3 2 : speaks of F a l c e t t a as B i s h o p of C a p r i l e (! ) r a t h e r t h a n of Caorle (and o n h i m see D. Cambiaso, I v i c a r i gener a l i d e g l i arcivescovi d i Genova, i n A S L S P L X X X V I (1972), pages 44 - 46); he denies F a b i a n o C h i a v a r i t h e h o n o u r of his f a m i l y name, as he i n t e r p r e t s t h e l a t i n " C l a v a r i u s " as a p o s i t i o n i n t h e A u g u s t i n i a n Order. E f f e c t i v e l y f r o m June 1554 C h i a v a r i h a d already reached the i m p o r t a n t p o s i t i o n of p r o c u r a t o r of the O r d e r ( h a v i n g already been proposed as general i n the previous years). 92 I t was e d i t e d for the f i r s t t i m e b y the Cassinese I l a r i o n e da Genova, D e l a t i s s i m o a v a r i t i a e d o m i n a t u , B r i x i a e , A p u d D a m i a n u m T u r l i n u m , 1567, pp. 92 - 94, w h o

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out for its b r e v i t y and the i n f l e x i b l e positions of the author. The demonstrat i o n of the unlawfulness of the exchanges of "Bisenzone" is based on a series of rather simple a n d acute arguments: even i f the contracts are made "sub n o m i n e e m p t i o n i s " , w e are faced, i n fact, w i t h a case of loan, "et si v e r i t a t e m v e l i m u s i n t u e r i mercatores i n v e n e r u n t h u i u s m o d i c o n t r a c t u m ad e v i t a n d u m n o m e n usurae, n o n ad e v i t a n d a m u s u r a m " . I n fact, to purchase the "scudo d i m a r c h e " i n Genoa w i t h the a i m of selling i t at the f a i r is, actually, a l o a n transaction, " c u m emant per a n t i c i p a t a m exbursationem r e m m i n o r i precio alio tempore consignandam, q u a m vere sit v a l i t u r a tempore consignationis". A n d since the price of the "scudo d i m a r c h e " v a r i e d depending on the shorter or longer v a r i a t i o n i n t i m e f r o m the date of the fair, this v a r i a t i o n is " o b d i l a t i o n e m temporis ... et i m p l i c a t i n se t a c i t u u m m u t u u m " . Senarega comes close to one of the l o g i c a l a n d p r o b l e m a t i c points of the w h o l e question. I n fact, the fairs of exchanges r e g a r d i n g the a c t u a l a c t i v i t y of exchange a n d compensation are n o t u n d e r discussion, b u t rather t h e i r p u r e l y speculative aspect of h i d i n g other k i n d s of contracts. The Genoese l a w y e r judges, i n fact, t h a t his f e l l o w - c i t i z e n s n i h i l a d a l i u d t e n d a n t n i s i u t ex suis pecuniis q u o l i b e t anno r e c i p i a n t octo v e l decern p r o centenario, n o n habentes a n i m u m a d a l i q u a m v e r a m p e r m u t a t i o n e m p e c u n i a r u m v e l a l i q u a m v e r a m e m p t i o n e m s c u t o r u m de marchis.

The "scudo d i m a r c h e " (a money of account b y w h i c h the different monetary k i n d s were v a l u e d ) 9 3 was, i n fact, a great p r o b l e m : h o w can y o u purchase something w h i c h does n o t exist? Senarega makes short w o r k of i t : re vera n o n r e p e r i t u r scutus marche, nec est t a l i s m o n e t a i n r e r u m n a t u r a .

Rigorists f o u n d a l o g i c a l defect i n the sale a n d purchase of the "scudo d i m a r c h e " (and, therefore, an u n l a w f u l act). Orfeo da Bologna, for instance, h a d previously i r o n i c a l l y remarked:

defines Senarega as a n e x p e r t " i n s t u d i o s a n c t a r u m s c r i p t u r a r u m " . I l a r i o n e ( i n t h e w o r l d G i o v a n n i A m b r o g i o A u r i c o l a or Orecchia) t o o k p a r t i n t h e Cassinese congregat i o n i n 1533 (see A S G , N o t a i o N i c o l ö P a l l a v i c i n o Coronata, sc. 179, f. 23). Of t h i s v e r y p r o l i f i c a u t h o r a n d preacher i t is i m p o r t a n t t o remember also t h e p h i l o l o g i c a l i n t e r ests, p r o v e d b y t w o w o r k s w h i c h r e m a i n e d u n p u b l i s h e d : B A V , Vat. L a t . 6149: I n d i v i I o a n n i s C h r y s o s t o m i H o m i l i a r u m i n epistolas p a u l i n a s recognitiones ( i n w h i c h his connections w i t h Gregorio Cortese are mentioned), a n d Vat. L a t . 12607: I n T h e o p h y l a c t i e v a n g e l i c a r u m E n a r r a t i o n u m recognitiones. A n d see C. Ginzburg / A. Prosperi, G i o c h i d i pazienza. U n s e m i n a r i o s u l " B e n e f i c i o d i C h r i s t o " , T o r i n o 1975, p. 2 0 6 . The o p i n i o n of Senarega was r e - p u b l i s h e d the f o l l o w i n g year b y F. C h i a v a r i i n the t h i r d l a t i n e d i t i o n of the D e c a m b i i s (on w h i c h see i n f r a note 120) at p p . 8 6 - 8 9 , w i t h o u t m e n t i o n i n g the name of the a u t h o r a n d w i t h an accurate answer. - W e remember, f i n a l l y , h o w G i o v a n n i Recco (remembered at § I, note 53) i n t h e f o r e w o r d to his H i s t o r i e a f f i r m e d t h a t Senarega h a d c o n v i n c e d h i m to w r i t e the h i s t o r y of the Genoese c i v i l w a r s "mosso d a l l ' a m i c i z i a che passava t r a n o i " . 93 See G. Felloni, U n système m o n é t a i r e a t y p i q u e : l a m o n n a i e de m a r c dans les f o i res de changes génoises, X V I e - X V I I e siècle, i n J. Day (ed.), Etudes, cit., pp. 249 - 260.

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Scuta m a r c h a r u m n o n r e p e r i u n t u r n i s i forte dicas q u o d s i n t i n concavo l u n a e et ideo merchatores d i c u n t q u o d scuta m a r c h a r u m sunt (ut s e c u n d u m ipsos l o q u a r ) come I i f i o r i n i da 36 q u i n u m q u a m v i d e n t u r 9 4 .

I t was n o t b y chance t h a t one of the targets of Orfeo da Bologna's polemics was De V i o w h o , among the theologians was the o n l y one w h o h a d made n o t e w o r t h y progress r e g a r d i n g the theory of sale a n d purchase (even i f the concept of the " s c u d i d i m a r c h e " h a d n o t yet become f u l l y developed). H o w e v e r i n order to r e t u r n to the b r i e f o p i n i o n expressed b y Senarega, some remarks on the d o c t r i n a l sources s h o u l d be made: G i o v a n n i Calderini, Panormitanus, Hostiensis are among the most q u o t e d a u t h o r i t a t i v e sources, and, s i m i l a r l y , A m b r o g i o da Vignate, Angelo da Chivasso or Boich. W h a t arouses interest, along w i t h a certain a m o u n t of surprise, is the use made b y Senarega of Summenhart and D u M o u l i n , authors who, even from different p o i n t s of v i e w , are recognized as the most " l i b e r a l " or, even, " r e v o l u t i o n a r y " i n the theory on usury a n d i n t e r e s t 9 5 . F o r instance, Senarega selects f r o m D u M o u l i n ' s vast w o r k , those paragraphs (504 a n d f o l l o w i n g ) , i n w h i c h the French l a w y e r criticizes the systems of the fairs of L y o n , the " i m p i a e usurae l u g d u n e n s e s " 9 6 ; his c r i t i c i s m is based, on the one hand, on a m o r a l / e v a l u a t i v e assumption ("pecunia n o n t a n t u m parere debet q u a n t u m i n d u s t r i a " ) , because the more " s h o c k i n g " element is t h a t the p r o f i t is made, substant i a l l y , w i t h o u t p e r f o r m i n g any k i n d of a c t i v i t y ; on the other D u M o u l i n s t i l l supports the theory of the " q u a l i t y " of the persons w i t h respect t o the l a w fulness of the contracts, a n d on this basis o n l y those persons w h o w o r k cons t a n t l y a n d professionally as merchants can legally m a k e certain k i n d s of contracts, f r o m w h i c h they derive consequent gains. Obviously Senarega's o n l y interest i n discussing the arguments of D u M o u l i n is to support his o w n arguments, according to a w e l l k n o w n and tested technique. I t is, moreover, of great interest t h a t already i n 1554 the w o r k b y D u M o u l i n was read a n d k n o w n i n Genoa, one of the first i n d i c a tions of the success of this w o r k , n o t w i t h s t a n d i n g i n t e r v e n t i o n on the p a r t of the I n d e x 9 7 . 94

B A V , V a t . L a t . 7720, c. 2 7 r (see § 1 note 23). J. T. Noonan, T h e Scholastic A n a l y s i s of U s u r y , C a m b r i d g e Mass. 1957, p p . 340ff. (especially p. 344 n o t e 18). 96 C. D u M o u l i n , T r a c t a t u s c o m m e r c i o r u m et u s u r a r u m , Parisiis a p u d I o a n n e m L o d o i c u m T i l e t a n u m 1546, p p . 224ff.; see also the j u d g e m e n t l e f t b y D u M o u l i n i n the S o m m a i r e d u l i v r e a n a l y t i q u e de contracts, i n Opera, Paris, A . Besoigne, 1681, I I , par. 74): " q u e l q ' u n m ' a v o u l u d o n n e r une a u t r e p a l l i a t i o n , j u s t i f i a n t p a r accident l a d i t e tolerance a cause des grandes usures d ' I t a l i e , et q u ' a u m o y e n d'icelles l ' o n ne p e u t m e t t r e b r i d e a u x B a n q u i e r s de L y o n , car i n c o n t i n e n t i l p o r t e r o i e n t l e u r argent a Genes". 97 F. Reusch, D e r I n d e x der verbotenen Bücher, B o n n 1883, vol. I, p. 442. Very i n t e r e s t i n g are the reasons o n t h e basis of w h i c h d e m e n t e V I I I i n 1602 r e n e w e d the p r o h i b i t i o n of the w o r k s b y D u M o u l i n : "attendentes, sicut a d a u d i e n t i a m nos t r a m p e r v e n i t . . . a p l u r i b u s et iis p r a e s e r t i m q u i u t r i u s q u e i u r i s s c i e n t i a m p r o f i t e n t u r , con95

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4. Lalnez's w o r k , a l t h o u g h completed before September 1554, was n o t p u b l i s h e d u n t i l the end of the 19th C e n t u r y 9 8 . If, regarding the o p i n i o n expressed b y Senarega, w e can be almost certain t h a t i t was the same as t h a t expressed to the A r c h b i s h o p Vicar, i n the case of Lalnez's w o r k (as for t h a t of Chiavari) w e have a subsequent r e - e l a b o r a t i o n of w h a t he expressed d u r i n g the meetings w i t h other theologians a n d lawyers, a n d of the contents of

t r a h u i u s m o d i p r o h i b i t i o n e m d i c t i C a r o l i scripta et c o m m e n t a r i a , sub v a r i i s p r a e t e x t i b u s , sive i l i a e x a m i n a n d i et e x p u r g a n d i sive c o r r i g e n d i et emendandi, u t d i c u n t , sive i l l i s u t a n t u r i n I u d i c i i s et D e c i s i o n i b u s causarum et aliis e o r u m s c r i p t i o n i b u s , freq u e n t e r l e g i et r e t i n e r i . . . " (see I n d e x l i b r o r u m p r o h i b i t o r u m A l e x a n d r i V I I . . . . iussu editus, Romae ex T y p o g r a p h i a Rev. Cam. Apost., 1667, pages 195 - 196). To meet the needs of those w h o possessed w o r k s l i k e the Consilia of F. Decio, w i t h the notes b y D u M o u l i n , the I n d e x p r i n t e d , i n the same year, a t h i c k Censura i n omnes A d d i t i o n e s seu A d n o t a t i o n e s marginales D a m . mem. i m p i j C a r o l i M o l i n a e i , Romae, ex T y p o g r a p h i a Camerae Apostolicae 1602 (re-issued i n the I n d i c i s l i b r o r u m e x p u r g a n d o r u m . . . Tomus p r i m u s . . . per Io. M a r i a m Brasichellen., Romae, ex T y p o g r a p h i a R. Cam. Apost. 1607, pp. 308 - 406). - The d i f f u s i o n of the T r a c t a t u s c o m m e r c i o r u m of D u M o u l i n , due to the " r e - e d i t i o n " b y C a v a l l i n i , was n o t r e s t r i c t e d to the forensic class only. I n 1576 i t came i n t o the hands of the Jesuits w h o , i n G e r m a n y , were deep i n controversy over the p r o b l e m of the " G e r m a n c o n t r a c t " a n d there were people, l i k e H o f faeus, w h o posed the p r o b l e m of r e v i s i n g the t r a d i t i o n a l theory, w i t h o u t r e a l i z i n g t h a t the n a m e of C a v a l l i n i concealed the one of D u M o u l i n (and n o t even the careful J. Brodrick realized i t i n The E c o n o m i c M o r a l s of the Jesuits, L o n d o n 1934, p. 144): " S i a u t e m vera sunt quae Caspar Cabalinus Venetus n u p e r de usuris . . . scripsit, nos sane praepropere d a m n a v i m u s germanos de 5 p r o cento" (letter of Hoffaeus to M e r c u r i a n o m e n t i o n e d i n P. Canisius, E p i s t u l a e et acta, V I I , F r i b u r g i Brisgoviae 1922, p. 346). Also the Genoese A n g e l o G i u s t i n i a n i (the above m e n t i o n e d F r a n c i s c a n B i s h o p of Geneva) p r o b a b l y made the same error: a m o n g his papers ( B A V , Vat. L a t . 6434, I I , c. 164) w e f i n d the note " q u e r e n d u s F i l i p p i B e r o a l d i l i b e r epitome p h i l o s o p h i a e m o r a l i s " . A b o o k w i t h a s i m i l a r t i t l e has never been w r i t t e n b y Beroaldo, w h i l e i t was the w a y i n w h i c h C a v a l l i n i concealed the q u o t a t i o n s w h i c h D u M o u l i n used make, largely, f r o m another famous P h i l i p , M e l a n c h t h o n , the a u t h o r , i n fact, of an E p i t o m e p h i l o s o p h i a e moralis. The i n t e r v e n t i o n s made b y C a v a l l i n i i n the t e x t b y D u M o u l i n are s t i l l to be s t u d i e d ( n o t w i t h s t a n d i n g w h a t has been w r i t t e n i n t h i s respect b y L a t tes). O n the interest w h i c h the F r e n c h l a w y e r c o n t i n u e d to arouse i n I t a l y , a n d the connected repression, see also the documents p u b l i s h e d b y A. Rotondö, N u o v i docum e n t i per l a storia d e l l ' I n d i c e dei l i b r i p r o i b i t i , i n " R i n a s c i m e n t o " s. I I , I I I (1963), p p . 167 a n d 175; a n d P. Lopez, I n q u i s i z i o n e stampa e censura n e l regno d i N a p o l i t r a '500 e '600, N a p o l i 1974, pp. 199, 216. 98 O n 8 t h September 1554, i n fact, L o y o l a sends S a l m e r o n a copy of the " l i b r i l l o de c o n t r a c t i b u s " b y L a i n e z (Loyola, V I , p. 510). The D i s p u t a t i o de usura v a r i i s q u e negotiis m e r c a t o r u m is i n the second v o l u m e of the D i s p u t a t i o n e s T r i d e n t i n a e e d i t e d b y H . G r i s a r (Oeniponte 1886, I I , pp. 227 - 321). O n t h i s t e x t see J. M. Gallego, Diego L a i n e z y el c a m b i o de Besanzon. U n d i c t a m e n d e l P. D i e g o L a i n e z sobre M o r a l F i n a n c i e r a , i n A r c h i v o Teolôgico G r a n a d i n o 19 (1956), pp. 5 - 5 4 ; C. Bauer, Rigoristische Tendenzen i n der k a t h o l i s c h e n W i r t s c h a f t s e t h i k u n t e r d e m E i n f l u ß der Gegenreformation, i n A d e l u n d K i r c h e : G e r d T e i l e n b a c h z u m 65. G e b u r t s t a g d a r g e b r a c h t v o n F r e u n d e n u n d Schülern, Hg. J. Fleckenstein / K . S c h m i d , F r e i b u r g i. B. 1968, pp. 577ff.; M . Scaduto, S t o r i a della C o m p a g n i a d i Gesù i n I t a l i a : L ' e p o c a d i G i a c o m o L a i n e z , 1556 - 1565. L ' a z i o n e , R o m a 1974, pp. 478ff. The d i f f u s i o n of the w o r k b y L a i n e z was n o t r e s t r i c t e d to the Society of Jesus alone: Paolo C o m i t o l i , for instance, m e n t i o n s i t several times b o t h i n the T r a t t a t o de C a m b j i ( B A M , S. 100 sup., c. 356v) a n d i n the Responsa m o r a l i a ( L u g d u n i , s u m p t i b u s H o r a c i j Cardon, 1609, p. 399); b u t to C o m i t o l i i t h a d been g i v e n b y G i a n Vincenzo P i n e l l i , the Genoese scholar settled i n Padoa, w h o a c q u i r e d one copy of i t ( B A M , R. 98 sup.) as he d i d of other w o r k s o n t h i s subject.

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his sermons. I n the m i d d l e of M a y , i n fact, Lainez i n f o r m e d L o y o l a of the effects of his sermons ( " y a algunos h a n deliberado de comprar renta y lexar los cambios: otros de hazer mercaderias y no v i v i r de prestar"), a n d of the fact t h a t he h a d prepared a c o m p e n d i u m of his opinions, to be s u b m i t t e d to Sauli, a copy of w h i c h he also sent to Rome. H e could, thus, take advantage of the notes made, on the Pope's request, to the first d r a f t of his w o r k " . I t was n o t b y chance, then, t h a t he i n c l u d e d i n his treatise, some paragraphs i n w h i c h the p r o b l e m of usury was considered " i n v e n d i t i o n e ad ternpus v e l a n t i c i p a t a solutione", a theme connected, a l t h o u g h n o t d i r e c t l y related, to the m a i n p r o b l e m of the exchanges (and w h i c h is, i n fact, not f o u n d i n the w o r k s b y Senarega a n d C h i a v a r i ) 1 0 0 . This is n o t the case for an analysis of a l l the aspects of Lainez's opinions i n this respect, b u t i t is necessary to t r y a n d get to the heart of the p r o b l e m w i t h reference to the debate w h i c h was t a k i n g place i n Genoa. This is also, p r o b a b l y , a v i e w p o i n t w h i c h serves to e x p l a i n n o t o n l y a n d exclusively those reasons for w h i c h the w o r k was w r i t t e n (as w e have seen), b u t to collocate h i s t o r i c a l l y (and therefore i n a very definite way) the problem. We are n o t u p against the constant (and i m m u t a b l e ) p r o b l e m of usury a n d of the l a w f u l ness of the exchange contracts; Lainez (like the others w h o t o o k p a r t i n the debate) was i n special h i s t o r i c a l a n d social circumstances i n w h i c h the phenomenon of "exchanges" (if w e can t e r m t h e m thus) was u n d e r g o i n g a transformation, a n d was t a k i n g new dimensions, different i n q u a n t i t y and q u a l i t y . The observation p o i n t of Genoa was, as w e saw earlier, a p r i v i l e g e d one. We d r e w a t t e n t i o n i n the preceding pages to the " U t o p i a n " image given b y D a v a n z a t i of the Besançon fairs, a n d this was p a r t l y a judgement i n retrospect, as, b y the time, the fairs h a d already been established i n I t a l y . Lainez, on the contrary, w r o t e i n those very years of the t r a n s f o r m a t i o n , i n f u l l u p w a r d acceleration, i n w h i c h the shadow of the Spanish b a n k r u p t c i e s h a d n o t yet appeared. Lainez realized the basic difference between the L y o n fairs a n d those at "Bisenzone": the Genoese t r a n s t u l e r u n t c a m b i o r u m negotia a d Besansonem ... I n q u a tarnen n o n n u n d i n a e sunt nec m a g n a commercia, u t f i u n t L u g d u n i ; sed s o l u m mercatores Januenses i b i i n c a m b i i s n e g o t i a n t u r , q u i e t i a m n o n c o m m o r a n t u r Besansone, u t faciebant L u g 99 See the l e t t e r of L o y o l a to L a i n e z d a t e d 2 6 t h M a y 1554: " s i m a n d a n o l i p a r e r i d ' a l c u n i p a d r i sopra i l c o m p e n d i o che V. R. ha c o m i n c i a t o i q u a l i per o r d i n e d i nostro Padre si sono congregati et h a n n o s c r i t t o q u e l l o c h ' o g n i u n o sente" ( L o y o l a , V I I , pp. 59 - 60); the l e t t e r b y L a i n e z i n L a i n e z , Epistolae, cit., p. 255. 100 L a i n e z , D i s p u t a t i o , cit., pp. 298 - 313, §§ 75 - 86 ( f r o m here o n the references to the w o r k of L a i n e z w i l l be made b y s i m p l y m e n t i o n i n g the paragraph). T h e i n s e r t i o n of theses p r o b l e m s m a y have been suggested to h i m d u r i n g his stay i n Florence (see § 81, e.g.) w h e r e t h e p r o b l e m h a d a l o n g t r a d i t i o n a n d where, even i n those years, d i s cussions were s t i l l open (see i n t h i s respect the m a n y w r i t i n g s of the D o m i n i c a n T o m maso Buoninsegni).

Between Law and Morals

67

d u n i , sed s o l u m t e m p o r e n u n d i n a r u m et s o l u t i o n i s suos juvenes et n e g o t i o r u m factores i l l u c m i t t u n t , i n t r a paucos dies reversuros.

A n d then, to complete the picture, he added: Besansone a u t e m r a r o v e l n u m q u a m f i t s o l u t i o i n n u m e r a t a pecunia, sed t a n t u m f i u n t schedulae seu l i t t e r a e , u t Januae v e l a l i b i f i a t realis s o l u t i o et i n n u m e r a t o (§§ 55 - 56)ioi.

The separation between the m a r k e t of c a p i t a l a n d t h a t of goods is w h a t creates greater a n x i e t y a n d doubt. The g l o w i n g w o r l d of goods (due also to its t y p i c a l m a t e r i a l a n d t a n g i b l e aspects) is absent i n these fairs. Instead, w e f i n d the antiseptic w o r l d of w r i t t e n paper (the " p o l i z z i n i " at w h i c h F o g l i e t t a a n d Botero levelled t h e i r sarcasm). H o w e v e r as regards these new types of exchange fairs, Lainez, s i m i l a r to m a n y of his contemporaries, does n o t consider the more specifically i n t e r n a t i o n a l aspect: he does n o t evaluate the m o m e n t of b a l a n c i n g or transfer of capital. The p o i n t w h i c h is analyzed is, substantially, the Genoa-fair-Genoa r e l a t i o n s h i p (and n o t Genoa-fairAntwerp-Madrid-. . .)102. The judgement a n d the e v a l u a t i o n are centered, effectively, on w h a t was t a k i n g place i n Genoa (or i n other towns) between the "exchanger" a n d the "exchangee", even i f this event was m e d i a t e d t h r o u g h these n e w fairs w i t h out goods and w i t h o u t merchants: the interest is focused completely on the local m a r k e t , on the connections between people (and also on the consequences t h a t these h a d on the economic r e a l i t y of the t o w n ) 1 0 3 . The treatise b y Lainez begins w i t h a description of the t r a d i t i o n a l doct r i n e of usury ( " a l i q u i d u l t r a sortem accipere v e l sperare ob m u t u u m " ) a n d w i t h a discussion on those cases w h i c h can j u s t i f y t h a t " a l i q u i d u l t r a sort e m " (punishment, " d a m n u m emergens 4 , " l u c r u m cessans", b u r d e n to m a n age the loan, w i t h a clear reference to the question of the " M o n t i d i p i e t à " ) ; 101 See w h a t was w r i t t e n , i n t h i s respect, some years later, b y t h e above m e n t i o n e d B u o n i n s e g n i : " I n questi l u o g h i n o n v i è commerzio d i Negozij, ne d i t r a f f i c h i d i m e r canzie, m a si p a r t o n o i M e r c a n t i d i Genova, d i M i l a n o , d i Fiorenzia, d i Leone e d ' a l t r i l u o g h i , a r r i v a n d o i n q u e l l i a l q u a n t i g i o r n i a v a n t i i l g i o r n o de' p a g a m e n t i , e i v i fanno i l o r o c o n t i e c a m b i a n o fiera per f i e r a " (T. B u o n i n s e g n i , D e i c a m b i i , Fiorenzia, G i o r g i o M a r e s c o t t i , 1573, c. 13r). 102 See i n this respect the s t i l l v a l i d considerations b y G. Mandich, D e l l e fiere genovesi d i c a m b i p a r t i c o l a r m e n t e s t u d i a t e come m e r c a t i p e r i o d i c i d e l credito, i n R i v i s t a d i storia economica I V (1939), pp. 257 - 276. 103 U s u r y "est e t i a m causa penuriae, t u m q u i a u s u r a r i i n o n l i b e n t e r m u t u a n t p a u peribus, q u i t e r r a m c o l u n t , et ideo a g r i i n c u l t i m a n e n t , t u m e t i a m q u i a artifices et mercatores, a d u s u r a m accipientes, carius merces v e n d u n t " (§ 19); the same takes place w i t h the exchanges: " n o c e n t q u o q u e c a m b i a negotiis et l e g i t i m a e mercaturae . . . q u i a mercatores, i n v e n t o hoc securo l u c r a n d i m o d o per o t i u m , et ex a l i a p a r t e visis l a b o r i b u s et expensis et p e r i c u l i s mercaturae, i l l a m r e l i n q u u n t et c a m b i i s se t r a d u n t . . . I l l i e t i a m q u i circa merces n e g o t i a n t u r , q u i a saepe pecunia a campsore a c c i p i u n t , q u i b u s merces emant, necessario carius i l l a s v e n d u n t . Pauperibus e t i a m valde nocent haec cambia, q u i a m e r c a t o r v a l d e m u l t o s occupât i n l a n a et serico et l i n o . . . et aliis mercibus t r a c t a n d i s , campsor a u t e m v i x u n i aut a l t e r i m i n i s t r o p r o d e s t " (§ 68).

*

68

Rodolfo Savelli

i t also expresses clearly the concept t h a t the p r i n c i p l e of the loss of p r o f i t cannot be l a w f u l l y c l a i m e d b y those w h o " n o n potentes v e l nolentes alias negotiari, d u m m u t u a n t pecunias suas, a l i q u i d ratione l u c r i cessantis a c c i p i u n t " (§ 3 0 ) 1 0 4 . I n b r i e f the " l u c r u m cessans" is a p r i n c i p l e w h i c h cann o t be i n v o k e d to j u s t i f y the interest, except on certain conditions, among w h i c h t h a t of the q u a l i t y of the person i n v o l v e d is essential 1 0 5 . We enter, then, the p r o b l e m w h i c h

is more

strictly

connected

to

exchanges, p l a i n l y focussing a t t e n t i o n on w h a t was h a p p e n i n g i n Genoa. There is, i n fact, the general aspect, the i d e n t i f i c a t i o n of the abstract categories, a n d t h e n the discussion on p a r t i c u l a r questions w h i c h emerge. F r o m this p o i n t of v i e w the p r o b l e m of b o t h t i m e a n d money are of course central; b o t h because i f t i m e becomes the measure of the interest w e f a l l i n t o one of those k i n d s of " d r y " exchanges ( " p r i n c i p a l i t e r consideratur temporis dilatio, quo pecunia occupata detinetur") (§ 42); and because Lainez remains completely w i t h i n the theory on the basis of w h i c h " p e c u n i a n o n est m e r x " and, therefore, " n o n v e n d i t u r pecunia p r o pecunia ... praesertim q u i a pecunia, u t sic, p r e t i u m et v a l o r a l i a r u m r e r u m est" (§§ 60 a n d 43). I t is, therefore, clear h o w Lainez moves a w a y f r o m those conceptions w h i c h considered the exchange contract a special type of e m p t i o / v e n d i t i o , as he regards i t as m a i n l y a b a r t e r and, secondly, as a "contractus l o c a t i o n i s " ( " n a m campsor suas et m i n i s t r o r u m operas locat, et ab eis, q u i b u s servit, i l l a r u m mercedem a c c i p i t " ) (§ 43). The l o a n (and hence usury) is always there as a snare i n a l l different cases l e a d i n g back to t h a t one i n w h i c h the merchant deals, a f f i r m i n g : m u t u o t i b i pecunias meas hoc pacto, u t i l l a s reddas et i n s u p e r t a n t u m usurae, q u a n t u m l u c r i r e d d i t c a m b i u m Besansonis (§ 47).

I n Lainez, obviously, the most specifically ethical-religious (and rigorist) aspect is p r e d o m i n a n t a n d tends to d e m y s t i f y a l l these formalities aimed at t r a n s f o r m i n g a l o a n contract i n t o one of exchange. This is w h y w e p r e v i ously considered h o w the phenomenon of the exchange fairs was analysed, effectively, i n a l i m i t e d perspective, of the t o w n ' s economic e t h i c s 1 0 6 . 104 T h i s was one of the contracts m e n t i o n e d as t y p i c a l i n the d o c u m e n t sent b y C h i a v a r i to C e r v i n i : " q u i d a m nescientes a u t nolentes negociari, suas m e r c a t o r i b u s d a n t pecunias, pacto quod, salvo c a p i t a l i , singulis annis, eodem i n loco, s i b i d e n t u r septem v e l octo p r o s i n g u l o centenario datae p e c u n i a e " (ASF, Carte C e r v i n i 33, c. 59r). A n d thus also L a i n e z (§ 36) affirms t h a t i n such case " u s u r a sine a l i q u o p a l l i o committitur". 105 See T. P. McLaughlin, T h e t e a c h i n g of Canonists o n U s u r y , i n M e d i a e v a l Studies I (1939), pp. 145 - 147. 106 T h a t L a i n e z does n o t realize the objective dimensions of the exchange fairs ( p u t t i n g i n t o evidence the speculative ones only) can be deduced f r o m this passage: " S i quis e. g. d a t Januae pecunias campsori, q u o i l l a s r e d d a t i n H i s p a n i a , v e l a c c i p i t ab eo i n H i s p a n i a reddendas, q u u m possent m i t t i l i t t e r a e recta v i a i n H i s p a n i a m et i b i f i e r i solutio, campsores n o n i d f a c i u n t , sed m i t t u n t Besansonem, u t i b i s o l v u n t u r c a m b i u m et inde alio novo cambio m i t t u n t i n H i s p a n i u m ; q u u m t a m e n i l l e homo n i h i l n e g o t i i

69

Between L a w and Morals

F r o m these p r e a m b l e s i t is c l e a r h o w L a i n e z , i n j u d g i n g t h e p a r t i c u l a r l a w f u l n e s s of t h e " c a m b i u m B e s a n s o n i s " , is i n c l i n e d t o w a r d t h e n e g a t i v e ( " c a m b i u m B e s a n s o n i s . . . c l a u d i c a r e v i d e t u r " ! ) (§ 57). T h e r e i s n o t a n e f f e c t i v e a n d r e a l e x c h a n g e o f m o n e y , as t h e " s c u d o d i m a r c h e " i s p u r c h a s e d a n d s o l d ( " n o n est r e a l i s m o n e t a , s e d j u s p o t i u s a d e a r n J a n u a e v e l a l i b i r e c i p i e n d a m " ) ( § 5 8 ) ; t i m e i s c o n s i d e r e d as a n a u t o n o m o u s e l e m e n t f o r e v a l u a t i o n , separate f r o m the effective needs of transfer of the m o n e y 1 0 7 ; " u n j u s t " are t h e m e t h o d s u s e d t o e v a l u a t e t h e p r i c e of t h e " s c u d o d i m a r c h e " , w h i c h is, often, evaluated i n a monopolistic w a y 1 0 8 . Lainez

makes

an

effort,

then,

to

devise

some

modifications

to

the

exchanges of " B i s e n z o n e " , the c o n s e q u e n t i a l i t y of w h i c h derivates f r o m his o w n m o r a l attitude, w h i c h for the local and international financial market was d i f f i c u l t to accept109. H e left, substantially, o n l y one w a y out to w h o e v e r w i s h e d t o d e d i c a t e h i m s e l f t o c h a n g e s ( n o t r e a l i z i n g t h a t , b y so d o i n g , h e w a s i n f a c t r e c a n t i n g t h e t h e o r y a c c o r d i n g t o w h i c h m o n e y is n o t a c o m m o d i t y ) 1 1 0 . T h e treatise ends, then, w i t h some suggestions for c i v i l a n d s p i r i t u a l fines, to w h i c h he also adds a n i n v i t a t i o n addressed p a r t i c u l a r l y t o confessors: habeat Besansone, ac per hoc n u l l u m ei o b s e q u i u m f i a t , si suae pecuniae i l l u c m i t t a n t u r " (§ 61). 107 " Q u o d u t clare i n t e l l i g a t u r , s u p p o n e n d u m p r i m o , i n hoc d i f f e r r e c a m b i u m Besansonis atque adeo o m n i a c a m b i a quae de n u n d i n i s a d n u n d i n a s f i u n t , a c a m b i i s realibus, quae f i u n t de loco ad l o c u m , q u o d i n c a m b i i s realibus i d t e m p o r i s t a n t u m a d a t a p e c u n i a i n u n o loco ad r e c i p i e n d u m i n alio, q u o d commode s u f f i c i t a d hoc, q u o d l i t t e r a e commode ab u n o i n a l i u m l o c u m m i t t a n t u r , et praesententur; i n c a m b i i s vero, quae f i u n t de n u n d i n i s a d n u n d i n a s , longe plus t e m p o r i s s t a t u i t u r , q u a m r e q u i r a t u r a d l i t t e r a s commode ferendas . . . H i s i g i t u r suppositis . . . p r o b a t u r j a m i n c a m b i o Besansonis . . . h a b e r i p r i n c i p a l i t e r respectum a d tempus et e x p e c t a t i o n e m s o l u t i o n i s . . . E t si mercatores consulere conscientias p r o p r i a s v o l u e r i n t et se ipsos m i n i m e decipere, respondebunt se, q u u m ab eis p e t u n t u r pecuniae, s t a t i m a p u d se s u p p u t a r e q u a n t u m t e m p o r i s e a r u n d u m realis s o l u t i o d i f f e r a t u r , et q u o p l u s r e p e r i t u r , p l u s se velle l u c r a r i " (§§ 59 - 60). 108 Compare w i t h w h a t h a d been w r i t t e n b y C h i a v a r i to C e r v i n i : " Q u i d a m v a l d e t a m e n raro, n o m i n a l o c o r u m p r o q u i b u s i n e u n t u r cambia, alijs locis, t a n t u m duobus v e l t r i b u s m i l i a r i b u s d i s t a n t i b u s a loco q u o i n i t a sunt c a m b i a . . . i m p o n u n t , n o m m a n tes v e l ea L u g d u n u m v e l B e z e n z o n u m deinde . . . a d praefata p r o x i m i o r a loca, sic ab ipsis u t p l a c u i t n o m i n a t a , campsores se conferunt et c o n v e n i u n t et i b i fere m o n o p o l i u m facientes c a m b i o r u m v o l v e n d o r u m p r o l i b i t o t a x a n t ; q u o d sane, e t i a m sine h u i u s m o d i fictione, q u a m q u a m et forte p l u r i e s f i t i n ipsis p r o p r i i s v e l veris l o c i s " (ASF, Carte C e r v i n i , 33, c. 59v). 109 T h e exchanges w o u l d have been l a w f u l o n these c o n d i t i o n s : t h a t w h o e v e r sent letters t o Besançon, had, i n t h a t place cash or r e a l c r e d i t ( i n order t o close the circle); t h a t the v a r i a t i o n s of the scudo depended o n t h e m a r k e t c o n d i t i o n s o n l y ( w i t h o u t i n t e r v e n t i o n of the " r a t i o t e m p o r i s " ) ; " t e r t i a a u t e m c o n d i t i o servaretur, si n o n i p s i mercatores de q u o r u m interesse a g i t u r , t a x a r e n t q u a n t u m s o l v e n d u m esse Januae p r o scuto marchae e Besansone remisso, sed a l i i i n c o r r u p t i et p e r i t i mercatores statuer e n t u r judices, q u i n u l l u m i n ea re haberent interesse" (§ 69). 110 " S o l e t e t i a m i n loco u b i a b u n d a t pecunia, i l l a m a d c a m b i u m accipere et m i t t e r e alio, u b i est i n o p i a pecuniae . . . H i e modus l i c i t u s esset si i n quovis i n eo i n t e r v e n i e n t i u m c a m b i o r u m n o n h a b e r e t u r oculus a d tempus, et j u s t u m interesse v e l s e r v i t i u m solveretur, et l u c r u m i n d e proveniens t r i b u e n d u m esset i n d u s t r i a e campsoris, q u i n e g o t i a t u r circa p e c u n i a m , sicut m e r c a t o r circa merces" (§ 74).

70

Rodolfo S a v e l l i

Juvaret e t i a m p r o h i b e r e confessoribus, ne ab h u i u s m o d i h o m i n i b u s [merchants a n d bankers] q u i s i b i c o n f i t e n t u r , a l i q u i d e x i g a n t v e l o b l a t u m acceptent; q u i a fortasse b l a n d i t i i s et m u n e r i b u s m u l t i confessores c o r r u m p u n t u r , u t absolvant n o n absolvendos, p r a e s e r t i m Januae, u b i m u l t i de m o r e soient a u r e u m exhibere confessori, quoties c o n f i t e n t u r (§ 88). W e s h a l l n o w u n d e r l i n e some p o i n t s of t h e i n t e r p r e t a t i o n ( w h i c h is n o t p a r t i c u l a r l y original) t h a t L a i n e z has left o n the p r o b l e m of exchanges, a n d p a r ticularly

those of

"Bisenzone":

money

is o n l y a m e a s u r e ,

a means

for

e x c h a n g e ( i t i s n o t c o n s i d e r e d , t h u s , n e i t h e r as a c o m m o d i t y n o r , e v e n , as c a p i t a l ) 1 1 1 ; t h e " t a b o o o f t h e t i m e " (to use t h e w o r d s of L e G o f f ) is s t i l l f u l l y v a l i d 1 1 2 ; i t is clear, t h u s , t h a t t h e p r o b l e m s o f t h e i n t e r e s t o n m o n e y c a n o n l y be interpreted i n a very l i m i t e d way. 5. I f n o t h i n g h a s b e e n s a i d a b o u t L o y o l a ' s s u c c e s s o r , g i v e n t h e n o t o r i e t y of the person, s o m e t h i n g m u s t instead be said a b o u t F a b i a n o C h i a v a r i , the t h i r d t o i n t e r v e n e i n t h e d e b a t e of 1554 ( a n d w h o w i l l m e e t a g a i n , i n R o m e , L a i n e z d u r i n g t h e p o s t h u m o u s t r i a l a g a i n s t S a v o n a r o l a ) 1 1 3 ; t h e r e is n o b e t t e r document,

to

introduce

the

Genoese A u g u s t i n i a n ,

than

a letter

(justly

famous) addressed to Seripando, d u r i n g preparations for the election of his successor t o t h e p o s i t i o n of S u p e r i o r General. G u g l i e l m o da B o ï o g n a w r o t e as f o l l o w s : I n Genova ha g r a n d i s s i m o c r e d i t o appresso t u t t i g l i h u o m i n i da bene et i n q u i s i t o r i , né si t r a t t a cosa theologica che l u i n o n c i i n t e r v e n g h i . . . et d i p i ù ... l u i ha s c r i t t o a V. P. Rm. che n o n vorrebbe p i ù stare i n Genova per n o n p o t e r p i ù sopportare le cose i n d e b i t e che occorrono t r a q u e l l i m e r c a n t i né g l i basta p i ù l ' a n i m o d i u d i r l i i n confessione 1 1 4 . The fact that the evidence rendered b y Guglielmo da Bologna was not vicious (at least f o r t h e role he h a d i n Genoa), c a n be d e d u c e d f r o m w h a t B a t t i stina Vernazza w r o t e some years later:

111 O n l y i n one passage L a i n e z deals w i t h the p o s s i b i l i t y of u s i n g money n o t accordi n g t o the p r i m a r y purpose, b u t the secondary one (theory w h i c h is f o u n d i n a far more p r o b l e m a t i c w a y - after D e V i o - also i n t h e treatise of C h i a v a r i ) : " p r o p r i u s usu pecuniae est servire c o m m u t a t i o n i . . . u l t r a h u n c habet s e c u n d a r i u m , nempe l u c r u m ex c o m m u t a t i o n e eius c u m a l i a p e c u n i a " (§ 70). The source for t h i s passage is i n A r i s toteles, P o l i t i c a , 1257 a. O n t h i s t h e o r e t i c a l t r a d i t i o n see i n a d d i t i o n to t h e m e n t i o n e d w o r k s b y Langholm , the r e m a r k s b y J. Viner, Religious T h o u g h t a n d E c o n o m i c Society, i n H i s t o r y of P o l i t i c a l E c o n o m y 10 (1978), pp. 85ff. 112 J. Le Goff, T e m p o della Chiesa e t e m p o d e l mercante, T o r i n o 1977, p. 39. 113 R. De Maio, R i f o r m e e m i t i n e l l a chiesa d e l Cinquecento, N a p o l i 1973, p p . 81 ff.; M . Firpo / P. Simoncelli, I processi i n q u i s i t o r i a l i c o n t r o Savonarola (1558) e Carnesecchi (1566 - 1567): u n a p r o p o s t a d i interpretazione, i n R i v i s t a d i storia e l e t t e r a t u r a religiosa X V I I I (1982), pp. 229ff. 114 D. Gutierrez, T e s t i e n o t e s u l l ' u l t i m o q u a d r i e n n i o d e l generalato d i Seripando, i n A n a l e c t a A u g u s t i n i a n a X X V I I I (1965), pp. 357 - 358. A great b u r d e n for the Genoese A u g u s t i n i a n were the p r o b l e m s connected to confession: t w o years later, i n fact, Seripando w r o t e to h i m : " e t q u a n d o p u r n o n potesse soff r i r e l a gravezza d e l confessare a Genova, l a priego che t e n g h i d ' h a v e r i n m a n o soa t u t t o q u e l d i che posso d i s p o r r e i o " ( B N N X I I I . A A . 53, c. 2r).

Between Law and Morals

71

I o e b b i già stretta s p i r i t u a l e a m i c i z i a con u n R. P. teologo e r e m i t a n o che si d o m a n dava maestro F a b i a n o C h i a v a r i o , u o m o d i g r a n d i s s i m a i m p o r t a n z a che si p u o d i r e che consigliava t u t t a G e n o v a 1 1 5 .

The fame and prestige of Fabiano da Genova were not restricted to his t o w n : n o t w i t h s t a n d i n g certain suspicion regarding his o r t h o d o x y , he was h e l d i n h i g h esteeme b y C e r v i n i 1 1 6 , considered a f r i e n d of M o r o n e 1 1 7 , n o t to m e n t i o n his l o n g l a s t i n g r e l a t i o n s h i p w i t h S e r i p a n d o 1 1 8 . H i s o p i n i o n was, thus, p a r t i c u l a r l y a u t h o r i t a t i v e , b o t h due to his pastoral experience a n d the fact t h a t he m u s t also have previously considered those problems connected to the exchanges a n d economic e t h i c s 1 1 9 . I n 1556, i n Rome, he p u b l i s h e d the Tractatus de cambiis w h i c h he dedicated to Seripando120. 115 B. Vernazza, Opere s p i r i t u a l i , Genova 1755, vol. V I , p. 211 (letter of 10th June 1575); other references t o C h i a v a r i i n vol. V I , p. 205 a n d vol. V, p. 218. lie w h o i n these terms w r o t e t o the C a r d i n a l s members of the I n q u i s i t i o n : " r e l i g i o s o d i m o l t a b o n a v i t a et d o t t r i n a " (ASF, Carte C e r v i n i , 46, d r a f t of 16th M a r c h 1555). 117 See the l e t t e r of Vincenco E r c o l a n i p u b l i s h e d i n the a p p e n d i x to B. Aquarone, V i t a d i fra J e r o n i m o Savonarola, Alessandria 1858, vol. I I , p. X X V (and o n t h i s l e t t e r see the remarks b y Firpo- Simoncelli). 118 T o p u t i n evidence the close r e l a t i o n s h i p b e t w e e n the t w o i t is enough to remember w h a t was w r i t t e n b y Seripando to A n t o n i o da Padova i n 1555: " m a i m i è v e n u t o desiderio d i t o r n a r a R o m a se n o n dopo che m ' h a v e t e s c r i t t o c h ' i l p. Maestro F a b b i a n o v i si è f e r m a t o per p r o c u r a t o r e d e H ' o r d i n e " , or, h o w C h i a v a r i i n sending h i m the I n d e x of the f o r b i d d e n books i n J a n u a r y 1559 c o u l d c o m m e n t : " s i a m o cascati i n t e m p i m o l t o p e r i c o l o s i " ( B N N , X I I I . A A . 53, c. 6 7 r e c. 2 5 r , respectively), a n d see also Seripando, D i a r i u m , cit., passim. 119

I n t h e D e c a m b i i s he m e n t i o n s a " q u o d a m nostro a l i o t r a c t a t u l o " n o t yet traced. Romae, i n A e d i b u s A n t o n i i B l a d i (there are also some copies w i t h the i n d i c a t i o n of V i n c e n t i u s L u c h i n u s ) ; a f i r s t a n d shorter d r a f t is k e p t i n B A V , O t t o b . l a t . 650. The n e x t year, B l a d o r e p r i n t s i t , " n u p e r r i m e a d u n g u e m r e c o g n i t u s " ; a n d effectively t h e i n t e r v e n t i o n s i n the t e x t are r a t h e r numerous. I n 1561 a t r a n s l a t i o n i n t o I t a l i a n of the f i r s t e d i t i o n , b y A n t o n i o M a r i a Venosta, appears i n the C o m p e n d i o u t i l i s s i m o d i quelle cose le q u a l i a n o b i l i e c h r i s t i a n i m e r c a n t i appartengono, M i l a n o , G i o v a n n i A n t o n i o d e g l i A n t o n i j . H e d i d n o t stop w r i t i n g as this subject, even i n his late years, a n d i m m e d i a t e l y before d y i n g he p u b l i s h e d i n Genoa a t h i r d e d i t i o n (Genuae, a p u d A n t o n i u m B e l l o n u m , 1568; there are also copies d a t e d 1569 w i t h o n l y the frontispiece w h i c h differs, b u t i n the c o l o p h o n i t is s t i l l 1568). A p r o o f of its success is the i n c l u s i o n of t h i s t h i r d e d i t i o n i n the T r a c t a t u s u n i v e r s i i u r i s (t. V I , I: D e c o n t r a c t i b u s l i c i t i s , Venetiis 1584, cc. 410 ν - 419 r). I n t h i s w o r k w e w i l l consider t h e f i r s t e d i t i o n , c o m p a r i n g the d i f f e r e n t issues i n a n a n o t h e r m o m e n t (we w i l l o n l y q u o t e the leaf b e t w e e n square parentheses). I t is a n y h o w necessary to remember here h o w w h e n i n 1556 C h i a v a r i p u b l i s h e d D e cambiis, he f o l l o w e d i t ( w i t h o u t a frontispiece as, e v i d e n t l y , i t was also the i n t e n t i o n of the e d i t o r t h a t i t s h o u l d be considered as a u n i c u m , even i f t h e y are n o w sometimes f o u n d separate) w i t h a T r a c t a t u s de usuris et r e s t i t u t i o n i b u s a t t r i b u t i n g i t to the A u g u s t i n i a n Gerardo da Siena. As remembered i n the d e d i c a t i o n of the D e c a m b i i s to Seripando, " c u m . . . p r o x i m o anno ego essem N e a p o l i , t u a s i n g u l a r i b e n i g n i t a t e f a c t u m est u t h u i u s l i b r i e x e m p l u m f u e r i m assequutus". The interests of S e r i p a n d o t o w a r d G e r a r d o da Siena are k n o w n , see D. Gutierrez , L a b i b l i o t e c a d i San G i o v a n n i a C a r b o n a r a d i N a p o l i , i n A n a l e c t a A u g u s t i n i a n a X X I X (1966), p. 188, n° 545 a n d see also n n ° 1739 e 2328. I n t h i s case either he or F a b i a n o made an error i n a t t r i b u t i n g the a u t h o r s h i p to Gerardo da Siena, as the w o r k p u b l i s h e d b y C h i a v a r i was n o t w r i t t e n b y h i m b u t b y the F r a n c i s c a n P i e t r o of G i o v a n n i O l i v i : see D. Pacetti, U n t r a t t a t o sulle usure e le 120

72

Rodolfo Savelli The w o r k is clearly d i v i d e d i n t o t w o parts: i n the first, after a brief

e x p l a n a t o r y note on the exchange contract, he lists the "pravae adinventiones" of the Genoese businessmen; i n the second p a r t he considers the p r o b l e m of h o w the exchange of "Bisenzone" m a y be l a w f u l . I f w e w i s h e d to s i m p l i f y matters to the extreme w e c o u l d say t h a t the overall r e s o l u t i o n can be summarized i n w h a t Fabiano says at the b e g i n n i n g of the w o r k , where he "describes" the " c a m b i u m Lugdunense aut Bezenzonense": Campsor, spe l u c r i , congruo tempore, p r o s i n g u l o scuto de m a r c h a s i b i a v e n d i t o r e L u g d u n i a u t Bezenzoni consignando, alio i n Regno, p u t a Ianuae, dat et s o l v i t i p s i v e n d i t o r i p r e c i u m loco et tempore contractus c o m m u n i t e r currens ... s e c u n d u m varios r e r u m eventus, p u t a a b u n d a n t i a m et p e n u r i a m e m p t o r u m aut v e n d i t o r u m , v e l c o p i a m a u t i n o p i a m p e c u n i a r u m t u n c i b i c o n t i n g e n t e m ... D e i n d e confectis et missis i p s o r u m c a m b i o r u m l i t t e r i s , congruo tempore, h u i u s m o d i s c u t i de marcha, sive p o t i u s equivalens eis, L u g d u n i a u t Bezenzoni s i b i efficaciter c o n s i g n a n t u r [c. 4 r ] .

We p u t "describes" i n i n v e r t e d commas as, under an apparent description, the choice of the terms adopted implies the assumption of a certain k i n d of hypothesis r a t h e r t h a n another, and thus leads to results w h i c h are completely different f r o m those of Lainez or Senarega. I t is the b a n k e r w h o purchases " s c u d i d i m a r c h e " a n d pays for these " s c u d i " , i n cash, a price w h i c h varies according to the conditions of the m a r ket ("secundum a b u n d a n t i a m et p e n u r i a m e m p t o r u m aut v e n d i t o r u m , vel c o p i a m aut i n o p i a m p e c u n i a r u m " ) ; i t is n o t this c o m m o d i t y (we w i l l use this w o r d even i f C h i a v a r i does not, b u t the concept is completely i m p l i c i t as w i l l be seen later) b u t an equivalent w h i c h w i l l be h a n d e d over to h i m . The game on forms can be considered complete: a l o a n contract becomes a contract of exchange, w h i c h is t h e n i d e n t i f i e d w i t h the most t r a d i t i o n a l (and free f r o m i m p l i c a t i o n s ) " e m p t i o - v e n d i t i o " contract. Fabiano da Genova was certainly n o t the first to f o r m u l a t e t h i s i n t e r p r e t a t i o n of the exchange contract: there is a l o n g t r a d i t i o n b o t h among theolor e s t i t u z i o n i d i P i e t r o d i G i o v a n n i O l i v i falsamente a t t r i b u i t o a f. Gerardo da Siena, i n A r c h i v u m F r a n c i s c a n u m H i s t o r i c u m X L V I (1953), pp. 448 - 457; A. Spicciani, Gli s c r i t t i sul c a p i t a l e e sull'interesse d i fra P i e t r o d i G i o v a n n i O l i v i , i n S t u d i Francescani 73 (1976), pp. 289 - 325 (and at pp. 301, 313 - 314 o n the e d i t i o n ) ; Id., L a m e r c a t u r a e l a formazione d e l prezzo n e l l a riflessione teologica medioevale, i n A t t i Acc. Naz. L i n cei. M e m o r i e . CL d i Scienze M o r . St. e f i l o l o g i c h e S. V I I I , vol. X X (1977), pp. 127 - 273. A c r i t i c a l e d i t i o n was t h e n p u b l i s h e d b y G. Todeschini, U n t r a t t a t o d i economia p o l i t i c a francescana: i l D e e m p t i o n i b u s et v e n d i t i o n i b u s , de usuris et r e s t i t u t i o n i b u s d i Pietro d i G i o v a n n i O l i v i , R o m a 1980 (on w h i c h see J. Kirshner / K. Loprete, Peter J o h n O l i v i ' s treatises o n Contracts of Sale, U s u r y a n d R e s t i t u t i o n : m i n o r i t é economics or m i n o r works?, i n Q u a d e r n i f i o r e n t i n i per l a storia d e l pensiero g i u r i d i c o m o d e r n o 13, 1984, pp. 233 - 286). A b o u t O l i v i see also Langholm, The A r i s t o t e l i a n A n a l y s i s of U s u r y , cit., passim. The reasons for the e d i t i o n b y F a b i a n o are to be f o u n d ( i n a d d i t i o n t o the e d i t o r i a l p o l i c y of recovery of authors of the Order - or so considered) i n the contents of the t e x t a n d p a r t i c u l a r l y i n the t h e o r y of money, c a p i t a l a n d interest as declared b y O l i v i .

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gians a n d l a w y e r s 1 2 1 . The interest is generated b y the extension of this concept also to the k i n d of exchange i n question (not even i m a g i n a r y currency is b o u g h t , b u t its equivalent) a n d b y the place w h i c h our A u g u s t i n i a n w i l l give i t i n the second p a r t of the w o r k . I t is, perhaps advisable to f o l l o w his reasoning and hence confront i n a more systematic w a y the p r o b l e m of the c o n t r a c t u a l s o l u t i o n reached. I n the first p a r t of the treatise, C h i a v a r i does i n fact evaluate different attitudes of bankers a n d businessmen, w h i c h , i n his o p i n i o n , were to be c r i t i c i z e d a n d condemned, even i f the reasons were v a r i e d a n d diverse. The first example used refers to those w h o pass t h e i r riches r o u n d between Genoa a n d the fairs " n u l l a m a l i a m m e r c a t u r a m praeter ipsa cambia exercentes"; to w h i c h he objects t h a t " l a u d a b i l i u s t a m e n se gererent si per actis et completis p r i m i s aut saltern secundis cambiis, i l l i s pecuniis, aut saltern i l l a r u m p e c u n i a r u m parte, v i c t u a l i a et merces ad v i t a m et u s u m hominunji necessaria, et ad p u b l i c u m c o m m o d u m o p p o r t u n a c o m p a r a r e n t " [c. 5r]. I n this case, t a k i n g a passage f r o m St. A n t o n i n o against those w h o change the " r e c t u m c i v i t a t i s v i v e n d i m o d u m " , Fabiano comes i n t o l i n e w i t h the t o w n merchant t r a d i t i o n , ample examples of w h i c h w e saw above. The judgements t h a t he issued against those w h o speculate, for different reasons, on the rates of exchanges are, therefore, of great interest: w e have i n j u s t i c e a n d usury " n o n quo ad f o r m a m contractus, c u m sit contractus e m p t i t i u s , sed quo ad i n t e n t i o n e m d e p r a v a t a m " . There is always this u n d e r l i n i n g d i s t i n c t i o n , i n Chiavari, between the " s i n f u l " i n t e n t i o n s ( w h i c h can be condemned " i n foro animae") a n d the f o r m a l - j u r i d i c a l aspects of the contracts m a d e 1 2 2 . H i s c r i t i c a l review t h e n moves on to analyze a n d criticize some concrete aspects of the f i n a n c i a l activities " h i s nostris cupidissimis t e m p o r i b u s " : they v a r y f r o m the exchange contracts w i t h o u t letters to the different k i n d s of contracts made w i t h " m a g n i s d o m i n i s " (substantially the asientos), to the very mechanisms w h i c h imposed prices on the exchanges: q u a r t a p r a v a a d i n v e n t i o est i l l o r u m capsorum sive n u m m u l a r i o r u m q u i aut m o n o p o l i o , aut colusione, aut quovis alio dolo aut fraude, arte, v e l e x q u i s i t o i n g e n i o i u s t a c a m b i o r u m precia q u o v i s m o d o augent v e l i m m i n u u n t [c. 6r]. 121 We m e n t i o n , e.g., B a l d o : " Q u i contractus f u i t iste? v i d e t u r pecuniae emptae et v e n d i t a e " ( B a l d i U b a l d i , C o n s i l i o r u m . . I, n° 368, Venetis 1575, c. 113r). The p a r t i a l p u b l i c a t i o n of the o p i n i o n of Francesco da Treviso b y B a t t i s t a T r o v a m a l l a i n the S u m m a Rosella (Papiae 1489, cc. 408 ν - 410 r) h a d g r a n t e d a w i d e d i f f u s i o n , even o u t of the groups of lawyers, of the t h e o r y of t h e exchange as an emptio-venditio contract (one f u l l copy of the o p i n i o n i n B A V , C h i g i B . V . 86, cc. 43 ν - 45 ν). 122 See for instance t h i s passage: " D e c i m a p r a v a a d i n v e n t i o est i l l o r u m campsorum, q u i suas aliis d a n t pecunias ad c a m b i u m p r o L u g d u n o , quos t a m e n sciunt v e l p r o b a b i l i t e r c r e d u n t scutos illos de marcha, p r o q u i b u s praefatas pecunias dederunt, n o n posse L u g d u n i solvere v e l consignare. H u i u s m o d i e n i m contractus, si cessante o m n i a l i a quavis fraude celebretur, l i c e t i n se iustus sit, i n i u s t e t a m e n c u m paupere et n o n valente solvere c o n t r a h i t u r " [c. 9 r ] .

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C h i a v a r i is b o t h very accurate, a n d wise, i n the d e s c r i p t i o n a n d condemnat i o n of w h a t was a c t u a l l y h a p p e n i n g i n the exchange fairs at t h a t t i m e : the economic (and also i n s t i t u t i o n a l ) predominance of the Genoese bankers i n the Besançon fairs was such t h a t y o u c o u l d i n fact, w i t h o u t m o v i n g too far away, use the t e r m " m o n o p o l y " . A m o n g the m a n y examples m e n t i o n e d b y Fabiano da Genova (it is n o t necessary to analyze each one i n detail) one f i n a l s h o u l d be recalled, as i t is useful to associate w i t h some remarks made b y Scaccia at the b e g i n n i n g of the 17th Century. A c c o r d i n g to Fabiano w e must consider as usurers those q u i suas d a n t pecunias a r t i f i c i b u s sive n a v i g a n t i b u s a u t m e r c a t o r i b u s , eas i n e o r u m a r t i f i c i i s a u t m e r c i m o n i i s exposituris, pacto tarnen a u t spe p r i n c i p a l i , q u o d salvo c a p i t a l i , i d q u o d vera c a m b i a p r o L u g d u n o a u t Bezenzono eundo et redeundo p a r i e n t , s i b i consignetur [c. 7r].

The interest of this passage lies n o t o n l y i n the fact t h a t i t states h o w there was, b y t h a t time, a certain abundance of capitals i n Genoa (compared to the p r o d u c t i v e - c o m m e r c i a l uses); b u t also because f r o m this we can deduce that the system used to calculate the current rate of interest (acknowledged a n d l e g i t i m i z e d b y the C i v i l Rota) derived f r o m a m e r c h a n t practice ( w h i c h was a n y t h i n g b u t peaceful i n the eyes of the churchmen). The second p a r t of the w o r k b y F a b i a n o C h i a v a r i is completely positive a n d contains proposals, aimed at l e g i t i m i z i n g (and j u s t i f y i n g ) exchanges a n d fairs (and always w i t h the a d d i t i o n of the clause "cessante o m n i quavis fraude"). A f t e r describing h o w the exchanges t h r o u g h letters take place, a n d h o w those of " L i o n e ο Besanzone" can be assimilated to them, i n chapter 5 he faces the real p o i n t of the p r o b l e m i.e. w h a t k i n d of contract was the exchange of "Besanzone". The process b y w h i c h he reaches the conclusion ( w h i c h w e previously saw i n the " d e s c r i p t i o n " at the b e g i n n i n g of the w o r k ) is a t y p i c a l process of e l i m i n a t i o n : p e r m u t a t i o n , is e l i m i n a t e d ; the h i r e of w o r k is e l i m i n a t e d ( " q u i a campsor n o n suscipit a l i q u a m p e c u n i a r u m summ a m transvehendam"); he goes i n t o d e t a i l to e x p l a i n the reasons for w h i c h i t c o u l d n o t be considered as a l o a n contract (the difference i n type of c u r rency, i n place, the p r e f i x e d times according to w h i c h the payments are made) a n d restates: h u i u s m o d i L u g d u n e n s e a u t Bezenzonense c a m b i u m ... esse c o n t r a c t u m e m p t i o n i s et v e n d i t i o n i s , e m p t i o n e v i d e l i c e t se tenente ex p a r t e campsoris, v e n d i t i o n e vero ex p a r t e capientis ad c a m b i u m [c. 14 v].

N o w , as De Roover correctly n o t e d 1 2 3 , t h r o u g h this d e f i n i t i o n i t was possible to l e g i t i m i z e a l l exchange contracts (provided t h a t the m a r k e t conditions 123 R. De Roover, C a r d i n a l Cajetan o n " C a m b i u m " or E x c h a n g e Dealings, i n P h i l o sophy a n d H u m a n i s m , cit., p. 432: " B y d e f i n i n g t h e cambium c o n t r a c t as a n emptio venditio, Cajetan subjected i t to the rules of the j u s t prices . . . T h e consequences were n o t i m m e d i a t e l y apparent, b u t t h e y almost i n e v i t a b l y l e d to l a x i t y a n d to the a p p r o v a l

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were respected), a n d D e Roover praised D e V i o w i t h h a v i n g been the first to open this w a y . De V i o h a d a c t u a l l y been s l i g h t l y more p r u d e n t : he i n fact a f f i r m e d t h a t i t was a contract "quasi emptionis et v e n d i t i o n i s " 1 2 4 ; w h i l e he h a d discussed the "egregii c u i u s d a m doctoris i n theologia o p i n i o sing u l a r i s " , w h o , even i f s t a t i n g t h a t the exchange was " p e r m u t a t i o pecuniae p r o p e c u n i a " however added " v e n d i b i l e esse p e c u n i a m a campsoribus u t p o t e r e m q u a m d a m , et eius p r e t i a v a r i a r i sicut a l i a r u m r e r u m , i u x t a t e m porum locorumque diversitates" 125. The consequence (and the first assumption) d e r i v i n g f r o m the assertion t h a t the exchange contract is a sale, is t h a t money is a c o m m o d i t y j u s t l i k e any other. For this reason F a b i a n o C h i a v a r i n o t o n l y demonstrates, u s i n g different arguments (only p a r t i a l l y t a k e n f r o m De Vio), t h a t money is legally subject to sale a n d purchase, b u t also t h a t i t has an " i n t e r n a t i o n a l " price ( w h i c h is n o t i d e n t i f i a b l e w i t h the domestic legal rate of exchange); the consequence is t h a t i t is possible to earn money t h r o u g h money. I n a few lines he succeeds i n r i d d i n g himself of one of the most p r i c k l y problems: i l l u d i t a q u e d i c t u m D i v i A m b r o s i j ... q u o d v i d e l i c e t ex pecunia pecunia n o n nasc i t u r , i n t e l l i g e n d u m est i n c o n t r a c t u m u t u i , u t ex i p s i u s m e t d i v i A m b r o s i j verbis clare e l i c i potes. I n m u t u i e n i m c o n t r a c t u c o m m i t t u n t u r usurae [c. 15 v].

B u t the exchange is a purchase-sale a n d n o t a loan. B u t the exchange of "Bisenzone" is, also, an exchange (provided t h a t "cessante o m n i fraude celebratus") and, thus, a purchase-sale; si ergo e m p t i o i n hoc c a m b i o sic celebrato n o n iuste f i t , nec e t i a m emptiones a u t v e n d i t i o n e s o m n i u m a l i a r u m q u a r u m c u m q u e r e r u m quovis m o d o f i e r i possent, et q u i a hoc est a b s u r d i s s i m u m et i n t o l l e r a b i l e , ergo i l l u d ex quo s e q u i t u r . . . q u o d c a m b i u m L u g d u n e n . sive Bezenzonen ... recte ac iuste celebrari possit [c. 17 v].

The demonstration, therefore, t h a t t i m e m a y be a factor changing o n l y the n u m b e r of buyers/sellers on the m a r k e t (thereby v a r y i n g the price of the " s c u d o " ) is t a k e n v e r b a t i m f r o m D e V i o 1 2 6 . of a l l exchanges c o n c l u d e d at the j u s t price, l e a v i n g o u t of the p i c t u r e o n l y f i c t i t i o u s exchanges, because t h e y were based o n f i c t i t i o u s or a r b i t r a r y rates i n s t e a d of o n q u o t a t i o n s set b y the m a r k e t c o n d i t i o n s " . O n t h e role of the e m p t i o - v e n d i t i o concept see also the considerations b y O. Capitani, L ' e t i c a economica medievale, B o l o g n a 1974, p. 18 a n d p. 44, where, t a k i n g a j u d g e m e n t b y Noonan (p. 317) he a f f i r m s t h a t w i t h the theories of D e V i o w e are " n o w o u t of t h e M i d d l e Ages". B u t t h e above m e n t i o n e d A n t o n i o M e r e n d a ( b o t h r i g o r i s t a n d careful) a f f i r m e d , b y the m i d d l e of the 17th C e n t u r y , t h a t " l a d o t t r i n a d e l Gaetano . . . è l a chiave d i questa m a t e r i a , a l l a b a r b a d e l N a v a r r o e d i t a n t ' a l t r i s c r i t t o r i " (see G. D . Peri, I f r u t t i d i A l b a r o o w e r o i l N e g o t i a n t e . . . Parte terza, V e n e t i a Gio. G i a c o m o H e r t z , 1673, p. 92). 124 D e V i o , D e C a m b i i s , cit., p. 124, § 284. 125 I b i d . , pp. 108 - 109, §§ 234 a n d 236; o n w h o m a y be the "egregius d o c t o r " see the subsequent note. 126 I b i d . , p. 127, § 191: " t e m p u s i n t e r m e d i u m est occasio q u o d i n v e n i a n t u r q u a s i venditores; i t a m u l t u m tempus i n t e r m e d i u m est occasio m u l t o r u m v e n d i t o r u m c o m -

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A l m o s t everything, n o w , is subject to the laws of the m a r k e t (time being the sole e x c e p t i o n ) 1 2 7 . m u n i t e r , et p a u c u m t e m p u s m u l t o r u m e m p t o r u m . A c per hoc, m u l t o i n t e r i a c e n t e t e m pore, p r o p t e r a b u n d a n t i a m v e n d i t o r u m , r a t i o n a b i l i t e r m i n u s d a t u r a solventibus, q u i sunt q u a s i ementes marchas absentes . . .". C h i a v a r i : " I n t e r m e d i u m ergo t e m p u s est occasio q u o d i n v e n i a n t u r venditores sive capientes ad c a m b i u m , quo f i t u t m u l t u m tempus i n t e r m e d i u m sit occasio m u l t o r u m v e n d i t o r u m , et p a u c u m tempus p a u c o r u m v e n d i t o r u m et m u l t o r u m e m p t o r u m . I c c i r c o m u l t o i n t e r i a c e n t e tempore, p r o p t e r a b u n d a n t i a m v e n d i t o r u m . . ." [c. 19r]. This conception of the role p l a y e d b y t i m e can be f o u n d also i n t w o others D o m i n i cans, contemporaries of D e V i o : one is t h e m e n t i o n e d T h e o p h i l o G i u s t i n i a n i ( B A V , V a t . L a t . 6434, c. 309r): " t a l v a r i e t a d e de p i ù precio ο m a n c h o precio, i n t a l tempo, n o n i l causa i l tempo, m a i l causa lo m a g g i o r ο m i n o r bisogno i n t a l t e m p o " . T h e other is t h e f a r m o r e famous Silvestro M a z z o l i n i da P r i e r i o w h o , i n t h e S u m m a (Bononiae, i n edibus B e n e d i c t i Hectoris, 1 5 1 4 - 1 5 1 5 c. 664r) j u s t i f i e d i n t h i s w a y the changes i n v a l u e a n d p r i c e a c c o r d i n g t o t h e t i m e of p a y m e n t : " n o n est g r a t i a temporis, sed r e i i n tempore, quae a l i q u a n d o p l u s a l i q u a n d o m i n u s valet, sicut m a r c h a venalis L u g d u n i v a l e t a l i q u a n d o p l u s a l i q u a n d o m i n u s s e c u n d u m p e n u r i a m et a b u n d a n t i a m v e n d i torum vel emptorum." N o w , i n Silvestro da P r i e r i o there is also the t h e o r y of the sale-purchase of money even i f the w o r d " p e r m u t a t i o " is v e r y o f t e n used: the s u m of these elements w o u l d l e a d us to i d e n t i f y i n h i m t h a t "egregius d o c t o r i n t h e o l o g i a " w i t h respect t o w h o m D e V i o makes, v e r y often, c r i t i c a l r e m a r k s (op. cit., §§ 234ff., 277); rejecting, thus, the hypothesis f o r m u l a t e d b y De Roover ( C a r d i n a l Cajetan, cit., p. 428) a c c o r d i n g to w h i c h , o n the c o n t r a r y , i n t h e passage i n q u e s t i o n i t h a d t o be seen " a reference very p r o b a b l y to S a n t ' A n t o n i n o " . S a n t ' A n t o n i n o , effectively, is m e n t i o n e d expressly b y D e V i o i n the i m m e d i a t e l y p r e c e d i n g pages; there was no reason t o use the expression " p o s t praedictas opiniones, egregii c u i u s d a m doctoris i n t h e o l o g i a o p i n i o singularis o c c u r r i t " , b y w h i c h , o n the c o n t r a r y , he refers clearly t o t h e o p i n i o n s of some of his contemporaries w h o m he does n o t i n t e n d to name; a n d D e V i o k n e w M a z z o l i n i w e l l . A t t h i s p o i n t some p r o b l e m s arise: D e V i o w r i t e s the D e C a m b i i s i n 1499, w h i l e the " e d i t i o p r i n c e p s " of t h e S u m m a s i l v e s t r i n a seems to have been the one remembered of 1514 - 1515 (see A. Serra Zanetti, L ' a r t e d e l l a s t a m p a a B o l o g n a n e l p r i m o v e n t e n n i o d e l Cinquecento, B o l o g n a 1958, p. 288). B u t , r a t h e r strangely, i n the S u m m a the De C a m b i i s b y D e V i o is never q u o t e d ( w h i l e w o r k s w h i c h have been diffused o n l y i n t h e i r h a n d w r i t t e n f o r m , l i k e the T r a c t a t u s de Pagis, b y Raffaele da Pornassio, are remembered). I t is possible t o hypothesize, then, t h a t D e V i o has seen either a first d r a f t of the S u m m a or some other w o r k b y Silvestro da P r i e r i o , t h e n i n c l u d e d i n the S u m m a . M a z z o l i n i , effectively, h a d already s t u d i e d "cases" a n d problems of economic m o r a l i n the Quaestiones i n the a p p e n d i x to the A u r e a Rosa (of w h i c h I c o u l d n o t see the e d i t i o n of H a g e n a u 1500, q u o t e d i n Serra Zanetti, p p . 2 8 6 - 2 8 7 ) ; a n d moreover there are several elements w h i c h l e a d us to date the S u m m a earlier: for instance the 17th C e n t u r y scholar G i o v a n n i M a r i a B o r z i n o (or B o l z i n o ) i n the M e m o r i e genovesi domenicane ( B A V , Vat. l a t . 9451, c. 109 v) remembers a h a n d w r i t t e n copy of the S u m m a k e p t i n the Genoese M o n a s t e r y of S. M a r i a d i Castello, w h e r e f r o m i t resulted t h a t the same h a d been c o m p l e t e d i n 1506. B u t far more i n t e r e s t i n g is the evidence g i v e n b y another D o m i n i c a n , A l b e r t o da Castello, w h o i n his chronicle, p u b l i s h e d i n 1506, w r i t e s a b o u t M a z z o l i n i : " m u l t a praeclara e d i d i t . . . s u m m a de casibus v a l d e u t i l i s et n o t a b i l i s " (see R. Creytens, Les écrivains d o m i n i c a i n s dans l a c h r o n i q u e d ' A l b e r t de Castello, i n A r c h i v u m F r a t r u m P r a e d i c a t o r u m X X X (1960), p. 298). I t is thus possible to hypothesize t h a t b y the b e g i n n i n g of the 16th C e n t u r y the S u m m a s i l v e s t r i n a was already k n o w n i n the D o m i n i c a n circles. D i d , m a y be, a n o t h e r e d i t i o n exist p r i o r to the one of 1514 - 1 5 1 5 , as i t c o u l d be supposed f r o m the w o r d s of A l b e r t o da Castello? A n y h o w b y the end of t h e S u m m a , i n the m e n t i o n e d e d i t i o n of Bologna, there are s t r o n g w o r d s of M a z z o l i n i against the " i m p u d e n t i s s i m o s fures, q u i e t i a m me v i v e n t e questiones nostras auree rose . . . usurpare n o n v e r e n t u r " a n d against the " e m u l o s impressores": i n short, t h e h i s t o r y of the e d i t i o n s of the w o r k s b y Silvestro da P r i e r i o is, p a r t i a l l y , s t i l l t o be made.

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We n o w have a better u n d e r s t a n d i n g of the i n t e l l e c t u a l a n d c u l t u r a l mechanisms on the basis of w h i c h i n 1555 the Republic of Genoa sanctioned the exchanges made " s u b certo et t e r m i n a t o interesse v e l l u c r o " : to agree beforehand on interest was to disregard the mechanism of the m a r k e t and, thus, to completely d i s t o r t the "purchase" of the " s c u d i d i m a r c h e " .

I I I . A n antiformalistic reaction 1. B o t h Lainez a n d Fabiano C h i a v a r i h a d expressed the o p i n i o n t h a t an o f f i c i a l judgement on the p a r t of the C h u r c h w o u l d have been necessary, w h i c h w o u l d above a l l settle the disagreements i n i n t e r p r e t a t i o n , a n d w o u l d give a u n i t a r i a n address to a p r o b l e m w h i c h , b y t h a t time, h a d assumed great q u a l i t a t i v e a n d q u a n t i t a t i v e importance. The judgement f i n a l l y arrived: the b u l l b y Pious V In earn p r o m u l g a t e d i n 1 5 7 1 1 2 8 . A n h i s t o r i c a l reconstruction of the w o r k s of the Commission of Cardinals t h a t studied the document is s t i l l missing. The c h a i r m a n of this B o a r d was, p r o b a b l y , C a r d i n a l S i r l e t o 1 2 9 . A c c o r d i n g to a report made b y the Jesuit C o m i t o l i , a very i m p o r t a n t role was performed b y another Jesuit, A n t o n i o Possevino, "cuius e t i a m persuasu, u t m i h i is n a r r a v i t , Pius V c o n s t i t u t i o n e m postea adversus haec recentia cambia e d i d i t " 1 3 0 . I t is however certain t h a t Possevino, d u r i n g his stay i n L y o n , studied this p r o b l e m i n depth, f r o m a rather rigorist p o i n t of v i e w 1 3 1 . The b u l l b y Pious V (a source for endless i n t e r p r e t a t i o n ) stands out for its desire to cut a l l the various forms of " d r y " exchanges w h i c h h a d developed i n the meantime. The exchanges were considered " d r y " as no letters were sent; because, i f mailed, there was a previous agreement to have t h e m sent back, so t h a t " p e c u n i a i b i denique c u m interesse reposcitur, u b i contractus fuerat celebratus". Deposit i n fairs, exchanges e x t e n d i n g f r o m one f a i r to 127 As i t has been v e r y s y n t h e t i c a l l y n o t e d b y J. A. Goris (p. 503) w h e n i n t r o d u c i n g the chapter o n " l a m o r a l e et les a f f a i r e " : " A u f o n d t o u t se r é d u i t à l a q u e s t i o n de l ' i n térêt, à l a q u e s t i o n de l a v a l e u r d u t e m p s " . 128 B u l l a r i u m r o m a n u m , V I , T o r i n o 1862, pp. 884 - 885. 129 See the l e t t e r of Pedro A f a n de Rivera, viceroy of Naples, d a t e d F e b r u a r y 1568, addressed to Sirleto, p u b l i s h e d i n G. Poggiani, E p i s t o l a e et orationes, t. I V , Romae 1758, p. 459. A s u m m a r y (again addressed to Sirleto) c o n t a i n i n g the "Quaestiones c a m b i o r u m t r a c t a n d a e i n congregationibus f u t u r i s " is i n B A V , V a t . L a t . 6431, c. 3 4 0 r ; an i n f o r m a t i v e r e c o r d o n exchanges made i n Naples, also w r i t t e n i n 1568, i n A S V , Misc. A r m . I I 80, cc. 170 - 172. 130 C o m i t o l i , Responsa m o r a l i a , cit., p. 399; i n the T r a t t a t o de c a m b i j , cit., c. 368 he w r o t e as f o l l o w s : " q u e l l a c o n s t i t u t i o n e f u f a t t a d a l R o m a n o Pontefice d i r e t t a m e n t e c o n t r a i l c a m b i o della ricorsa a d instanza del nostro Padre A n t o n i o Possevino, come egli q u i i n Padova n ' h a p o i a f f e r m a t o " . 131 G. D o r i g n y , V i t a d e l P. A n t o n i o Possevino . . . i l l u s t r a t a con v a r i e note e p i ù l e t tere inedite, Venezia 1759,1, p. 63; I I , p p . 133ff. ( w h o p u b l i s h e d a w o r k b y Possevino on deposit).

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another, w i t h times longer t h a n necessary, were condemned and, obviously was set d o w n "ne deinceps q u i s q u a m audeat, sive a p r i n c i p i o sive alias, cert u m et d e t e r m i n a t u m interesse, e t i a m i n caso n o n solutionis, pacisci" (not d i f f e r e n t l y f r o m t h a t w h i c h was contained i n the decree of 1555 b y the Republic of Genoa). The issue of the b u l l d i d however cause some concern i n Genoa, m a i n l y because, according to the o p i n i o n of the Government of the Republic, i t was n o t clear " q u a l sia stata l a sua [of the Pope] mente i n m a t e r i a de c a m b i j , rispetto a l tempo passato, come che la b o l l a u l t i m a m e n t e uscita n o n r i g u a r d i che l ' a v v e n i r e " . C a r d i n a l Vincenzo G i u s t i n i a n i , to w h o m the letter c o n t a i n i n g the preceding q u o t a t i o n was addressed, answered i m m e d i a t e l y i n v i t i n g his fellow-citizens to be very p r u d e n t " p a r e n d o m i esser negotio da n o n prec i p i t a r l o , m a ben m a t u r a r l o ... le cose n o n sono adesso i n t e r m i n e d i t a l remedio ο provisione, ne far questo romore, et a m i o g i u d i z i o q u a n t o manco strepito si fa è m e g l i o " (also because "solo da Genova" remarks h a d been made to the b u l l : "possiamo d i m o s t r a r l e ... q u a n t a durezza per n o n dire i m p o s s i b i l i t é i n se c o n t e n g a " ) 1 3 2 . The death of Pious V gave the Genoese a few f a i n t rays of hope, w h o f r o m November 1572, started again to send o u t feelers; between the end of A p r i l a n d the b e g i n n i n g of M a y 1573, i t was decided to send a commission comp r i s i n g three m o n k s (one A u g u s t i n i a n , one Franciscan a n d one D o m i n i c a n ) to Rome, "come i n f o r m a t i s s i m i del bisogno dei ... P o p o l i i n t o r n o alia m a t e r i a dei c a m b i j , per esporli a pieno i l desiderio che universalmente si tiene d'essere l i b e r a t i da l a S a n t i t à Vostra da quelle cose che g l i potessero dare scrupolo a l i a c o n s c i e n t i a " 1 3 3 . The answer of Gregory X I I I is u n k n o w n (at the present stage of the studies) also because i n the p a p a l b r i e f w h i c h accompanied the r e t u r n of the three h o l y men, he w r o t e : " n o s t r a m ipsis sententiam exposuimus, eandem his Uteris iterare n o n necessarium est; praesertim c u m earn facile ab ipsis accipere p o s s i t i s " 1 3 4 . The impression is t h a t a l l this " n e g o t i o " was conducted w i t h the greatest prudence, as recommended b y C a r d i n a l G i u s t i n i a n i f r o m the very beginning. There was however someone w h o w i s h e d to "fare 132 A S G , A r c h i v i o segreto 2831 (letter of the R e p u b l i c d a t e d 11th M a y 1571), a n d A S G Senato, Sala Senarega, 397 (letter of G i u s t i n i a n i d a t e d 18th M a y 1571). 133 F r o m t h e l e t t e r of the A r c h b i s h o p of Genoa to the Pope d a t e d 5 t h M a y 1573, i n A S V , Segreteria d i Stato, Genova, 1; a n d see also A S G , A r c h i v i o Segreto 1844. 134 A S G , A r c h i v i o Segreto 1554 Β (Papal b r i e f of 2 6 t h M a y 1573); a n d see A S V , A r m . 44, t. 21, c. 2 6 5 r (and at c. 265 ν t h e answer addressed to the A r c h b i s h o p of Genoa). W o r r i e d , a n d also s l i g h t l y i r r i t a t e d , was the m i l i e u of the Society of Jesus, n o t i n c l u d e d i n the dealings: r a t h e r interesting, i n t h i s respect, is a l e t t e r b y Possevino addressed to t h e Rector of the Genoa college, i n w h i c h he reports w h a t was l e a r n t t h r o u g h Toledo: " m i h a risposto che Sua S a n t i t à concedette a q u e i teologi o g n i a u t o r i t à che poteva per assolvere dispensar et c o m p o r r e per opere pie i n u n a p a r t e ο i n p i ù con q u a l u n q u e havesse t r a f f i c a t o c a m b i j i l l i c i t i et questo q u a n d o i c r e d i t o r i fossero i n c e r t i et n o n c o n o s c i u t i " ( A R S I , Opp. N N . 257, c. 172r).

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s t r e p i t o " (even i f perhaps he d i d n o t succeed i n creating the repercussions he wanted). 2. W h i l e , i n Rome, some compromise s o l u t i o n was b e i n g sought, a p a m p h l e t was p u b l i s h e d i n Genoa, w h i c h represented, i n certain respects, a real case. I t was the anonymous Dialogo nel quale si ragiona de' cambi et altri contratti di merci : e parimenti delle fiere di Ciamberi e di Trento 135, w h i c h n o t w i t h s t a n d i n g the a b u n d a n t research, s t i l l remains of u n c e r t a i n p a t e r n i t y . I t m u s t be excluded t h a t the a u t h o r was Cristoforo Zabata, the a u t h o r of the d e d i c a t i o n addressed to A g o s t i n o G r i m a l d i on 15th M a y 1573. A n d this is n o t o n l y because there is also another d e d i c a t i o n b y the anonymous author to the A r c h b i s h o p of Genoa, C i p r i a n o P a l l a v i c i n i , b u t rather because Z a b a t a does n o t seem to be capable of such an i n t e r v e n t i o n : i n 1560 he i n herited a b o o k s h o p 1 3 6 , and f r o m then on he continued to w o r k surrounded by books i n Genoa, Pavia and Venice, i n the role of " g u b e r n a t o r et a d m i n i strator i n apotheca l i b r a r i a " 1 3 7 , e d i t i n g collections of poetry or p o p u l a r l i t e r ature, or else w r i t i n g poetry himself (often signed C . Z . L . , i.e. " l i b r a r o " " b o o k s e l l e r " ) 1 3 8 ; as happened i n A p r i l 1573, w h e n he p u b l i s h e d the Nuova Scelta di Rime as always, t h r o u g h Cristoforo Bellone. A n interesting character, certainly f r o m the p o i n t of v i e w of l i t e r a r y interests, b u t i t is d o u b t f u l w h e t h e r he is the a u t h o r of the Dialogo. I n t h a t very year Cristoforo Bellone t o o k over f r o m his father the o n l y e x i s t i n g p r i n t i n g house i n Genoa a n d f o u n d a new partner, A n t o n i o Roccatagliata, w h o was t h e n Chancellor of the Republic. Three days after the date i n w h i c h Z a b a t a dedicated the Dialogo, Roccatagliata was the sole p r i n t e r a p p o i n t e d b y the Republic, for the w h o l e t e r r i t o r y for a p e r i o d of 35 years, s t a r t i n g f r o m 1575, the year i n w h i c h the a p o i n t m e n t of Bellone expired139. Roccatagliata was n o w the n e w protagonist i n the Genoese p u b l i s h i n g w o r l d (from the m a n a g e r i a l p o i n t of v i e w , at least). For the m o m e n t (we shall have cause to speak of h i m again) let us r e c a l l t h a t i n 1556 as a y o u n g m a n at the b e g i n n i n g of his carreer as a n o t a r y , he p u b l i s h e d a p a m p h l e t i n 135 T h e t i t l e continues as f o l l o w s : A d i n f o r m a t i o n e d i t u t t i colore che t r a t t a n d o n e desiderano saper i l p r o p r i o d i t a l m a t e r i a , i n Genova, appresso Christoforo Bellone 1573. 136 A S G , N o t a i o M a r c o A n t o n i o M o r i n e l l o sc. 348, f. 1. 137 A S G , N o t a i o Alessandro Castagnino sc. 398, f. 2. 138 a great deal of i n f o r m a t i o n i n N. Giuliani, N o t i z i e sulla t i p o g r a f i a l i g u r e sino a t u t t o i l secolo X V I , i n A S L S P I X (1869), passim; rhymes b y Z a b a t a also i n the P a l l a v i c i n o codex i n B N F , F o n d o N a z i o n a l e I I . I I I . 473; i n t e r e s t i n g is the l e t t e r addressed t o h i m b y A . G r i l l o , Lettere, Venetia 1616,1, p. 586. T h e w o r l d of the Genoese b o o k s e l lers (sometimes also editors, as i n the case of Orero) is remembered b y Z a b a t a i n D i p o r t o de' v i a n d a n t i , Venetia 1623. 139 A S G , Senato, Sala Senarega 1398; A r c h i v i o Segreto 818; C a n c e l l i e r i d i San G i o r g i o , 339.

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80

t h e defense of t h e n o b i l i t y of t h e n o t a r i a l p r o f e s s i o n 1 4 0 . C o u l d he be t h e a u t h o r ? W e h a v e n o p r o o f of i t , b u t t h e r e a g a i n n o t h i n g t o e x c l u d e i t . I t is certainly d i f f i c u l t to t h i n k that, at the same t i m e t h a t he was c o m i n g to an agreement w i t h Cristoforo Bellone o n the n e w m a n a g e m e n t of the p r i n t i n g house, B e l l o n e p u b l i s h e d s o m e t h i n g w i t h w h i c h R o c c a t a g l i a t a d i d n o t agree. W h e n , a f e w years l a t e r (after t h e d e a t h of C r i s t o f o r o a n d w h e n h i s son, M a r c o A n t o n i o , t o o k his place) a n i n v e n t o r y of the p r i n t i n g house w a s made, t h e Dialogo

i s a l w a y s m e n t i o n e d as b e i n g a n o n y m o u s 1 4 1 .

P a l e s c a n d o l o , t h e f i r s t ( a n d p e r h a p s t h e o n l y one) w h o f a c e d t h e p r o b l e m o f a n s w e r i n g t h e Dialogo ,

disputed w i t h anonymous "merchants"142. Fran-

cesco A d o r n o , a Genoese J e s u i t w h o w a s t o p o l e m i c a l l y r e f e r t o t h e

Dialogo

( a n d p e r h a p s c o u l d h a v e d i s c o v e r e d s o m e t h i n g ) does n o t say a n y t h i n g a b o u t the

author143.

Just

as t h e T h e a t i n e B e r n a r d o

Giustiniani

i n the

1620's

a t t r i b u t i n g t h e p a m p h l e t to a " b a n c h i e r e ο c a m b i s t a " , w a s n o t t o say a n y t h i n g 1 4 4 . I n c o n c l u s i o n t o t h i s b r i e f p r e m i s e t o t h e Dialogo

let us j u s t u n d e r -

l i n e the fact t h a t i t came o u t i n t h e v e r n a c u l a r , i n the f o r m of a dialogue, a n d i n p r i n t e d form. The author, and the editors, consequently, intended to have a widespread circulation: Z a b a t a mentions this, explicitly, i n the dedication: " p r o m e t t e n d o m i d i potere, co'l mezzo della Stampa, far giovamento a molti"145.

140 A . I u s t i n i a n i Roccataliatae, Scriba, Genuae s . n . t . [1556]. O n this t e x t a n d the connected p r o b l e m s see G. Doria / R. Savelli, " C i t t a d i n i d i g o v e r n o " a Genova: r i c chezza e potere t r a C i n q u e e Seicento, i n M a t e r i a l i per u n a storia della c u l t u r a g i u r i d i c a X ( 1 9 8 0 ) , p. 289. 141 Giuliani, p. 520. The r e t r i e v a l of some documents a l l o w us t o r e c t i f y the e x i s t i n g i n f o r m a t i o n o n the d y n a s t y of Bellone (see e. g. L e cinquecentine piemontesi, vol. I I , ed. b y M. Bersano-Begey a n d G. Dondi, T o r i n o 1966, p. 326): Cristoforo Bellone, w h o w o r k e d u n d e r his o w n name i n Genoa d u r i n g 1573 a n d 1574 is the n a t u r a l c h i l d of A n t o n i o ; b y M a r i a Plazia he h a d M a r c o A n t o n i o ; t h a t Cristoforo Bellone w h o w o r k e d i n T u r i n i n t h e same years is son of a b r o t h e r of A n t o n i o , a n d t h u s a cousin of the "Geonese" Cristoforo ( w h o c e r t a i n l y d i e d before M a y 1576, b u t p r o b a b l y already i n 1575): see A S G , N o t a i o L o r e n z o Pallavagna, sc. 442, f. 2 a n d N o t a i o Gio. G i a c o m o M e r e l l o , sc. 474, f. 1. 142 Palescandolo, T r a t t a t o d e ' c a m b i , q u o t e d e d i t i o n (see note 16), chapters 14 - 23 (Cassandro, o b v i o u s l y , d i d n o t manage to i d e n t i f y the target of Palescandolo). 143 F. A d o r n o , A n c a m b i u m b i s u n t i n u m sit l i c i t u m , B A M , S. 103 sup., c. 3 3 6 r (a f u r t h e r copy of t h e w o r k of A d o r n o i n the o f t e n q u o t e d codex B A V , V a t . L a t . 6434). 144 B. G i u s t i n i a n i , Breve t r a t t a t o della c o n t i n u a t i o n e de' c a m b i , M o n d o v i , G i o v a n n i G i s l a n d i e Gio. Tommaso Rossi, 1621, p. 33. I n the first e d i t i o n of the w o r k (Genova, Giuseppe P a v o n i 1619, p. 113) he m e n t i o n s t h e treatises " m a n d a t i f u o r i da m e r c a n t i " (on these t w o e d i t i o n s see Maffei, art. cit., p. 336). Of great interest is the l e t t e r addressed t o C a r d i n a l B e l l a r m i n o w h e n he sent h i m a copy, s t i l l h a n d - w r i t t e n , of his treatise: " v e d o che m i bisogna lasciar d i confessar ( i n Genova almeno) ο a p r o v a r q u e i c o n t r a t t i ch'io scorgo i n coscienza n o n essere l e c i t i , ο p r e n d e r m e l a contro g l i a l t r i conf e s s o r i a He i n v i t e d , then, the a u t h o r i t a t i v e C a r d i n a l to w r i t e personally o n t h e p r o b l e m of exchanges " i n l i n g u a pero i t a l i a n a v o l g a r e " as the w o r k s of the scholars, w r i t t e n i n l a t i n , " n o n v a n n o per le m a n i de' n e g o t i a n t i " (ARSI, Opp. N N . 240, cc. 291 292; a reference to t h i s l e t t e r is f o u n d i n X. M. Le Bachelet, B e l l a r m i n a v a n t son C a r d i n a l a t 1542 - 1598, Paris 1911, p. 89, note).

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3. The most r e m a r k a b l e t h i n g i n this p a m p h l e t , is the " a t t a c k strategy" used b y the author, even i n the d e d i c a t i o n to A r c h b i s h o p P a l l a v i c i n o 1 4 6 : " I I Decretale della felice m e m o r i a d i Papa Pio Q u i n t o [avrebbe] d o v u t o ... chiuder la bocca, n o n che a una q u a l i t à d i persone, poco i n t e l l i g e n t i d i t a l professione, m a anche a' Predicatori, i q u a l i i n f o r m a t i da t a l i , trascorrono i n far conoscere a l i i a u d i e n t i loro n o n haver piena n o t i t i a d i t a l i a f f a r i " a n d t h e n adds: " m i è parso ... i n d i r i z z a r l o a V.S. Reverendissima, con speranza che dove si sarà mancato per c h i a r i r ' i l fatto, a l t r i v i aggiungeranno a i n f o r m a t i o n e d i coloro q u a l i né per p r a t i c a né per theorica n o n a r r i v a n o a i n t e n dere le q u a l i t à de' C a m b i " [p. 6]. The controversy was aimed at the clergymen - confessors, theologians whose opinions " h o g g i d i sono t a l i e t a n t o i n sè diversi che confondono (temo) se stessi e i l m o n d o insieme". To u n d e r s t a n d the a t t i t u d e of the a u t h o r of the Dialogo (and of his customers) there are no w o r d s better t h a n those already m e n t i o n e d w h i c h were to be used, a few decades later, b y the Theatine D u a r d o , to dispute t h i s p a m p h l e t a n d polemize against those m e r chants, " q u i de hac re tractatus e d i d e r u n t et t y p i s dederunt, audentes de j u stitia cambij disputare ac determinare, c u m litteras ignorent. E t récusantes t h e l o g o r u m et c a n o n i s t a r u m i u d i c i u m se s u b m i t t e r e " 1 4 7 . The a u t h o r was n o t i g n o r a n t of " l e t t e r s " actually, b u t he objected to the confused a n d cont r a d i c t o r y i n t e r v e n t i o n b y the c h u r c h m e n i n the w o r l d of business, m a i n l y because i t was confused a n d c o n t r a d i c t o r y 1 4 8 . The first pages i n the Dialogo are aimed at d e m o n s t r a t i n g the usefulness of trade (and its necessity, i n a t o w n l i k e Genoa) a n d t h e n i n d i c a t i n g the p r o b l e m of the different p r a c t i c a l ways i n w h i c h i t is performed: e se direte che i s e t a i u o l i n o n dovrebbero ... c o m p r a r e a t e m p o ; io v i r i s p o n d o che n o n si deve cosi a f a t t o restringere le forme e i m o d i con i q u a l i , e con l' industriel e con i l credito i l m o n d o si è sempre governato da m o l t i secoli i n qua, per v o l o n t à elettiva e non forzata 149. 145 D i a l o g o , cit., p. 3 ( f r o m n o w o n o n l y the page i n square parentheses w i l l be quoted). 146 E v e n more c o n t r o v e r s i a l w o u l d be t h i s d e d i c a t i o n i f w e c o u l d believe c o m p l e t e l y w h a t the B a r n a b i t e A n t o n i o d i Sansalvatore a f f i r m e d (some years later), w i t h respect to P a l l a v i c i n o : " d a n n a v a t u t t i i c a m b i j d i fiera e l a ricorsa i n s i e m e " (A. Sansalvatore, T r a t t a t o della ricorsa e c o n t i n u a t i o n e de c a m b i , L u c c a O. G u i d o b o n i 1620; on w h i c h see Maffei, art. cit., p. 336). 147

See § I note 17. 148 «Ε' p i u ' i n c o n v e n i e n t e che i confessori consentano et assolvino p a r t e t u t t i e p a r t e p a r t e d e l l i n e g o c i a n t i i n c a m b i j , e p a r t e b i a s m a n o qualche q u a l i t à d e ' c a m b i j , e p a r t e l i b i a s m a n o t u t t i a f a t t o ; e con t u t t o ciö io vedo che l i t r a t t a n t i i n t u t t e le q u a l i t à de' C a m b i j o r d i n a r i a m e n t e si confessano e sono assoluti, e che l o r o Confessori cosi assentono, e c h i p o t r e b b e provedere d i qualche digesta e b u o n a r i s o l u t i o n e , n o n p r o vede e perciö si v i v e con biasmo e risico d i t u t t i , n e l l a confusione che se ne v e d e " [p. 11]. 149 D i a l o g o , p. 17 (my italics). T e s t i m o n y of t h e controversy o n t h e credit to the t o w n m a n u f a c t u r i n g sector is the R i s t r e t t o d i q u a n t o disse f. Alessandro Franceschi

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L e t us stress h o w this connection between legal credit a n d freely chosen credit began to appear ( " p e r v o l o n t à elettiva e n o n forzata") as this was to be one of the hinges on w h i c h the w h o l e Dialogo

turned.

As w e go on, however, w e f i n d f u r t h e r j u s t i f i c a t i o n of the selling " a d t e m p u s " (or of recourse to credit). A f u r t h e r i m p o r t a n t theme of the m o r a l theological debate b e g i n n i n g f r o m the m i d d l e ages was, as w e k n o w , t h a t concerning the r i g h t price (and the o r d i n a r y price). N o t e h o w elegantly the a u t h o r combines these t w o themes: dico che i l prezzo o r d i n a r i o et honesto d o v r à essere q u e l l o a l quale l a m a g g i o r p a r t e d i q u e l l a merce, i n q u e l l a stagione, per l i t r a t t a n t i o r d i n a r i j i n q u e l l a merce, i n q u e l l a c i t t à si vende; e perö se le sete ο lane, ο a l t r o che si sia, si venderanno per u n prezzo, i n p l u r i b u s , a t e m p o due Fere, io chiamerö q u e l l o essere i l prezzo o r d i n a r i o [p. 19].

Obviously the A u t h o r (not b e i n g i g n o r a n t i n letters) k n o w s t h a t i n this k i n d of contract the question of the sale of t i m e ( w h i c h cannot be sold) m i g h t be i n v o l v e d ; b u t i t is impossible to distinguish, openly, between those w h o sell " a d t e m p u s " since they r e m a i n w i t h i n the o r d i n a r y procedures of the m a r ket, a n d those w h o , on the contrary, sell " a p i ù tempo del corso o r d i n a r i o " ; thus "consentendosi l a p r i m a forma a dannandosi la seconda, io n o n vedo che v i si possa fare regola certa, né legge sopra: q u a l ' h o r a che i l caso e le i n t e n t i o n i possono essere diverse, poichè la i n t e n t i o n e g i u d i c a l ' h u o m o " . A n d i t is at this p o i n t t h a t the a u t h o r of the Dialogo sets d o w n a f u r t h e r basic p r i n c i p l e i n his argument: I o per me crederei che ciascuno i n s i m i l i casi potesse ο dovesse essere g i u d i c e della i n t e n t i o n e e d e l l a conscienza sua [p. 2 0 ] 1 5 0 .

I w o u l d say t h a t w h a t seems to be most i m p o r t a n t i n this Dialogo (beside the specific t h e o r i z a t i o n o n the p r o b l e m of the exchanges) is, first of all, this w i l l to express secular a n d i n d i v i d u a l i s t i c ethics on business matters, d u l y separ a t e d f r o m the restraints of the C h u r c h 1 5 1 . Secondly, the w h o l e Dialogo is permeated b y an a n t i f o r m a l i s t i c reaction, w h i c h is p r o b a b l y connected to this theory of the supremacy of the i n d i v i d u a l conscience: a t t o r n o a l vendere a tempo, p r e d i c a n d o n e l D u o m o d i Genova i l sabbato a v a n t i l a d o m e n i c a delle p a l m e n e l 1572, i n B A V , V a t . L a t . 4666, cc. 1 - 4 . 150 x h e concept is stressed also w h e n i t exemplifies t h e m o r e t h o r n y case of the sale " a d t e m p u s " of food-stuffs: i f " i l vender a t e m p o grano n o n h a b b i a a l t r a i n t e n t i o n e salvo d i s m a l t i r e e n o n per cavarne p i ù prezzo. M i r i d u r r e i anche i n questo a d i r e che l a i n t e n t i o n e e l a p r o p r i a conscientia do verebbe essere i l vero g i u d i c e " [p. 20]. 151 "Se v o i m i volete stringere a che io v i p a r l i da Teologo per consultare l a vostra conscienza meco; io v i d i r ö , V o i sarete m a l cauto a credere a me i d i o t a et io presontuoso a p a r l a r v i f u o r i della m i a professione, e saprei soggiongere che n o n solo i l n o n t r a t t a r de' c a m b i j , né anche i n a l t r a sorte d i m e r c a n t i a , né t r a f i c h i ; m a che lo a p p a r t a r s i a f f a t t o d e g l i a f f a r i d e l m o n d o , e i l r i t i r a r s i i n u n o heremo, sarebbe m o l t o p i ù cauto; e che neanche i n t u t t o ciö si sarebbe sicuro senza l a g r a t i a e m i s e r i c o r d i a d i N o s t r o Signore; m a v o l e n d o stare n e l m o n d o e t r a f i c a r e . . ." [p. 24].

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m i t o r n a a p r o p o s i t o per h o r a brevemente d i r e l a n a t u r a de' c o n t r a t t i p e c u n i a r i essere m o l t a , perö sotto d i v e r s i n o m i e sotto diverse specie, m o l t i da m o l t i a p p r o v a t i , e m o l t i da m o l t i r e p r o v a t i ; f a t t i perö t u t t i de denari, con oggetto p r i n c i p a l e d i cavarne, n o n d i r ö denari, per m u t a r vocabolo, m a d i r ö per cavarne u t i l e e commodo. A s w e c a n see, t h e a u t h o r i s a l s o c a p a b l e o f s u b t l e i r o n y . B u t l e t u s f o l l o w h i s reasoning: A l c u n i si c h i a m a n o r e d d i t i a n n u a l i , censi, m o n t i ... c a m b j i con m a n d a r e lettere ... a l t r i v i sono senza m a n d a r le lettere, che a l c u n i dicono secchi; a l t r i che si d o m a n dano D e p o s i t i et s i m i l i a . I n r i s t r e t t o , io credo, che mantenere si potesse che i l t u t t o sia pane d ' u n a pasta, e che l a i n t e n t i o n e e l'effetto sia t u t t o u n o ; perö sotto diverse forme e v o c a b o l i ; e che i l nome né l a forma, come a l c u n i tengono, n o n v a r i a p u n t o l'effetto né l ' i n t e n t i o n e de l i c o n t r a h e n t i [p. 25]. O b v i o u s l y such an a n t i f o r m a l i s t i c (and also a n t i - j u r i d i c a l ) p o s i t i o n c o u l d h a v e n o t h i n g o t h e r t h a n d i s r u p t i v e effects o n t h e w h o l e t h e o r i z a t i o n of t h e e x c h a n g e c o n t r a c t s . T h e A u t h o r does n o t s i m p l y l i m i t h i m s e l f t o discuss e x c h a n g e s i n general, h e does n o t t r y t o s y s t e m i z e t h i n g , b u t d i r e c t l y faces u p to one of the m o s t c o m m o n p r o b l e m s of t h e t i m e (and one o n w h i c h t r a d ition was greatly divided): that "cambio usitato da h u o m i n i e da donne", by w h o " h a n e l l a s u a c a s a d i e c e m i l a s c u d i , n o n sa, n o n p u ö ο n o n v u o l e f a r mercantia"

a n d invests t h e m i n exchanges. Thus, " n o n haveva

bisogno

a l c u n o d e ' d e n a r i n e l l a F e r a ; e s o l o se g l i h a r i m e s s i p e r a r b i t r i o e t p e r oggetto d i g u a d a g n a r e " . T h e " f o r m a l i t y " of w h e t h e r a letter w a s sent or n o t w o u l d change the e x t e r i o r characteristics of the contract, b u t n o t the w i l l of those i n v o l v e d i n it. N o w , f o l l o w i n g the decree b y Pious V w h i c h p e r m i t t e d the effective exchanges " c u m missione l i t t e r a r u m " , our keen a n d i n t r i g u i n g a u t h o r observes t h a t i t w i l l n o longer be possible to object " c h e per v i a d i cambio reale i l denaro n o n possi guadagnare denaro". But, then, perhaps the position on the p r o b l e m of exchanges " w i t h o u t letters" can be modified: dico che a l c u n i a r g u m e n t a n o ch'essendo permessa l ' i n t e n t i o n e e l'effetto d e l l ' a l t r o c a m b i o [ w i t h letter], che questo [ w i t h o u t letter] différente solo i n l a forma, si h a v rebbe s i m i l m e n t e a permettere, d a t o che da T h e o l o g i i l p r i m o sia c h i a m a t o c a m b i o reale, c h i a m a n d o l o contractus e m p t i o n i s et v e n d i t i o n i s ; p o i c h è questo e t u t t o i l resto sono forme, m a a l l a v e r i t à p o i lo effetto e l ' i n t e n t i o n e dicono essere t u t t ' u n a [p. 3 6 ] 1 5 2 . T h e q u e s t i o n , a n d a n s w e r , t h a t h e p u t s t o t h e o l o g i a n s a n d confessors is c l e a r and alarming: D o m a n d o h o r a a v o i se havemo a credere che l a i n t e n t i o n e e lo effetto sia q u e l l a che h a b b i a d ' a p p r o v a r e ο r i p r o v a r e i l cambio, ο p u r l a forma? So che per ragione m i hareste a dire le i n t e n t i o n e e lo effetto; perché l a f o r m a sia scorza et n o n s p i r i t o ;

152 A n d see p. 39: " e t se questo segue e che i n Fera n o n v i accada n u m e r a t i o n e a l c u n a d i denari, perché n o n v i f u a l t r a i n t e n t i o n e ne i c o n t r a e n t i , salvo che per v i a d i c a m b i o i l c r e d i t o e i l d e b i t o r i t o r n i a Genova; a che serve dicono l a forma, che si b a t tezza contractus e m p t i o n i s et v e n d i t i o n i s , poichè n o n v i è né fine né i n t e n t i o n e d ' a l cuna esigentia, né i n l ' u n o né i n l ' a l t r o c a m b i o . "

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anchora che m o l t i m o d e r n i v o g l i o n o che procéda l a f o r m a e che questa b a s t i [p. 3 7 ] 1 5 3 .

Perhaps w e have made excessive use of quotations, b u t w e t h o u g h t i t necessary to present, as f a i t h f u l l y as possible, the t h o u g h t of t h i s u n k n o w n a u t h o r (was he a merchant? a lawyer? a clergyman?) w h o differs so m u c h f r o m the w h o l e t r a d i t i o n a n d w h o is, i n some aspects, a unicum

i n the I t a l i a n scenario

of the 16th Century. A unicum b o t h because of his capacity of l i n k i n g u p w i t h the previous d o c t r i n a l t r a d i t i o n a n d because of his capacity of transferring new elements of the theory of usury t h r o u g h this controversy. I n this dialogue n o t w i t h s t a n d i n g its simple aspect, of a w o r k w h i c h does n o t i n t e n t i o n a l l y w a n t to give any d o c t r i n a l c o n t r i b u t i o n , w e do, i n fact, enter i n t o the dangerous d o m a i n of doctrine. The a u t h o r states: " i o v i ho detto che n o n so né devo risp o n d e r v i da Teologo né i n t r a r e a distinguere q u a l sia precetto d i D i o nostro Signore, e q u a l sia consiglio" [p. 40]; b u t he has a l l the same i n t r o d u c e d this d i s t i n c t i o n 1 5 4 ; a n d h o w , then, can w e f a i l to remember the p r o c l a i m e d and clear supremacy of the i n d i v i d u a l conscience? This w o r k , r a t h e r strangely, excaped the notice of the Congregation of the I n d e x ; otherwise i t w o u l d have met the same end as those w r i t t e n b y Sansalvatore or b y Basilio A l e m a n n i , w h i c h were certainly far less " h e t e r o d o x " t h a n this Dialogo 155. The a u t h o r was w e l l aware of the fact t h a t such a clear and u n u s u a l discussion about the exchange contract also obviously i m p l i e d a c o n f r o n t a t i o n w i t h a consolidated d o c t r i n a l t r a d i t i o n on the theme of usury. W i t h great s k i l l he h a d already made some p r e l i m i n a r y statements i n describing the n o r m a l procedures between the parties i n v o l v e d i n an exchange contract: 153 See w h a t was n o t e d b y Palescandolo (p. 130): " s t i m a n o m a l e a l c u n i m a r c a d a n t i , i q u a l i donano i l t u t t o a l l ' i n t e n t i o n e e dicono che i c o n t r a t t i p e c u n i a r i i son b e n d i m o l t i et v a r i i n o m i , m a t u t t i f a t t i d i d a n a r i . . . Talchè l a d i v e r s i t à t r a d i l o r o sarà solo d i v o c a b u l i e d i forme ο m o d e l l i , c h ' i m p o r t a solo l a scorza d e l l a cosa . . . D i c i a m o d u n que che dicono m o l t o male, perciochè le diverse forme ne' c o n t r a t t i d a n n o l o r o d i verso essere e diversa sostanza, essendo l a f o r m a sostanza ed essere della cosa e n o n l a scorza". A n d Francesco da Treviso already resorted to t h i s p r i n c i p l e (c. 408v): " c o n t r a c t u s debet i u d i c a r i s e c u n d u m eius f o r m a m et a p p a r e n t i a m " . 154 T h i s d i s t i n c t i o n is w i d e l y used b y D u M o u l i n (Tractatus, cit., p. 38, § 88) w h o takes i t , i d e n t i c a l , f r o m A e p i n u s (c. 29 v). O n the concept ( w i t h special reference to Francisco de V i t o r i a ) see Langholm, The A r i s t o t e l i a n A n a l y s i s of U s u r y , cit., pp. 18 19. 155 I n December 1624 b o t h the q u o t e d treatise b y Sansalvatore a n d the anonymous Discorso e parere d ' u n theologo i n t o r n o a l c a m b i o della ricorsa con se stesso ( M i l a n o , G. B. B i d e l l i , 1623) were i n c l u d e d i n the I n d e x : see Reusch, I I , p. 848. The a u t h o r of the anonymous treatise was p r o b a b l y the Jesuit B a s i l i o A l e m a n n i , as i t has been i n d i cated o n the copy of the B i b l i o t e c a Naz. Braidense i n M i l a n o (press-mark: F. V I I . 272). T h i s is the reason for w h i c h U. Gobbi, L ' e c o n o m i a p o l i t i c a n e g l i s c r i t t o r i i t a l i a n i del secolo X V I - X V I I , M i l a n o 1889, p. 259, m e n t i o n e d i t u n d e r t h e name of A l e m a n n i , w h i l e De Roover, ( L ' é v o l u t i o n , cit., p. 172) a f f i r m e d " n o u s n'avons pas t r o u v é trace a i l l e u r s " (a f u r t h e r copy has been i n d i c a t e d b y Maffei, p. 336).

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I n p l u r i b u s chi dona a cambio fida ο crede fidare a persone p i ù ricche ο tanto ricche come esso datore, l i q u a l i r i c c h i n o n p i g l i a n o a c a m b i o per necessità necessaria m a per elettione, p r e t e n d e n d o l o r o d i s t r a r i c c h i r e c o n i l c r e d i t o et c o n i l denaro d e l compagno, quale occupano, o l t r e le l o r o facultà, i n qualche q u a l i t é de negocij, dove p r e t e n d o n o guadagnar p i ù d i q u e l l o credano p o t e r perdere n e l c a m b i o che p i g l i a n o [pp. 34 - 35].

A n y description begins w i t h the assumption of a prospect, a n d this leads us d i r e c t l y to consider the exchanges as contracts between r i c h people (between r i c h people, i t must be said, and not only between merchants: here the professional q u a l i f i c a t i o n is, replaced b y the degree of w e a l t h , b y the " c r e d i t " ) ; r i c h people w h o m a k e investments a n d trade " i n una effettuale mercant i a q u a i si fa d i d e n a r i " . I n fact, i t can be safely said t h a t : per o r d i n a r i o è v a n i t à p a r l a r e che i p o v e r i sentano interesse i n d e t t a q u a l i t à de' c a m b i j [p. 35].

We thus f i n d ourselves i n an autonomous f i e l d of contracts w h i c h have n o t h i n g to do w i t h the " d r e a d e d " loan: né si p u ö né si deve chiamare m u t u o , né io credo si t r o v i legge a l c u n a q u a l faccia o b l i g a t o l ' h u o m o a m u t u a r e i l suo gratis a d alcuno, quale per bisogno e l e t t i v o e per a r b i t r i o , e n o n per necessità lo r i c e r c h i a c h i t a l v o l t a possiede manco d i l u i [p. 3 5 ] 1 5 6 .

As w e can see the t r a d i t i o n a l v i e w has n o w been t u r n e d o n its head: the b o r rowers are the r i c h (and c e r t a i n l y n o t the poor) a n d they do i t freely a n d t o make money. The separation between those contracts w h i c h are t y p i c a l of the business w o r l d a n d the problems of h e l p i n g the poor people, is thus p u t simply: m i d i r à alcuno, d u n q u e a i p o v e r i c o s t i t u t i i n necessità n o n è p r o w e d u t o . R i s p o n derö, Messer si, m a p e r altre forme delle q u a l i n o n è d i nostro p r o p o s i t o ragionare per hora, e n o n per v i a d e l c a m b i o [p. 35].

E v i d e n t l y he d i d n o t t h i n k these considerations sufficient, a n d t h e n he returns again to the argument, a n d d i r e c t l y tackles the p r o b l e m of the d i f ference w h i c h , i n his o p i n i o n , exists between an exchange contract made " t r a persone ricche e per elettione d i t u t t e le p a r t i " and usury: q u i sta l a d i f f i c u l t é i n conoscere e decidere q u a l sia usura p r o h i b i t a : perché per me ... tengo che i l negocio d e l c a m b i o n o n sia p r o h i b i t o d a l l a legge ... e n o n manco a l l a [sic] c a r i t à Christiana, se si ha da considerare l a f o r m a e l a i n t e n t i o n e [p. 41].

The d i s t i n c t i o n between the t w o w o r l d s is n o w clear: on the one h a n d b u s i ness a n d contracts a n d on the other the c h a r i t y a n d " l ' i n t e n t i o n e " i.e. the w o r l d of conscience 1 5 7 . 156 E x t r a o r d i n a r y is the resemblance w i t h the dialogue b y T h o m a s W i l s o n (p. 242): " f o r w h a t reason is i t , t h a t I s h o u l d lende freely t o every m a n a like? . . . I do t h i n k e no reason, n o r l a w e of g o d or men, w i l enforce me t o i t " . B u t the possible source i n c o m m o n is perhaps D u M o u l i n , T r a c t a t u s , cit., § 71: " n o n hoc v u l t Christus, u t c u i l i b e t quavis r a t i o n e p e t e n t i d e m u s " .

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T h e n w h a t is usury? here the Dialogo expresses a v i e w d o m i n a t e d b y a l i m i t e d v i e w of the usury: i n " o l d t i m e s " usury was present w h e n the debtor, unable to r e t u r n the capital, h a d to give the creditor his o w n c h i l d r e n as servants; i n "present t i m e s " the examples are different a n d always concern situations i n w h i c h whoever borrows money is subject to c o n t r a c t u a l conditions w h i c h impose l i m i t s on t h e i r o w n personal f r e e d o m 1 5 8 , or i n w h i c h the price of goods to be delivered b y the harvest t i m e is " t a l e che evidentemente v i sia i l p r e g i u d i c i o del p i g l i a t o r e del denaro". B u t above a l l usury is: i l prestare i l suo a c h i ha bisogno necessariamente a t a n t o per cento i l mese ο l ' a n n o , con essere sicuro del capitale e dell'interesse, sopra u n pegno é q u i v a l e n t e et i n sua m a n o ... i l vendere le sue v e t t o v a g l i e a p i ù prezzo d i q u e l l o che v a g l i o n o a d e n a r i per r a g i o n d e l t e m p o a c h i ne ha bisogno per i l v i v e r suo e della f a m i g l i a [pp. 4 1 - 4 2 ] .

U s u r y therefore involves a l l forms of l o a n made to persons w h o are i n need, i. e. t o the poor. We are therefore outside the w o r l d of business. B u t this k i n d of d i s t i n c t i o n brings us back to the w o r k of D u M o u l i n , w h o t h r o u g h o u t Europe h a d expanded some of the ideas of the G e r m a n reformer Johann H ö c k (Aepinus). The l a t t e r h a d grouped m e n i n three different social categories: the poor, i.e. those w h o o w n n o t h i n g , a n d to w h o m alms m u s t be given; the needy, to w h o m interest-free loans m u s t be made (and according to Aepinus' theory o n l y for this second category was the Evangelic comm a n d m e n t v a l i d : " a d h u n c secundum o r d i n e m referendae sunt d i v i n a e leges de m u t u o et usuris ... quae significanter l o q u u n t u r de i n d i g e n t i b u s , n o n de o m n i b u s " ) ; the rich, w h o m a k e contracts subjected to the C i v i l L a w s ("ea l i c e b i t sequi, q u i a Christus n o n abolet veteres politicas ordinationes, neque c o n d i t novas, nec arrogat s i b i p o l i t i c a i u d i c i a , sed c o m m i t t i t c i v i l i u m r e r u m cognitionem legibus et p o l i t i c i s o r d i n a t i o n i b u s " ) 1 5 9 . 157 A n d continues as f o l l o w s : " n é i n m o d o alcuno questa q u a l i t à d i t r a f i c o p e c u n i a r i o si p u ö né si deve c h i a m a r m u t u o , n o n che usura; m a neanche io t r o v o che l ' h u o m o sia o b l i g a t o , havendo per l u i e per g l i a f f a r i suoi bisogno, m u t u a r e i l suo ad a l t r i , dato che ne avessero bisogno, e m o l t o manco q u a n d o n o n per necessità m a per a r b i t r i o piglino i n qualsivoglia delli modi soprannominati a cambio". We have t o compare, i n t h i s respect, t h e considerations made b y L ü t h y o n some aspects of t h e t h o u g h t s of C a l v i n o : " D e d e u x choses l ' u n e : q u ' o n n ' a d m e t t e p o u r règle de v i e économique que l a l o i de charité, et alors q u ' o n ferme le marché: o u q u ' o n a d m e t t e le marché, mais alors q u ' o n ne prétende pas q u ' i l est r é g i p a r l a l o i d u d o n g r a t u i t . L e mutuum date nihil sperantes ne vise pas les échanges économiques" {Lüthy, I I , p. 760). 158 D i f f e r e n t l y f r o m w h a t happens i n case a person goes b a n k r u p t due t o the exchanges: "resta i n osservanza che u n f a l l i t o n o n solo dona né se stesso né i f i g l i per s c h i a v i al creditore, m a f a t t a conoscere l a sua i m p o t e n z a . . . pagando q u e l l a poca* p a r t e che p u ö et alle v o l t e q u e l l a poca p a r t e che v u o l e per p u r a m a l i t i a ; resta per o r d i n a r i o e d a l l a cortesia de i c r e d i t o r i e d a l l a legge assoluto." [p. 42]. 159 Aepinus, I n p s a l m u m X V D a v i d i s , cit. cc. 27 ν - 28 ν ; a n d see c. 31 r: " e x p r a e d i c tis e n i m f i t d a r u m praecepta C h r i s t i de m u t u o et elemosyna n o n pertinere a d t e r t i u m o r d i n e m , eaque quae i n t e r homines eius o r d i n i s m u t u o d a n t u r , sponte absque necessitate ex officio a m i c i t i a e d a r i , eisque m u t u u m posse denegari sine conscientiae p e r i c u l o " . B u t see also, e.g., w h a t M e l a n c h t h o n a f f i r m e d (another a u t h o r f r e q u e n t l y used

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D u M o u l i n adhered exactly to this t r i a d i c d i s t i n c t i o n ( a d m i t t i n g however his debt to Aepinus), a n d c o n f i r m e d the s u b o r d i n a t i o n of the

"actus

negociationis" to the l a w a n d to the c i v i l j u d g e s 1 6 0 . I t is d i f f i c u l t n o w to hypothesize as to w h e t h e r some of the ideas of the Dialogo reached its a u t h o r d i r e c t l y f r o m his r e a d i n g of w o r k s l i k e t h a t of Aepinus, or, w h i c h seems more probable, t h r o u g h the i n t e r m e d i a t i o n b y D u M o u l i n w h o has b y t h e n w e l l k n o w n i n Genoa, or perhaps they were the result of a f u l l y autonomous elaboration. The s i m i l a r i t y is, nevertheless, remarkable. I n certain aspects, the Dialogo m a k e a f u r t h e r s i m p l i f i c a t i o n , m a k i n g a d i s t i n c t i o n between o n l y t w o fields of a c t i v i t y : t h a t of c h a r i t y a n d the economic one, b u t the basic sense is the same. The last pages of the Dialogo are, then, devoted to a b r i e f e x p o s i t i o n of those problems connected to the " d e p o s i t " (this too is " u n a f o r m a d i negocio v o l o n t a r i o e n o n forzato, i l quale si faceva effettualmente fra persone ricche e p o t e n t i " ) w h i c h h a d been condemned b y the b u l l b y Pious V 1 6 1 ; a n d thus, i n a rather polemic (and ironic) w a y , i t recalls h o w f o l l o w i n g the advice of " P a d r i t h e o l o g i " i t was decided to h o l d the exchange fairs a l t e r n a t i v e l y i n Chambery a n d i n T r e n t o 1 6 2 , so t h a t p a y m e n t d i d n o t take place " i n eodem l o c o " : " a l che f u per m o l t i a w e r t i t o ed adherito volentieri, stante che i n t a l forma [!] u b i d i v a n o a l Decretale d i Sua Santità, si come erano o b l i g a t i , et insieme provedevano a l p a r t i c o l a r commodo l o r o " [p. 47]. I V . The "Decisiones Rotae Genuae de Mercatura" 1. Times, however, were n o t yet ripe for t a k i n g such a clear ideological stance. E v e n D u M o u l i n , w h o was considered one of the greatest innovators i n the scenario of the 16th Century j u r i d i c a l culture, h a d been so extremely t r a d i t i o n a l i s t i c on the topic of the exchange fairs, the " i m p i a e usurae l u g dunenses", t h a t he was used (or rather: quoted) b y N i c o l a Senarega, o n r i g o r i s t positions. The fact, then, t h a t no detailed answers to the Dialogo have been found, is somewhat disconcerting: the n u m b e r of copies k e p t i n the libraries proves t h a t the book was circulated, a n d i n the r i g h t places (one copy was i n the l i b r a r y of A n g e l o G i u s t i n i a n i , the Franciscan Bishop of b y D u M o u l i n ) : " i u d i c i u m de c o n t r a c t i b u s n o n p e r t i n e t ad p r i v a t o s homines a u t docentes E v a n g e l i u m . T o t a res ad m a g i s t r a t u s r e i i c i e n d a est. Is debet p r o n u n t i a r e , q u i contractus sunt p r o b a n d i . . . I t a q u e n o n est p e r m i t t e n d u m c o n c i o n a t o r i b u s , u t s i b i s u m a n t i u d i c i u m de c o n t r a c t i b u s . . . " ( C o m m e n t a r i i i n a l i q u o t p o l i t i c o s l i b r o s A r i s t o telis, 1530, i n Corpus r e f o r m a t o r u m , X V I , H a l i s S a x o n u m 1850, p. 430). 160 D u M o u l i n , T r a c t a t u s , cit., §§ 85 - 90, pp. 37 ff.; for the d i f f u s i o n of t h i s d i s t i n c t i o n see h o w W i l s o n ( i n his dialogue) made the " l a w y e r " use i t as his o w n ( w i t h o u t m e n t i o n i n g D u M o u l i n , w h o is, o n the c o n t r a r y , remembered b y the " c i v i l i a n " : W i l son, pp. 236, 242, 343). 161 Mandich, L e pacte de ricorsa, cit., pp. 172ff. 162 O n the transfer t o T r e n t see A S G , Senato, Sala Senarega 1393.

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G e n e v a ) 1 6 3 . References, i n p r i n t e d w o r k s , appeared very late and, strangely enough, were h a r d l y controversial. I t almost seems as t h o u g h silence was chosen as the means of answering the provocation. I n any case w e m u s t give to the anonymous Genoese due credit for h a v i n g p i n - p o i n t e d the problem. The fact of the m a t t e r is t h a t such a w o r k served o n l y for c u l t u r a l a n d ideological discussions; a n d i n I t a l y , i n the p e r i o d after the C o u n c i l of Trent, i t h a d a very l i m i t e d m a r k e t . This was also because a numerous a n d p o w e r f u l category of p o t e n t i a l users w o u l d n o t o n l y have been able to i d e n t i f y w i t h it, b u t they w o u l d n o t even have appreciated i t very much. I a m referr i n g t o lawyers (both barristers a n d judges). A b o o k such as the Dialogo d i d n o t serve any purpose: on the one h a n d i t was a n t i f o r m a l i s t i c a n d on the other to f o l l o w such teachings m a y n o t have been wise, as Scaccia was to p o i n t out: " e s t . . . haec m a t e r i a c a m b i o r u m periculosa". Basically barristers, judges and businessmen themselves needed something different. This " s o m e t h i n g d i f f e r e n t " was again p r o v i d e d for t h e m b y the p r i n t i n g house managed b y A n t o n i o Roccatagliata, w h i c h , between the end of 1581 a n d the b e g i n n i n g of 1582 p u b l i s h e d the famous Decisiones Rotae Genuae de Mercatura. Since different hypotheses have been made b o t h on the " d o u b l e a n d simultaneous" e d i t i o n (Genoa a n d Venice) a n d on the name of the editor, perhaps w e should n o w a d d some order to the certain facts a n d use t h e m as a f o u n d a t i o n t o f o r m u l a t e some hypotheses 1 6 4 . L e t us first consider the more m a t e r i a l aspects of the volume: b o t h the t e x t a n d the indexes are i d e n t i c a l i n a l l the copies, a n d a l l at c. 270r (at the end of the text- a n d before the b e g i n n i n g of the new q u i r e w i t h the index) have "Genuae M . D . L X X X L " , w h i c h is clear proof t h a t the t e x t was p r i n t e d i n Genoa a n d completed before the end of 1581. The differences are contained i n the first four leaves (not present i n a l l copies a n d n o t m e n t i o n e d i n the " r e g i s t r u m " ) w h i c h contained the frontispiece, the d e d i c a t i o n to N i c o l ö D o r i a , the Doge w h o was about to leave office, a n d the rights (four for A n t o n i o Roccatagliata a n d t w o for Francesco Z i l e t t i , the l a t t e r dated 6 t h January 1582). The basic difference, w h i c h has b r o u g h t about the p r o b lem, is the frontispiece: i n some copies the frontispiece was p r i n t e d i n Venice b y Z i l e t t i , a n d i n others i n Genoa b y Roccatagliata. As has been hypothesized, some copies of this v o l u m e were d i s t r i b u t e d i n Genoa, and some i n V e n i c e 1 6 5 , b u t the b o o k was conceived a n d p r i n t e d i n G e n o a 1 6 6 . 163

B A V , V a t . L a t . 6434 (see I note 50). A. Neri , U n a società t i p o g r a f i c a i n Genova n e l secolo X V I , i n G i o r n a l e L i g u s t i c o d i A r c h e o l o g i a S t o r i a e L e t t e r a t u r a , X I X (1892), pp. 458 - 466 ( w h i c h is s t i l l t h e best d o c u m e n t e d article); N. Calvini, U n a strana c i n q u e c e n t i n a genovese: Decisiones Rotae Genuae de m e r c a t u r a , i n L a Berio V I I I (1968), pp. 24 - 29; G. Petti-Balbi, Le e d i z i o n i genovesi d e l Cinquecento, i n Società Savonese d i S t o r i a P a t r i a , A t t i e m e m o rie N S . I X (1975), p. 86. 165 We do n o t k n o w e x a c t l y , u p t o n o w , w h e t h e r t h i s was a consequence of t h e d i s agreement b e t w e e n R o c c a t a g l i a t a a n d M a r c ' A n t o n i o Bellone. I t is a n y h o w sure t h a t 164

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B u t w h o made a n d edited it? The first r i g h t s of 1 5 7 8 - 1 5 7 9 lead us i n the r i g h t direction: " A n t o n i o Roccatagliata ... nella sua stampa che ha i n Genova sotto nome d i M a r c ' A n t o n i o B e l l o n e " . The m i s u n d e r s t a n d i n g e x i s t i n g about a possible editorship b y Bellone arose (as N e r i has clearly demonstrated) f r o m the fact t h a t i n the r i g h t g r a n t e d h i m b y the G r a n d D u k e of Florence, Bellone is m e n t i o n e d as " I . U . C.", w h i l e the request h a d been made b y Roccatagliata according t o the above m e n t i o n e d f o r m u l a 1 6 7 . We have already considered h o w Roccatagliata h a d o b t a i n e d the a p p o i n t m e n t as p r i n t e r f r o m the Republic a n d h o w i n 1573 came to be a p a r t n e r of Cristoforo, father of M a r c o A n t o n i o . We do have a document, however, f r o m 1577, w h i c h gives us some i n f o r m a t i o n on the structure of the company. The company's c a p i t a l was composed of four shares: t w o of w h i c h belonged to Roccatagliata, one to M a r c o A n t o n i o Bellone a n d one to L u i g i P o r t e i i i , a n d " s i dovrà stampare sotto nome d i M a r c ' A n t o n i o B e l l o n e " 1 6 8 . Roccatagliata's c l i m b appears evident at this p o i n t : after o b t a i n i n g the a p p o i n t m e n t , previously h e l d b y Bellone, he becomes a p a r t n e r i n the company, invests enough i n i t to h o l d 50% of the c a p i t a l and, subsequently, evid e n t l y invests more a n d renovates completely the p r i n t i n g house, so t h a t i n the documents w e f i n d m e n t i o n of the "stamparia di" [ p r i n t i n g house of] A n t o n i o Roccatagliata, even if, u p to 1578, the editions were issued (as set d o w n i n the contract) " u n d e r the name of M a r c ' A n t o n i o B e l l o n e ' 1 6 9 . The reasons w h y the name of Roccatagliata s h o u l d n o t appear (or i t was more convenient for h i m n o t to appear) derive f r o m the fact t h a t he was s t i l l Chancellor of the Republic, a member of the p a t r i c i a n class a n d could, thus,

t h e connections b e t w e e n Genoese a n d V e n e t i a n editors were n o t i n f r e q u e n t . A l r e a d y i n 1568, for instance, t h e Stanze d i d i v e r s i eccellenti p o e t i (one copy i n B A V , C a p p o n i I V . 233) are p r i n t e d i n the p r i n t i n g house of A n t o n i o Bellone, e d i t e d b y Z a b a t a : t h o u g h o n the frontispiece there are the "Geonese" i n d i c a t i o n s , b y t h e end of t h e v o l u m e w e f i n d , p r i n t e d : " I n Venetia a d i n s t a n t i a d i Cristoforo Z a b a t a " . D o c u m e n t s s t i l l remained, o n t h e basis of w h i c h Roccatagliata, i n 1585 a n d i n 1586, c o m m i t s h i m s e l f n o t to p r i n t i n Genoa w o r k s p u b l i s h e d b y G i o l i t o a n d b y G i u n t a , as s t i l l i n 1596 he c o m m i t s h i m s e l f to the heirs of Sperone S p e r o n i ( A S G , N o t a i o G a briele P i l o , sc. 460, ff. 2 a n d 4). 166 I n some warehouse i n Venice a great q u a n t i t y of copies p r i n t e d i n 1581 m u s t have remained. I n fact the Decisiones were p u t o n the m a r k e t a g a i n i n 1599 w i t h a n e w frontispiece (the t h i r d one,!): D e c i s i o n u m p e r i l l u s t r i s Rotae genuensis; C o l l e c t a nea fidelissima . . . I n q u i b u s ea p r a e s e r t i m t r a c t a t a et discussa sunt, quae a d m e r c a t u r a m conferunt, Venetiis A p u d B a r e t i u m & Socios, 1599 (one copy i n B i b l i o t e c a N a z i o n a l e Roma: 202.10. K . 10). 167 Neri, p. 465. A l s o i n c o n s i d e r a t i o n of the copy B C B , F. A n t . Gen. C. 42, o n t h e frontispiece of w h i c h Bellone's name, h a n d w r i t t e n , appears, I h a d hypothesized t h a t he m i g h t have h a d a role i n the e d i t o r i a l design of t h e v o l u m e (see Savelli, L a R e p u b b l i c a , cit., p. 88, note). B u t , at t h i s p o i n t , I w o u l d e x c l u d e i t . 168

Giuliani, p. 517. A S G , N o t a i o Gio. G i a c o m o M e r e l l o , sc. 474, f. 1; N o t a i o Alessandro Castagnino, sc. 398, f. 2 ( i n a d o c u m e n t of M a r c h 1578, L . P o r t e i i i is i n d i c a t e d as " a d m i n i s t r a t o r s t a m p a r i a e n o b i l i s A n t o n i j Roccataliatae"). 169

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be damaged b y the personal exercise of such an a c t i v i t y , due to the existence of those laws w h i c h p r o h i b i t e d the " m e c h a n i c a l arts" to such a class. For this reason his name neither appeared d u r i n g n o r after the break w i t h Bellone: u p to 1585 (the year i n w h i c h he associated w i t h B a r t o l i ) the books p r i n t e d i n Genoa d i d n o t bear the name of the p r i n t i n g house. He o b t a i n e d the a p p o i n t m e n t for a p e r i o d of t h i r t y five years, b u t c o u l d n o t appear as editor. The w o r k , was, thus, conceived ( w i t h r e m a r k a b l e e d i t o r i a l engagement) at this stage (1578 - 1579); i t was completed o n l y i n 1581 - 1582. I n the meant i m e there was n o t o n l y the w e l l k n o w n b r e a k d o w n i n the r e l a t i o n s h i p bet w e e n Roccatagliata a n d M . A . B e l l o n e 1 7 0 ; b u t also the plague w h i c h raged between 1579 a n d 1580 a n d i n t h a t period, even i f at a reduced pace, the p r i n t i n g house c o n t i n u e d to be a c t i v e 1 7 1 . Since no d o c u m e n t a r y v e r i f i c a t i o n on the e d i t i o n of this v o l u m e has so far been f o u n d 1 7 2 , i t o n l y remains to m a k e some hypotheses about its c o m p i l e r a n d / o r deviser. One element to be considered and, m a y be, of support is the d e d i c a t i o n of the w o r k ; this too, u n f o r t u n a t e l y , is completely anonymous. This fact excludes, however, t h a t the address to N i c o l ö D o r i a , the Doge i n charge, c o u l d be made b y a commoner, l i k e P o r t e i i i (or Bellone, s h o u l d he s t i l l have been i n Genoa). The a u t h o r of this d e d i c a t i o n was certainly a person w e l l k n o w n t o the addressee, so t h a t he d i d n o t deem i t necessary to a d d his signature. A n d this fact leads us to consider again, even i f o n l y b r i e f l y , A n t o n i o Roccatagliata. H e h a d h e l d the p o s i t i o n of Chancellor of the Republic for a l o n g time, a n d had, recently, given u p this p o s i t i o n (as according to the Leges novae of 1576, he c o u l d n o t r e m a i n i n this p o s i t i o n after 1 7 t h M a r c h 1581). O n 2 n d October 1581 he was requested to w r i t e the annals of the R e p u b l i c 1 7 3 . I t is therefore p r o b a b l e t h a t the d e d i c a t i o n (dated 1st October 1581) is b y Roccatagliata a k i n d of t e s t i m o n y of his l o n g and f r u i t f u l stay i n the Chancery, a n d an expression of g r a t i t u d e to the Doge, w h o h a d also almost reached the end of his m a n d a t e 1 7 4 . 170

Giuliani, pp. 286ff. " L e cose d e l l a s t a m p a r i a v a n o a m a l e " , w r o t e R o c c a t a g l i a t a to his colleague Alessandro Castagnino i n N o v e m b e r 1579, i n f o r m i n g h i m a b o u t w h a t was b e i n g p r i n t e d a n d r e q u e s t i n g o p i n i o n s a n d suggestions (ASG, N o t a i o G i u d i z i a r i 479). E v i d e n t l y Castagnino h a d some role i n the p a r t n e r s h i p , as w i l l h a p p e n w i t h a n o t h e r n o t ary, Gabriele P i l o , w h o was also a c o l l a b o r a t o r of R o c c a t a g l i a t a (as vice-chancellor), a n d f r i e n d (ASG, N o t a i o Stefano Sovero, sc. 581, f. 1, f r o m the w i l l of Roccatagliata). 172 I t h i n k , for instance, of a c o n t r a c t l i k e the one made o n the occasion of the p u b l i c a t i o n i n 1594 of the I t a l i a n t r a n s l a t i o n of t h e Mémoires b y Commynes, e d i t e d b y the Genoese l a w y e r L o r e n z o C o n t i ( A S G , N o t a i o G i u l i o P r i a r u g g i a , sc. 438, f. 13). A b o u t C o n t i see the a r t i c l e I w r o t e for D B I , X X V I I I , pp. 444 - 446 a n d T r a M a c h i a v e l l i cit., pp. 266ff. 173 See the a u t o g r a p h m a n u s c r i p t of the A n n a l i i n A S G , M a n u s c r i p t 63; a n d A S G , A r c h i v i o Segreto 827. 171

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There is, then, a f u r t h e r element w h i c h leads us to believe t h a t Roccatagliata d i d not only sign the dedication of the Decisiones, b u t t h a t he was also one of the devisers, i f n o t " t h e " deviser, of this collection. W h o , i n fact, c o u l d have access to the judgements of the C i v i l Rota i f n o t the parties, the judges (who a n y h o w h e l d the p o s i t i o n for such a short period), a n d the lawyers? Notaries, w h o , for a l o n g p e r i o d of t h e i r career, performed the role of chancellors at magistratures and offices, i n c l u d i n g i n fact the C i v i l Rota. The father of A n t o n i o , G i r o l a m o Roccatagliata h a d already h e l d the p o s i t i o n of chancellor of the R o t a 1 7 5 . I t d i d n o t appear (on the basis of the acts s t i l l remaining) t h a t our secretary h a d also f o l l o w e d this c u r r i c u l u m . The study of the so-called Pandetta combustorum (effectively an i n v e n t o r y of the files of notaries i n the first h a l f of the 17th C e n t u r y ) 1 7 6 has i n f o r m e d us about an a c t i v i t y performed b y A n t o n i o simultaneously to t h a t of n o t a r y : he was chancellor of the d e p u t y "Podestà", of the " S t r a o r d i n a r i " a n d also of the C i v i l Rota - there were, i n the 17th Century, t w o " f o l i a t i a " w h i c h covered the p e r i o d 1557 - f565. I n short, he h a d a very direct e x p e r i ence of the operation of c i v i l justice and of the C i v i l Rota. The access, then, to the Chancery of the Senate opened the last door to h i m , should he have needed it, to collect judgements. F i n a l l y , t o this " a n t i q u a r i o b e n e m e r i t o " (according to the d e f i n i t i o n given to h i m b y the erudite Federico Federici i n the first h a l f of the 17th Century) w e can also a t t r i b u t e , h y p o t h e t i c a l l y , the m e r i t of collecting a n d e d i t i n g the Decisiones of the Genoese C i v i l R o t a 1 7 7 . 174 T h a t A n t o n i o R o c c a t a g l i a t a h a d a p r o m i n e n t role i n the o r g a n i z a t i o n of the chancery appears evident f r o m the "service orders" dated 3 0 t h A p r i l 1580, w h i c h shares the duties a m o n g t h e chancellors (ASG, Senato, Sala Senarega 1440). The d u t y of "custos a r c h i v i i et s c r i p t u r a r u m p u b l i c a r u m " was assigned to h i m also for a p e r i o d subsequent to the end of his m a n d a t e (see the decree d a t e d 2 7 t h J a n u a r y 1581 i n A S G , A r c h i v i o Segreto 827). The envy aroused b y such preference is made e v i dent b y a n anonymous l e t t e r i n w h i c h he was accused of b e i n g a " t i r a n n o " a n d a " v o l p e " ( A S G , Senato, Sala G a l l o , 706). 17 5 A S G , N o t a i G i u d i z i a r i 123 - 153. 176 A S G , Segreteria. See M . Bologna, 1684 M a g g i o 17: L e p e r d i t e d e l l ' a r c h i v i o d e l collegio dei n o t a i d i Genova, i n A S L S P X C V I I I (1984), p. 272. 177 The j u d g e m e n t b y F. F e d e r i c i is i n A l b e r i Genealogici, B i b l i o t e c a F r a n z o n i a n a , Genova, Ms. U r b . 128, c. 2 2 0 r ; m e n t i o n of the r e l a t i o n s h i p b e t w e e n F e d e r i c i a n d Rocc a t a g l i a t a i n Doria-Savelli, C i t t a d i n i , cit., p. 343. The e d i t i o n of the A n n a l i (far d i f f e r ent f r o m the q u o t e d a u t o g r a p h ) is d a t e d 1873. There is no s t u d y o n his a c t i v i t y as scholar a n d collector of the c o u n t r y ' s memories: his m a n u s c r i p t s were an i m p o r t a n t source for the Genoese scholars of the f i r s t h a l f of the 17th C e n t u r y . We m u s t also remember t h a t i n A u g u s t 1583 he was called t o be a m e m b e r of the C o m m i s s i o n i n charge of the r e v i s i o n of the C i v i l Statutes ( w h i c h w i l l be p u b l i s h e d 1587): see G. P a l l a v i c i n o , I n v e n t i o n e . . . d i scriver t u t t e le cose accadute a l i i t e m p i suoi (1583 - 1589), Genoa 1975, p. 9. Rector o n the B o a r d of N o t a r i e s (five times i n t h e p e r i o d b e t w e e n 1575 a n d 1604: A S G N o t a i i g n o t i 429, a n d G. Costamagna, I I n o t a i o , cit., p p . 285 286) he was a p p o i n t e d i n m a n y i m p o r t a n t a d m i n i s t r a t i v e a n d g o v e r n m e n t roles (governor i n 1594, p r o c u r a t o r i n 1597, a g a i n governor i n 1607). H e d i e d o n 2 5 t h F e b r u a r y

1608.

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one of his o w n , b u t i t is safe to assume t h a t he elaborated i t certainly i n the s p r i n g of 1575, i n the t u r b u l e n t p e r i o d of c i v i l conflict i n Genoa, w h e n the w h o l e i n s t i t u t i o n a l o r g a n i z a t i o n of the Republic was called i n t o question; a n d yet another anonymous w r i t e r s u b m i t t e d a project to the Senate to r e f o r m the Republic, i n w h i c h w e f i n d also this suggestion: Che si debba elleger ... t r e ... i q u a l i h a b b i n o cura d i r i v e d e r t u t t e le decisioni f a t te per l a r o t t a d e l l ' a n n o d e l 28 i n qua, e i n v e s t i g a r t u t t i q u e l l i casi che havessero h a v u t o l a esecutione con due sentenze conforme, quale si debbano ponere i n stampa, acciö che sempre che capitassi d i n a n z i a l l a r o t a ο a q u a l s i v o g l i m a g i s t r a t o cause c o n f o r m i a quelle che havessero h a v u t o l a l o r o esecutione, essa R o t a e cosi t u t t i l i a l t r i m a g i s t r a t i h a b b i n o da g i u d i c a r conforme a q u e l l e 1 7 8 .

The project, as w e can see, is very interesting, b o t h as i t underlines c i r c u l a t i o n t h r o u g h the press a n d because i t proposes an o r i g i n a l w a y of i n t r o d u c i n g some sort of l i m i t a t i o n for the judge analogous to the b i n d i n g precedent: an o b l i g a t i o n n o t to issue decisions different f r o m a couple of previous conf o r m i n g decisions. B u t i f i n the d e d i c a t i o n made b y Roccatagliata to the Decisiones w e f i n d no reference to this idea t h a t the respect of a previous judgement was m a n datory, w e f i n d certain other i n d i c a t i o n s w h i c h can shed l i g h t on the reasons a n d characteristics of the w o r k . The first one underlines the u t i l i t y of this e d i t i o n for the Genoese: U t i l i s s i m a e Genuensibus e r u n t i l l a e quae de m e r c i m o n i j s a t q u e de m e r c a t u r a t r a c t a n t , n a m earn praecipue i l l o s d o c u i t necessitas, q u a d o c t o r n u l l u s est praestantior.

The fact t h a t the Genoese h a d a p r e d i l e c t i o n for the c o m m e r c i a l activities was w e l l k n o w n ; w h a t is interesting is h o w widespread the topos of the "necessitas" was: the Genoese c o u l d o n l y do business (due to the s t e r i l i t y of t h e i r region). W h a t was the c o n t r i b u t i o n given b y the collection of the Decisiones to the d i f f u s i o n of this topos ( w h i c h w e have already f o u n d i n Scaccia)? We find, then, a reference, very generical i n appearance, to the c r i t e r i a foll o w e d i n the p u b l i c a t i o n : et l i c e t m u l t a fortasse i n eis resecari potuissent, et n o n n u l l a t o l l i , sive q u i a r e p e t i t a sint, sive a l i a ratione, p l a c u i t t a m e n hoc a g e n d u m sapientibus relinquere, et i t a intégras proponere, u t omnes ab o m n i b u s v i d e r i possint.

A t present i t is p r a c t i c a l l y impossible to say w h i c h c r i t e r i a were f o l l o w e d for the selection of the judgements. There no longer exists (if indeed one 178 The t e x t p u b l i s h e d i n Savelli, L a R e p u b b l i c a , cit., p. 265. N o t everybody h a d the same f a i t h i n t h e judges of the Rota: a n o t h e r anonymous w r i t e r of projects i n t h a t same period, i n fact, r e c o m m e n d e d t a k i n g a w a y f r o m the C i v i l R o t a the c o m m e r c i a l judgements, a n d r e t u r n i n g t h e m to a n office f o r m e d b y merchants: "è p i ù conveniente che l i f a t t i m e r c a n t i l i da m e r c a n t i siano i n t e s i " (the p r o j e c t i n B A V , B a r b . L a t . 5303, cc. 49 - 62; a n d see Savelli, pp. 104 - 105).

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ever d i d exist) a u n i t a r y file of the C i v i l Rota, b u t there are t w o series w h i c h are reciprocally heterogeneous. The first, w h i c h w e have already m e n tioned, is composed of the documents f i l e d at the " N o t a i G i u d i z i a r i " of A S G , w h e r e i n the t r i a l acts o n l y are k e p t separate a n d grouped according to the chancellor w h o prepared them. The second series (not yet completely p u t i n order) consists of almost f o r t y volumes i n w h i c h judgements of the C i v i l Rota are grouped (at an u n c e r t a i n date). I t is n o t o n l y a very c o m p l i c a t e d m a t t e r to f o l l o w a suit i n its entirety, b u t the judgements w h i c h can s t i l l be traced are o n l y a collection, and, also, a collection w h i c h seems to be completely l a c k i n g i n m a t e r i a l for the first h a l f of the 16th Century. The first volume, i n fact, begins i n 1563. The selection c r i t e r i a w h i c h were certainly f o l l o w e d i n the edition, are those g i v i n g privilege to those issues w h i c h can be defined as b e i n g closely related to m e r c h a n t - l a w ( w i t h i n a w i d e r range of material), a n d t h e n r e p r o d u c i n g the judgements, i n t h e i r i n t e g r i t y (as stated i n the d e d i c a t i o n of the Decisiones) 119. B u t w h a t , a n d h o w much, was rejected? W h y were certain judgements selected instead of others? Was an i d e o l o g i c a l - c u l t u r a l u n i f o r m i t y c r i t e r i o n followed? Were some issues privileged? I t is impossible to answer a l l these questions (unless, of course, new findings complete the scarceness of elements m e n t i o n e d above). I f w e ignore w h a t h a d been rejected, w e do have at h a n d w h a t was chosen. A n d , at this p o i n t , w e r e t u r n to the p r o b l e m of exchanges a n d of interest on money. 2. We have made this l o n g i n t r o d u c t i o n on the p u b l i c a t i o n of the Decisiones as i t seemed to us t h a t this book represents a r a t h e r peculiar w a y of i n t e r v e n i n g i n the debate on exchanges. Suffice t o say t h a t the person w h o selected the judgements (and w e have hypothesized t h a t i t was A n t o n i o Roccatagliata) was w e l l aware of the theme of the exchange because of his role as n o t a r y , as Chancellor of the Rota, and, more generally, as h i g h r a n k i n g officer a n d m a n i n v o l v e d i n politics. F u r t h e r m o r e the Dialogo came f r o m the p r i n t i n g house w h i c h w o u l d soon belong to h i m . He was also a Chancellor of the Senate i n the very m o m e n t i n w h i c h the discussions between the Republ i c a n d the H o l y See were b e i n g held. He c o u l d not, thus, ignore the general a n d p a r t i c u l a r terms of the problem. I t seems, then, t h a t he selected m a i n l y 179 The c o m p a r i s o n has been possible for o n l y s i x judgements (nn° L X , L X X X X V I I , L X X X X V I I I , C X V , C X X V , C X X V I I ) . T e x t s are i d e n t i c a l ; o n l y the a m o u n t s have been e l i m i n a t e d . T h a t the volumes w h i c h r e m a i n e d i n A S G , Rota C i v i l e , are o n l y a v e r y s m a l l p a r t of the o r i g i n a l m a t e r i a l , is evident f r o m the c o n t i n u o u s gaps i n the oldest page numbers. The interest of some other chancellor for the c o m m e r c i a l theme is d e r i v e d f r o m the fact t h a t , o n m a n y (at a l a t e r date), t h e w o r d " m e r c a t o r i a " was w r i t ten: was there perhaps a p r o j e c t for a n o t h e r volume?

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those judgements issued between 1550 a n d 1577 (contemporary to h i m ) 1 8 0 a n d w h i c h are, thus, subsequent, to the great debate of 1554 a n d to the l a w of 1555. G o i n g t h r o u g h these judgements w e have the clear impression of entering d i r e c t l y i n t o the m u l t i - f a c e t e d w o r l d of the Genoese entrepreneurs of the 16th Century. The spaces: f r o m A l e x a n d r i a i n E g y p t to the Canary Islands, f r o m E n g l a n d to the " e n e m y " Algiers, f r o m M e d i n a del Campo to Messina; the goods: e v e r y t h i n g c i r c u l a t e d i n these areas and is exchanged, p r o v i d e d t h a t i t generated a p r o f i t . B u t w e also have a f u r t h e r impression: a r e c u r r i n g theme is t h a t of the interest (of the lawfulness of interest), a theme w h i c h the judgements deal w i t h again a n d again (42 on a t o t a l n u m b e r of 215), e n d i n g u p w i t h r a t h e r homogeneous solutions. T i g h t l y connected to i t w e f i n d the p r o b l e m of the exchanges (more t h a n t w e n t y deal specifically w i t h this problem, a n d p a r t of t h e m m u s t be added to those i n w h i c h a decision is t a k e n on the p r o b l e m of interest). Was this r e d u n d a n c y i n t e n t i o n a l or does i t reflect an objective reality? As w e previously said, i t is impossible to k n o w , today, w h a t these 215 judgements represent i n terms of q u a n t i t y w i t h respect to the t o t a l i t y of the issued ones and, s i m i l a r l y , h o w often the theme of the exchanges a n d of the interest occurred. I t is a n y h o w c e r t a i n t h a t , even i f this theme was n o t stressed p a r t i c u l a r l y , this p r o b l e m is one of the q u a l i f y i n g points of the w h o l e collection. N o t l o w e r i n interest is, the reaction of the judges of the Rota w i t h respect to the Genoese r e a l i t y , to the commercial a n d legal procedures there. These judges w h o l i v e d i n the m i d d l e of the 16th century were also greatly, a n d evidently, fascinated b y the t o w n ' s entrepreneurial w o r l d . I t is n o t o n l y the f u l l acceptance of the p r i n c i p l e of the consuetudo regionis 181 or of the consuetudo mercatorum, t h a t "consuetudo ... quae p r o c u l d u b i o i n t e r mercatores facit i u s " ( X X X I I § 7) b u t i t is something more: t h r o u g h this p r i n c i p l e w h a t , at a p u r e l y d o c t r i n a r y level, w o u l d have perhaps been more d i f f i c u l t to accept, is passed to the level of jurisprudence. There is, also, the fact of l i v i n g i n such a very special m i l i e u , t h a t one judge of the Rota exclaimed: 180 T h e o n l y sure c h r o n o l o g i c a l reference is c o n t a i n e d i n decision X I V (c. 62r): 1565. T h e few left, of w h i c h one copy is i n A S G , R o t a C i v i l e 1, can s t i l l be d a t e d b e t w e e n the end of the '60s a n d the b e g i n n i n g of the '70s. 181 See the decisio L X X V I I I § 17 (from n o w o n w e w i l l i n d i c a t e o n l y the n u m b e r of the j u d g e m e n t a n d t h e paragraph). W i t h reference to the consuetudo loci there is an i n t e r e s t i n g reference to Petrus L u s i t a n u s , the Santarem, t h i s b e i n g f u r t h e r p r o o f of the interest t h a t t h i s w o r k generated i n I t a l y , a n d a useful element to date the j u d g e m e n t " p o s t q u e m " . A b o u t S a n t a r e m a n d the e d i t i o n of his w o r k see D. Maffei, I I g i u r e consulto portoghese Pedro de S a n t a r e m autore d e l p r i m o t r a t t a t o sulle assicurazioni (1488), i n Estudos em H o m e n a g e m aos Profs. M a n u e l Paulo Merêa e G u i l h e r m e B r a g a de Cruz, C o i m b r a 1983, pp. 703 - 728 (Santarem is, for instance, also recalled i n j u d g e m e n t C L X V I I § 4).

Between Law and Morals " i t a semper f u i t i u d i c a t u m Genuae, ubi vivitur

super interessibus "

95 (LXVIII

§ 9 ) . We w i l l comment f u r t h e r on this connection between judge a n d the Genoese " p e c u l i a r i t y " (if w e can say so). W h a t is clear is t h a t the judge legitimizes, on one hand, a n d universalizes, on the other hand, this " p e culiarity". L e t us go back again for a b r i e f m o m e n t to the consideration ( w h i c h appears as a " s t a t e m e n t " ) according to w h i c h "Genuae v i v i t u r super i n t e r essibus". I n m a n y judgements w e f i n d the topos of the Genoese w h o , b y nature, has to be considered a merchant: the most famous one, repeated w o r d for w o r d b y Scaccia, was remembered at the b e g i n n i n g of this w o r k . I n the same one ( C X X X I X ) w e f i n d f u r t h e r elements w h i c h concur to f o r m this almost m y t h o l o g i c a l image: C u m genuenses s o l i t i s i n t n e g o t i a r i et mercari, et n i h i l a n t i q u i u s habeant ipsis negotiis et m e r c a t u r a , i u r e m e r i t o R o t a censuit l u c r i cessantis r a t i o n e m h a b e n d a m esse .. . 1 8 2 .

We shall deal later w i t h the p r i n c i p l e of loss of gain: w e w i s h , n o w , to u n d e r l i n e this concept t h a t everybody i n Genoa m a y have been considered as b e i n g a m e r c h a n t ; they are almost " a n t h r o p o l o g i c a l l y " different (almost a n e w k i n d of " J e w " w i t h o u t , of course, the negative n o t a t i o n t y p i c a l l y connected w i t h Jews). I n fact, even w h e n referred to women, the judgements c o n t a i n some ambivalence. I n one j u d g e m e n t ( X X X V I I ) there is a more t r a d i t i o n a l a n d restrictive consideration: the c o m m e r c i a l a c t i v i t y is " p r o p r i e o f f i c i u m h o m i n i s " , " n o n a u t e m m u l i e r i s immiscerese negotiis secularibus mercando et n e g o t i a n d o " , a n d for this reason, even i f the c o m p l a i n a n t used to give money for exchanges, she c o u l d n o t be considered a real merchant ( " q u e m esse mercatorem demonstrat p l u r a l i t a s negotiorum, n o n solum respectu c a m b i o r u m , sed respectu a l i a r u m r e r u m " ) and, thus, h a d no r i g h t to the interests on the basis of loss of gain. I n other judgements, o n the contrary, the o p i n i o n is more l i b e r a l a n d l i n k s u p again w i t h the n o t i o n of the Genoese/merchant: j u d g e m e n t X X V I I I (in w h i c h the same c o m p l a i n a n t is present) for instance, recognizes the r i g h t to the interests ( " t u m ratione d a m n i emergentis, t u m ratione l u c r i cessantis") as " i n cambijs n e g o t i a r i consuevit". I n judgement L X X X I V no r i g h t for interests i n the requested q u a n t i t y is acknowledged " c u m n o n f u e r i t p r o b a t u m hanc mulierem fuisse solitam dare vel accipere pecunias ad c a m b i u m " (they were granted at a l o w e r percentage as i t was proved t h a t the w o m a n , previously, h a d her money deposited i n San Giorgio, where i t gave interests l o w e r t h a n those invested i n the exchanges). 182

See also n° C C V I , § 4: " G e n u a e u b i omnes fere cives sunt mercatores".

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t i o n between Genoese a n d merchant is f o u n d i n m a n y judgements. We emphasize this because according to o u r o p i n i o n , t h r o u g h the use made of quotations i n the j u r i d i c a l c u l t u r e of the 16th a n d 17th Centuries, the concept h a d n o t a s i m p l y l i t e r a r y value, b u t b r o u g h t about very i m p o r t a n t l o g i cal a n d j u r i d i c a l consequences: i f this was p e r m i t t e d to the Genoese, w h y p r o h i b i t i t to others (considering t h a t the Genoese were n o t l i k e the Jews) 1 8 3 ? As w e have n o t e d previously, m a n y judgements deal w i t h the p r o b l e m of interest and, p a r t i c u l a r l y , of interest due to merchants. The d o c t r i n e h a d already elaborated a t r a d i t i o n on this p o i n t w h i c h was on the w h o l e r a t h e r u n i f o r m , even i f i t is s t i l l d i f f i c u l t to f i n d a completely organized system. The proof of this statement came f r o m an e x a m i n a t i o n of a l l sources used b y the judges of the Rota w h e n they c o n f i r m the r i g h t to the interests for the m e r chant, on the basis of the emerging damage a n d / o r of the loss of gain. The m e n t i o n e d auctoritates are extremely different, b u t on direct e x a m i n a t i o n w e notice t h a t , i n the m a j o r i t y of cases, the p r i n c i p l e is s i m p l y stated, as happens for the Consilium X X X I X of F i l i p p o Decio (quoted i n at least t e n different judgements of those b e i n g considered d i r e c t l y i n this w o r k ) , or for the X X of M a t t e o degli A f f l i t t i . I n its w h o l e there are often quotations of quotations, as for instance i n the w o r k b y Pierre R e b u f f i (another a u t h o r frequently u s e d ) 1 8 4 . The case of Gerolamo Cagnoli is, on the contrary, different. I n i t , the w o r k of comment to the L. unica C. De Senten. quae pro eo [C.7.47] 1 8 5 is c o m b i n e d w i t h a consideration on the d o c t r i n a l a n d social e v o l u t i o n of his times ("Nec m i r u m est q u o d hodiernis temporibus potius p e r m i t t a t u r interesse l u c r i cessantis i n solito negociari indistincte, q u a m o l i m " 1 8 6 ; so he feels he has the 183 T h e p r o b l e m w i l l be o u t l i n e d b y Scaccia: "Genuae c o n t r a debitores morosos rigorose a g i t u r ; o m n i s r a t i o quae p r o interesse c o n c l u d i t , d i l i g e n t e r a t t e n d i t u r i u r a que i n t e r u s u r i j s f a v e n t i a i n v i o l a b i l i t e r s e r v a n t u r . . . q u i a s u b l a t i s i n t e r u s u r i j s , m e r c a tores et m e r c a t u r a facile r u e r e n t . . . o m n i s e o r u m c u l t u r a versari debeat i n pecunia, et propterea sunt v a l d e p r o m p t i a d c o n d e m n a n d u m a d interesse, et a d interesse alterius interesse; at Romae a l i j s q u e C i v i t a t i b u s i n q u i b u s n o n v i g e t m e r c a t u r a . . . o d i o s u m est i n t e r u s u r i j et interesse n o m e n " (p. 298). 184 P. Rebuffi, L . U n i c a e C. de senten. quae p r o eo q u o d i n t e r e s t . . . r e p e t i t i o , P a r i sijs A p u d C a r o l u m G u i l l a r d 1548, cc. 127ff. S t i l l v a l i d i n t h i s respect the r e m a r k s made, i n the X V I century, b y B o t e r o (p. 89): " n u o c e grandemente l a m o l t i t u d i n e de' d o t t o r i , che scrivono c o n t i n u a m e n t e , che, sebbene sono alle v o l t e d i poco g i u d i c i o , fanno perö n u m é r o , e v i n c e n o n c h i dice meglio, m a c h i c i t a d i p i ù " . 185 G. Cagnoli, I n I u s t i n i a n i C o d i c e m enarrationes. T o m u s secundus, Venetiis A p u d Haeredem H i e r o n y m i Scoti, 1612, p p . 251 ff. A b o u t C a g n o l i see the a r t i c l e b y A. Mazzacane i n D B I X V I , p p . 334 - 335, a n d the j u d g e m e n t made i n 1549 b y the V e n e t i a n podestà B e r n a r d o Navagero: " A l l a m a t t i n a ho r i t r o v a t o i l M a n t e t t a et i l Cagnolo l ' u n o et l ' a l t r o con b o n a scola et q u a s i eguale. Questi d o t t o r i . . . sono h o m e n i certo d i b o n credito, m a n o n perö che d i t a n t o n o n siano r e p u t a t i haver i n I t a l i a s u p e r i o r i " (Relaz i o n i dei r e t t o r i v e n e t i d i terraferma. I V : Padova, M i l a n o 1975, p. 25). 186 Cagnoli, § 30, p. 254 (my italics), a n d see § 48, p. 256: " q u i c q u i d olim esset, hodie i n d i s t i n c t e h a b e a t u r r a t i o interesse l u c r i cessantis solito n e g o c i a r i " .

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r i g h t to take positions w h i c h differ f r o m the d o c t r i n a l t r a d i t i o n , to w h i c h he can contrast " c o m m u n i s usus m e r c a t o r u m et practica i u d i c i o r u m , quae est optima legum interpres". I t is interesting, t a k i n g the cue f r o m Cagnoli, to make a r e m a r k on the use of the d o c t r i n a l sources made b y the judges of the Genoese Rota (at least as far as the p u b l i s h e d Decisiones are concerned). A m o n g the auctoritates m e n t i o n e d b y Cagnoli are also De Vio, Thomas A q u i n a s a n d Angelo da Chivasso. We never f i n d any trace of these authors i n the judgements w h i c h , on the contrary, m e n t i o n far different sources. A n equally peculiar use is made of a judgement b y O t t a v i a n o Cacherano, m e n t i o n e d several t i m e s 1 8 7 . The Piedmontese l a w y e r uses D u M o u l i n to j u s t i f y the p r i n c i p l e of the m i s sing gain; the Genoese judges do n o t take advantage of this a u t h o r i t y , even i f i t c o u l d have been of great u t i l i t y to them. S i m i l a r l y no m e n t i o n is found, i n these judgements, of the w h o l e debate on exchanges i n the 16th Century (there are o n l y four quotations f r o m Lorenzo Ridolfi). D i f f e r e n t l y f r o m w h a t takes place i n contemporary w o r k s (and subsequently: let us consider, even i n t h e i r extreme diversity, N i c o l a Senarega a n d Sigismondo Scaccia), these Decisiones o n l y use the w o r k s of lawyers, a n d exclude, i n m y o p i n i o n i n t e n t i o n a l l y , t h e o l o g i a n s 1 8 8 . The exclusion does n o t affect the theologians only, as D u M o u l i n is also ignored. The impression w h i c h w e o b t a i n f r o m the w h o l e is t h a t the i n t e n t i o n was to a v o i d a l l those matters w h i c h m i g h t , i n any w a y , create problems w i t h the Church. For the judges of the Genoese Rota i t was not i m p o r t a n t to determine w h a t an exchange contract was, b u t to set the c r i t e r i a according to w h i c h the interest on money was p a i d 1 8 9 . L e t us n o w examine, systematically, w h i c h ideology ( p a r t l y i m p l i c i t a n d p a r t l y e x p l i c i t ) was the basis for the Decisiones w i t h reference to the p r o b l e m of exchanges a n d interest, a n d h o w this is l i n k e d to the p r o b l e m of the i d e n t i t y of the merchant.

187 O. Cacherano, Decisiones S a c r i Senatus Pedemontani, n° C X L I I I (Venetiis a p u d B a r t o l o m a e u m R u b i n u m 1572, p p . 5 7 1 - 5 7 2 ) . 188 I t is r i g h t to acknowledge, a n y h o w , t h a t there is s t i l l a reasonable d o u b t connected to t h e role p l a y e d b y the e d i t o r of the Decisiones, i.e. t h a t Roccatagliata has made a specific choice of these judgements, e x c l u d i n g , personally, a n y t h i n g w h i c h c o u l d deviate f r o m a c e r t a i n c u l t u r a l line. Therefore, w e w i s h to stress, o u r study, at this stage, always refers t o the Decisiones as to a b o o k , w h i l e a n o v e r a l l c o n s i d e r a t i o n of the Genoese Rota w o u l d i m p l y t h e use of other sources ( w h i c h , i n p a r t , m a y no longer exist). 189 Of a s t i m u l a t i n g interest are, i n t h i s respect, the notes b y T a w n e y o n the c o n t e m p o r a r y process of s e c u l a r i z a t i o n i n E n g l a n d : " W h i l e r i v a l a u t h o r i t i e s were discussing the correct i n t e r p r e t a t i o n of economic ethics, t h e f l a n k of b o t h was t u r n e d b y the g r o w t h of a b o d y of o p i n i o n w h i c h argued t h a t economics were one t h i n g a n d ethics another. The creed of the c o m m e r c i a l classes was a doctrineless i n d i v i d u a l i s m . . . The s i g n i f i c a n t change w h i c h results f r o m t h a t m o v e m e n t is the s e c u l a r i z a t i o n of t h e w h o l e discussion" (Wilson, pp. 170 - 171).

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One of the m a i n , i f n o t the m a i n element w h i c h identifies the merchants is t h a t they are persons " q u i n o n tenebant suas pecunias ociosas" ( X X X § 3 ) 1 9 0 ; the element w h i c h characterizes the specific a c t i v i t y is thus the " m o v e m e n t " of money (even before t h a t of goods). This movement is used to m a k e a p r o f i t b o t h on goods i n general a n d on t h a t special c o m m o d i t y w h i c h is money: "mercatores solitos l u c r a r i i n negotijs m e r c i u m et a l i j s " , " s o l i t a n e g o t i a r i et mer cari c u m p e c u n i i s " , " m e r c a t o r e m et negociatorem s o l i t u m dare pecunias c a m b i o " - these are m a n y of the expressions used t o characterize the Genoese businessmen 1 9 1 . Obviously the simple " m o v e m e n t " of money was n o t sufficient: as w e can see the w o r d " s o l i t u s " appears always (or almost always), a n d this underlines the fact t h a t this a c t i v i t y was performed professionally a n d c o n t i n u a l l y , as o n l y i n t h i s w a y money gives p r o f i t : i n c e r t u m a u t e m l u c r u m censetur q u a n d o e x p e c t a t u r ab h o m i n e q u i n o n consuevit n e g o t i a r i et m e r c a r i : t a l i s e n i m c r e d i t u r p r o x i m u s p e r d i t i o n i q u a m l u c r o , u t i n q u i t Salicetus u b i s u b n e c t i t p r o v e r b i u m i n his verbis: c h i m e t t e denaro i n m e r c a n t i a e n o n l a conosce, I i suoi d e n a r i d i v e n t a n o mosche ( C X X X I X , § 12).

B u t i t has to be stressed t h a t this statement is contained i n t h a t judgement i n w h i c h the i d e n t i t y Genoese/merchant is theorized ( " n o b i l e s " , "doctores", " m u l i e r e s " : they are a l l merchants); and, thus, i f this has a l i m i t i n g function, this f u n c t i o n is certainly special and c e r t a i n l y not ad excludendum. We must consider, also, t h a t the judges were i n a t o w n i n w h i c h a c o r p o r a t i o n of m e r chants d i d n o t exist and, consequently, n o t even a l i s t existed, to be used to i d e n t i f y the persons and t h e i r subjective " q u a l i t i e s " . The o n l y proof is given b y the depositions, a n d this is an ever requested proof. I n the above m e n t i o n e d judgement X X X V I I (in w h i c h a w o m a n , M a r i a D o r i a , was the p l a i n tiff) the judges d i d n o t acknowledge the requested interest, also because the witnesses a f f i r m e d "nescire d i c t a m actricem esse m e r c a t o r e m " (and i n the same judgement the p r o b l e m of the l i s t of merchants is mentioned). We are, i n this case, i n a s i t u a t i o n i n w h i c h there is n o t a separate a n d dist i n c t ius mercatorum

as everybody m a y be a merchant, w i t h o u t any legal

obstacle. The connection between subjective status of entrepreneurial type, r i g h t to the interests a n d question of the exchanges can be e x e m p l i f i e d i n a very clear w a y b y judgement CCVI: C u m ... Ioannes Paulus p r o b a v e r i t se fuisse et esse m e r c a t o r e m et negociatorem sol i t u m dare pecunias cambio, et q u o d mercatores et negotiatores c a m b i o r u m comm u n i t e r l u c r a t i f u e r u n t singulis annis p r o u t i n d i c t a e x h i b i t a , i t a q u o d si ipse habuisset s t a t u t a die pecunias a Bernardo, t a n t u m e t i a m l u c r a t u s fuisset ex ipsis pecunijs, p r o u t i n ipsa l i s t a con t i n e t u r .

190 A n d see X X X I I I § 4: " q u i suas pecunias n o n soient tenere ociosas"; a n d see also, e.g., X X X I V § 11. 191 C L X V I § 8; C C I I § 4; C C V I § 3.

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The l i s t referred to i n the judgement is the one of the course of the exchanges, w h i c h c o u l d be approved b y the brokers or b y the chancellor of the exchanges t a x , w h i c h w e have already seen m e n t i o n e d b y Scaccia. The reasoning, as i t is evident, is extremely simple: i f I, w h o a m a merchant, h a d h a d the agreed a m o u n t at the scheduled date, I c o u l d have invested i t i n exchanges w h i c h , i n this period, have y i e l d e d a p r o f i t of a certain amount. "Tenere super c a m b i i s " is one of the ways to invest personal capital, i n one of the m a n y possible forms a l l o w e d b y the f i n a n c i a l m a r k e t of the time. The interest " a d r a t i o n e m c a m b i o r u m quae fierent de Genua ad Bezensonum et de Bezensono G e n u a m " ( C L X X X X I I I ) is w h a t determined the cost of money i n Genoa. I t is also possible to note a certain ambivalence i n the judgements w i t h reference to the f o r m u l a according to w h i c h the a m o u n t of the interest due is defined: there are cases i n w h i c h reference is made only, a n d clearly, to the " l i s t a " w i t h o u t i n d i c a t i n g any percentage; t h e n there are other judgements (for instance X X X a n d L I X ) i n w h i c h the sentence " a d r a t i o n e m camb i o r u m scilicet octo p r o centenario" is used, or " a d r a t i o n e m novem p r o centenario: constat e n i m ... cambia redidisse l u c r u m ad d i c t a m r a t i o n e m " i n w h i c h , once more, the reference to the exchanges is e x p l i c i t . F i n a l l y there are judgements (like L X X X X V I I I I , C L , C L X X X X I I I I ) i n w h i c h , on the contrary, no reference exists on the course of the exchanges, b u t o n l y the i n d i c a t i o n of the percentage (and this percentage is n o t far f r o m the others, i n t o t a l : the acknowledged interests varies f r o m a m i n i m u m of 6 % - i n the case of a " n o n - m e r c h a n t " w o m a n - to a m a x i m u m of 10%). S t i l l more or less l i n k e d to the m a r k e t of the exchanges is also the p r o b l e m of interest on interest (and of its calculation); f r o m judgement L X X X V I I I w e take some i n f o r m a t i o n : actores p e t i e r u n t interesse a d r a t i o n e m c a m b i o r u m p r o b a n d o se esse mercatores i n c a m b i j s n e g o t i a r i solitos, et c a m b i a rediisse p r o u t i n l i s t a e x h i b i t a , i n q u a interesse m o l t i p l i c a t u m i n u n a q u a q u e feria c o n t i n e b a t u r .

I n this case the Rota decided t h a t the simple interest was due, a n d n o t " c o m p o u n d " " a d s i m i l i t u d i n e m u s u r a r u m , q u a r u m usurae n o n d e b e n t u r " . I n another judgement w e f i n d t h a t , on the basis of the p r i n c i p l e of the missing gain, the interest on interest is denied (also i n this case paralleled to the "usurae u s u r a r u m " ) , b u t on the basis of t h a t of the emerging damage the interest was acknowledged " n o n solum i m m e d i a t u m , sed m e d i a t u m , m u l t i p l i c a t u m et q u o m o d o c u m q u e c a l c u l a t u m " ( L X X X V I I § 9). I t was, on the contrary, considered as b e i n g l a w f u l i n t w o judgements ( L X X V I I I a n d C X X X I I I I ) w i t h clear m e n t i o n to the above-quoted G i r o l a m o Cagnoli: n o n s o l u m t e n e t u r de p r i m o interesse sed e t i a m a d interesse c u i u s l i b e t feriae et a d interesse e t i a m alterius i n t e r e s s e 1 9 2 .

7'

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This recourse to the q u o t a t i o n of the exchange also a l l o w e d the judges of the Genoese Rota to

a v o i d the d i f f i c u l t

problem

of the interest

agreed

beforehand, despite the fact t h a t , for example, Cagnoli himself h a d stated t h a t i t c o u l d have been requested: interesse p e t i semper p o t e r i t u n i f o r m i t e r , p u t a a d r a t i o n e m decern per centenario singulis annis. Sed s e c u n d u m p r a c t i c a m et d o c t r i n a m a l i o r u m praeall. interesse n o n posset p e t i nec deberetur u n i f o r m i t e r , sed i u x t a c o n t i g e n t i a m f a c t o r u m ... sed esset v a l d e d i f f i c i l i s p r o b a t i o n i s ... Ideo praecedens p r a c t i c a m e l i o r est et s e c u r i o r 1 9 3 .

A c c o r d i n g to one judgement ( C L X X X X I I I ) the fact t h a t i n a contract the q u a n t i t y of interests is "expressa et d e t e r m i n a t a " , " c o n t i n e t dictus contractus u s u r a r i a m p r a v i t a t e m " , and, viceversa, "reus [non] p o t u i t opponere de usuraria p r a v i t a t e ... c u m interesse n o n f u e r i t c e r t u m " (CCX § 8). There is also, anyhow, a judgement w h i c h collocates itself i n a q u i t e d i f ferent perspective (the X X X I I I I ) , m e e t i n g the d i f f i c u l t p r o b l e m of the deposits at the fair. I n this case (in a d d i t i o n to a contract for the sale of alum) a p a y m e n t of interest h a d also been agreed, at the rate of 9% per annum, f r o m the beginning. To the o b j e c t i o n t h a t the contract m i g h t have been usurious i n character, the judges answered: respondetur i d procedere q u a n d o m u t u u m i n s t i p u l a t i o n e deduceretur c u m spe h a b e n d i i l i a n o v e m p r o centenario, u l t r a sortem, q u i a i n h u i u s m o d i c o n t r a c t u q u i c q u i d accedit sorti, usura e s t . . . m u t u u m e n i m debet esse s i m p l e x et p u r u m .

D i f f e r e n t was the contract made, i n w h i c h the interest was due "loco i n t e r esse l u c r i cessantis" (as money h a d to be k e p t "super cambijs realibus Bezensoni"): the agreement of a set interest h a d been made " a d e v i t a n d a m d i f f i c u l t a t e m p r o b a t i o n i s interesse, q u o d a l i q u a n d o i n i l l i s ferijs plus est, et aliquando minus". This judgement is the o n l y one w h i c h takes such an anomalous p o s i t i o n w i t h respect to the others also because b o t h the decree of 1467 on d r y exchanges a n d t h a t of 1555 w h i c h p r o h i b i t e d " c e r t u m et t e r m i n a t u m l u c r u m " were s t i l l i n force (and references to these decrees are found i n judgements X X X V I I , L X X V I I I , CCX). Above a l l to acknowledge the r i g h t to agree on interest f r o m the beginning of the contract (before the defendant is "constituais i n m o r a " : a further basic p r i n c i p l e of the Decisiones) w o u l d have meant bypassing the whole legal and formal structure b u i l t around he p r o b lem of the s t e r i l i t y / n o n sterility of money; just as i t w o u l d have involved a radical devaluation of the w o r l d of exchanges. A n d this w o u l d have meant, also, to adhere to a p o i n t of v i e w identical to t h a t of the author of the Dialogo.

192 Cagnoli, p. 196: " q u o d de interesse alterius interesse m u l t i c r e d u n t q u o d n o n debeatur, nec p e t i possit, sed Veritas est a d oppo. et i t a saepe consului, o b t i n u i et v i d i i u d i c a t u m " , a n d see also p. 255. 1 9 3 I b i d . , p. 196.

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B u t whoever issued judgements i n his role of judge of the C i v i l Rota i n Genoa certainly d i d not have the i n t e n t i o n of creating ideological controversy; he could, as a m a x i m u m , offer subjects and reasonings for other lawyers (as certainly happened w i t h Scaccia, whose use of the Decisiones is certainly very interesting from this p o i n t of view). We must however acknowledge t h a t i n the Decisiones, w h i l e on one hand, there is a substantial u n i f o r m i t y i n thought on the problem of interests, we can on the other hand note some differences i n the d e f i n i t i o n of the exchange, and this is the sign of a higher or lower ideological autonomy w i t h respect to the d o c t r i n a l t r a d i t i o n . The "alchemic" nature of the exchange, then, i m p l i e d that the definitions were necessarily also d i f f e r e n t 1 9 4 . Judgement I X reminds us of one of the o r i g i n a l functions, w h i c h , anyhow, was s t i l l i n force: facile pecunia potest et sine periculo ex l o n g i n q u i s locis ad alia loca transferri per v i a m cambiorum.

Others, f o l l o w i n g Lorenzo R i d o l f i , define the exchange a contract " a d i n s t a r emptionis et v e n d i t i o n i s " (I § 41 a n d X X X V I I § 15). This d e f i n i t i o n is f o u n d also i n decision X X X I I § 5, to w h i c h also the one of "contractus i n n o m i n a t u s " , s i m i l a r to the "contractus bonae f i d e i " , is joined. Less c a u t i o n emerges i n those cases i n w h i c h the "pecunia m u t u o et camb i o d a t a " is m e n t i o n e d ( L V I I § 2), as i f l o a n a n d exchange c o u l d almost paci f i c a l l y c o e x i s t 1 9 5 . T h e n somebody, w i t h apparent nonchalance, reveals the secret: c a m b i u m et m u t u u m i d e m [sunt], q u i a p o s t q u a m hodie m u t u o , et sic gratis, pecunias i n v e n i r e n o n possumus, i n v e n t u m est c a m b i u m q u o d f a c i t u t pecuniae cred a n t u r c i t r a u s u r a r u m n o t a ( X I V § 88).

The w h o l e p r o b l e m is summarized i n a few lines: today no money can be f o u n d on a no charge basis (as the l o a n w o u l d prescribe); to c l a i m interest w o u l d be to be called a usurer, a n d thus " i n v e n t u m est" the exchange. This o p i n i o n is concealed among the folds of a very l o n g a n d c o m p l i c a t e d j u d g e ment, a n d is only, substantially, a parenthesis. B u t i t reveals h o w r e a l i t y pressed against the f o r m a l structures of the j u r i d i c a l a n d theological arguments.

194 F o r the use of the w o r d " a l c h e m y " connected to the exchanges, see Scaccia, p p . 153 - 154: the merchants " l u c r i causa c a m b i o r u m n e g o t i a t i o n e m t a n q u a m no v i a l c h y mistae i n v e n e r u n t " . The passage, w h i c h is also b e a u t i f u l f r o m a l i t e r a r y v i e w p o i n t continues c o m p a r i n g the alchemists a n d t h e merchants, a n d i n t h i s c o m p a r i s o n the merchants t u r n o u t to be the w i n n e r s : " b r e v i s s i m i s c i r c u l a r i b u s l i t t e r i s ex fictis m a r c h a r u m scutis veros aureos scutos c o n f i c i u n t " . T h e w o r d " a l c h e m y " has also been used b y L ü t h y (see supra § I, note 33). 195 See also n° L . A l s o Scaccia sometimes use t h i s w o r d i n g (p.110): " p e c u n i a m m u t u o seu c a m b i o a c c e p i t " .

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Moreover, this ambivalence of the judges of the Genoese Rota has been n o t e d also w i t h respect to the subject of the connection e x i s t i n g between the personal q u a l i t y of the parties a n d the r i g h t to interest. I n the Decisiones i t does n o t seem to emerge as a p r o b l e m the fact t h a t o n l y the merchants are able to make exchanges 1 9 6 . I t has been n o t e d t h a t the same percentage of interest is n o t granted to everybody, a n d this i n consideration of the subject i v e (professional) qualities. B u t , at the same time, also the concept t h a t a l l Genoese were "mercatores" became f i r m l y established; there was, then, the p o s s i b i l i t y of n o t considering the personal " q u a l i t i e s " of the p a r t i e s 1 9 7 . I n a judgement ( L X X X X V I I I I ) i t was stated t h a t even the poor h a d to pay i n t e r est on the basis of the p r i n c i p l e of the emerging damage. The " a u c t o r i t a s " i n v o k e d is, i n t h i s case, M a t t e o degli A f f l i t t i 1 9 8 , perhaps a sign of the pred i l e c t i o n for the decisions of the great Courts; b u t w h a t is sure is t h a t (irrespective of the i n v o k e d p r i n c i p l e or a u t h o r i t y ) the interest h a d to be p a i d (and i n this case i t was 10%). The Decisiones, thus, d i d n o t discuss the principles, a n d d i d n o t expose themselves to d o c t r i n a l criticisms. They f o r m a l i z e d a n d generalized, w i t h i n the schemes of the j u r i d i c a l doctrine, w h a t was n e w l y emerging f r o m the social r e a l i t y of the t i m e ; i n this case i t was the existence of a m a r k e t , t h a t of money a n d capital. (Translated b y G a b r i e l l a Rasoli)

196 See for instance G i r o l a m o D a L u c c a , D e Cambiis, i n T r a c t a t u s u n i v e r s i i u r i s , V I , I , c. 4 1 0 r : " t a n t u m m e r c a t o r i b u s p e r m i t t i t u r " ; or J. de M e d i n a , D e P e n i t e n t i a , Restit u t i o n e et C o n t r a c t i b u s , I n g o l s t a d i i ex O f f i c i n a T y p o g r a p h i c a D a v i d i s S a r t o r i i , 1581, I I , p. 305: " n o n o m n i b u s c a m b i r e c o n v e n i t " . 197 O n t h i s theme see also t h e considerations made b y Capitaux, pp. 1 0 - 1 2 . 198 M . D e A f f l i c t i s , Decisiones Sacri R e g i i C o n c i l i i N e a p o l i t a n i , n° X X (Venetiis, a p u d Iuntas, 1635, p. 48).

W. D. H. ASSER

Bills of Exchange and Agency in the 1 8 t h Century L a w of Holland and Zeeland Decisions of the Supreme Court of Holland and Zeeland

1. Introduction The L o w Countries, b e i n g w e l l - p l a c e d as far as c o m m u n i c a t i o n was concerned, p l a y e d i n i m p o r t a n t p a r t i n i n t e r n a t i o n a l trade since the later M i d dle Ages. D u r i n g the 1 5 t h century Bruges was one of the commercial a n d f i n a n c i a l capitals of Europe a n d i n the f o l l o w i n g century t h i s role was t a k e n over b y A n t w e r p 1 . I n b o t h cities merchants f r o m a l l over Europe a n d i n p a r t i c u l a r f r o m the more sophisticated mediterranean countries h a d established t h e i r branchoffices or h a d t h e i r correspondents a n d agents. This b r o u g h t along frequent a n d continuous t r a d i n g between the l e a d i n g houses of business t h r o u g h t h e i r offices, correspondents or agents i n those t w o cities. I n 1568 a serious revolt b r o k e out i n the Netherlands ( B e l g i u m a n d The Netherlands were n o t yet separated countries) against the r o y a l government of K i n g P h i l i p of Spain. E v e n t u a l l y this revolt - k n o w n as the E i g h t y Years War, because i t was regarded as such and was ended b y the T r e a t y of M u n s ter i n 1648 - caused the seven N o r t h e r n provinces (Guelders, H o l l a n d , Zeeland, U t r e c h t , Overijssel, Friesland a n d the C i t y a n d C o u n t r y of Groningen) to become independent, as u n i t e d i n the Republic of the Seven U n i t e d P r o vinces. I n stead of empoverishing the N o r t h , the p e r i o d of the E i g h t y Years W a r was m a r k e d b y a vast economic expansion 2 . S h i p p i n g a n d trade flourished on an immense scale. N e w markets, b o t h i n Europe a n d elsewhere, were e x p l o r e d a n d p a r t i c u l a r l y the c o l o n i a l trade became a very i m p o r t a n t factor i n economic development. T h i s was the p e r i o d i n w h i c h the trade w i t h the 1 Cp. the general survey b y H. van der Wee, H a n d e l i n de Z u i d e l i j k e Nederlanden, i n : A l g e m e n e Geschiedenis der N e d e r l a n d e n ( A G N ) 6, N i e u w e T i j d , H a a r l e m 1979, pp. 75 - 83. 2 Cp. J. R. Bruijn, Scheepvaart i n de N o o r d e l i j k e Nederlanden, i n : A G N 7, H a a r l e m 1980, pp. 142 - 144 a n d L . Noordegraaf, N i j v e r h e i d i n de N o o r d e l i j k e N e d e r l a n d e n 1580 - 1650, i n : A G N 7, p p . 82 - 85.

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East Indies was m o n o p o l i z e d b y the D u t c h a n d the basis was l a i d for w h a t was to become the vast c o l o n i a l empire i n t h a t aerea. Forced to r e t u r n to the Spanish r o y a l camp i n 1585 a n d cut off f r o m i n t e r n a t i o n a l s h i p p i n g b y the continuous blockade of the Scheldt b y the D u t c h since t h a t same year, A n t w e r p lost its d o m i n a n t p o s i t i o n to Amsterdam. The N o r t h also gained enormously b y the large scale i m m i g r a t i o n of merchants f r o m the South. They t o o k w i t h them, apart f r o m t h e i r experience, t h e i r large f i n a n c i a l resources a n d t h e i r w o r l d w i d e c o m m e r c i a l interests a n d contacts. T h e i r role i n the development of the y o u n g Republic cannot easily be overestimated 3 . I n the Republic H o l l a n d was the most i m p o r t a n t a n d i n f l u e n t i a l province, because of its economic p o w e r a n d great w e a l t h . Its s h i p p i n g a n d t r a d i n g flourished d u r i n g the 1 7 t h a n d a large p a r t of the 1 8 t h century. Its economic a n d f i n a n c i a l heart was, as w e have already p o i n t e d out, A m s t e r d a m , w h i c h s t i l l h a d an open connection w i t h the N o r t h Sea, g o i n g t h r o u g h the former Zuiderzee. B e i n g a c o u n t r y governed b y free citizens a n d a n o b i l i t y , w h i c h h a d lost its feudal n a t u r e a n d h a d accomodated itself to the n e w s i t u a t i o n w i t h o u t k i n g or emperor to pay allegiance t o 4 , H o l l a n d d i d not experience any i m p o r t a n t conflict of interests as to economic development a n d its organisation. The local, p r o v i n c i a l a n d federal governments recognized the i m p o r t a n c e of i n t e r n a t i o n a l trade a n d the p o w e r t h a t c o u l d be displayed, w h e n a l l its forces were combined. "Eendracht maeckt macht", u n i o n or u n i t y is strength, a n d "Concordia res parvae crescunt" were the mottoes of the y o u n g Republic. One of the first examples of this c o n v i c t i o n was the creation ( i n 1602) of the C o m b i n e d East I n d i a Company, the Verenigde Oost-Indische Compagnie (V. Ο. C.), b y a m a l g a m a t i n g several of such companies w h i c h previously h a d been established i n different cities. This company was n o t o n l y invested w i t h a m o n o p o l y r e g a r d i n g c o l o n i a l trade, b u t also endowed w i t h p o l i t i c a l p o w e r i n the colonies i n the East, a l t h o u g h i t was a n d remained a p r i v a t e company. I n those days i n t e r n a t i o n a l trade suffered n o t o n l y f r o m unstable exchange rates of foreign currencies, as i t does today, b u t also f r o m forgery 3 E s p e c i a l l y i n Z e e l a n d these merchants settled i n the p e r i o d f o l l o w i n g 1585. Cp. Bruijn, op. cit. (η. 2), p. 143; F. S. Gaastra, D e geschiedenis v a n de V . O . C . , H a a r l e m / A n t w e r p e n 1982, p. 26; the same, D e V . O . C . i n A z i ë t o t 1680, i n : A G N 7, p. 185; J. van Roey, E n k e l e A n t w e r p s e a a n t e k e n i n g e n b i j het oudste aandeelhoudersregister v a n de k a m e r A m s t e r d a m der Oost-Indische Compagnie, i n : L i b e r A m i c o r u m Jhr. m r . C. C. v a n V a l k e n b u r g , 's-Gravenhage 1985, pp. 251 - 254; Noordegraaf, o p . c i t . (n. 2), p p . 68 a n d 83. 4 See o n t h e p o s i t i o n of t h e n o b i l i t y i n H o l l a n d d u r i n g t h e 1 6 t h a n d 1 7 t h c e n t u r y , H . F. K. van Nierop, V a n r i d d e r s t o t regenten, de hollandse adel i n de zestiende en de eerste h e l f t v a n de zeventiende eeuw, diss. A m s t e r d a m 1984, w i t h a s u m m a r y i n E n g l i s h .

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of coins on a large scale. Consequently traders a n d governments, a i m i n g at a solid f i n a n c i a l basis for commercial activities, l o o k e d for means to avoid, or at least to reduce the risks i n c i d e n t a l to cash payments. I n t h i s respect one should bear i n m i n d t h a t i n m a n y countries l i k e the U n i t e d Provinces a l l sorts of coins, also m a n y foreign ones, c i r c u l a t e d freely a n d were used for payment, even between the i n h a b i t a n t s of the same c i t y or country. I n 1609 the government of A m s t e r d a m established a m u n i c i p a l exchange b a n k 5 after the example of the exchange b a n k of Venice. Its purpose was first of a l l to regulate the monetary chaos (in w h i c h i t d i d n o t succeed) a n d to p r o v i d e merchants w i t h cash i n v a l u a b l e coins i n order to stabilize the exchange rate of foreign currencies used i n the D u t c h staplemarket of those days. Furthermore, merchants used the b a n k to deposit w i t h i t t h e i r cash to be credited to n e w l y opened accounts. The b a n k served also as a clearingb a n k for b i l l s of exchange. Its r e p u t a t i o n was s o l i d a n d w e l l - k n o w n a l l over Europe6. 2. The sources of exchange law in Holland 7 during the 1 7 t h and 1 8 t h century 8 The c o n t i n e n t a l jurists, t r a i n e d i n the ius commune, tried, of course, t o develop the l a w d e a l i n g w i t h b i l l s of exchange i n accordance w i t h the p r i n ciples of the ius commune. I t appears, however, t h a t the exchange l a w was 5 A decree of the schepenen of A m s t e r d a m of 31 J a n u a r y 1609, w h i c h can be f o u n d i n : H . N o o r d k e r k , H a n d v e s t e n der stad A m s t e r d a m , I I , A m s t e r d a m 1748, p. 673 (II, 4, 1). T h e b a n k was supervised b y a b o a r d of commissioners, a p p o i n t e d b y the l o c a l government. M o s t of t h e m were members of the r u l i n g elite a n d f o r m e r schepenen or former members of the c i t y council. See Jan Wagenaar, A m s t e r d a m i n zyne o p k o m s t etc., I l l , A m s t e r d a m 1767, p. 401. 6 A l l b i l l s of exchange, negotiated i n or d r a w n o n A m s t e r d a m a n d a m o u n t i n g to 600 guilders (by decree of 11 December 1643 t h i s a m o u n t was reduced to 300 guilders) or more h a d t o be p a i d i n the b a n k . A great advantage for the clients of t h e b a n k was t h a t no account w i t h the b a n k c o u l d be made subject to seizure of any k i n d , thus b e i n g absolutely safe against claims of any creditor. T h e c i t y guaranteed the value of the money p a i d b y the b a n k i n cash. See for f u r t h e r i n f o r m a t i o n Wagenaar, op. cit. (η. 5), I I , A m s t e r d a m 1765, pp. 537 - 542; J. G. van Dillen, E e n boek v a n Phoonsen over de A m s t e r d a m s c h e W i s s e l b a n k , a r e p r i n t of his a r t i c l e i n : E c o n o m i s c h - H i s t o r i s c h J a a r boek, V I I , 's Gravenhage 1921, p p . 12 - 18; the same, V a n R i j k d o m en Regenten, H a n d boek t o t de economische en sociale geschiedenis v a n N e d e r l a n d t i j d e n s de R e p u b l i e k , 's Gravenhage 1970 [the b o o k was c o m p l e t e d a n d p u b l i s h e d b y W. M. Zappey ], pp. 256 - 269; H. Klompmaker, Handel, geld en bankwezen i n de N o o r d e l i j k e Nederlanden 1580 - 1650, i n : A G N 7, p p . 123 - 124. 7 Here a n d elsewhere i n t h i s a r t i c l e w e m e a n w i t h " H o l l a n d " the p r o v i n c e of t h a t name, to w h i c h also b e l o n g e d W e s t - F r i e s l a n d , a r e g i o n i n the n o r t h e r n p a r t of the p r e sent p r o v i n c e of N o r t h - H o l l a n d . I t s h o u l d be n o t e d t h a t every province, t o w n or r e g i o n h a d i t s o w n laws, a l t h o u g h the ius c o m m u n e was, of course, generally a p p l i e d . 8 W e s h a l l n o t deal w i t h the general h i s t o r y of the development of the b i l l of exchange. A short survey is g i v e n i n H. Coing, Europäisches P r i v a t r e c h t , I, älteres gemeines Recht (1500 bis 1800), M ü n c h e n 1985, pp. 537 - 543 (§ 110). Books w e cons u l t e d i n p a r t i c u l a r are: R. de Roover, L ' é v o l u t i o n de l a l e t t r e de change X I V e - X V I I I e

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developed m a i n l y b y the merchants themselves and that the professional lawyers merely tried to adapt the customary l a w to fit i n w i t h the ius commune9. I n A n t w e r p rules of c u s t o m a r y l a w w e r e c o d i f i e d d u r i n g the p e r i o d bet w e e n 1 5 4 7 a n d 1 6 0 8 1 0 . T h e m o s t i n f l u e n t i a l v e r s i o n o f t h i s c o d i f i c a t i o n , as f a r as t h e n o r t h e r n p r o v i n c e s w e r e c o n c e r n e d , w a s t h e p r i n t e d v e r s i o n , t h e Impressae. B e i n g completed d u r i n g the short i n t e r v a l of protestant governm e n t 1 1 i n A n t w e r p and, of course, w r i t t e n i n the c o m m o n l a n g u a g e of t h e flemish a n d n o r t h e r n p a r t of the Netherlands, the Impressae were

easily

accessible to t h e people i n H o l l a n d . W e s u b m i t t h a t its g r o w i n g influence w a s also d u e t o t h e A n t w e r p e m i g r a n t s w h o h a d settled i n H o l l a n d a n d Zeeland, because they w i l l have i n t r o d u c e d t h e i r o w n l a w s i n the places w h e r e they decided to live and work. This w o u l d not have been very difficult

in

those fields of the law, i n particular, w h e r e the l a w h a d n o t been developed to the extent it had been i n A n t w e r p 1 2 . Thus Antwerp

exchange l a w was introduced i n Holland, evidence

w h i c h we can find in Grotius' Inleidinge13 and in the customary l a w

of of

siècles, Paris 1953; H. Lévy-Bruhl, H i s t o i r e de l a l e t t r e de change en France a u x X V I I e et X V I I I e siècles, Paris 1933; W. S. Holdsworth, A h i s t o r y of E n g l i s h L a w , V I I I , L o n d o n 1925, pp. 113 - 160; C. Freundt, Das Wechselrecht der Postglossatoren, I, L e i p z i g 1899; I I , L e i p z i g 1909; L . Goldschmidt, H a n d b u c h des Handelsrechts, I, U n i v e r s a l g e schichte des Handelsrechts, I, S t u t t g a r t 1891, pp. 403 - 465. 9 F i n e examples of h o w t h i s was done can be f o u n d i n Freundt's above (n. 8) m e n t i o n e d study. 10 See o n the A n t w e r p c o d i f i c a t i o n of p r i v a t e l a w : M . Götzen, D e costumiere b r o n n e n v o o r de Studie v a n het o u d - A n t w e r p s c h b u r g e r l i j k recht, i n : R e c h t s k u n d i g T i j d s c h r i f t v o o r België, 39 (1949), pp. 3 - 16; 105 - 124; 191 - 208. T h e c o d i f i c a t i o n has k n o w n several versions: the A n t i q u i s s i m a e (1547), the A n t i q u a e (1570/1571), the Impressae (1582) a n d the C o m p i l a t a e (1608). 11 T h i s lasted f r o m 1578 u n t i l the surrender of the c i t y i n 1585 to A l e x a n d e r F a r nese, D u k e of Parma, governor of the N e t h e r l a n d s . A l m o s t h a l f of the p o p u l a t i o n of A n t w e r p d u r i n g t h a t p e r i o d was protestant. See Van Roey, op. cit. (η. 3), p. 251. Götzen, op. cit. (η. 10), pp. 1 0 5 - 1 1 3 , regards t h e Impressae as b e i n g f u l l of t h e s p i r i t of independence f r o m t h e R o m a n C a t h o l i c c h u r c h a n d as the f r u i t of the r e b e l l i o n ("kind van de opstand"). 12 As to t h e A n t w e r p c o d i f i c a t i o n the l a w of exchange was l a i d d o w n i n t h e A n t i quae (tit. 28), the Impressae (tit. 55) a n d the C o m p i l a t a e (IV, t i t . 3). The f i r s t e d i t i o n of the Impressae is: Rechten ende costumen v a n A n t w e r p e n , A n t w e r p e n 1582. A m o d e r n e d i t i o n can be f o u n d i n G. de Longé, Recueil des anciennes coutumes de l a Belgique, Coutumes d u pays et duché de B r a b a n t , Q u a r t i e r d'Anvers, I I , B r u x e l l e s 1871. The A n t i q u a e were p u b l i s h e d i n t h e same w o r k , I, B r u x e l l e s 1870, a n d the C o m p i l a t a e i n I V , B r u x e l l e s 1874. 13 Ed.: F. Dovring, H. F. W. D. Fischer a n d E. M. Meijers, L e i d e n 1952. Cp. H. F. W. D . Fischer, H e t oudvaderlandse handelsrecht en H u g o de G r o o t , i n : Rechtsgeleerd M a g a z i j n Themis 1952, pp. 5 9 8 - 6 1 0 , i n w h i c h a survey is g i v e n of the ancient D u t c h l a w m e r c h a n t l a i d d o w n i n t h e I n l e i d i n g e a n d o t h e r w o r k s of G r o t i u s . See also W. F. Lichtenauer, Geschiedenis v a n de wetenschap v a n het handelsrecht i n N e d e r l a n d t o t 1809, i n : Geschiedenis der Nederlandse rechts wetenschap, V, I, A m s t e r d a m 1956, pp. 85 - 104; the e d i t i o n of the I n l e i d i n g e b y S. J. Fockema Andreae ( 4 t h ed. b y L . J. van Apeldoorn ), I I , A r n h e m 1939, p. 255 (on I n l . 3, 13).

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A m s t e r d a m as c o m p i l e d b y G e r a r d R o o s e b o o m 1 4 . A p a r t f r o m t h i s , e x c h a n g e l a w h a d been l a i d d o w n already i n several statutes of the E m p e r o r Charles V i n his capacity of sovereign of the N e t h e r l a n d s 1 5 . They deal w i t h various matters b u t do n o t give a complete b o d y of law. The same can be said of the local statutes of A m s t e r d a m a n d R o t t e r d a m of the 17th a n d 18th c e n t u r y 1 6 . A n o u t s t a n d i n g a u t h o r i t y o n the exchange l a w of A m s t e r d a m was J o h a n nes P h o o n s e n (1631 - 1702), w h o s e b o o k o n t h e c u s t o m a r y e x c h a n g e l a w a n d p r a c t i c e i n t h a t c i t y 1 7 b e c a m e so f a m o u s t h a t i t w a s e v e n t r a n s l a t e d i n t o G e r m a n a n d French. A great deal of t h e exchange l a w of H o l l a n d can be l e a r n e d f r o m Phoonsen's book. A p a r t f r o m these sources, t o w h i c h w e c a n a d d t h e c o m p i l a t i o n s of l e g a l o p i n i o n s , as e . g . t h a t b y B a r e l s 1 8 , a n d , o f c o u r s e , t h e w r i t i n g s o f s e v e r a l authorities on private l a w i n general and exchange l a w i n particular, b o t h from Holland and from other countries19, we can find valuable information i n the judgements of the higher j u d i c a t u r e of H o l l a n d a n d Zeeland, to w h i c h w e shall n o w proceed.

14 G e r a r d Rooseboom, Recueil v a n verscheyde k e u r e n en costumen midtsgaders maniere v a n procederen b i n n e n de stadt A m s t e r d a m , A m s t e r d a m 1656, cap. 50, " V a n Wisselbrieven ende w i s s e l - b a n c k " . See also W. F. H. Oldewelt, De pogingen tot " c o d i f i c a t i e " v a n het A m s t e r d a m s e recht, i n : Verslagen en mededeelingen der V e r eeniging t o t u i t g a a f der b r o n n e n v a n het O u d - V a d e r l a n d s c h e Recht, X I I I , no. 1, U t r e c h t 1967, pp. 71 - 72. T o the j u d g e m e n t of the C o u r t of A p p e a l of H o l l a n d , m e n t i o n e d b y O l d e w e l t , w e can a d d a j u d g e m e n t of the same C o u r t of as early as 1579, c o n c e r n i n g j o i n t a n d several l i a b i l i t y of partners a n d r e f e r r i n g to A n t w e r p customary l a w (the Impressae h a d n o t yet been compiled). See W. D. H. Asser, I n s o l i d u m of p r o parte, L e i d e n 1983 [Rechtshistorische studies nr. 9], p. 102. 15 Statutes of 1537, 1541, 1546 a n d 1551. See S. Lammel, D i e Gesetzgebung des Handelsrechts, I I I , N i e d e r l a n d e , i n : H a n d b u c h der Q u e l l e n u n d L i t e r a t u r der neueren europäischen Privatrechtsgeschichte ( H a n d b u c h ) , I I , 2, M ü n c h e n 1976, pp. 7 7 6 - 7 7 7 . 16 See the survey b y Lammel, loc. cit. (η. 15). 17 W i s s e l - s t y l t o t A m s t e r d a m . W e used the e d i t i o n b y Isaak le L o n g , R o t t e r d a m 1755. L e L o n g w r o t e a sequel to i t : V e r v o l g v a n de w i s s e l - s t y l t o t A m s t e r d a m , R o t t e r d a m 1755. See o n Phoonsen: Van Dillen, E e n boek v a n Phoonsen cit. (η. 6), pp. 1 - 11. Cp. O. Scherner, D i e Wissenschaft des Handelsrechts, I I I , Β , 8, N i e d e r l a n d e , i n : H a n d b u c h , I I , 1, pp. 982 - 984. 18 J e r o n i m o M a t t h a e u s Barels, A d v y s e n over den k o o p h a n d e l en zeevaert, I, A m s t e r d a m 1780; I I , A m s t e r d a m 1781. A n o t h e r c o m p i l a t i o n is: V e r z a m e l i n g v a n casus positien, v o o r s t e l l i n g e n en d e c l a r a t i e n b e t r e k k e l i j k t o t v o o r v a l l e n d e o m s t a n d i g h e d e n i n den k o o p h a n d e l , v a n t y d t o t t y d b i n n e n deeze stad [sc. A m s t e r d a m ] beoordeeld en ondertekend, A m s t e r d a m 1 7 9 3 - 1804 ( t w o parts i n one volume). I t consists of legal o p i n i o n s b y lawyers, each o p i n i o n b e i n g f o l l o w e d b y a c o n f i r m a t i o n b y a n u m b e r of A m s t e r d a m bankers a n d merchants. Of course the Hollandsche Consultatien also cont a i n l e g a l o p i n i o n s r e g a r d i n g the l a w m e r c h a n t . 19 As e.g. Heineccius (translated i n t o D u t c h b y Reitz) Scaccia, D a l l a T o r r e (De T u r r i ) , F r a n c k , D u P u y de l a Serra, Savary, Pothier. We refer to the a r t i c l e b y Scherner (above, n. 17).

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A b o d y of j u d i c a t u r e , exclusively competent i n c o m m e r c i a l matters, d i d n o t exist i n the u n i t e d provinces. B o t h commercial a n d o r d i n a r y c i v i l cases were b r o u g h t before the o r d i n a r y l o c a l a n d p r o v i n c i a l courts. I n some cities, e.g. A m s t e r d a m , R o t t e r d a m a n d M i d d e l b u r g , the l o c a l magistrates h a d .established special benches for m a r i t i m e matters a n d matters of insurance, b u t f r o m the judgements these benches rendered, one c o u l d appeal to the o r d i n a r y l o c a l magistrate court (schepenbank) . I n H o l l a n d a n d Zeeland appeals f r o m the l o c a l courts l a y to the C o u r t (of Appeal) of H o l l a n d and Zeeland (Hof van Holland en Zeeland) a n d f r o m this court to the Supreme Court of H o l l a n d a n d Zeeland (Höge Raad) 20. The reason w h y there was no separate j u d i c a t u r e i n c o m m e r c i a l matters m a y be f o u n d i n the structure of society itself. P a r t i c u l a r l y i n H o l l a n d a n d Zeeland feudalism a n d its d o m i n a n t p o s i t i o n of the n o b i l i t y h a d d w i n d l e d a n d the cities w i t h t h e i r free p o p u l a t i o n of craftsmen a n d merchants p l a y e d b y far the most i n f l u e n t i a l role i n the p r o v i n c i a l government. The guilds i n the t o w n s h a d lost almost a l l t h e i r i n f l u e n c e 2 1 , whereas the l o c a l government was for a great deal i n the hands of a r e l a t i v e l y s m a l l group of "regents", w h o were, i n m a n y cases, members of i m p o r t a n t business houses themselves. F r o m this i t becomes clear t h a t there was l i t t l e need for a separate j u d i c a t u r e where matters of commerce were concerned. There was, so to speak, no m e r c a n t i l e class, w e l l distinguished f r o m the n o b i l i t y or other classes, as there was, for instance, i n France. A j u d i c a t u r e established b y a n d reserved 20 The C o u r t of H o l l a n d , Z e e l a n d a n d W e s t - F r i e s l a n d , as i t was called (we s h a l l refer t o i t as the C o u r t of A p p e a l ) , was established b y P h i l i p of B u r g u n d y o n 13 A u g u s t 1428. Its code of i n s t r u c t i o n s was g i v e n b y Charles the B o l d i n 1462 a n d was r e n e w e d b y Charles V i n 1531. See W. G. Ph. E. Wedekind, B i j d r a g e t o t de k e n n i s v a n de o n t w i k k e l i n g v a n de procesgang i n civiele z a k e n v o o r het H o f v a n H o l l a n d i n de eerste h e l f t v a n de zestiende eeuw, Assen 1971, p p . 2 4 - 4 3 ; see also A. S. de Blécourt a n d Ε. M. Meijers, M e m o r i a l e n v a n het H o f (den Raad) v a n H o l l a n d , Z e e l a n d en W e s t - F r i e s l a n d , v a n den secretaris J a n Rosa, I - I I I , H a a r l e m 1929, pp. I - X V I I I . F r o m j u d g e ments b y t h i s c o u r t one c o u l d appeal to the G r a n d Conseil (Grote Raad) at Mechelen (Malines). A f t e r t h i s h a d become p r a c t i c a l l y impossible as a result of the o u t b r e a k of the revolt, the Estates of H o l l a n d decided to establish a n e w Supreme C o u r t i n The Hague. I t was g i v e n a code of i n s t r u c t i o n s i n 1582, i n w h i c h year i t s t a r t e d f u n c t i o n ing. T h e Estates of Z e e l a n d d i d n o t accept t h i s c o u r t as Supreme C o u r t u n t i l after 1585 w h e n Mechelen was t a k e n b y P a r m a a n d i t became t o t a l l y impossible to go to the G r a n d Conseil. I n 1586 M i d d e l b u r g a n d i n 1587 t h e Estates of Z e e l a n d accepted the j u r i s d i c t i o n of the Supreme C o u r t , n o w of H o l l a n d , Z e e l a n d a n d W e s t - F r i e s l a n d . See A. S. de Blécourt, D e geboorte v a n den H o o g e n R a a d v a n H o l l a n d en Zeeland, i n : T i j d s c h r i f t v o o r Rechtsgeschiedenis 2 (1920/1921), pp. 428 - 459. 21 See S i m o n a Groenewegen v a n der Made, T r a c t a t u s de legibus abrogatis et i n u s i t a t i s i n H o l l a n d i a v i c i n i s q u e regionibus, L u g d u n i B a t a v o r u m 1649, a d C. 3,13, 7: " M e r c a t o r u m sive a r t i f i c u m collegia (Gildens) p e r e x i g u a a p u d nos a u c t o r i t a t e p o l l e n t " . Cp. W. F. Lichtenauer, B u r g e r l i j k en handelsrecht, i n : R e c h t s k u n d i g e opstellen, aangeboden aan Prof. M r E. M . Meijers, Z w o l l e 1935, p. 351.

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for the members of t h a t class was therefore out of the question. Moreover, the local courts were m a n n e d for a great deal b y the "regents", w h o t h e m selves, i n m a n y cases, w o u l d be a c q u a i n t e d w i t h the merchants' customs a n d perhaps even sometimes, due to t h e i r business experience, w i t h the customary l a w . However, some cities, as w e have noticed, established specialized courts i n certain matters (e.g. m a r i t i m e , insurance a n d b a n k r u p t c y cases 22 ). The reason was, t h a t i n these fields the l a w was r e l a t i v e l y specialized, w h i c h r e q u i r e d more or less specialized judges i n order to cope w i t h sometimes rather c o m p l i c a t e d questions arising f r o m these matters. Yet the level of specialization was, presumably, n o t very high. For, the s u r v i v i n g lists of judges i n the m a r i t i m e a n d insurance bench of the A m s t e r d a m m u n i c i p a l c o u r t 2 3 show, t h a t most judges were on the bench for a p e r i o d of one to t w o years or perhaps a l i t t l e longer, a n d t h a t o n l y a few remained on the bench for a r e l a t i v e l y longer p e r i o d (more t h a n 5 years). F u r t h e r m o r e , the judges w h o changed q u i c k l y appeared to be members of other specialized benches as w e l l , apart f r o m becoming sooner or later members of the b o a r d of schepenen, the o r d i n a r y court i n a l l c i v i l a n d c r i m i n a l matters, a n d also of the c i t y - c o u n c i l or even burgomaster. Claims concerning b i l l s of exchange have never been subject to a specialized court i n H o l l a n d a n d Zeeland. Phoonsen, however, advocated i n his b o o k 2 4 such a court, to be established i n A m s t e r d a m b y a p p o i n t i n g the commissioners of the m u n i c i p a l exchange b a n k as judges i n a l l matters of exchange, b i l l s included. Yet the c i t y government d i d n o t agree. We do n o t k n o w w h y Phoonsen's proposal d i d n o t meet w i t h any response, b u t clearly the c i t y magistrates f o u n d no need for such a court, a l t h o u g h even judges i n the Supreme Court of H o l l a n d , a n d Zeeland considered questions arising f r o m b i l l s of exchange often i n t r i c a t e a n d d i f f i c u l t 2 5 . A few w o r d s s h o u l d be said about some specialities of the l a w of procedure i n matters concerning b i l l s of exchange. A n y o n e l i a b l e u n d e r a b i l l of exchange was subject to seizure of his p r o p e r t y a n d to personal i m p r i s o n ment (gijzeling). I f the signature on a b i l l was acknowledged b y the debtor 22 See the survey b y Lammel, op. cit. (η. 15), p p . 779 - 782 a n d Lichtenauer , B u r g e r l i j k en handelsrecht cit. (η. 21), pp. 351 - 356. 23 I n Wagenaar, op. cit. (η. 5), p p . 296 - 306 (burgomasters), pp. 329 - 349 (schepenen), pp. 355 - 360 (members of the c i t y council), pp. 428 - 469 members of the special benches (commissarissen). 24 W i s s e l - s t y l cit. (η. 17), pp. 235 - 236; his treatise o n the exchange b a n k : B e r i c h t e n en vertoogen raackende het bestier v a n den o m s l a g h v a n de W i s s e l b a n k t o t A m s t e r dam, e d i t e d b y Van Dillen , E e n boek v a n Phoonsen cit. (η. 6), pp. 142 - 145. See also L i c h t e n a u e r , B u r g e r l i j k en handelsrecht cit. (η. 21), p. 353. 25 I n his O T 1609 B y n k e r s h o e k e x c l a i m s " d e Uteris c a m b i i i n t r i c a t a e saepe et d i f f i ciles soient esse quaestiones" a n d his s o n - i n - l a w P a u w says t h e same i n O T N 1544: " d i f f i c i l e s et i n t r i c a t a e p l e r u m q u e sunt lites quae de c a m b i i s a g u n t u r " .

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(either the drawer, endorser or anyone else l i a b l e under his signature on a b i l l ) , a p r o v i s i o n a l decision, executable b y a n t i c i p a t i o n , c o u l d be o b t a i n e d against h i m (provisie

van namptis sentent) 26.

Thus, a b i l l of exchange c o u l d

give cause to i m m e d i a t e a n d effective action. 4. Judgements as historical sources I n H o l l a n d a n d Zeeland (as w e l l as i n the other provinces) judgements d i d n o t c o n t a i n t h e i r grounds. I t was a w e l l established r u l e of l a w t h a t judges should keep secret t h e i r consultations i n chambers 2 7 . B y p u b l i s h i n g the grounds of the judgement they were believed to v i o l a t e t h e i r o b l i g a t i o n to secrecy, apart f r o m the fact t h a t i t was considered to be unwise to reveal the grounds, u p o n w h i c h the judgement was given. The idea t h a t judges should account for t h e i r decisions b y g i v i n g its grounds i n the judgements they render, w o u l d n o t be i n t r o d u c e d as a f u n d a m e n t a l r u l e of l a w u n t i l the Cons t i t u t i o n of the K i n g d o m of the Netherlands of 1815 2 8 . However, as to the judgements of the Supreme Court and the Court of A p p e a l of H o l l a n d a n d Zeeland books, i n w h i c h reports of the deliberations i n chambers were compiled, have been preserved i n the D u t c h N a t i o n a l A r c h ives (Algemeen Rijksarchief) i n The Hague. Especially i n the collected reports (resolutieboeken) of the Supreme C o u r t one can f i n d v a l u a b l e i n f o r m a t i o n , as w e shall see below. These reports were meant for T h e i r L o r d s h i p s ' eyes only. For even more p r i v a t e use were the notes i n t w o collected w o r k s , w h i c h were p u b l i s h e d q u i t e recently: the Observationes t u m u l t u a r i a e b y Cornells v a n B y n k e r s hoek and the Observationes t u m u l t u a r i a e novae b y his s o n - i n - l a w W i l l e m P a u w 2 9 . They c o n t a i n the personal accounts of the discussions i n chambers 26 See G r o t i u s , I n l e i d i n g e 3, 13, 6 a n d 3, 45, 10;.cp. D i o n y s i u s v a n der Keessel, Praelectiones i u r i s h o d i e r n i a d H u g o n i s G r o t i i I n t r o d u c t i o n e m a d i u r i s p r u d e n t i a m H o l l a n d i c a m , edd. P. v a n W a r m e l o [and others], I V , A m s t e l o d a m i / P r o m u n t u r i i B . S . i n urbe, 1966, pp. 170 - 172 (on I n l . 3, 5, 7) a n d pp. 334 - 336 (on I n l . 3, 13, 6); see also b y the same a u t h o r Theses selectae j u r i s H o l l a n d i c i et Z e l a n d i c i a d s u p p l e n d a m H u g o n i s G r o t i i I n t r o d u c t i o n e m a d j u r i s p r u d e n t i a m H o l l a n d i c a m et definiendas celebriores j u r i s H o l l a n d i c i controversias, L u g d u n i B a t a v o r u m 1800 (our e d i t i o n : e d i t i o nova, A m s t e r d a m 1860), nr. 624. 27 Cp. U. Wagner i n his a r t i c l e o n c o m p i l a t i o n s of j u d g e m e n t s (Rechtsprechungssammlungen) i n the N e t h e r l a n d s i n : H a n d b u c h , I I , 2, pp. 1404 - 1406. See also Wedekind, op. cit. (η. 20), pp. 127 - 130. 28 A r t i c l e s 172 ( c r i m i n a l judgements) a n d 173 ( c i v i l judgements). I n B e l g i u m the o b l i g a t i o n to express the grounds of the j u d g e m e n t was i n t r o d u c e d i n 1795, see Wagner , op. cit. (η. 27), p. 1406. 29 Observationes t u m u l t u a r i a e , edd. E. M. Meijers [ a n d others], [ I - I V ] , H a a r l e m 1926 - 1962; Observationes t u m u l t u a r i a e novae, edd. H. F. W. D. Fischer [ a n d others], [ I - I I I ] , H a r l e m i , 1964 - 1972. See f o r a s t u d y of the w a y the Supreme C o u r t a p p l i e d the l a w L . J. van Apeldoorn, Theorie en p r a c t i j k v a n de r e c h t s b r o n n e n i n H o l l a n d i n den t i j d v a n Cornells v a n B y n k e r s h o e k (1673 - 1743), i n : T y d s k r i f v i r hedendaagse Romeins H o l l a n d s e reg, 1 (1937), pp. 4 - 33.

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(both authors were successively justice a n d president of the Supreme Court) a n d they cover a p e r i o d of 83 years (1704 - 1787). They show us h o w the court dealt w i t h any p a r t i c u l a r case a n d for w h i c h reason a certain decision was reached. The names of the parties a n d judges are p r a c t i c a l l y never revealed, b u t b y c o m b i n i n g a p a r t i c u l a r report w i t h t h a t of the same case i n the court's resolutieboek (if this p a r t i c u l a r r e p o r t survived) one m a y f i n d these names back. Sometimes this w i l l enable us to f i n d more backgrounds a n d facts of the case concerned i n other documents or other archives. A l l together the o f f i c i a l sources a n d the observations of Bynkershoek a n d P a u w m a y give us a complete impression of a p a r t i c u l a r case a n d the j u d g e m e n t rendered i n i t 3 0 . 5. The cases concerned I n b o t h the Observationes t u m u l t u a r i a e (OT) and the Observationes t u m u l t u a r i a e novae (OTN) reports m a y be f o u n d on decisions r e g a r d i n g b i l l s of exchange. We shall pay specifically a t t e n t i o n to four decisions d e a l i n g w i t h problems arising f r o m b i l l s , d r a w n or negotiated (i.e. " b o u g h t " ) b y agents. The first t w o cases, w h i c h w e shall examine, are concerned w i t h a type of agent w h o was more or less an employee of his p r i n c i p a l , whereas the second group of t w o cases is about agents w h o were independent merchants, a c t i n g on behalf of t h e i r correspondents i n another t o w n . As far as the l a w of agency is concerned, this difference is of less importance. We have made the d i s t i n c t i o n between those t w o groups of cases, because i n the first i t is the p r i n c i p a l w h o is b e i n g sued, whereas i n the second group the agent h i m self is sued b y the p r i n c i p a l .

6. The first two cases. Acceptance of bills in general B o t h decisions are concerned w i t h a p r i n c i p a l , refusing to h o n o u r a b i l l , d r a w n on himself b y his agent. I t appears, as w e shall see i n due course, t h a t i n neither of the t w o cases the p r i n c i p a l was successful i n a v o i d i n g l i a b i l i t y and refusing payment, a l t h o u g h he h a d n o t accepted the b i l l . O n first sight this seems to be i n contrast w i t h the rule, already accepted i n those days, t h a t o n l y b y accepting the b i l l the drawee w o u l d become l i a b l e u n d e r it. We shall n o t go deeply i n t o the development of the acceptance of b i l l s of 30 E. M. Meijers, U i t g e g e v e n en onuitgegeven r e c h t s p r a a k v a n de H o o g e n R a a d en v a n het H o f v a n H o l l a n d , Z e e l a n d en Westfriesland, i n : T i j d s c h r i f t v o o r Rechtsgeschiedenis 1 (1918/19), pp. 400 - 421, already advocated the p u b l i c a t i o n of c o m p i l a tions a n d reports, w h i c h are s t i l l u n p u b l i s h e d a n d b e i n g k e p t i n the archives. H. W. van Soest, Hoe v e r v a a r d i g d e Raadsheer W i l l e m P a u w z i j n observationes t u m u l t u a r i a e novae, i n : S a t u r a Roberto Feenstra oblata, F r i b o u r g 1985, pp. 585 - 607, shows h o w P a u w c o m p i l e d his observationes.

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exchange i n general, b u t i t is necessary to say something i n t h i s respect, because i t w i l l help to u n d e r s t a n d the rules w h i c h were a p p l i e d i n b o t h decisions 3 1 . Presumably the acceptance of a b i l l was o r i g i n a l l y n o t an act necessary to create the o b l i g a t i o n of the drawee to h o n o u r it. The acceptance, w h i c h c o u l d very w e l l consist of s i m p l y keeping the b i l l after i t h a d been presented b y the h o l d e r 3 2 , was p r o b a b l y i n most cases o n l y a c o n f i r m a t i o n of the drawee's o b l i g a t i o n , already e x i s t i n g as a result of the t r a n s a c t i o n between the d r a w e r a n d the person w h o p a i d the value to the d r a w e r ( w h i c h person w e shall c a l l " r e m i t t e r " , because the payee or holder of the b i l l was usually the f o u r t h person concerned a n d the agent or correspondent of the remitter). This w o u l d have been the case, for instance, w h e n the d r a w e r h a d b o r r o w e d money f r o m a person to w h o m he subsequently gave a b i l l d r a w n on his associate abroad. The l a t t e r , b e i n g an associate of the drawer, was j o i n t l y a n d severally l i a b l e for the repayment of the loan. W h e t h e r or n o t he accepted the b i l l , was of no consequence to his o b l i g a t i o n to repay the money w h i c h the d r a w e r h a d received 3 3 . Often a drawee, refusing to h o n o u r a b i l l , d i d so because he was n o t an associate of the drawer, or at least used this argument i n order to escape l i a b i l i t y 3 4 . G r a d u a l l y i t became practice t h a t holders k e p t the b i l l s for reasons of evidence u n t i l they were p a i d b y the drawee. This, however, r e q u i r e d t h a t the b i l l s be accepted or dishonoured e x p l i c i t l y i n order to ascertain w h e t h e r the b i l l w o u l d be paid. The drawee, therefore, w o u l d place his acceptance i n w r i t i n g on the b i l l a n d consequently the rule was developed t h a t the drawee, w h o h a d n o t accepted the b i l l , c o u l d n o t be forced to pay it. As to the r e l a t i o n between the drawee a n d the payee 3 5 , the former was perfectly free to accept or to refuse the b i l l 3 6 . This is n o t w i t h o u t meaning, even 31 32

We refer to the w o r k s m e n t i o n e d i n n. 8. T h i s c o u l d be based o n the l e x S i f i l i u s f a m i l i a s (D. 14, 6,16). See Freundt,

(η. 8), I, p. 102. 33

op. cit.

See o n the l i a b i l i t y of p a r t n e r s m y above m e n t i o n e d (n. 4) b o o k . I f such a n u n d e r l y i n g r e l a t i o n s h i p b e t w e e n t h e d r a w e r a n d the drawee d i d n o t exist, the acceptance of the b i l l w i t h o u t any o b j e c t i o n i m p l i e d t h a t the drawee comm i t t e d h i m s e l f to p a y the a m o u n t m e n t i o n e d i n the b i l l . Cp. Freundt, op. cit. (η. 8), I, p p . 104 - 106. 35 I t was generally accepted t h a t b e t w e e n the d r a w e r a n d t h e drawee a c o n t r a c t of m a n d a t e was concluded. See e.g. G r o t i u s , I n l . 3 , 3 1 , 1 a n d 2. T h e acceptance of the b i l l b y the drawee made h i m l i a b l e t o w a r d s t h e d r a w e r to h o n o u r the b i l l . Of course, the h o l d e r c o u l d n o t c l a i m p a y m e n t b y the drawee i f the l a t t e r h a d n o t accepted the b i l l . 36 See G r o t i u s , I n l . 3, 13, 3; Phoonsen, Wissel-styl, 10, 5; J o h a n n G o t t l i e b H e i n e c cius, E l e m e n t a i u r i s c a m b i a l i s , A m s t e l o d a m i 1743, 3, 11 a n d 12; 6, 6. The r u l e t h a t the drawee was free t o refuse t h e b i l l c o u l d be based o n D . 3, 3, 8, 1: " i n v i t u s p r o c u r a t o r n o n solet d a r i " , a n d o n C. 2, 12, 17: " i n v i t u s p r o c u r a t i o n e m suscipere nemo c o g i t u r " . See also V a n der Keessel, Praelectiones, o n I n l . 3, 13, 5 (ed., pp. 322 - 325) a n d Theses Selectae, n r . 616. As to the r i g h t s of t h e holder, i t was d i f f i c u l t to f i n d a basis i n the R o m a n l a w . See for the d i f f e r e n t v i e w s w h i c h w e r e defended, Freundt, op. cit. (η. 8), I, pp. 1 1 1 - 1 1 2 . 34

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w h e n the d r a w e e w a s l i a b l e o n the s t r e n g t h of the c o n t r a c t b e t w e e n the d r a w e r a n d t h e r e m i t t e r w h i c h gave cause t o t h e d r a f t . F o r b y a c c e p t i n g t h e b i l l the drawee became subject to the special remedies the payee was entit l e d t o u n d e r t h e l a w g o v e r n i n g b i l l s o f e x c h a n g e , as e x p l a i n e d b e f o r e . H o w ever, t h e d r a w e e w h o h a d n o t accepted t h e b i l l c o u l d n o t be sued at a l l o r o n l y b y t h e o r d i n a r y a c t i o n a r i s i n g f r o m t h e u n d e r l y i n g c o n t r a c t , e.g. t h e condictio

o r t h e actio

venditi,

i n w h i c h case t h e f u l l b u r d e n o f p r o o f as t o t h e

l i a b i l i t y of the d r a w e e rested o n the payee, b e i n g the c l a i m a n t . The drawee w h o refused to accept or to p a y a b i l l w o u l d have some reason o r a n o t h e r t o d o so. O f t e n h e w o u l d n o t a c c e p t i f h e h a d n o f u n d s i n h i s h a n d for p a y m e n t , because the d r a w e r either d i d n o t p r o v i d e h i m w i t h the necessary funds or was n o t his creditor to an a m o u n t equal to the s u m to be p a i d under the bill. A n o t h e r reason to dishonour the b i l l m a y have been that the drawer d i d not have sufficient capacity or authority to d r a w a b i l l on the d r a w e e , as e. g. a n a g e n t w h o h a d n e i t h e r a n e x p l i c i t n o r a n i m p l i e d m a n d a t e to d r a w b i l l s of e x c h a n g e o n his p r i n c i p a l 3 7 . W h e t h e r a p r i n c i p a l c o u l d effee-

V a n der Keessel, Praelectiones, o n I n l . 3, 13, pr. (ed., p. 298) e x p l a i n s i t i n t h i s w a y : "Trassatus, p o s t q u a m l i t t e r a s cambiales acceptavit, o b l i g a r i i n c i p i t r e m i t t e n t i t a m q u a m e m p t o r i eius i u r i s , q u o d trassans ex suscepto m a n d a t o i n e u m habebat, u t i quoque o b l i g a t u r e x a c t o r i et indossatariis t a m q u a m m a n d a t a r i i s r e m i t t e n t i s ; v e l si soluto valore indossatio facta sit, t a m q u a m p r o c u r a t o r i b u s i n r e m s u a m " , after w h i c h he refers to Heirieccius, Elementa, 3, 17 a n d 15; 6, 5. H e recognizes, however, t h a t others t h i n k t h a t the drawee becomes l i a b l e ex stipulatu or ex constituto a n d he does n o t object against t h a t v i e w . He refers to Jacques d u P u y de la Serra, L ' a r t des lettres de change, Paris 1690, 16, 2. I t appears t h a t Scaccia h e l d t h a t the drawee was l i a b l e on the s t r e n g t h of a promissio a n d t h a t D a l l a T o r r e was of the o p i n i o n t h a t the l i a b i l i t y was based u p o n a constitutum , see Freundt, loc. cit. (above). 37 A c c o r d i n g to a "turbe" i n A m s t e r d a m of 11 J u l y 1601 (Noordkerk , H a n d v e s t e n cit. (η. 5), I I , p. 542) a special m a n d a t e was required. See also J o h a n n C h r i s t o p h F r a n c k , I n s t i t u t i o n e s i u r i s c a m b i a l i s ... c u m praefatione H e n r i c i Brokes, [ I - I I ] , F r a n c o f u r t i / L i p s i a e 1751, 2, 1, 1, 3; Phoonsen, w i s s e l - s t y l , 23, 2; 3; 5; 6; K a r e l K o e n r a a d Reitz, i n his e d i t i o n of Heineccius' E l e m e n t a : Grondbeginselen v a n het wisselrecht, i n 't L a t y n saamgesteld door w y l e n den Heer J. G. H . n a a r de zevende u i t g a a f v e r t a a l d en met de noodige a a n m e r k i n g e n v e r r y k t en opgehelderd, M i d d e l b u r g 1774, η . 47 to 2, 19; G o t t l i e b G e r h a r d T i t i u s , Juris p r i v a t i R o m a n o - G e r m a n i c i ex o m n i b u s suis p a r t i b u s compositi, l i b r i duodecim, L i p s i a e 1709, 10, 5, 25 a n d 50 (acceptance a n d endorsement); i n 10, 5, 11 he deals w i t h the i n s t i t o r . W h e t h e r a general m a n d a t e i m p l i e d a m a n d a t e to d r a w , accept or endorse b i l l s on b e h a l f of the p r i n c i p a l depended o n the circumstances of each case. F r a n c k , I n s t i t u t i o n e s , 2, 1, 1, 25, says: " m e r u s i n s t i t o r n o n c a m b i a t " , r e f e r r i n g to a j u d g e m e n t of the Rota Genuensis (Decisio 14, nr. 88). The Rota decided t h a t a l w a y s an e x p l i c i t m a n d a t e was r e q u i r e d : " r e g u l a r i t e r u n i m e r c i praepositus n o n potest a l i a m exercere, 1. habebat i n princ., //. de inst. [D. 14, 3, 13, pr.], sed capere c a m b i o est q u i d d i v e r s u m et n e g o t i a t i o separata est a p p a l t u , ergo praepositus a p p a l t u i , n e g o t i u m c a p i e n d i pecunias c a m b i o exercere n o n p o t e r i t , m a x i m e q u i a , u t d i c i t Bal. 1.2. C. de usur. r e i j u d . [C. 7, 54, 2] c a m b i u m est contractus separatus a m u t u o et i n cons. 349, n. 6, vol. 1, d i c i t esse n e g o t i u m pecuniae emptae et venditae, et sic l i c e t posset m u t u o accipere, n o n p o t u i t c a m b i o capere, p r a e s e r t i m q u i a s e c u n d u m Alber., disp. 1. u l t . ff. de exer. [D. 14, 1, 7] p r o c e d i t i n solo m u t u o , n o n i n aliis c o n t r a c t i b u s et sic c a m b i u m v i d e t u r e x c l u d i , adeo u t n u n q u a m p e r m i t t a t u r i n s t i t o r i t a c i t e et necesse esset expresse hoc p e r m i t t e r e " (we quote f r o m the e d i t i o n D e M e r c a t u r a [...] [cura] B e n e v e n u t i Stracchae a l i o r u m q u e j u r i s - c o n s u l t o r u m , A m s t e l o d a m i 1669). I n some places p u b l i c a t i o n of the m a n d a t e is required, see

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t i v e l y refuse to accept a b i l l d r a w n on himself b y his agent, w h o was i n fact a u t h o r i z e d to do so, is a question w e shall deal w i t h hereafter. I n short this was the l a w i n H o l l a n d d u r i n g the 1 7 t h a n d 1 8 t h century, as i t was i n the other p r i n c i p a l nations on the continent. 7. The first two cases. Facts and decisions a) Supreme

Court , 27 July 1709, Romburg

v. De Groot, OT 5 3 5 3 8

Caspar Romburg, m a n a g i n g owner ( " b o e k h o u d e r " ) of a ship called E d i n burg, sent his ship i n december 1699 to L i s b o n w i t h a cargo consisting of ropes, i v o r y jars, g u n p o w d e r , beer, cheese a n d boards. H e i n s t r u c t e d the ship's master, W i l l e m de Grijse, to sell the cargo a n d to a p p l y the proceeds to b u y returncargo ( m a i n l y citrus a n d sugar). F u r t h e r m o r e he t o l d De Grijse n o t to leave debts u n p a i d a n d to settle the account e x i s t i n g w i t h the Portuguese business house Pedro Emaus & Comp, i n L i s b o n . R o m b u r g h a d sent a letter to Emaus on November, 2 3 r d , 1699, i n w h i c h he announced the v o y age a n d a r r i v a l of the E d i n b u r g a n d asked the Portuguese to assist the master b y w o r d a n d deed a n d to settle the e x i s t i n g account. R o m b u r g also gave a letter for Emaus to the master, i n w h i c h he i n t r o d u c e d De Grijse as the master of the vessel and asked again to assist h i m a n d also to p r o v i d e h i m w i t h money, i f he needed some. Moreover he a l l o w e d Emaus i n this letter to d r a w on h i m for the money p r o v i d e d a n d promised to h o n o u r a l l drafts. O n 28 December 1699 R o m b u r g w r o t e a letter to Emaus c o n f i r m i n g t h a t he h a d ordered the master to settle e v e r y t h i n g a n d t h a t he h a d given h i m a letter for Emaus, i n w h i c h he requested the l a t t e r to assist the master. H a v i n g a r r i v e d i n L i s b o n , the master sold the cargo a n d received some money f r o m Emaus to b u y returncargo. Before l e a v i n g again for Flushing, where he came from, De Grijse settled the account w i t h Emaus a n d d r e w a b i l l on R o m b u r g to the a m o u n t of 2060 crusados, b e i n g the balance i n favour of Emaus, at least according to the latter. F r a n c k , I n s t i t u t i o n e s , 2, 1, 1, 26; Reitz, n. 21 o n Heineccius' E l e m e n t a , 5, 12 a n d also Phoonsen, Wissel-styl, 34, 10 a n d 11. I n H o l l a n d o n l y R o t t e r d a m r e q u i r e d t h a t a m a n date to d r a w , accept a n d endorse b i l l s be f i l e d at the l o c a l exchange b a n k (statute of 27 A u g u s t 1720, see Reitz, loc. cit. above). Phoonsen, Wissel-styl, note to 23, 8, a d v o cated p u b l i c a t i o n of such mandates i n A m s t e r d a m , w h i c h , however, was never introduced. 38 Ed. I, p p . 297 - 298. T h e j u d g e m e n t of the Supreme C o u r t is s t i l l k e p t i n the A l g e meen R i j k s a r c h i e f ( A R A ) i n T h e Hague, 3.3.02. (HR), i n v . nr. 801 (this is a "geextendeer de sententie", i.e. a d o c u m e n t i n w h i c h n o t o n l y the decision ( " d i c t u m " ) is g i v e n b u t also a s u m m a r y of the allegations of b o t h parties). T h e r e p o r t of the d e l i b e r a t i o n s i n chambers is also k e p t i n the archives, A R A 3.3.02 (HR), i n v . nr. 608 ( m i n u u t resoluties) a n d i n v . n r . 664 (resoluties). The decision ("resolutie") was t a k e n o n 11 J u l y 1709 b y Justices A d m i r a e l , Verbrugge, D e Vries, Schaep, Keetlaer, B y n k e r s h o e k , D e Roovere, S l u i j s k e n (judge-reporter) a n d the President of the C o u r t , Rosenboom.

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D u r i n g her returnvoyage the vessel a n d her cargo perished. " H i n c illae l a c h r y m a e " , as Bynkershoek explains, for R o m b u r g subsequently d i s h o n oured the b i l l , w h i c h h a d been endorsed to an A m s t e r d a m merchant, W i l l e m L o o t , a n d presented b y his agent, Jan de Groot. Sued before the court of Flushing, R o m b u r g t r i e d to escape l i a b i l i t y , argui n g t h a t the master h a d exceeded his powers b y b u y i n g more returncargo, t h a n the proceeds of the cargo sold b y h i m a l l o w e d h i m to do, a n d by d r a w i n g the b i l l . Moreover R o m b u r g d i s p u t e d the balance of the account, as comp i l e d b y Emaus, a n d f i n a l l y p u t f o r w a r d t h a t Emaus a n d the master h a d coll u d e d against his interests. The c l a i m a n t , De Groot, r e p u d i a t e d these arguments, p o i n t i n g out t h a t neither the l i m i t s of the master's powers, as set out i n the i n s t r u c t i o n to h i m , nor the d i s p u t a t i o n of the account w i t h Emaus was of his concern. B y i n t e r l o c u t o r y a n d p r o v i s i o n a l judgement the court of F l u s h i n g condemned R o m b u r g to pay the b i l l a n d this p r o v i s i o n a l judgement was u p h e l d by f i n a l judgement of the same court of 20 December 1701, b e i n g c o n f i r m e d b y the Supreme Court b y its judgement of 27 J u l y 1709. F r o m the report of the d e l i b e r a t i o n i n chambers i t appears t h a t a l l judges of the Supreme C o u r t were of the o p i n i o n t h a t R o m b u r g h a d to h o n o u r the b i l l because n o t o n l y the account and the b i l l were signed b y the m a n d a t a r y of R o m b u r g (i. e. the master) b u t also R o m b u r g himself h a d w r i t t e n letters to Emaus asking the l a t t e r to p r o v i d e the master w i t h money a n d p r o m i s i n g p a y m e n t (of the b i l l ) ; e v e r y t h i n g R o m b u r g h a d argued was ineffective, b u t the l a w of exchange was c l e a r 3 9 . b) Supreme

Court , 30 September

Van der Giesen v. the Directors

1744,

of the V. O. C., OTN 7 1 4 0

W i l l e m M a u r i t s Bruynings, governor and director of the V. O. C. colony on the i s l a n d of Colombo (i.e. Ceylon, nowadays S r i L a n k a ) , d r e w a b i l l on the defendants i n favour of V a n der Giesen, the c l a i m a n t , to an a m o u n t of 10 500 guilders, w h i c h money B r u y n i n g s h a d received a n d p a i d i n t o the coffers of the V . O . C . The defendants, however, refused to accept the b i l l , arguing, 39 F r o m a d i c i s i o n b y the l o c a l c o u r t of M i d d e l b u r g , F l u s h i n g or Veere one c o u l d appeal i m m e d i a t e l y t o t h e Supreme C o u r t . See Joannes v a n der L i n d e n , V e r h a n d e l i n g over de judicieele p r a c t i j c q of f o r m v a n procedeeren v o o r de H o v e n v a n J u s t i t i e i n H o l l a n d g e b r u i k e l i j k , I, L e y d e n 1794, pp. 337 - 338. 40 Ed. I, p. 52. The "dictum" is k e p t i n the A R A , 3.3.02 (HR), i n v . nr. 918 (register geresolveerde dictums) a n d i n v . n r . 955 (register v a n gepronuntieerde sententiën). The r e p o r t of t h e d e l i b e r a t i o n s i n chambers is also k e p t , A R A , 3.3.02 (HR), i n v . nr. 674 (resoluties). T h e decision was t a k e n o n 18 September 1744 b y Justices V a n der Does, V a n d e n S a n t h e u v e l ( b o t h judge-commissioners), D e Grande, M o l l e r u s , P a u w , V a n N i s p e n a n d Keetlaer.

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w h e n sued i m m e d i a t e l y before the Supreme C o u r t 4 1 , t h a t they were not liable, since they h a d n o t accepted the b i l l , and p u t t i n g f o r w a r d t h a t the money i n fact h a d gone to the former Governor General of the colony i n the East Indies - A d r i a a n V a l k e n i e r - , w h o o w e d money to the Company. Therefore, the b i l l s h o u l d be regarded as d r a w n by V a l k e n i e r 4 2 . The Supreme Court rejected this argumentation. There was no evidence t h a t the money was received b y Valkenier, whereas i t was established t h a t B r u y n i n g s h a d p a i d the money i n t o the Company's purse. Moreover, B r u y n ings had acted i n his capacity of governor of the colony. Hence the b i l l should be regarded as being d r a w n b y the V . O . C . itself a n d needed n o t to be accepted i n order to make the Company l i a b l e for payment, because b i l l s of this k i n d are never presented for acceptance b u t always for p a y m e n t only. I t is p o i n t e d out t h a t the b i l l was d r a w n b y the praepositus of the company, w h o was a u t h o r i z e d to b i n d the Company, a n d t h a t the money was used in usum of the Company. Non-acceptance was, therefore, of no consequence. The judge-reporter referred to D. 14,3,1, Grotius' Inleidinge, 3,13,4, the notes of Groenewegen to t h a t passage, Voet, A d Pandectas, T i t . De n a u t i c o foenore (D. 22,2), nr. 6, a n d Hollandsche Consultatien 1,283.

8. The first two cases. Review As to the first case, one m a y w o n d e r w h i c h legal basis the decision was based on. The Supreme C o u r t mentioned, as w e have seen, t w o arguments: (1) the fact t h a t the b i l l h a d been d r a w n b y a m a n d a t a r y , i. e. an agent, of the drawee, (2) the letters R o m b u r g h a d w r i t t e n to Emaus b y w h i c h the l a t t e r was authorized to l e n d money to the master a n d to d r a w a b i l l on Romburg, and i n w h i c h R o m b u r g promised to honour such a b i l l 4 3 . D i d the Court consider a promise b y the drawee to accept a n d to pay a f u t u r e b i l l , to be an acceptance i n advance, to the effect t h a t the drawee w o u l d be b o u n d to pay the b i l l , the m o m e n t i t w o u l d be presented b y the holder? P r o b a b l y the Court d i d not go t h a t far, because i t w o u l d be i n contrast w i t h the l e a d i n g o p i n i o n i n H o l l a n d i n those days. A promise to h o n o u r a b i l l was n o t equal to accep41 The Supreme C o u r t was competent i n f i r s t instance w h e n the parties concerned h a d agreed u p o n b r i n g i n g the case i m m e d i a t e l y before t h i s court. P r e s u m a b l y t h i s is w h a t happened i n t h i s case, because, as w e have seen (n. 40) t w o judge-commissioners were a p p o i n t e d a n d i t was a p p a r e n t l y p r a c t i c e to a p p o i n t judge-commissioners, before w h o m the case was p r e p a r e d for t r i a l , w h e n i t h a d been b r o u g h t d i r e c t l y before the Supreme Court. See V a n der L i n d e n , op. cit. (η. 39), I, p. 84. 42 The governor-general of the East Indies, V a l k e n i e r , created a scandal b y i m p r i s o n i n g a n d sending b a c k to H o l l a n d some members of the C o u n c i l of I n d i a (among w h o m the f u t u r e governor-general V a n I m h o f f ) . The directors of the C o m p a n y accused V a l k e n i e r of abuses a n d c r i m i n a l -behaviour a n d c l a i m e d money f r o m h i m . T h e y sent h i m b a c k to H o l l a n d , b u t he d i e d d u r i n g the h o m e w a r d j o u r n e y . P a u w refers to h i m also i n O T N nrs. 26, 40, 72 a n d 111, c a l l i n g h i m " T i t i u s " . 43 I n fact the arguments were p u t f o r w a r d b y the j u d g e - r e p o r t e r S l u i j s k e n .

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t a t i o n of t h a t b i l l , a l t h o u g h i t c o u l d give cause to an action "in id quod interest" based u p o n the promise i t s e l f 4 4 . Such an action, however, w o u l d o n l y be granted to the person to w h o m the promise h a d been made a n d n o t to any holder of the b i l l 4 5 . We s u b m i t , therefore, t h a t Romburg's letters were m e n t i o n e d i n order to show t h a t the master h a d n o t gone beyond his powers. This was i m p o r t a n t , because i f he h a d so, the first g r o u n d for the decision w o u l d have been i n v a l i d . This leads us to the second case. The decision i n this case was, as w e have seen, based on the view, t h a t a b i l l , d r a w n b y an "institor" or factor of the Company - the governor of Colombo was, i n terms of the l a w , regarded as such - should be considered to be d r a w n b y the Company on itself. A b i l l of exchange, i n w h i c h the d r a w e r a n d the drawee were the same person, was n o t considered to be v o i d i n H o l l a n d 4 6 . U n l i k e the promissory note (promesse), this k i n d of b i l l , as a l l other b i l l s of exchange, c o u l d lead to i m m e d i a t e execution (parate executie). The b i l l , d r a w n b y the drawee himself, needed no acceptance, b u t made the drawee i m m e d i a t e l y l i a b l e for p a y m e n t 4 7 . Therefore, i f the b i l l i n this p a r t i c u l a r case was r i g h t l y regarded as such a b i l l , the directors of the Company were b o u n d to pay i t , even w i t h o u t h a v i n g accepted i t previously. I n contrast to this v i e w seems to be a legal opinion, given b y S i m o n v a n Beaumont about 1605 4 8 , curiously enough quoted b y the t w o j u d g e - c o m m i s sioners. B e a u m o n t was d e a l i n g i n his legal o p i n i o n w i t h a b i l l , d r a w n b y an a d m i r a l of the V . O . C . on his principals, the directors of the Company's chamber i n A m s t e r d a m 4 9 . They, however, refused to accept i t - on f u t i l e grounds, i f 44 See Phoonsen, Wissel-styl, 10, 6; Barels, A d v y s e n cit. (η. 18), 2, 46 (a legal o p i n i o n of 1715); V a n der Keessel, Praelectiones, on I n l . 3, 13, 5 (ed., p. 322). Cp. R o b e r t Joseph Pothier, T r a i t é d u c o n t r a t de change, i n : Oeuvres de Pothier, V I I , Paris 1818, nr. 9 3 (ed. pp. 51 - 52), to w h o m V a n der Keessel refers (using the t r a n s l a t i o n i n t o D u t c h b y Joannes v a n der L i n d e n , V e r h a n d e l i n g v a n het wisselrecht, L e y den 1801, 4, 44, p. 85). 45 Pothier, T r a i t é cit. (η. 44), nr. 121 (ed. p. 68) ( i n the t r a n s l a t e d version 4, 72, p. 112), suggest t h a t the h o l d e r of the b i l l m i g h t sue the drawee w i t h the a c t i o n of the person (the drawer) to w h o m the promise was made. 46 See Phoonsen, Wissel-styl, 36,12; V a n der Keessel, Praelectiones, o n I n l . 3, 13, pr. (ed., p. 281). Also i n France this k i n d of b i l l was accepted. See Lévy-Bruhl, op. cit. (η. 8), pp. 73 - 74. I t s h o u l d be n o t e d t h a t i n France there existed also " b i l l e t s de change", p r o m i s s o r y notes against w h i c h the m a k e r h a d received one or m o r e b i l l s of exchange, a n d " b i l l e t s à o r d r e " , p r o m i s s o r y notes w h i c h are almost the same as b i l l s d r a w n b y the d r a w e r o n himself. Cf. Pothier, T r a i t é cit., nrs. 207 - 222 (ed. pp. 122 - 132). 47 Phoonsen, Wissel-styl, 36, 12. 48 H o l l a n d s c h e Consultatien, I, A m s t e r d a m / U t r e c h t 1728, n r . 283. 49 The D u t c h East I n d i a C o m p a n y consisted of " c h a m b e r s " i n A m s t e r d a m , M i d d e l b u r g , R o t t e r d a m , D e l f t , H o o r n a n d E n k h u i z e n . T h e c h a m b e r i n A m s t e r d a m was b y far the most i m p o r t a n t . See Gaastra, D e geschiedenis v a n de V.O. C. cit. (η. 3), pp. 17 - 19.

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w e m a y believe B e a u m o n t 5 0 . T h e payee a b a n d o n e d the idea of c o m m e n c i n g proceedings against the drawer, w h o was at the t i m e apparently still i n the E a s t I n d i e s o r o n his w a y h o m e . So, t h e payee d e c i d e d n o t t o m a k e

or

i n s t r u c t for a f o r m a l protest, w h i c h he d i d n o t have to, if he d i d n o t w a n t to sue t h e d r a w e r , b u t t o s t a r t p r o c e e d i n g s a g a i n s t t h e d i r e c t o r s of t h e C o m p a n y o n t h e b a s i s o f t h e actio

institoria.

T h e y were, after all, p r i n c i p a l s of

the d r a w e r a n d could, therefore, be sued o n the strength of the obligation, w h i c h arose f r o m t h e u n d e r l y i n g c o n t r a c t b e t w e e n t h e r e m i t t e r / p a y e e

and

t h e d r a w e r , i . e. t h e l o a n , t a k e n u p b y t h e i r a d m i r a l . Beaumont institoria

pointed out that

t h e payee, of course c o u l d use t h e

a g a i n s t t h e d i r e c t o r s in

solidum,

actio

b u t also m a d e a p a r e n t h e t i c

r e m a r k , t h a t there w a s n o a c t i o n u n d e r the b i l l against them, since they h a d not accepted it. Although the opinion was quoted by the judge-commissioners, but probab l y o n l y t o s t r e s s t h a t t h e d i r e c t o r s c o u l d b e s u e d i n a n y case, t h e S u p r e m e C o u r t c l e a r l y d i d n o t f o l l o w B e a u m o n t ' s v i e w . T h i s w a s , i t i s t r u e , n e a r l y 150 y e a r s l a t e r , b u t i t seems t h a t B e a u m o n t ' s r e m a r k d i d n o t e v e n r e f l e c t t h e l a w of h i s o w n t i m e . F o r a c c o r d i n g t o A n t w e r p c u s t o m a r y l a w (to b e f o u n d i n b o t h the Impressae and the Compilatae), a principal was b o u n d under a bill, d r a w n on h i m b y his factor, on the condition, however, that the latter was duly authorized to b i n d his principal and the value was received for benefit of the p r i n c i p a l ' s affairs

51

the

.

50 P r o b a b l y the reason for refusing to h o n o u r the b i l l was t h a t the b i l l was d r a w n i n f a v o u r of the A d m i r a l of the c o m p a n y of B a l t h a s a r de M o u c h e r o n . D e M o u c h e r o n was one of the foremost merchants of t h e end of the 1 6 t h century. H e was of A n t w e r p o r i g i n b u t h a d settled d o w n i n Z e e l a n d after the f a l l of his n a t i v e c i t y . T h e establishment of the V . O . C . i n 1602 p r e v e n t e d h i m f r o m m a k i n g the p r o f i t s he h a d expected f r o m the e x p e d i t i o n s a n d t r a d e he financed. I n 1601 he h a d sent three ships u n d e r Joris v a n S p i l b e r g e n to the East Indies. I n 1602 a fleet of fourteen ships u n d e r the f l a g of the V . O . C . also w e n t to the East Indies. W y b r a n d v a n W a r w i j c k was the a d m i r a l of this fleet a n d d r e w t h e b i l l , the o p i n i o n is d e a l i n g w i t h , i n f a v o u r of Spilbergen, w h o h a d l e n t h i m some money. A l t h o u g h D e M o u c h e r o n h a d been d i r e c t o r of the chamber i n M i d d e l b u r g , there was o b v i o u s l y a c o n f l i c t of interests b e t w e e n h i m a n d the V . O . C . D u e to f i n a n c i a l p r o b l e m s he l e f t the c o u n t r y i n 1603 a n d w e n t to France. So, p r o b a b l y he was no d i r e c t o r a n y m o r e i n 1604 w h e n S p i l b e r g e n r e t u r n e d a n d presented the b i l l . We assume t h a t u n d e r these circumstances the V. O. C. s i m p l y t r i e d to escape p a y ment. Cp. Gaastra, D e geschiedenis v a n de V . O . C . cit. (η. 3), p. 26. 51 Impressae, 55, 1: " D e gene die eenen w i s s e l - b r i e f aen h e m gepresenteert sijnde n i e t en accepteert, en is u u t crachte v a n d e n selven w i s s e l - b r i e f n i e t gehouden, t ' e n w a r e d a t een facteur (macht hebbende o m s i j n e n meester te verbinden) t o t behoeve v a n sijns meesters a f f a i r e n eenige sommen v a n p e n n i n g e n op Wissel genomen ende eenen w i s s e l - b r i e f aen sijnen meester gesonden hadde, t e n eynde h y den persoon, v a n w i e n h y sulcke somme o n t f a n g e n heeft, o f t s i j n gecommitteerde daeraf rembourseren soude". C o m p i l a t a e , 4, 3, 2: "12. N i j e m a n t en is gehouden eenige wisselbrieven op h e m comende te accepteren, n o c h en m a c h v u i j t crachte v a n d i j e n n i e t aengesproken w o r den, t e n waere d a t d e n selven quaeme v a n eenen facteur, die m a c h t heeft s i j n e n meester te v e r b i n d e n , ende de selve m a c h t te w e r c k e heeft gestelt, o f t v a n d e n meester op s i j n e n facteur, die v a n h e m suijvere ende onbelaste p e n n i n g e n onderheeft, sonder te c o m m e n [ms.: connen] b e t h o o n e n v a n c o n t r a r i e ordre oft v e r b o t h a n den selven n i e t te accepteren". The texts are t a k e n f r o m t h e e d i t i o n b y De L o n g é (η. 12).

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G r o t i u s adopted this rule i n his Inleidinge, 3,13,4 (also quoted b y the judges of the Supreme Court), b u t i n a somewhat different w o r d i n g . He m a i n t a i n s t h a t the p r i n c i p a l has to accept such a b i l l 5 2 , w h i c h is, at first sight, n o t exactly the same, because one c o u l d argue t h a t there w o u l d be no o b l i g a t i o n under the b i l l , i f the p r i n c i p a l nevertheless refused to accept, b u t o n l y an action of the d r a w e r based on non-performance of the o b l i g a t i o n to accept. This i n t e r p r e t a t i o n w o u l d lead us to Beaumont's v i e w , t h a t i n case of non-acceptance there c o u l d be no action for the payee under the b i l l . We submit, however, t h a t G r o t i u s w o r d s should be i n t e r p r e t e d i n a different manner. V a n der Keessel, c o m m e n t i n g on this passage i n his Praelectiones, reads t h e m as follows: D o c e t hie G r o t i u s mercatores n o n posse recusare a c c e p t a t i o n e m l i t t e r a r u m c a m b i a l i u m , quas institores i n rebus a d n e g o t i a t i o n e m p e r t i n e n t i b u s i n eos trassarunt, u t i t a a d negotia p e c u n i a m habeant. Q u o d consentaneum est i l l i s p r i n c i p i i s , quae convenienter L . 5 § 13 D . de i n s t i t . act. [D. 14,3,5,13] i a m t r a d i d i m u s c u m G r o t i o L . 3 Part. 1 § 3 1 5 3 .

We s u b m i t , t h a t he r i g h t l y uses the w o r d posse, i m p l y i n g t h a t a refusal to accept is w i t h o u t effect t o w a r d s the payee, a n d t h a t this is the w a y G r o t i u s should be read. Grotius, therefore, w e n t m u c h f u r t h e r t h a n Beaumont, because the l a t t e r w o u l d , apparently, n o t a d m i t an a c t i o n based u p o n the b i l l , b u t o n l y an a c t i o n based u p o n the u n d e r l y i n g contract (e.g. a loan), whereas G r o t i u s w o u l d a l l o w the payee to sue the p r i n c i p a l i m m e d i a t e l y under the b i l l . The conclusion, t h a t G r o t i u s d i d n o t establish a rule, v i r t u a l l y different f r o m the A n t w e r p l a w , m a y also be d r a w n f r o m the fact, t h a t n e i t h e r Groenewegen i n his notes on I n l . 3,13,4, n o r Voet, A d Pandectas 22,2,6, n o r V a n der Keessel i n his Praelectio on this passage of the I n l e i d i n g e a n d i n his Theses Selectae, nr. 615, give any h i n t to the contrary. They a l l m e n t i o n the corresponding passage i n the Impressae, w i t h o u t even suggesting t h a t G r o t i u s deviated f r o m it. The difference of w o r d i n g m a y be due to the f r a m e w o r k i n w h i c h G r o t i u s dealt w i t h the matter. I n I n l . 3,13 he treated the b i l l of exchange i n its relat i o n to b o t h d r a w e r a n d drawee. H e regards the r e l a t i o n s h i p between b o t h persons as a contract of mandate, w h i c h can o n l y be concluded b y accepting the mandate, w h i c h means i n this respect, b y accepting the b i l l . This is pure R o m a n l a w , w h i c h leaves every w o u l d - b e m a n d a t a r y free t o accept or to reject the mandate. Therefore, G r o t i u s f o r m u l a t e d the A n t w e r p rule i n such 52 I n l . 3, 13, 4: " D o c h k o o p l u i d e n z i j n s c h u l d i g aen te n e m e n de w i s s e l b r i e v e n ghezonden b y een b e w i n d - h e b b e r haerder zaecken, die m a c h t h a d d e o m s i j n meester te v e r b i n d e n , ende t e n behoeve v a n sijns meesters zaken p e n n i n g e n op wissel n e e m t " . 53 Ed., p. 322. I n l . 3 , 1 , 31 deals w i t h agency b y "bewind-hebbers" , i.e. i n s t i t o r s , a n d c o n f i r m s the r u l e of R o m a n l a w t h a t merchants are b o u n d b y t h e i r i n s t i t o r s a n d can be sued w i t h the actio institoria.

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a w a y , as to have i t f i t i n w i t h the l a w of mandate. The l i a b i l i t y of the p r i n c i p a l is based u p o n his o b l i g a t i o n to accept the b i l l . The conclusion of the cont r a c t is not dependent on his discretion. N o w the question arises h o w the l i a b i l i t y of the p r i n c i p a l / d r a w e e t o w a r d s the payee was established. N o r m a l l y the drawee becomes l i a b l e for p a y m e n t b y accepting the b i l l , w h i c h is regarded b y G r o t i u s as a promise to pay t o w a r d s the payee (Inl. 3,45,10; cf. I n l . 3, 13,6). B u t i n case where there is no acceptance, the s i t u a t i o n is t o t a l l y different. Perhaps Grotius f o u n d the answer i n assuming, t h a t the b i l l should be regarded as accepted. I n t h a t manner one c o u l d reach the outcome t h a t the p r i n c i p a l was also regarded to have promised p a y m e n t to the payee. The A n t w e r p clause survived i n the l a w of H o l l a n d u n t i l i t disappeared d u r i n g the t i m e of the codifications of the l a w (about 1800) 5 4 . Because the French Code de Commerce d i d not k n o w a s i m i l a r provision, i t w o u l d have been q u i t e n a t u r a l i f the D u t c h C o m m e r c i a l Code of 1838 w o u l d n o t have i n c l u d e d i t either for t h a t reason. B u t already the d r a f t C i v i l Code of Joannes v a n der L i n d e n (1807), w h i c h c o u l d n o t be a n d was not based on the French Code de Commerce, d i d n o t m e n t i o n a n y t h i n g s i m i l a r , a l t h o u g h V a n der L i n d e n d i d deal w i t h i t i n his w e l l - k n o w n book on p r i v a t e a n d commerc i a l l a w 5 5 . N e i t h e r d i d the d r a f t C o m m e r c i a l Code of 1809 b y V a n Gennep, Asser a n d - again - V a n der L i n d e n c o n t a i n a s i m i l a r provision. The same goes for the famous c o m p i l a t i o n of A m s t e r d a m customary l a w b y G e r a r d Rooseboom ( 1 7 t h century), w h o o n l y confirms the rule t h a t a drawee is free to accept or to refuse a b i l l 5 6 , w h i l e Phoonsen even seems to reject i t e x p l i c i t l y 5 7 . The l a t t e r however, u p h o l d i n g t h a t a p r i n c i p a l is n o t obliged to accept a b i l l , d r a w n on h i m by his servant or factor i n t h e i r o w n name, w o u l d perhaps have a d m i t t e d l i a b i l i t y of a p r i n c i p a l , i n case his agent acted e x p l i c i t l y as such, w h i c h means b y disclosing his capacity as agent. V a n der Keessel, i n his lecture on I n l . 3,13,4, i n t e r p r e t e d Phoonsen i n this w a y . The A n t w e r p r u l e o n l y applies w h e n the agent h a d acted institorio nomine. K a r e l K o e n r a a d Reitz, however, s i m p l y h e l d t h a t Phoonsen deviated f r o m the A n t w e r p p r o v i s i o n 5 8 . We s u b m i t t h a t V a n der Keessel gave the r i g h t e x p l a n a t i o n of Phoonsen's statement. There was no v a l i d reason to assume t h a t a p r i n c i p a l w o u l d 54 See e.g. Johannes Voet, C o m m e n t a r i u s a d Pandectas, [ I - I I ] , Coloniae A l l o b r o g u m 1757, o n D. 22, 2, nr. 6 (ed., vol. I, pp. 949 - 950); V a n der Keessel, Praelectiones, o n I n l . 3, 13, 4 (ed., p. 322) a n d Theses Selectae, nr. 615. 55 Regtsgeleerd, p r a c t i c a a l en k o o p m a n s h a n d b o e k , A m s t e l d a m 1806, 4, 7, 8 (ed., p. 539). H e refers to the Impressae, G r o t i u s a n d Phoonsen 10, 5 (see b e l o w , n. 57). 56 Recueil cit. (η. 14), cap. 50, p r . 57 Wissel-styl, 10, 5: " H e t staat i n de v r y e k e u r v a n de b e t r o k k e n e , of h y de wisselb r i e f op h e m g e t r o k k e n , accepteren w i l of n i e t , zelfs is een meester n i e t gehouden de w i s s e l - b r i e v e n door z y n k n e c h t of factoor op h a a r eygen n a a m g e t r o k k e n , veel m i n een k n e c h t of factoor de w i s s e l - b r i e v e n door h a a r meester g e t r o k k e n , te moeten accepteren". 58 O n Heineccius' Elementa, 3, 12, n. 26.

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always be l i a b l e on the strength of a b i l l of exchange, d r a w n b y his agent (servant or factor). As to the effectiveness of agency, i t was generally accepted, t h a t the agent s h o u l d i n f o r m the p a r t y , w i t h w h o m he contracted, as to his capacity, i n order to b i n d his p r i n c i p a l i m m e d i a t e l y under the contract. So, the agent h a d to act either e x p l i c i t l y i n the name of his p r i n c i p a l (in nomine domini), or b y a d d i n g his capacity to his signature, such as "q. q." (qualitate qua). Therefore, i f the agent w o u l d d r a w a b i l l on his p r i n c i p a l , m a k i n g clear t h a t he was d o i n g so i n his capacity as agent, the l o g i c a l conclusion, according to the general principles of agency, w o u l d be, t h a t the p r i n c i p a l was b o u n d i m m e d i a t e l y under the b i l l , because i t w o u l d be regarded as a b i l l , d r a w n b y the p r i n c i p a l h i m s e l f 5 9 . The l a w of agency being so a n d as developed d u r i n g the centuries before Phoonsen w r o t e his b o o k (but, i n fact, even already b y the time, the A n t w e r p clause was l a i d d o w n i n the Impressae), i t becomes clear t h a t there was l i t t l e need for such a clause since i t was self-evident. For b o t h the t e x t of the Impressae a n d the Compilatae a n d the clause i n I n l . 3,13,4 require sufficient a u t h o r i t y of the agent to b i n d his p r i n c i p a l , a n d a p p a r e n t l y u n d e r s t a n d t h a t the agent w o u l d act i n such a manner, as to b i n d his p r i n c i p a l i m m e d i a t e l y t o w a r d s the r e m i t t e r a n d payee. I t is, therefore, q u i t e l o g i c a l t h a t Phoonsen stated, t h a t a p r i n c i p a l was free to dishonour a b i l l , d r a w n b y his agent i n his o w n name. A n d i t was equally n a t u r a l , t h a t neither he, n o r Rooseboom, n o r the codificators of the b e g i n n i n g of the 1 9 t h century, felt any need to i n t r o d u c e a p r o v i s i o n to the effect, t h a t a p r i n c i p a l w o u l d be b o u n d a u t o 59 A legal o p i n i o n of the F a c u l t y of F r a n k f u r t a / d Oder of 28 F e b r u a r y 1679 shows t h a t i t was n o t always clear o n whose b e h a l f an agent acted. The c r i t e r i o n was the i n t e n t i o n w i t h w h i c h the r e m i t t e r h a d t a k e n the b i l l f r o m the d r a w e r - a g e n t . I f the r e m i t t e r i n t e n d e d to deal w i t h the p r i n c i p a l he c o u l d n o t recover his loss, i n c u r r e d b y the insolvency of the l a t t e r , f r o m the agent. H o w e v e r , i f he o n l y w i s h e d to deal w i t h the agent himself, he c o u l d c l a i m p a y m e n t f r o m the l a t t e r i n the case the d r a w e e - p r i n c i p a l w o u l d n o t pay. T h e o p i n i o n can be f o u n d i n S a m u e l S t r y k i u s , Praelectiones V i a d r i n a e de cautelis c o n t r a c t u u m necessariis, F r a n c o f u r t i et L i p s i a e 1694, 3, 5, 19; J o h a n n L u d w i g U h l (the t r a n s l a t i o n b y Isaak le L o n g : ) F r a n k f o r t e r wissel-responsa, I - I I , A m s t e r d a m 1750, nr. 12; L e L o n g , V e r v o l g cit. (η. 17), l i e b e a n t w o o r d i n g ; Heineccius / Reitz, Grondbeginselen cit. (η. 37), 4, 25; Heineccius, E l e m e n t a 4, 25. Cp. h o w e v e r F r a n c k , I n s t i t u t i o n e s , 2, 1, 1 , 2 9 - 3 0 , w h o is of the o p i n i o n t h a t a p r i n c i p a l is a l w a y s b o u n d to h o n o u r a b i l l d r a w n b y his p r o c u r a t o r . H e refers to the Impressae a n d m e n t i o n s the c o n t r a r y v i e w of S t r y k i u s . Cp. also G e r a r d Malynes, consuetudo v e l l e x m e r c a t o r i a or the a n t i e n t l a w - m e r c h a n t , L o n d o n 1629, 3, 5, 6, a n d A n t o n i u s A n s e l m o , Consultationes seu resolutiones et advisamenta d i u r n a ad quaestiones a c o n s u l t o r i b u s et l i t i g a n t i b u s propositas, A n t w e r p i a e 1671, cons. 50. A s to t h e l i a b i l i t y of the agent h i m s e l f i t s h o u l d be p o i n t e d o u t t h a t i n H o l l a n d i t was generally accepted t h a t a n agent w h o h a d acted institorio or procuratorio nomine was n o t personally l i a b l e o n t h e s t r e n g t h of the t r a n s a c t i o n c a r r i e d o u t o n b e h a l f of his p r i n c i p a l : V a n der Keessel, Praelectiones, o n I n l . 3, 13, 4 (ed., p. 322) a n d o n I n l . 3, 1, 31 (ed., p. 16). T o his references (Voet, ad D . 14, 3, n r . 6; V a n Leeuwen, Censura F o r e n sis 4, 3, 10; Groenewegen, D e legibus abrogatis D . 14, 3, 19; Coren, Observationes r e r u m i n Senatu j u d i c a t a r u m , Obs. 28, nr. 47) several others c o u l d be added, as e.g. P a u w , O T N 1034 a n d 1544. Cp. i n t h i s m a t t e r U. Müller, D i e E n t w i c k l u n g der d i r e k t e n S t e l l v e r t r e t u n g u n d des Vertrages zugunsten D r i t t e r , S t u t t g a r t , B e r l i n , K ö l n , M a i n z 1969, p p . 9 8 - 1 1 0 .

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m a t i c a l l y under the b i l l , w h e n i t was d r a w n on h i m b y his agent i n the p r i n cipal's name. R e t u r n i n g to the decision of 1744, w e s h o u l d note, t h a t the Court p r o b a b l y f o l l o w e d the same l i n e of t h o u g h t . The b i l l was regarded as d r a w n b y the Company on itself a n d needed no acceptance i n order to make the Company l i a b l e for payment. There can be l i t t l e d o u b t , t h a t the Court's reasoning was the same i n the case of 1709, since a master of a ship was, on the basis of the actio exercitoria of D. 14,1, generally accepted as an agent of the shipowner. 9. The second group of cases. Facts and decisions The t w o cases, to w h i c h w e n o w come, are concerned w i t h the question, w h e t h e r an agent (commis sionair), w h o negotiates a b i l l under i n s t r u c t i o n and for account of his p r i n c i p a l b u t i n his o w n name w i t h o u t disclosing his capacity or the name of his p r i n c i p a l , is l i a b l e under the b i l l as an endorser, w h e n he first h a d the b i l l endorsed to himself and subsequently endorsed i t to his p r i n c i p a l . Generally a l l endorsers are l i a b l e for p a y m e n t w h e n the b i l l is eventually dishonoured a n d n o t paid. This l i a b i l i t y is j o i n t l y a n d severally (in solidum). Endorsement, as a w a y of delivery of a b i l l of exchange, was accepted i n the c o n t i n e n t a l countries n o t before the 1 7 t h century. A c c o r d i n g to the general p r i n c i p l e , w e j u s t mentioned, an agent, receiving a b i l l , endorsed to himself, a n d endorsing i t subsequently to any t h i r d p a r t y , w o u l d become f u l l y l i a b l y as an endorser. N o w , the question m a y be p u t , w h e t h e r t h i s also a p p l i e d to an agent endorsing such a b i l l of exchange to his p r i n c i p a l , according to the instructions given b y the latter. c) Supreme

Court , 31 May 1721, Sautijn

ν . Six ,

OT 173860

A b r a h a m S a u t i j n of A m s t e r d a m r e m i t t e d a certain value to Pieter S i x i n M i d d e l b u r g , a n d asked S i x to send h i m a b i l l of exchange for the same value. A c c o r d i n g l y , S i x negotiated a b i l l of exchange, d r a w n on a merchant i n A m s t e r d a m , h a d i t endorsed to himself and, after endorsing i t to S a u t i j n , sent i t to h i m . This a l l happened on the same day. A f t e r the b i l l h a d been dishonoured a n d i t h a d become clear t h a t b o t h the drawee a n d the d r a w e r h a d become insolvent, S a u t i j n t r i e d to recover his loss f r o m S i x a n d sued h i m 60 T h e dictum is k e p t i n the A R A , 3.3.02 (HR), i n v . nr. 912 (geresolveerde d i c t u m s ) a n d i n v . nr. 953 (gepronuntieerde sententien). T h e r e p o r t of the d e l i b e r a t i o n s i n c h a m bers can be f o u n d i n A R A , 3.3.02 (HR), i n v . n r . 667 (resoluties). The decision was t a k e n o n 13 M a y 1721 b y Justices V a n B y n k e r s h o e k (judge-reporter), D e Vries, Schaep, Keetlaer, D e Roovere, V a n der H o o p , V a n Hees a n d t h e president of the chamber Admirael.

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before the court of M i d d e l b u r g . H e argued t h a t Six, b y h a v i n g the b i l l endorsed to himself, h a d become owner of i t a n d consequently, after endorsement to S a u t i j n , l i a b l e for payment. The court of M i d d e l b u r g dismissed the c l a i m b y judgement of 7 June 1717 a n d the Supreme C o u r t u p h e l d this decision b y its judgement of 31 M a y 1721 6 1 . d) Supreme Court , 5 October 1736, Van den Bosch v. Martens, OT 299162 This case is more c o m p l i c a t e d t h a n the previous one, b u t m a y be summ a r i z e d as follows. A u g u s t i n de Bringas of B i l b a o i n s t r u c t e d Pieter v a n den Bosch of A m s t e r d a m b y l e t t e r to acquire for h i m a n d to send to h i m b i l l s of exchange, payable to the order of D r . Francisco A n t o n i o Gomez of M a d r i d , and a m o u n t i n g to 2000 ducats de Plata. H a v i n g received this order, V a n den Bosch negotiated some b i l l s a n d i n p a r t i c u l a r one, d r a w n b y Jan Teyler v a n Sieden i n A m s t e r d a m on Giacomo Isidoro M o n s a g r a t i of M a d r i d to the a m o u n t of 500 ducats de Plata. A f t e r h a v i n g received this b i l l , Bringas w r o t e a letter to V a n den Bosch, i n w h i c h he t h a n k s h i m for the p r o m p t remittance ( " p u n c t u e l e remise") of the b i l l s on M a d r i d according to his (Bringas') orders. The b i l l d r a w n on M o n s a g r a t i was dishonoured b y h i m . I n the m e a n t i m e the drawer, Teyler, became insolvent. Bringas i n one w a y or another i n the possession of the b i l l , sued t h r o u g h his p r o x y , Pieter Martens, V a n den Bosch before the local court of A m s t e r d a m , c l a i m i n g t h a t V a n den Bosch was l i a b l e for p a y m e n t as an endorsee a n d endorser of the b i l l . B o t h this court a n d the Court of A p p e a l of H o l l a n d agreed w i t h this argument a n d condemned V a n den Bosch to pay the b i l l of 61 A l s o i n this case the appeal was b r o u g h t d i r e c t l y before the Supreme Court. See above n. 39. 62 I n the M u n i c i p a l A r c h i v e s of A m s t e r d a m the dictum of the j u d g e m e n t b y the schepenen can be f o u n d u n d e r i n v . n r . 5061 - 1962 (geprivilegeerde rol, 14 September 1735). T h e decision was t a k e n o n 3 N o v e m b e r 1735 b y t h e schepenen S i x , S a u t y n (cp. the names of the parties i n t h e p r e c e d i n g case; t h e y are members of t h e same families), T e m m i n g h , B o n d a a n , H o o f t a n d G e e l v i n c k , a n d i t was p r o n o u n c e d t h e same day. I n the A R A is k e p t the j u d g e m e n t b y the C o u r t of A p p e a l of H o l l a n d : A R A , 3 . 3 . 1 ( H o f v a n H o l l a n d ) , i n v . nr. 963. T h e decision is also m e n t i o n e d i n the c o m p i l a t i o n of reports, called "quaetclap" (i.e. gossip, r e f e r r i n g perhaps t o its secret character), A R A , 3 . 3 . 1 ( H o f v a n H o l l a n d ) , i n v . nr. 5767, h o w e v e r w i t h o u t any reference t o the o p i n i o n s of the judges. T h e decision was t a k e n o n 8 June 1736 b y D e H i n o j o s a , presid e n t of the C o u r t , S l i c k e r , M o r i s , D e M a u r e g n a u l t , G r a a f l a n d , Schaep, V a n Bochoven, Cau, M u i l k e r k e n a n d Gienhoven, a n d was p r o n o u n c e d o n 13 June 1736. T h e d i c t u m of the j u d g e m e n t b y the Supreme C o u r t can be f o u n d i n A R A , 3.3.02 (HR), i n v . nr. 916 (geresolveerde d i c t u m s ) a n d i n v . nr. 954 (gepronuntieerde sententien). The r e p o r t of the d e l i b e r a t i o n s i n chambers is k e p t i n A R A , 3.3.02 (HR), i n v . nr. 625 ( m i n u u t resoluties) a n d i n v . nr. 672 (resoluties). The decision was t a k e n o n 5 October 1736 b y Justices D u i v k a n t (judge-reporter), Keetlaer, D e Roovere, V a n der H o o p , V a n B l e i s w i j k , V a n der Does a n d B y n k e r s h o e k , president of the Court. I t was p r o n o u n c e d the same day.

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exchange (decisions of 3 November 1735 a n d 13 June 1736). The Supreme Court, however, reversed these sentences a n d dismissed the claim. 10. The second group of cases. Review B y rejecting, i n b o t h cases, the c l a i m the Supreme C o u r t decided on a rule of l a w , w h i c h was n o t generally accepted. I n p a r t i c u l a r Phoonsen 6 3 , whose a u t h o r i t y was, even for the Supreme Court, i n matters of exchange almost u n q u e s t i o n a b l e 6 4 , d i d n o t share the v i e w w h i c h led to b o t h decisions. He was of the o p i n i o n , t h a t an agent of the k i n d w e are dealing w i t h i n these t w o cases (commissionair), w h o does n o t stand del credere, nevertheless i n fact does so - w i t h o u t receiving any r e w a r d - b y n e g o t i a t i n g i n behalf of his p r i n c i p a l any b i l l , endorsed to himself. E v e n i f the agent stands del credere on the strength of the agreement w i t h his p r i n c i p a l , Phoonsen strongly suggests t h a t the agent must n o t act i n this manner, b u t must see to i t t h a t the b i l l is endorsed i m m e d i a t e l y to his p r i n c i p a l b y the person f r o m w h o m he acquired the b i l l . Phoonsen's suggestion is concerned w i t h the a p p a r e n t l y w i d e l y adopted practice of commissionairs to have b i l l s endorsed to t h e m selves before endorsing t h e m to t h e i r principals. They d i d so, because they d i d n o t w i s h to disclose t h e i r p r i n c i p a l ' s i d e n t i t y to the brokers i n the Exchange B a n k , f r o m w h o m the b i l l s were bought, these people being regarded as gossips ( " t h e echo of commerce"). Moreover, i t was felt i m p r a c t i c a l to have the b i l l s endorsed b y the brokers, because i t suited the commissionairs better to take the b i l l s home first a n d t h e n decide to w h i c h p r i n c i p a l (mostly they h a d various principals) c e r t a i n b i l l s should be endorsed 6 5 . The question arises, w h e t h e r the p r i n c i p a l should p r o f i t b y this practice, even i f he h a d n o t agreed u p o n a del credere-guarantee of the agent (for w h i c h , of course, a special fee was to be paid). A c c o r d i n g to the general rules of the contract of mandate, w h i c h a p p l i e d to the r e l a t i o n between a commissionair and his p r i n c i p a l , the l a t t e r s h o u l d i n d e m n i f y the former f r o m and against a l l l i a b i l i t i e s a n d damages, i n c u r r e d i n the exercise of his functions, p r o v i d e d t h a t the commissionair w o u l d n o t have c o m m i t t e d dolus or culpa, w h i c h i n c l u d e d culpa l e v i s s i m a 6 6 . Phoonsen a p p a r e n t l y a p p l i e d the l a w of exchange i n this respect very s t r i c t l y a n d d i d not appreciate the q u a l i t y of the commissionair' s endorsee, i.e. his p r i n c i p a l , w h o was, after all, dominus negotii. 63

Wissel-styl, 27, 7 a n d 8 (cp. 9, 3 a n d 4 a n d 36, 17). See Van Apeldoorn, op. cit. (η. 29), p. 26. 65 Cp. the legal o p i n i o n i n V e r z a m e l i n g v a n casus p o s i t i e n cit. (η. 18), 1788, V I I , pp. 68 - 74. Phoonsen, Wissel-styl, note o n 27, 7, m e n t i o n s t h i s p r a c t i c e b u t w a r n s against it. 66 See e.g. V a n der Keessel, Praelectiones, o n I n l . 3, 12, 8, v. "anders doende" (ed., p. 270). 64

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I n the case of 1721 (c) f o r t u n a t e l y a legal o p i n i o n survived, p u b l i s h e d b y Barels i n his collection of legal opinions i n commercial m a t t e r s 6 7 . I t was given b y t w o advocates f r o m A m s t e r d a m i n 1713, A . v a n den Ende a n d J. Schrik. F r o m its exposé w e l e a r n t h a t the agent, Six, h a d changed the exchange rate of the b i l l i n order to o b t a i n a fee ("avance") f r o m S a u t i j n , u p o n w h i c h they h a d agreed previously. This fact seems to have been of decisive importance for b o t h counsels, because they used it, together w i t h the fact t h a t S i x h a d the b i l l endorsed first to himself, as an argument for t h e i r conclusion t h a t S i x h a d become o w n e r of the b i l l and, consequently, l i a b l e for its p a y m e n t 6 8 . This conclusion, favourable to S a u t i j n , was i n h a r m o n y w i t h Phoonsen's v i e w , to w h o m , as one w o u l d expect, reference was m a d e 6 9 . I t was, moreover, n o t o n l y Phoonsen, w h o h e l d this v i e w , b u t also D u Puy de la Serra, an unquestionable a u t h o r i t y on the l a w of exchange i n F r a n c e 7 0 , w h o , i n this respect, refers to a judgement to the same effect, rendered b y the Parlement de Paris i n 1676 7 1 . The court of M i d d e l b u r g , as w e have seen, dismissed the claim, perhaps because i t was n o t convinced b y those " f o r e i g n " authorities. T h o u g h the Supreme Court u p h e l d the decision, i t appears t h a t n o t a l l its members shared the same v i e w . Bynkershoek, w h o was the judge-reporter i n this case, argued t h a t S i x h a d been a m a n d a t a r y of S a u t i j n a n d h a d acted properly. There was no reason, therefore, w h y S a u t i j n should have an action against Six. As to Phoonsen, w h a t he said o n l y a p p l i e d to t h i r d parties, according to B y n k e r 67 A d v y s e n cit. (η. 18), 2, 41. T h i s legal o p i n i o n dates f r o m three years after the p r o test was made a n d t w o years before the case was b r o u g h t before the c o u r t of M i d d e l burg. 68 The o p i n i o n continues b y p o i n t i n g o u t t h a t i f one does n o t accept its v i e w , S i x w i l l , i n any event, have to prove t h a t he p a i d for the b i l l i n cash or " i n banco", w i t h o u t c l e a r i n g an o l d debt to h i m (owed b y t h e sellers of t h e b i l l ) , a n d f u r t h e r m o r e t h a t the sellers were i n good repute. Reference is made to D . 3, 5, 36 (37), 1; D . 35, 1, 111; C. 5, 5 1 , 7 a n d Joannes a Sande, T h e a t r u m p r a c t i c a n t i u m , 2, 9, 13. 69 Wissel-styl, 9, 3; 27, 8, notes 2 a n d 3. 70 See above n. 36. O u r e d i t i o n i n : D a n i e l Jousse, C o m m e n t a i r e sur l ' O r d o n n a n c e d u commerce [...] avec des notes et e x p l i c a t i o n s c o o r d o n n a n t l ' O r d o n n a n c e , le c o m m e n t a i r e et le Code de commerce, p a r V. Bécane, Poitiers 1828. 71 16, 11 (ed., pp. 500 - 502): " C e u x q u i ont m i s des ordres ne sont pas recevables à opposer contre l a g a r a n t i e q u i l e u r est demandée; que ce n'est pas p o u r l e u r compte q u ' i l s o n t m i s l'ordre, mais p a r c o m m i s s i o n o u p o u r prêter l e u r n o m : car, en cette m a t i è r e de garantie, l ' o n s'attache a u x termes de l a l e t t r e de change". Cp. also S a m u e l Ricard, T r a i t é général d u commerce, [ I - I I ] , A m s t e r d a m 1781, 2, 2, 3, 5 (ed., pp. 477 478): " A u c u n s de ceux q u i o n t accepté, t i r é , endossé une l e t t r e de change, ne peuvent être déchargés de l e u r o b l i g a t i o n , q u o i q u ' i l s n ' a i e n t accepté, t i r é et endossé que p a r commission. Les preneurs et les endosseurs des lettres de change, q u i en p r e n n e n t quelques-unes p a r c o m m i s s i o n d ' u n tiers, o n t l a prudence de les faire à l ' o r d r e de c e l u i p o u r compte d u q u e l ils l ' o n t prise, a u m o y e n de q u o i ils ne sont p l u s sujets à aucune responsabilité v i s - à - v i s des p o r t e u r s " . This, however, was n o t p r a c t i c e d i n A m s t e r dam, as w e have noticed.

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s h o e k 7 2 , w h o c o n t i n u e d b y p o i n t i n g out, t h a t S a u t i j n h a d accepted the b i l l f r o m Six. Moreover, S a u t i j n h a d n o t r e t u r n e d i t i m m e d i a t e l y after the p r o test for n o n - p a y m e n t was made up, as was r e q u i r e d b y Phoonsen, b u t not before a m o n t h later. As a result of this S a u t i j n h a d lost his r i g h t to p u t forw a r d any c l a i m u n d e r the b i l l . Justice Keetlaer agreed w i t h Bynkershoek a n d so d i d the president of the chamber, A d m i r a e l . Justice D e Vries held, t h a t S i x h a d been i n c a u t i o u s b y h a v i n g the b i l l endorsed to himself a n d thus e n c u m b e r i n g himself more t h a n he was obliged to, since he was o n l y a m a n d a t a r y . A p p a r e n t l y De Vries foll o w e d the v i e w of Phoonsen. Yet he agreed w i t h Bynkershoek " f o r the rest", p r o b a b l y referring to the last m e n t i o n e d argument r e g a r d i n g the r e t u r n i n g of the b i l l after protest for n o n - p a y m e n t . Justice Schaep d i d n o t agree w i t h Bynkershoek on the first p o i n t of his argument, for he h e l d t h a t S i x h a d been owner of the b i l l and, b y endorsing i t to S a u t i j n , h a d made himself l i a b l e to the latter under the strict observance of the l a w ("naer 't stricte wisselregt"). S a u t i j n , however, d i d n o t observe the l a w either b y n o t r e t u r n i n g i t to S i x at once after the protest. So he lost his r i g h t s against S i x . Justice V a n der H o o p shared the views, expressed b y Schaep, whereas justice D e Roovere i n p a r t i c u l a r agreed w i t h the second argument. Perhaps he was n o t convinced b y either p o i n t of v i e w i n respect of the first question. Justice V a n Hees h a d doubts as to b o t h arguments. Yet he was of the o p i n i o n t h a t S a u t i j n could n o t effectively have been interested i n w h e t h e r the b i l l of exchange h a d been p u t i n his or S i x ' name first. A p p a r e n t l y he i n c l i n e d to Bynkershoek's view. F u r t h e r m o r e , he argued t h a t b y not r e t u r n i n g the b i l l i n due t i m e the holder w o u l d n o t always be d e p r i v e d of his r i g h t s under the b i l l , for instance w h e n n o t h i n g was lost b y b e i n g too late. B u t this should be proved a n d for t h a t reason he advised an i n t e r l o c u t o r y judgement. Considering the various standpoints i n chambers w e m a y conclude t h a t i n fact the case was decided on the second argument, i. e. t h a t the b i l l h a d not been r e t u r n e d i n time. For, as to the first argument - w h e t h e r S i x was at a l l l i a b l e t o S a u t i j n on the strength of his endorsement - , three judges ( B y n k e r shoek, Keetlaer a n d A d m i r a e l ) w o u l d deny any l i a b i l i t y of Six, three others (De Vries, Schaep a n d V a n der Hoop) h e l d the opposite v i e w , whereas t w o judges (De Roovere a n d V a n Hees) at least h a d doubts about it. The second ground, p u t f o r w a r d b y Bynkershoek for rejecting the claim, was, however, accepted b y seven judges. Bynkershoek, i n his r e p o r t i n OT 1738, provides us w i t h some more a n d interesting i n f o r m a t i o n . As one w o u l d expect, he refers to three judges (he does n o t m e n t i o n t h e i r names, b u t w i t h o u t any d o u b t he meant D e Vries, Schaep a n d V a n der Hoop), w h o argued t h a t S i x s h o u l d be condemned to 72

Reference is m a d e to W i s s e l - s t y l 26, 7, b u t t h i s s h o u l d be 27, 7.

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pay the b i l l on the strength of his endorsement. Bynkershoek adds to the arguments, w e already came across, t h a t , according to t h e i r o p i n i o n , an agent w o u l d otherwise be i n the p o s i t i o n to c o m m i t f r a u d against his p r i n c i pal. F o r this he c o u l d do by endorsing a b i l l a q u i r e d for his o w n account to his p r i n c i p a l , i n case the d r a w e r h a d become insolvent i m m e d i a t e l y after the b i l l h a d been endorsed t o the agent. The e x p l a n a t i o n of this argument is, w e submit, t h a t i n such a case the b i l l w o u l d most certainly be refused b y the drawee, as a result of w h i c h the payee w o u l d have to bear the loss, since he w o u l d not be able to recover i t f r o m the drawer nor f r o m the agent, if the l a t ter w o u l d n o t be liable. Yet the agent, b y n e g o t i a t i n g the b i l l to his p r i n c i p a l w o u l d have received the f u l l value f r o m h i m . N o w Bynkershoek states t h a t the other five judges "magis inclinabant in contrariant sententiam", because they t h o u g h t the v i e w of Phoonsen a n d D u Puy to be applicable o n l y to a m a n d a t a r y sued b y a t h i r d p a r t y , b u t n o t to a p r i n c i p a l w i s h i n g to seek recourse f r o m his agent. For the b i l l was at his r i s k and he c o u l d n o t have been interested i n w h e t h e r the b i l l h a d been endorsed to h i m i m m e d i a t e l y or to his agent, w i t h either an assignment of the r i g h t of a c t i o n or a f u r t h e r endorsement to himself. Here w e recognize the arguments, p u t f o r w a r d b y Bynkershoek a n d V a n Hees d u r i n g the discussion i n chambers. Phoonsen and D u Puy, Bynkershoek continues, speak i n d i s t i n c t l y 7 3 , b u t " ratione consulta " one should distinguish, unless i t is established t h a t the agent c o m m i t t e d f r a u d ("nisi probetur mandatarium mala fide egisse"). He, furthermore, argues t h a t f r o m the i d e n t i t y of the a m o u n t of the b i l l a n d the fact t h a t the b i l l h a d been endorsed to the p r i n c i p a l the very same day the agent h a d acquired i t , i t becomes clear, t h a t the agent h a d acted i n behalf a n d for account of the p r i n c i p a l . I t is r e m a r k a b l e t h a t Bynkershoek refers to the fact t h a t the a m o u n t of the b i l l h a d remained unchanged (i.e. the rate of exchange was n o t changed), because the o p i n i o n of V a n den Ende a n d S c h r i k of 1713 was based on the opposite. I f this o p i n i o n was produced i n the proceedings before the Supreme Court, i t p r o b a b l y d i d n o t convince the court, w h i c h m a y be easily understood i f one takes i n t o account t h a t the fact t h a t a fee was agreed u p o n w o u l d n o t always influence the n a t u r e of the r e l a t i o n between the agent a n d his p r i n c i p a l . V a n der Keessel, for instance, also h e l d t h a t the n a t u r e of m a n d a t u m is n o t changed b y a r e n u m e r a t i o n for the m a n d a t a r y , i f such a r e n u m e r a t i o n is u s u a l l y agreed u p o n 7 4 . A p p a r e n t l y 73 One m a y d o u b t w h e t h e r B y n k e r s h o e k was r i g h t , because Phoonsen made clear t h a t the agent stood d e l credere effectively, w h i c h c o u l d o n l y m e a n t h a t Phoonsen h e l d the v i e w t h a t i n any case the p r i n c i p a l c o u l d sue the agent. F o r t h e t e r m " d e l credere" exclusively refers to t h e r e l a t i o n s h i p b e t w e e n t h e p r i n c i p a l a n d his agent. Cp. the o p i n i o n of Justice V a n B l e i s w i j k i n the case of 1736, as m e n t i o n e d b e l o w i n t h e text. 74 Praelectiones, V, A m s t e l o d a m i / P r o m u n t u r i i B . S . i n u r b e 1967, o n I n l . 3, 45, 10 (ed., p. 492) a n d Theses Selectae, nr. 570.

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there was no sufficient reason for the Supreme C o u r t to infer f r o m the fee, agreed u p o n b y S a u t i j n , t h a t S i x stood del credere 7 5 . We s u b m i t t h a t Bynkershoek i n his notes especially expressed his o w n o p i n i o n a n d t h a t , b y d o i n g so, gave the impression t h a t the m a j o r i t y of judges f u l l y agreed w i t h h i m . We n o w k n o w t h a t this, at least, does n o t a p p l y to De Rovere a n d V a n Hees. However, Bynkershoek also deals w i t h the second argument, discussed i n chambers, a n d states t h a t a l l judges, except one (i.e. V a n Hees), agreed u p o n t h a t and t h a t the decision of the court of M i d d e l b u r g was u p h e l d on t h a t ground. As to the case of 1736 (d), the report i n the r e s o l u t i o n - b o o k shows us t h a t most judges (the judge-reporter D u i v k a n t , Keetlaer, V a n der H o o p - w h o a p p a r e n t l y h a d changed his m i n d after 15 years - V a n der Does a n d the president, Bynkershoek) f o u n d t h a t V a n den Bosch h a d n o t acted i n contrav e n t i o n of his mandate. Hence, according to the o r d i n a r y rules of l a w , he should n o t be l i a b l e to his p r i n c i p a l Bringas. W i t h regard to the o p i n i o n of Phoonsen, t h a t the commissionair b y h a v i n g the b i l l endorsed to himself before endorsing i t to his p r i n c i p a l , stood del credere, justice D u i v k a n t p o i n t e d out t h a t V a n den Bosch stood del credere t o w a r d s t h i r d parties b u t n o t t o w a r d s his p r i n c i p a l . Phoonsen c o u l d n o t derogate f r o m the l a w i n this respect, i.e. the l a w of mandate. So, i f Gomez h a d sued h i m , V a n den Bosch should have been condemned. D u i v k a n t f o u n d i t absurd i f V a n den Bosch should suffer any loss, a l t h o u g h he h a d n o t p r o f i t e d f r o m the b i l l a n d was w i t h o u t culpa. Justice De Rovere, i n this case, placed his t r u s t i n the o p i n i o n of t h e m e r chants and n o t i n Phoonsen's, w h o c o n t r a d i c t e d himself. Presumably De Rovere referred to chapter 25 of Phoonsen's book (also q u o t e d b y D u i v k a n t ) , i n w h i c h the general rules governing the r e l a t i o n between a commissionair a n d his p r i n c i p a l are set out, w h i c h rules are i n fact the same as those of the l a w of mandate. Justice V a n der H o o p also agreed w i t h D u i v k a n t . He p o i n t e d out t h a t the defendant h a d i n v o k e d a rule of customary l a w (i. e. the passage i n Phoonsen's w o r k ) , b u t t h a t one should n o t decide against the R o m a n l a w ("'t gemeene rhegt") on the basis of Phoonsen only. Therefore, Phoonsen's v i e w should n o t be regarded as a rule of customary l a w . W i t h this i t is i m p l i e d t h a t , i f i t w o u l d be otherwise, Phoonsen w o u l d set aside the R o m a n l a w of m a n d a t e i n this respect. Also Justice V a n der Does h e l d t h a t V a n den Bosch stood del credere o n l y as far as Gomez was concerned a n d n o t t o w a r d s Bringas.

75 G e n e r a l l y a n agent, s t a n d i n g del credere, s t i p u l a t e d a h i g h e r fee t h a n usual. Cp. the o p i n i o n , q u o t e d above n. 65 a n d a n o p i n i o n i n the same c o m p i l a t i o n , 1787, I I I , p. 29.

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Justice V a n B l e i s w i j k was the o n l y dissenting judge. H e p o i n t e d out t h a t there was no question of an o r d i n a r y actio mandati

i n this case, b u t o n l y the

p r o b l e m w h e t h e r V a n den Bosch h a d b o u n d himself to his p r i n c i p a l b y the endorsement. He e x p l a i n e d t h a t del credere o n l y concerns the r e l a t i o n bet w e e n the agent a n d his p r i n c i p a l 7 6 , a n d t h a t , i f one takes del credere i n t h a t sense, Phoonsen's saying is perfectly clear. He, therefore, w o u l d accept t h a t as customary l a w ("stijl

mercantiel").

Bynkershoek agued as follows. Phoonsen o n l y said t h a t the commissionair , w h o d i d n o t stand del credere, w o u l d stand effectively del credere b y h a v i n g the b i l l endorsed to himself. This meant t h a t he w o u l d guarantee the solvency of the d r a w e r to any holder. Bynkershoek regarded s t a n d i n g del credere as such a guarantee ("assurantie of borghtoght", as he called i t i n D u t c h , according to the resolutieboek). F r o m the notes on Phoonsen 25,8 he inferred t h a t the mere endorsement to the commissionair o n l y made h i m l i a b l e to the holders. However, Bringas was i n the possession of the b i l l of exchange, so he m i g h t be regarded as a holder. N o w Bynkershoek said t h a t , i f w e regard Bringas as a holder (payee), he w o u l d n o t acquire any r i g h t though, because he c o u l d always be repelled i f his agent (i. e. V a n den Bosch) was w i t h o u t culpa, since Bringas was his p r i n c i p a l . Thus Bynkershoek chose to let the rules of mandate p r e v a i l over the r i g h t s of the holder under the b i l l . However, since V a n B l e i s w i j k m i g h t have i n t e r p r e t e d Phoonsen i n the r i g h t w a y , Bynkershoek p r o b a b l y felt t h a t he w o u l d have to f i n d a s o l u t i o n also w h e n Phoonsen was thus interpreted. I f Phoonsen, he argued, e x p l i c i t l y stated t h a t a commissionair made himself l i a b l e b y his endorsement t o w a r d s his p r i n c i p a l , "utique tanti non est ejus auctoritas, ut rationem vincat , aut legem" (OT 2991). He found t h a t the ratio and the lex relieved V a n den Bosch f r o m l i a b i l i t y a n d t h a t , therefore, i t should be established "ex usu (...) atque adeo ex exemplis et rebus judicatis", t h a t his endorsement w o u l d cause h i m to be l i a b l e also t o w a r d s his p r i n c i p a l . There was, however, no sufficient evidence (two so-called "turben" c o n t r a d i c t e d each o t h e r 7 7 ) , Bynkershoek continued, whereas the decision of the Parlement de Paris , cited b y D u P u y 7 8 , should n o t be followed, because i t must n o t be a p p l i e d i n this case, w h i c h 76 R e f e r r i n g to A d r i a e n V e r w e r , V e r h a n d e l i n g e v a n 't recht der H o l l a n t s c h e bodemerijen, i n : N e d e r l a n t s see-rechten, avaryen en bodemeryen, A m s t e r d a m 1716, ad § 24 (p. 200), w h o confirms t h a t d e l credere o n l y takes place b e t w e e n a p r i n c i p a l a n d his agent i n respect of the debts w h i c h the l a t t e r i n c u r r e d i n connection w i t h the business of his p r i n c i p a l . 77 B y n k e r s h o e k says i n O T 2991 (ed., p. 60): " E t n i h i l q u i c q u a m e o r u m a d d u c i t , q u i n t a n t u m abest, u t de eo constet i n t e r mercatores, u t 15 Amsterdammenses 26 A p r . 1736, i n hac ipsa causa responderint, M a e v i u m n o n teneri, q u a t u o r d e c i m a l i i 6 Jun. 1735 c o n t r a q u i d e m v i d e b a n t u r respondisse, sed advocata sola a u c t o r i t a t e Phoonsen, q u e m forte n o n i n t e l l i g e b a n t , nec e t i a m i l l i 14 expressa respondent, d a t zo een endossant ook aan sijn principale v e r p l i g t is, i n quo tarnen cardo quaestionis v e r s a b a t u r " . I have n o t been able to f i n d these " t u r b e n " i n the archives, since the papers i n the cae have n o t been preserved. 78

See above t h e t e x t at n. 71 a n d t h a t note.

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h a d to be decided according to the customary l a w of A m s t e r d a m ("ex usu Amsterdammensi"). Since no rule of A m s t e r d a m customary l a w i n this respect c o u l d be found, the question at stake h a d to be decided b y the ratio a n d the lex (i.e. the R o m a n L a w ) . We s u b m i t t h a t i n this case the Supreme Court clearly established the rule t h a t the commissionair was n o t l i a b l e under his endorsement t o w a r d s his p r i n c i p a l , p r o v i d e d t h a t he h a d acted i n accordance w i t h his mandate. This r u l i n g was, i n any event, accepted i n A m s t e r d a m because w e have f o u n d t w o legal opinions b y lawyers i n t h a t city (one of 1787 a n d the other of 17 8 8 7 9 ) i n w h i c h its b e i n g i n force is c o n f i r m e d 8 0 . 11. Conclusion The four decisions of the Supreme Court, e x a m i n e d above, give us some valuable i n f o r m a t i o n , w e s u b m i t , on the w a y the C o u r t dealt w i t h such d i f f i c u l t questions as were here at stake. We m a y conclude b y suggesting t h a t the four judgements show us, t h a t the C o u r t attached m u c h value to the actual s i t u a t i o n i n w h i c h the problems i n dispute h a d arisen a n d t h a t the f o r m a l rules of the l a w of exchange d i d not easily set aside the general principles a n d rules of the ius commune.

79

See above n. 65 a n d n. 75. One of the arguments used i n these o p i n i o n s is t h a t the p r i n c i p a l i m m e d i a t e l y acquires the o w n e r s h i p of t h e b i l l w h e n i t is delivered to t h e agent. Consequently the agent cannot be l i a b l e u n d e r the b i l l . Cp. the above i n the t e x t m e n t i o n e d l e g a l o p i n i o n i n Barels, 2, 41, w h e r e i t is said t h a t the agent a c q u i r e d t h e o w n e r s h i p of the b i l l . O n the a u t h o r i t y of the legal o p i n i o n s of 1787 a n d 1788 V a n der Keessel, Praelectiones, o n I n l . 3, 45, 10 (ed., p. 492) a d o p t e d t h e same v i e w t h a t the agent cannot be h e l d l i a b l e because the p r i n c i p a l i m m e d i a t e l y acquires the o w n e r s h i p of t h e b i l l . 80

EVA-CHRISTINE FRENTZ*

Seerechtsentwicklung durch Seerechtsprechung: Der Beitrag des Hamburgischen Admiralitätsgerichts I.

„ N o n s i b i sed o r b i " - diese I n s c h r i f t steht auf einem Portugaleser, den die Hamburgische A d m i r a l i t ä t i m Jahr 1690 prägen ließ. F ü r die seerechtliche Rechtsprechung der A d m i r a l i t ä t , die sie als „Hamburgisches A d m i r a l i t ä t s g e r i c h t " v o n 1623 bis z u i h r e r A u f l ö s u n g d u r c h den französischen S t a d t m a gistrat 1811 leistete, stellt sich die Frage: Bedeutet diese I n s c h r i f t A n s p r u c h und W i r k l i c h k e i t - oder A n s p r u c h , aber n o c h n i c h t W i r k l i c h k e i t ? Zweifellos h a t das Hamburgische A d m i r a l i t ä t s g e r i c h t als gerichtlicher Spezialspruchkörper m i t ausschließlicher Rechtsprechungskompetenz i n Seehandels- u n d Seeversicherungsstreitigkeiten schon i m 17. J a h r h u n d e r t über die Grenzen H a m b u r g s hinaus A u f m e r k s a m k e i t gefunden: H i n w e i s e auf das Gericht f i n d e n sich bei Johann M a r q u a r d i n dessen „ T r a c t a t u s p o l i t i c o - i u r i d i c u s de iure m e r c a t o r u m et c o m m e r c i o r u m s i n g u l a r i " ( F r a n k f u r t 1662) u n d i n R e i n h o l d K u r i c k e ' s 1667 erschienenem K o m m e n t a r z u m H a n s i schen Seerecht „ I u s m a r i t i m u m Hanseaticum. Access, d i a t r i b a de assecurat i o n i b u s et Resolutiones quaestionum i l l u s t r i u m ad ius m a r i t i m u m p e r t i n e n t i u m " . I n seiner D i s s e r t a t i o n „ d e c o m m e r c i o r u m n a v a l i u m iure s i n g u l a r i " untersucht der W i t t e n b e r g e r D o k t o r a n d H e r m a n n H e l m schon 1652 den Seeprozeß u n d einzelne seerechtliche K l a g e a r t e n a m Beispiel der Praxis mehrerer Seegerichte, d a r u n t e r des H a m b u r g i s c h e n A d m i r a l i t ä t s g e r i c h t s u n d der Rota Genuensis. Franciscus Vasmer p r o m o v i e r t 1674 i n Straßburg m i t einer A r b e i t „ d e a d m i r a l i t a t e " , i n deren K a p i t e l n X X X V I u n d X X X V I I er Z u s t ä n d i g k e i t u n d Verfahren des H a m b u r g i s c h e n A d m i r a l i t ä t s g e r i c h t s behandelt u n d vergleichend auf einzelne Verfahrensmaximen der h o l l ä n d i schen Seegerichte eingeht. 1709 v e r t e i d i g t i n Helmstedt J o h a n n F r i e d r i c h K r ü g e r seine D i s s e r t a t i o n „ d e i u d i c i o a d m i r a l i t a t i s H a m b u r g e n s i s " ; die erhebliche Beachtung, die diese A r b e i t n i c h t zuletzt wegen des A b d r u c k s des A d m i r a l i t ä t s p r o t o k o l l s i n Sachen D o r v i l l c. Reddeling findet - dieser 1656 v o m A d m i r a l i t ä t s g e r i c h t entschiedene F a l l g i l t bis w e i t i n die zweite * D i e Verfasserin d a n k t den Herausgebern der Reihe, Prof. D r . C o i n g u n d Prof. D r . N ö r r , f ü r die f r e u n d l i c h e A u f f o r d e r u n g , zu diesem B a n d beizutragen.

9*

132

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H ä l f t e des 18. Jahrhunderts als l e a d i n g case i m Bodmereirecht - , veranlaßt Krüger's D o k t o r v a t e r Präs. Johann W e r l h o f 1750 zu einer Neuausgabe der D i s s e r t a t i o n u n t e r dem T i t e l „ C o m m e n t a t i o de i u d i c i o a d m i r a l i t a t i s H a m burgensis". Bereits 1707 legt M a r t i n Lucas Scheie i n H e l m s t e d t die Dissert a t i o n „de i n s t r u m e n t o assecurationis v u l g o p o l i z z a " vor, i n deren Rahmen er das Hamburgische A d m i r a l i t ä t s g e r i c h t auch als Fachgericht f ü r Assecuranzprozesse vorstellt. Z w e i H a m b u r g e r A u t o r e n behandeln - neben der Rechtsprechung - das Verfahren des A d m i r a l i t ä t s g e r i c h t s : H e r m a n n L a n genbeck i n seinem K o m m e n t a r „ A n m e r k u n g e n über das Hamburgische S c h i f f - u n d Seerecht" (1727) u n d Johann Klefeker i n B a n d V I I seiner „ S a m m l u n g der H a m b u r g i s c h e n Gesetze u n d Verfassungen", den er 1769 dem Seehandels- u n d Seeversicherungsrecht w i d m e t . Schließlich geht W i l h e l m Benecke 1810 i m „ S y s t e m des Assecuranz- u n d Bodmereiwesens" auf den H a m b u r g i s c h e n A d m i r a l i t ä t s p r o z e ß ein u n d vergleicht i h n m i t dem Verfahren der Seegerichte i n F r a n k r e i c h u n d E n g l a n d 1 . Das Interesse der Zeitgenossen a m H a m b u r g i s c h e n A d m i r a l i t ä t s g e r i c h t ist d a m i t z u erklären, daß dieses G e r i c h t v o r a l l e m v o r I n k r a f t t r e t e n der H a m b u r g i s c h e n Assecuranz- u n d H a v a r e i o r d n u n g 1731 bei zahlreichen Entscheidungen n i c h t auf vorgegebene Problemlösungen des H a m b u r g i schen Gesetzgebers zurückgreifen k o n n t e u n d deshalb Lösungsmodelle ausländischer Seegesetze bzw. ausländischer Gerichte rechtsvergleichend heranzog, u m auf dieser G r u n d l a g e eigene R e c h t s f o r t b i l d u n g zu betreiben. Bereits K r ü g e r hat i n seiner Dissertation i m A b s c h n i t t über die i n - u n d ausländischen Rechtsquellen der H a m b u r g i s c h e n A d m i r a l i t ä t s J u d i k a t u r diesen A s p e k t der r i c h t e r l i c h e n R e c h t s f o r t b i l d u n g angedeutet; er ist k ü r z l i c h an anderer Stelle genauer untersucht w o r d e n 2 . I m folgenden soll - entsprechend der Zielsetzung der A r b e i t s g r u p p e „ T h e Courts a n d the Development of C o m m e r c i a l L a w " - die Frage b e a n t w o r t e t werden, w e l c h e n B e i t r a g das H a m b u r g i s c h e A d m i r a l i t ä t s g e r i c h t zur E n t w i c k l u n g des m a t e r i e l l e n Seerechts seiner Z e i t geleistet h a t u n d ob diesem B e i t r a g eine W i r k u n g „ n o n s i b i sed o r b i " beizumessen ist. Ausgehend v o n der A n n a h m e , daß R e c h t s e n t w i c k l u n g d u r c h Rechtsprechung, Rechtswissenschaft u n d Gesetzgebung gefördert w e r d e n k a n n , bietet es sich an, die u n m i t t e l b a r e n A u s w i r k u n g e n der Rechtsprechung des H a m b u r g i s c h e n Admiralitätsgerichts - auf die Rechtsprechung anderer Seegerichte, -

auf die Seerechtswissenschaft,

1 W . Benecke, System des Assecuranz- u n d Bodmereiwesens, Bände I - V, H a m b u r g 1805 - 1821, hier: Bd. I V , S. 379, 389ff., 400ff. 2 E.-C. Frentz, Das H a m b u r g i s c h e A d m i r a l i t ä t s g e r i c h t (1623 - 1811). Prozeß u n d Rechtsprechung. F r a n k f u r t / M a i n , Bern, N e w Y o r k 1985, S. 119ff., 132 ff., 248.

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- auf die seerechtliche Gesetzgebung zu betrachten u n d an einigen Beispielen zu verdeutlichen.

II.

Schon b a l d n a c h seiner G r ü n d u n g genießt das Hamburgische A d m i r a l i tätsgericht den Ruf einer „ v o r z ü g l i c h e n Rechtserfahrenheit i n See-Sachen" 3 u n d w i r d deshalb u m seerechtliche G u t a c h t e n b z w . „responsa i u r i s " gebeten. Diese responsa i u r i s erscheinen i n z w e i Formen: Einerseits erstattet das Gericht informatorische oder k o n s u l t a t i v e G u t achten 4 an Privatleute, die i n einem S t r e i t f a l l " u m b was de j u r e i n specie m e r c a n t i l i davon zu j u d i c i r e n , u n d daraus v o r ein Außgang der Sache zu E r w a r t e n stünde, (sich) bey h o c h l ö b l i c h e m A d m i r a l i t a e t - u n d zue See- u n d Handels-Sachen o r d e n t l i c h gesetztem Gerichte E r k u n d i g e n , u n d eine belehr u n g deßfalls ... e i n h o l e n " m i t dem Ersuchen, „ ü b e r bey gelegten Casum u n d der daraus i n fine f o r m i r t e r Frage I h r unpartheyisches u n d reiffliches Bedencken z u eröffnen u n d dasselbe sub S i g i l l o j u d i c i i A d m i r a l i t a t i s ... m i t zu t h e i l e n " . Das G e r i c h t bezeichnet i n diesen F ä l l e n sein G u t a c h t e n als „ A d m i r a l i t ä t s - R e s p o n s u m , jedoch ohne jemanden d a r u n t e r z u p r e j u d i c i ren"5. W ä h r e n d das responsum i u r i s hier t r o t z der umfassenden P r ü f u n g des Gerichts, ob „ i n diesem casu i n denen Seerechten u n d Assecurantz O r d n u n gen (etwas) Besonderes statuiret, oder d u r c h K a u f f m a n n s - U s a n c e recipiret i s t " 6 , n i c h t den C h a r a k t e r eines v e r b i n d l i c h e n EntscheidungsVorschlags, sondern den eines Parteigutachtens hat, g i l t Entgegengesetztes f ü r die zweite F o r m der responsa iuris, die das A d m i r a l i t ä t s g e r i c h t anderen g e r i c h t l i c h e n S p r u c h k ö r p e r n i m N o r d - u n d Ostseeraum erteilt u n d die u n m i t t e l b a r die Rechtsprechung dieser Gerichte beeinflussen. E i n M i t g l i e d des A d m i r a l i t ä t s g e r i c h t s schreibt 1743, daß „hiesige A d m i r a l i t a e t ... v o n verschiedenen auswärtigen Gerichten u m ein rechtliches G u t a c h t e n i n dergleichen See- u n d H a n d l u n g s - S a c h e n ... u n d (um) einen S p r u c h Rechtens ersuchet" w i r d 7 . B e i diesen G u t a c h t e n a u f trägen handelt es sich u m die 3 J. Klefeker, S a m m l u n g der H a m b u r g i s c h e n Gesetze u n d Verfassungen, B ä n d e I - X I I , H a m b u r g 1765 - 1773, hier: Bd. I, S. 12. 4 Z u d e r a r t i g e n p r i v a t e n K o n s i l i e n u n d i n f o r m a t o r i s c h e n G u t a c h t e n vgl. H. Gehrke, Rechtsprechungs- u n d K o n s i l i e n s a m m l u n g e n (Deutsches Reich), i n : H a n d b u c h der Q u e l l e n u n d L i t e r a t u r der neueren europäischen Privatrechtsgeschichte, hg. v o n H. Coing, Bd. I I , 2, M ü n c h e n 1976, S. 1343 ff., 1377, 1381 ff. 5 A u s k u n f t s e r s u c h e n des H i e r o n y m u s B ö c k e l l L t . u n d Responsum des A d m i r a l i tätsgerichts v o m 3. 3. 1697, i n : S t a a t s a r c h i v H a m b u r g , Senat Cl. V I I , L i t . Ca, No. 1, Vol. 2 a, N r . 6, 7, 8. 6 Responsum des A d m i r a l i t ä t s g e r i c h t s v o m 3. 3. 1697, i n : S t a a t s a r c h i v H a m b u r g , Senat Cl. V I I , I.e. 7 S t a a t s a r c h i v H a m b u r g , Senat Cl. V I I , L i t . M a , No. 6, Vol. 1 a.

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f ö r m l i c h e „ p i t t e , w e i l l die P a r t h e n selb te acta auff ein Sehgerecht zue transm i t t i r e gebeten, dieselbe collegialiter m i t fleiß zue verlesen, zue erwegen, u n d t i n der Sachen, was den Sehrechten gemeß, zue erkennen, u n d t uns die acta nebst der U r t h e l l versiegelt u n d t w o l l v e r s c h n ü r e t hiewieder zu überfert i g e n " 8 . Das A d m i r a l i t ä t s g e r i c h t verfaßt auf diese B i t t e ein responsum i u r i s m i t abschließender „sententia c u m r a t i o n i b u s d e c i d e n d i " 9 , die das ersuchende Gericht als f ü r sich u n d die Parteien des anhängigen Seeprozesses v e r b i n d l i c h q u a l i f i z i e r t u n d i m T e x t unverändert als eigene E n t s c h e i d u n g m i t dem Zusatz „ a u f eingehohlten Raht der D e p u t i r t e n H e r r e n u n d Bürger der A d m i r a l i t ä t zu H a m b u r g " v e r k ü n d e t 1 0 . Dieses tatsächliche Procedere entspricht genau dem f ö r m l i c h e n Verfahren der Transmissio a c t o r u m oder A k t e n v e r s e n d u n g an bestimmte Juristenfak u l t ä t e n , das sich seit d e m 16. J a h r h u n d e r t bei den erst- u n d z w e i t i n s t a n z lichen Gerichten i n Deutschland durchsetzte u n d einen erheblichen Einfluß der Rechtswissenschaftler auf die gerichtliche Rechtsfindung zur Folge hatte, w e i l die ersuchenden Gerichte die S p r u c h f o r m e l der F a k u l t ä t e n i n der eigenen E n t s c h e i d u n g w ö r t l i c h ü b e r n a h m e n 1 1 . V o n den J u r i s t e n f a k u l t ä t e n u n d Oberhöfen, die i m Wege der A k t e n v e r s e n d u n g i n A n s p r u c h genommen w u r d e n , unterscheidet sich das Hamburgische A d m i r a l i t ä t s g e r i c h t dadurch, daß es seine responsa i u r i s u n e n t g e l t l i c h erteilt u n d das Verfahren der A k t e n v e r s e n d u n g n a c h H a m b u r g n i c h t m i t dem formellen B e g r i f f „ T r a n s missio a c t o r u m " b e l e g t 1 2 . E i n weiterer sehr bemerkenswerter U n t e r s c h i e d ist die Tatsache, daß m i t dem A d m i r a l i t ä t s g e r i c h t ein erstinstanzliches Gericht u m responsa i u r i s i n n e r h a l b einer A k t e n v e r s e n d u n g gebeten w i r d ; demgegenüber gelten als „klassische" Adressaten der A k t e n v e r s e n d u n g abgesehen v o n den einzelnen gutachtenden Rechtsgelehrten 1 3 - die K o l l e gialorgane der Juristenfakultäten, Oberhöfe u n d Schöffenstühle, die i m zeitgenössischen Rechtsverständnis mindestens die zweite Instanz der Rechtsfindung repräsentieren. D i e das A d m i r a l i t ä t s g e r i c h t u m responsa i u r i s ersuchenden Gerichte sind ihrerseits i n der Regel A p p e l l a t i o n s - oder Revisionsgerichte i n Seesachen, die die seerechtlichen Entscheidungen des ö r t l i c h e n erstinstanzlichen F r a c h t - u n d Seegerichts oder „Segelhauses" überprüfen 14.

8 G u t a c h t e n a u f t r a g des Bürgermeisters u n d Rates der S t a d t S t e t t i n v o m 25. 4. 1629 i n Sachen B l u m e c. Holzen, i n : S t a a t s a r c h i v H a m b u r g , Senat Cl. V I I , L i t . Ca, No. 1, Vol. 2 a, N r . 16. 9 So z.B. f ü r die Obergerichte b z w . Senate v o n S t e t t i n , E m d e n , Stargard, S t r a l sund; vgl. S t a a t s a r c h i v H a m b u r g , Senat Cl. V I I , L i t . Ca, No. 2, V o l . l b (Nr. 30, L i t . R, N r . 31, L i t . W u n d X ) ; vgl. ferner Frentz, S. 31 ff. m. w . N . 10 Vgl. die N a c h w e i s e i n Fußnote 9. 11 Vgl. Gehrke, S. 1378f. 12 Frentz, S. 33 m . w . N . 13 Vgl. h i e r z u Gehrke, S. 1377, 1379.

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D i e A k t e n v e r s e n d u n g i n Seesachen an das Hamburgische A d m i r a l i t ä t s g e r i c h t h a t i n der Praxis offenbar derartige Ausmaße angenommen, daß D a v i d Mevius i n einem c o n s i l i u m 1 5 die Z u s t ä n d i g k e i t des A d m i r a l i t ä t s g e r i c h t s f ü r die E r t e i l u n g v o n Rechtsgutachten p r ü f t e u n d ablehnte: „ C o l l e g i u m A d m i r a l i t a t i s Hamburgensis f a c u l t a t e m et a u t o r i t a t e m de iure respondendi n o n h a b e t " . Mevius h ä l t die G u t a c h t e n des A d m i r a l i t ä t s g e r i c h t s f ü r u n v e r b i n d l i c h u n d schreibt demgegenüber der U n i v e r s i t ä t Rostock eine generelle Z u s t ä n d i g k e i t f ü r seerechtliche Rechtsauskünfte z u 1 6 . I n der T a t w a r Rostock neben F r a n k f u r t / O d e r die Juristenfakultät, die schon aufgrund ihrer geographischen Nähe z u r Schiffahrtspraxis besonders h ä u f i g - auch v o m H a m b u r g i s c h e n Obergericht i n Revisionsverfahren gegen Entscheidungen des A d m i r a l i t ä t s g e r i c h t s 1 7 - u m seerechtliche responsa i u r i s i m A k t e n v e r sendungsverfahren sowie u m F a k u l t ä t s k o n s i l i e n f ü r P r i v a t l e u t e gebeten w u r d e . Daneben w e r d e n die b i n n e n l ä n d i s c h e n J u r i s t e n f a k u l t ä t e n H e l m stedt u n d H a l l e d u r c h Transmissiones a c t o r u m i n Seesachen öfter i n A n s p r u c h genommen, w e i l sich die d o r t lehrenden Präsiden Johann W e r l h o f u n d Justus H e n n i n g B ö h m e r der Seerechtsforschung besonders v e r p f l i c h t e t fühlten 18. Mevius e r k l ä r t seine negative Stellungnahme h i n s i c h t l i c h des H a m b u r g i schen A d m i r a l i t ä t s g e r i c h t s d a m i t , daß dessen G u t a c h t e n n u r auf einem einseitigen P a r t e i v o r t r a g „ n o n i n f o r m a t i plene de casu controverso" beruhen. Diese B e g r ü n d u n g ist allenfalls f ü r die E r s t a t t u n g v o n Parteigutachten schlüssig, denen das A d m i r a l i t ä t s g e r i c h t selbst - w i e e r w ä h n t - keine A l l g e m e i n v e r b i n d l i c h k e i t beimißt. D i e Frage der Zulässigkeit der förmlichen, gegebenenfalls prozeßordnungsmäßig s a n k t i o n i e r t e n A k t e n v e r s e n d u n g an das A d m i r a l i t ä t s g e r i c h t h a t Mevius, o b w o h l er sie i m Obersatz seines Consil i u m s sinngemäß i n Bezug n i m m t , n i c h t geklärt. E i n anderes Problem, das die Parteien der Seeprozesse i m 17. u n d 18. J a h r h u n d e r t teilweise so hoch einstuften, daß sie s c h r i f t s ä t z l i c h entweder eine bestimmte J u r i s t e n f a k u l t ä t ablehnten oder g r u n d s ä t z l i c h gegen die Transmissio a c t o r u m an U n i v e r s i t ä t e n p l ä d i e r t e n 1 9 , ist die G e w ä h r l e i s t u n g 14 So die Obergerichte b z w . Senate der Städte S t e t t i n , E m d e n , S t a r g a r d , S t r a l s u n d , i n : S t a a t s a r c h i v H a m b u r g , Senat Cl. V I I , L i t . Ca, No. 2, Vol. l b (Nr. 30, L i t . R, N r . 31, Lit. W u n d X). 15 D . Mevius, Consilia p o s t h u m a . . . i n q u i b u s quaestiones i n t r i c a t i s s i m a e a t q u e u t i l i s s i m a e ex i u r e p u b l i c o ac p r i v a t o , f e u d a l i ac canonico d i s c u t i u n t u r e t . . . d e c i d u n t u r , F r a n k f u r t / S t r a l s u n d 1680, c o n s i l i u m X V , η . 59. 16 Mevius, η . 58. 17 Vgl. h i e r z u Frentz, S. 112 ff. 18 Dies e r g i b t sich aus d e n Beispielen der A k t e n v e r s e n d u n g a n das A d m i r a l i t ä t s g e r i c h t b e i K e l l i n g h u s e n , de d i s c r i m i n e tempestatis m a r i n a e , v o n Seeschaden, H a l l e 1709, p. 39 - 41, 55, 56. 19 Beispiel: I n s t r u m e n t u m g r a v a m i n u m v o m 5. 5. 1688 i n d e m 1683 v o r dem A d m i r a l i t ä t s g e r i c h t u n d 1688 v o r d e m H a m b u r g i s c h e n Obergericht v e r h a n d e l t e n V e r f a h r e n T h o m s e n c. Porten, S t a a t s a r c h i v H a m b u r g , R e i c h s k a m m e r g e r i c h t , Τ 27.

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der seerechtlichen F a c h k u n d e b e i der A u s a r b e i t u n g der Rechtsgutachten. Das A d m i r a l i t ä t s g e r i c h t löst dieses P r o b l e m bei seinen Responsen an ausw ä r t i g e Gerichte, i n d e m der U r t e i l s e n t w u r f v o n einem rechtsgelehrten Ratsherrn des Gerichts n a c h B e r a t u n g der Sache m i t v i e r w e i t e r e n Gerichtsm i t g l i e d e r n (einem Ratsherrn, z w e i k a u f m ä n n i s c h e n A d m i r a l i t ä t s b ü r g e r n , einem Schiffer) abgefaßt w i r d 2 0 ; f ü r Einzelfälle geht aus den A k t e n des Gerichts hervor, daß der Referent seinen E n t s c h e i d u n g s e n t w u r f m i t dem sonst an der Rechtsfindung des A d m i r a l i t ä t s g e r i c h t s n i c h t beteiligten A d m i r a l i t ä t s s e k r e t ä r bespricht, w e n n der Sekretär über die allgemeine Q u a l i f i k a t i o n als L i z e n t i a t beider Rechte hinaus als besonderer K e n n e r des Seerechts g i l t . A u f diese Weise w e r d e n z.B. Julius H e n r i c h Schaffshausen I . U . L . ( A d m i r a l i t ä t s s e k r e t ä r 1693 - 1698) u n d H e r m a n n Langenbeck I . U . D . , der Verfasser des Seerechtskommentars ( A d m i r a l i t ä t s s e k r e t ä r 1703 - 1708), an den Rechtsauskünften b e t e i l i g t 2 1 . Bereits aus dieser Verfahrenshandhabung ist erkennbar, daß sich das A d m i r a l i t ä t s g e r i c h t der V e r a n t w o r t u n g f ü r die R i c h t i g k e i t seiner U r t e i l s e n t w ü r f e wegen der u n m i t t e l b a r e n W i r k u n g auf die Rechtsprechung fremder Gerichte sehr bewußt ist. i n formeller H i n s i c h t w i r d das Gericht dieser V e r a n t w o r t u n g gerecht d u r c h das Z u s a m m e n w i r k e n v o n (See-)Rechtsgelehrten, K e n n e r n der i n t e r n a t i o n a l e n k a u f m ä n n i s c h e n Usancen u n d erfahrenen K a p i t ä n e n 2 2 bei der Gutachtenerstattung. I n m a t e r i e l l r e c h t l i c h e r H i n s i c h t f ä l l t auf, daß das G e r i c h t m i t Rücksicht auf fremde seerechtliche B e s t i m m u n g e n i m ö r t l i c h e n Zuständigkeitsbereich der ersuchenden ausw ä r t i g e n Gerichte sein responsum i u r i s einerseits auf dieses fremde Seerecht, andererseits auf Hamburgisches Seerecht stützt u n d vergleichend die i n t e r n a t i o n a l e n Seerechte u n d Usancen b z w . Assecuranzordnungen heranzieht; i m G u t a c h t e n spiegelt sich dieser rechtsvergleichende Ansatz i n der F o r m u l i e r u n g , der Entscheidungsvorschlag sei „ d e n See-rechten u n d allgemeinen See-gebreuchen gemeß" oder er beruhe auf „ ü b l i c h e n Seerechten" 2 3 . D i e Rechtsfragen, die i m Rahmen der A k t e n v e r s e n d u n g an das A d m i r a l i tätsgericht gerichtet werden, stammen bemerkenswerterweise n u r z u m k l e i neren T e i l aus dem Seeversicherungsrecht, f ü r das es bis z u m Erlaß der H a m b u r g i s c h e n Assecuranz- u n d H a v a r e i o r d n u n g 1731 i m N o r d - u n d Ostseeraum sowie i n S k a n d i n a v i e n n o c h keine - i n Preußen i m Preußischen 20

Vgl. die N a c h w e i s e i n Fußnote 14. Responsum i u r i s v o m 28. 2. 1695 an R a t u n d B ü r g e r m e i s t e r v o n S t e t t i n , respons u m i u r i s v o m 4. 6. 1705 a n R a t u n d B ü r g e r m e i s t e r v o n E m d e n , S t a a t s a r c h i v H a m b u r g , Senat Cl. V I I , L i t . Ca, No. 2, Vol. l b (Nr. 30, L i t . R). 22 Z u m F a c h k u n d e p r i n z i p b e i der B e r u f u n g der M i t g l i e d e r des A d m i r a l i t ä t s g e r i c h t s vgl. Frentz, S. 46ff., 249. 23 B l u m e c. H o l z e n , U r t e i l s e n t w u r f des A d m i r a l i t ä t s g e r i c h t s v o m 25. 7. 1629, S t a a t s a r c h i v H a m b u r g , Senat Cl. V I I , L i t . Ca, N o . 1, Vol. 2a, N r . 18; vgl. a u c h H u p p i n g c. H ü b n e r , U r t e i l des A d m i r a l i t ä t s g e r i c h t s v o m 20. 6. 1689, S t a a t s a r c h i v H a m b u r g , R e i c h s k a m m e r g e r i c h t , H 181, P r o t o c o l l u m A d m i r a l i t a t i s 20. 6. 1689. 21

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Seerecht 1727 Cap. V I n i c h t sehr umfassende - gesetzliche Regelungen gab. I m Seeversicherungsrecht hätte t a t s ä c h l i c h ein besonderes Bedürfnis f ü r eine Rechtsvereinheitlichung d u r c h Richterrecht bestehen müssen. D i e M e h r z a h l der Gutachtenaufträge entspringt seehandelsrechtlichen Problemen, die entweder sehr u m s t r i t t e n oder i m zeitgenössischen Gesetzesrecht noch n i c h t legislatorisch gelöst waren. Diese Beobachtung läßt sich an dem responsum i u r i s demonstrieren, das das A d m i r a l i t ä t s g e r i c h t 1629 dem Senat der S t a d t S t e t t i n als Revisionsinstanz i n Sachen B l u m e c. H o l z e n ü b e r m i t telt24. Kernfrage des Rechtsstreits ist, ob die K o s t e n (Gerichts- u n d A d v o c a t u r kosten) eines f ü r Schiff und L a d u n g erfolgreichen Reclameprozesses i m A u s l a n d u n d die w ä h r e n d der Reclame f ü r die Schiffsbesatzung aufgewandten Verpflegungskosten i n A v a r i e grosse oder i n A v a r i e p a r t i c u l i è r e zu rechnen sind. D i e A b g r e n z u n g zwischen F ä l l e n der A v a r i e grosse, i n denen die eingetretenen Schäden i m Wege der K o n t r i b u t i o n über Schiff, G u t u n d F r a c h t v e r t e i l t werden, u n d F ä l l e n der A v a r i e particulière, i n denen die Schäden v o n den betroffenen E i g e n t ü m e r n - Reedern oder Befrachtern außerhalb der Gefahrengemeinschaft a l l e i n zu tragen sind, treffen die älteren Seerechte kasuistisch u n d ohne dogmatisch durchgeformte Systematik. I m 17. J a h r h u n d e r t g i l t dies n o c h f ü r das H a m b u r g i s c h e Seerecht 1603/05 u n d f ü r das Hansische Seerecht 1614, die w i e die älteren Seegesetze n i c h t die Terminologie der „ h a v a r i a grossa" oder „ a v a r i a g r a n d i s " i m V e r h ä l t n i s zur p a r t i k u l ä r e n H a v a r e i verwenden, sondern entweder auf die Rechtsfolge der K o n t r i b u t i o n „ ü b e r Schiff u n d G u t gehen" oder generell auf das „ f ü r Haverey rechnen" v e r w e i s e n 2 5 . U n t e r dem E i n f l u ß der Rechtswissenschaft 2 6 f o r m u l i e r t das französische Seerecht i n Ordonnance de l a m a r i n e 1681 l i v . I I I , t i t . V I I , §§ 1, 2 abstrakte u n d gesonderte D e f i n i t i o n e n der A v a r i e grosse u n d der A v a r i e p a r t i c u l i è r e 2 7 , verzichtet aber n i c h t auf die gesetzliche Regelung der einzelnen A v a r i e - K o n s t e l l a t i o n e n i n Ordonnance de la m a r i n e 1681 l i v . I I I , t i t . V I I , § § 3 - 8 . I m deutschen S p r a c h r a u m folgen dieser S t r u k t u r der Ordonnance de l a m a r i n e 1681 das Preußische Seerecht 1727 (Cap. V I I I : V o n der Haverey) u n d die H a m b u r g i s c h e Assecuranz- u n d H a v a r e i ordnung 1731 (Tit. X X I : Von Havereyen u n d deren Dispachirung). Die p r ä gnanteste u n d gleichzeitig f ü r die deutsche Seerechtswissenschaft des 18. 24 S t a a t s a r c h i v H a m b u r g , Senat Cl. V I I , L i t . Ca, No. 1, Vol. 2 a, N r . 18; z u d e n w e i teren Rechtsfragen dieses Falles vgl. Frentz, S. 209 ff. 25 Generell z u r B e w e r t u n g der Hanseatischen Seerechte des 16. u n d 17. J a h r h u n derts als „ R e c h t einer Ü b e r g a n g s z e i t " G. Landwehr, D i e Hanseatischen Seerechte des 16. u n d 17. J a h r h u n d e r t s , i n : 1667 ars sjölag i ett 300 - a r i g t p e r s p e k t i v , hg. v o n Κ j e l l A. Modeér, L u n d 1984, S. 68ff., 119. 26 Weitere Nachweise b e i R.-J. V a l i n , C o m m e n t a i r e sur l ' O r d o n n a n c e de l a m a r i n e 1681, avec des notes p a r V. Becane, Poitiers 1829, p. 577, 578; B . - M . E m é r i g o n , t r a i t é des assurances et des contrats à l a grosse, vol. I et I I , M a r s e i l l e 1783, h i e r : v. I, ch. 12, sect. 41, §§ 1, 2. 27 A u c h der sog. „ k l e i n e n H a v a r i e " , die h i e r außer acht b l e i b e n soll.

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Jahrhunderts v o r b i l d h a f t e D e f i n i t i o n der A v a r i e grosse findet sich - nach vorangegangenen Abstraktionsansätzen i n Helm's D i s s e r t a t i o n v o n 1652 2 8 i n der D i s s e r t a t i o n „ d e h a v a r i a " , die P a u l Gerckens 1721 i n G r o n i n g e n vert e i d i g t : " H a v a r i a e x t r a o r d i n a r i a sive grossa est communis c o n t r i b u t i o navis et m e r c i u m n a v i i m p o s i t a r u m ad d a m n u m commune sublevandum, q u o d praecedente v o l u n t a t e m a g i s t r i navis eiusque o f f i c i a l i u m i m m i n e n t e p e r i culo f a c t u m est. H u i u s r e q u i s i t a d a n t u r t r i a : (1) u t i m m i n e a t p e r i c u l u m , vel saltem j u x t a régulas p r u d e n t i a e m e t u a t u r . (2) u t l i b e r a t o animo, et ex i n t e n tione r e s i d u u m conservandi, v o l u n t a r i a subeatur amissio. (3) u t navis ad l o c u m d e s t i n a t u m salva pervenerit, q u o r u m si u n u m deficiat, n o n erit havaria, sed res amissa p é r i t suo d o m i n o " . Diese drei a b s t r a k t e n essentialia der A v a r i e grosse w e r d e n aufgegriffen u n t e r anderem i n der Straßburger D i s sertation v o n Lucas Andreas v. Bostell „ d e c o n t r i b u t i o n e p r o p t e r i a c t u m m a r i n u m , v u l g o h a v a r i a " (1735), i n Langenbeck's Seerechtskommentar 1727 2 9 , i n Klefeker's Seerechtskompendium 1769 3 0 , i m 19. J a h r h u n d e r t v o n W i l h e l m Benecke 3 1 u n d i n den 1851 i n B e r l i n erschienenen „Grundsätzen des p r a k t i s c h e n Europäischen Seerechts" v o n C a r l v. K a l t e n b o r n 3 2 . Sie prägen i m geltenden deutschen Seerecht n o c h die L e g a l d e f i n i t i o n der großen Haver e i i n H G B § 700 Abs. 1, 1. Halbsatz. D i e skizzierte b e g r i f f l i c h schärfere A b g r e n z u n g zwischen A v a r i e grosse u n d A v a r i e p a r t i c u l i è r e ist dem H a m b u r g i s c h e n A d m i r a l i t ä t s g e r i c h t bei der E r t e i l u n g seiner Rechtsauskunft 1629 n i c h t b e k a n n t ; sein Entscheidungstenor, die Kosten des Reclameprozesses (und die w ä h r e n d des Prozesses angefallenen Verpflegungskosten f ü r die Besatzung) als A v a r i e grosse zu q u a l i f i zieren, zeigt aber, daß es die genannten d r e i A b g r e n z u n g s k r i t e r i e n schon damals als Rechtsgedanken f ü r eine tragfähige A n a l o g i e z u einem seit l a n gem a n e r k a n n t e n F a l l der A v a r i e grosse b e r ü c k s i c h t i g t : Bereits die L e x Rhodia de i a c t u u n d Consolato del mare, cap. 227, bestimmen, daß die Kosten eines Vergleichs oder Lösegeldvertrages m i t einem K a p e r als A v a r i e grosse zu behandeln sind. Entsprechendes sehen G u i d o n de la mer, ch. 6, art. 1, i n H a m b u r g d a n n das ältere Seerecht 1497 (Ρ 50) u n d das Seerecht 1603/05 i n Part. I I , T i t . 19, A r t . 1, Satz 1, vor. I n der letztgenannten N o r m heißt es: „ W ü r d e m i t etlichen See=Räubern Composition, oder ein V e r t r a g gemachet u n d m i t genandtem übergegebenen Gute das Schiff u n d andere G ü t e r v o n den See=Räubern entfreyet, den Schaden soll m a n t h e i l e n zu bezahlen v o m Schiff u n d Gute w i e oben v o n geworffenen G ü t e r n gemeldet". 28

H . H e l m , de c o m m e r c i o r u m n a v a l i u m i u r e s i n g u l a r i , W i t t e n b e r g 1652, These 9,

§ 14. 29 H . L a n g e n b e c k , A n m e r k u n g e n über das H a m b u r g i s c h e S c h i f f - u n d Seerecht, H a m b u r g 1727, p. 163. 30 Klefeker, Bd. V I I , p. 176, 177. 31 Benecke, Bd. I V , S. 7 ff. 32 B a n d I I , S. 76f.

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D e r Hansische Seerechtskreis w e i s t z w a r weder i n den Rôles d'Oléron u n d i m Wisbyschen Seerecht n o c h - f ü r S t e t t i n maßgeblich - i m Seerecht der Hansestadt L ü b e c k 1586 u n d i m Hansischen Seerecht 1614 eine dem r o m a nischen Seerechtskreis adäquate V o r s c h r i f t auf; K u r i c k e 3 3 legt aber z u m i n dest Hansisches Seerecht 1614, T i t . V I I I , A r t . 4, i m L i c h t e der eindeutigen Avarie-grosse-Regelung des H a m b u r g i s c h e n Seerechts 1603/05, 11,19,1, Satz 1, aus. Z u dieser H a m b u r g i s c h e n N o r m zieht das A d m i r a l i t ä t s g e r i c h t i n B l u m e c. H o l z e n eine Analogie, i n d e m es i n V o r w e g n a h m e des Satzes v o n L o c c e n i u s 3 4 „ c o m m u n e est p e r i c u l u m et communis u t i l i t a s " d a v o n ausgeht, daß ein erfolgreicher Reclameprozeß v o r dem Prisengericht Schiff u n d L a d u n g ebenso begünstigt w i e die erfolgreiche Ranzion der aufgebrachten Schiffe u n d G ü t e r d u r c h den Vergleich m i t einem Kaper. I n s o w e i t erscheint dem G e r i c h t eine E r w e i t e r u n g des Katalogs der klassischen Fälle der A v a r i e grosse gerechtfertigt, u n d z w a r auch h i n s i c h t l i c h der w ä h r e n d des Reclameverfahrens zusätzlich erforderlichen Verpflegungsaufwendungen f ü r die Besatzung. Deren E i n b e z i e h u n g i n A v a r i e grosse entspricht dem P r i n z i p , daß u n m i t t e l b a r e Folgeschäden u n d - k o s t e n eines Avarie-grosse-Falles ebenfalls v o n der Gefahrengemeinschaft zwischen Reedern, Schiffer u n d Befrachtern zu tragen sind. Dieses P r i n z i p realisiert das H a m b u r g i s c h e Seerecht 1603/05 i n Part. I I , T i t . 16, A r t . 4 u n t e r dem zeitlichen A s p e k t (Vern i c h t u n g „ e t l i c h e r G ü t e r über der W e r f f u n g " ) u n d i n Part. I I , T i t . 16, A r t . 10 bzw. i n Part. I I , T i t . 14, A r t . 42 u n t e r dem f u n k t i o n a l e n A s p e k t (Kosten i m N o t h a f e n u n d Heilungskosten n a c h K ä m p f e n m i t Seeräubern). D i e v o m A d m i r a l i t ä t s g e r i c h t i n B l u m e c. H o l z e n h i n s i c h t l i c h der Reclamekosten geleistete R e c h t s f o r t b i l d u n g ist b e a c h t l i c h - n i c h t n u r , w e i l das Gericht i n den zeitgenössischen Seegesetzen u n d i n der i h m zugänglichen zeitgenössischen Seerechtsliteratur keine v o r b i l d h a f t e Havareiregelung f ü r Vermögenseinbußen aus Reclameaufwendungen v o r f i n d e t , sondern auch, w e i l das responsum i u r i s w e i t e r geht als die r a t i o legis der bis d a h i n anerk a n n t e n Fälle der A v a r i e grosse, i n denen zwischen der absichtlichen Schäd i g u n g bzw. A u f w e n d u n g u n d der tatsächlichen R e t t u n g v o n Schiff u n d L a d u n g ein u n m i t t e l b a r e r Kausalzusammenhang besteht, der allenfalls d u r c h vis maior, aber n i c h t d u r c h gezielte o b r i g k e i t l i c h e E i n w i r k u n g u n t e r brochen w e r d e n k a n n ; i m F a l l der A u f w e n d u n g e n f ü r den Reclameprozeß w i r d die „ S a l v i r u n g " hingegen d u r c h eine prisengerichtliche E n t s c h e i d u n g b e s t i m m t u n d bedingt. W i e u m s t r i t t e n die Rechtsfrage i n B l u m e c. H o l z e n i n der Folgezeit b l e i b t , zeigt ihre weitere B e h a n d l u n g i n Rechtswissenschaft u n d Gesetzgebung: D i e Analogielösung des A d m i r a l i t ä t s g e r i c h t s beherrscht d e u t l i c h A r t . 29 des 33

R. K u r i c k e , l u s m a r i t i m u m H a n s e a t i c u m , a d T i t . V I I I , A i t . I V . J. Loccenius, de i u r e m a r i t i m o et n a v a l i l i b r i I I I , A m s t e r d a m 1651, hier: l i b . 2, cap. 8, η . 5. 34

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E n t w u r f s f ü r eine H a m b u r g i s c h e Assecuranz- u n d H a v a r e i o r d n u n g , den H e r m a n n Langenbeck 1721/22 f o r m u l i e r t 3 5 : „ Z u r H a v a r i a grossa gehören die e x t r a o r d i n a i r e n Unkosten u n d der schade der gethan oder g e l i t t e n w i r d , z u m gemeinen besten des Schiffes u n d der L a d u n g ... i t e m r a n z i o n i r u n g des Schiffes u n d der L a d u n g , sambt allen Unkosten dieserwegen angewandt, Processen oder dergleichen frey machung en, alles dieses gehet über dem Schiff, deßen Ladung, u n d der F r a c h t " . Konsequent u n d präzise ist Langenbeck's D i f f e r e n z i e r u n g i n seinem K o m m e n t a r 3 6 : „Dieser (Reclame-)Process ist entweder general, u m die Freyheit des Schiffs u n d der L a d u n g zu erhalten, u n d i n diesem F a l l gehören die Reclame-Kosten - so w i e die A d v o c a t u r u n d Pro cur a t u r - G e b ü h r e n i n reclame F ä l l e n - i n A v a r i e Gross, oder Special, w a n entweder das Schiff, oder auch die L a d u n g allein, oder ein T h e i l der Güter, w i e es die U m s t ä n d e geben können, reclamiret werden, u n d d a n n machet sie p a r t i c u l i e r A v a r i e zu Lasten des Reclamanten". A u f derselben L i n i e w i e Langenbeck argumentieren Benecke 3 7 u n d v. K a l t e n b o r n 3 8 , i n F r a n k r e i c h E m é r i g o n 3 9 u n d Pardessus 4 0 . Andererseits setzt sich die schrankenlose E i n b e z i e h u n g der Reclameprozeßaufwendungen u n d deren Folgekosten i n A v a r i e grosse - w i e ein beispielhafter B l i c k auf Ordonnance de la m a r i n e 1681, 111,7,6/7, auf die Hamburgische Assecuranz- u n d H a v a r e i o r d n u n g 1731, T i t . X X I , A r t . 9, Z i f f e r 4, u n d auf das Preußische Seerecht 1727, Cap. V I I I , A r t . 26, zeigt - i n der Gesetzgebung n i c h t d u r c h 4 1 . I m angloamerikanischen Bereich tendieren Gerichtspraxis u n d Rechtswissenschaft dazu, die Reclameprozeßkosten n i c h t i n A v a r i e grosse z u rechnen, sondern i m Wege der A v a r i e p a r t i c u l i è r e der L a d u n g bzw. den Befrachtern a l l e i n zur L a s t z u b r i n g e n 4 2 . D a h i n t e r steht der Gedanke, daß m i t der v o m A d m i r a l i tätsgericht u n d v o n den genannten deutschen u n d französischen K o m m e n tatoren befürworteten A u s d e h n u n g des Avarie-grosse-Begriffs ein ursprüngliches essentiale der A v a r i e grosse, n ä m l i c h die u n m i t t e l b a r drohende Gefahr f ü r Schiff u n d L a d u n g , vernachlässigt w i r d . K e n t 4 3 betont: " T h e j e t t i s o n m u s t be made for sofficient cause, a n d n o t f r o m groundless t i m i d i t y . A j e t t i s o n is o n l y p e r m i t t e d i n cases of extreme necessity". D e r 35

S t a a t s a r c h i v H a m b u r g , Senat Cl. V I I , L i t . L b , No. 2, Vol. 3. L a n g e n b e c k , p. 305, 198. 37 Benecke, Bd. I V , S. 89. 38 v. K a l t e n b o r n , Bd. I I , S. 117 f. 39 E m é r i g o n , v. I, ch. 12, sect. 41, § 9. 40 J. M . Pardessus, Cours de d r o i t commercial, édit. I I I . Paris 1825, tome I I I . , n. 741. 41 Z u r z u r ü c k h a l t e n d e n B e w e r t u n g der g e n a n n t e n Rechtsfrage i n F r a n k r e i c h vgl. V a l i n , p. 587 - 589. 42 R. Stevens, Versuch ü b e r H a v a r i e n u n d Assecuranz-Gegenstände, e n t h a l t e n d eine D a r s t e l l u n g des neueren E n g l i s c h e n Rechts u n d der P r a x i s i n Assecuranz- u n d H a v a r i e - S a c h e n (deutsch v o n F. C. Schumacher), H a m b u r g 1829, p. 23 m . w . N . ; v. K a l t e n b o r n , I.e., B d . I I , S. 117, Fn. 67 m . w . N . 43 K e n t , Commentaries o n a m e r i c a n l a w , 2. Auflage, N e w y o r k 1832, p a r t . V, lect. 47, p. 233. 36

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A n n a h m e eines i n diesem strengen havarierechtlichen Sinne u n m i t t e l b a r drohenden Schadens steht i n der T a t entgegen, daß sich die Verlustgefahr i n A u f b r i n g u n g s f ä l l e n f ü r Reeder, Schiffer u n d Befrachter erst i n der Condemn a t i o n , d. h. i n der E n t s c h e i d u n g des ausländischen Prisengerichts a k t u a l i siert, m i t der Schiff u n d L a d u n g zu einer „ u n s t r e i t i g e n Prise" (so die H a m burgische Assecuranz- u n d H a v a r e i o r d n u n g 1731, T i t . X V I , A r t . 1) e r k l ä r t werden. Weiter w i r d i n E n g l a n d befürchtet, daß die Reclameaufwendungen u n t e r B e r ü c k s i c h t i g u n g des tatsächlichen Wertverhältnisses zwischen älteren, abgenutzten Schiffen u n d h o c h w e r t i g e n L a d u n g s g ü t e r n i m Ergebnis n u r der L a d u n g zu gute k ä m e n 4 4 . Diese K r i t i k h a t m a n i n D e u t s c h l a n d bei der K o d i f i k a t i o n des Handelsgesetzbuches beachtet. H G B § 707 Z i f f e r 2 b e s t i m m t : „ N i c h t als große H a v e rei, sondern als besondere Haverei w e r d e n angesehen ... die Reklamekosten, auch wenn Schiff u n d L a d u n g zusammen u n d beide m i t E r f o l g r e k l a m i e r t w e r d e n " . D i e Gesetzesformulierung läßt vermuten, daß die A b g r e n z u n g der Reclamekosten zur A v a r i e grosse/großen Haverei bis zur S c h l u ß r e d a k t i o n umstritten war. Festzuhalten b l e i b t a m Beispiel des Verfahrens B l u m e c. Holzen, daß das A d m i r a l i t ä t s g e r i c h t i n seinen v e r b i n d l i c h e n Rechtsgutachten f ü r auswärtige Gerichte einen B e i t r a g zur Ü b e r b r ü c k u n g v o n seerechtlichen Gesetzesl ü c k e n d u r c h Rechtsfortbildung, d a m i t einen B e i t r a g zur Rechtssicherheit u n d weitergehend z u einer ansatzweisen Rechtsvereinheitlichung geleistet hat. D e r letztgenannte Gesichtspunkt p r ä g t insgesamt die Rechtsprechung des Gerichts, denn das Gericht w i l l neben dem H a m b u r g i s c h e n Seerecht stets auch die i n t e r n a t i o n a l e n „Seerechte, i n so w e i t selbe dem S t a d t - B u c h e n i c h t entgegen", i n seiner J u d i k a t u r zur G e l t u n g b r i n g e n 4 5 .

III. Tiefgreifend u n d m i t D a u e r w i r k u n g beeinflußt die Rechtsprechung des H a m b u r g i s c h e n A d m i r a l i t ä t s g e r i c h t s die seerechtliche L i t e r a t u r u n d Rechtswissenschaft v o m 17. bis ins 19. Jahrhundert. E i n e besonders enge B e z i e h u n g z w i s c h e n der R e c h t s p r e c h u n g des Gerichts u n d der Rechtswissenschaft d o k u m e n t i e r t sich i n den Personen, die Richter des A d m i r a l i t ä t s g e r i c h t s u n d gleichzeitig führende Seerechtswissenschaftler i h r e r Z e i t sind. Insofern k a n n m a n auch b e i m H a m b u r g i s c h e n A d m i r a l i t ä t s g e r i c h t v o n einer k o n s t a n t e n „osmosis" zwischen Gerichtspraxis u n d Rechtswissenschaft sprechen, die P i e r g i o v a n n i bei den italienischen 44

Stevens, p. 23; vgl. auch Frentz, S. 211f. Vgl. h i e r z u Frentz, S. 119 f. u n t e r H i n w e i s auf die G e r i c h t s o r d n u n g des A d m i r a litätsgerichts. 45

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Handelsrechtlern Scaccia, Casaregis, A n s a l d o de Ansaldis u n d Rocco als Resultat i h r e r wissenschaftlichen u n d r i c h t e r l i c h e n T ä t i g k e i t an den Rotae v o n Genua, Florenz, R o m u n d Neapel diagnostiziert h a t 4 6 . E i n prägnantes Beispiel f ü r eine derartige W e c h s e l w i r k u n g zwischen R i c h t e r a m t b e i m A d m i r a l i t ä t s g e r i c h t u n d Seerechtsforschung ist die A r b e i t v o n H e r m a n n Langenbeck I . U . D . , der v o n 1703 bis 1708 u n d w i e d e r v o n 1721 bis 1727 M i t g l i e d des A d m i r a l i t ä t s g e r i c h t s w a r u n d gleichzeitig Verfasser des 1721/22 vorgelegten E n t w u r f s f ü r eine H a m b u r g i s c h e Assecur a n z - u n d H a v a r e i o r d n u n g sowie des 1727 i n erster u n d 1740 p o s t h u m i n zweiter Ausgabe erschienenen Seerechtskommentars „ A n m e r k u n g e n über das H a m b u r g i s c h e Schiff- u n d Seerecht". Langenbeck's K o m m e n t a r ist ein B u c h für die Praxis - dies beweist die ü b e r w i e g e n d lemmatische K o m m e n t i e r u n g des H a m b u r g i s c h e n Seehandelsrechts i m Seerecht 1603/05, T i t . 13 19 - , gleichzeitig aber ein B u c h m i t einem weitergehenden A n s p r u c h , der v o r a l l e m i n den acht Supplementa z u m A u s d r u c k k o m m t : Langenbeck w i l l darstellen, „ w a s n a c h m e i n e m B e g r i f f aus denen gemeinen See-Rechten, der hiesigen P r a x i u n d aus eigener v i e l j ä h r i g e n E r f a h r u n g observiret, u n d A n m e r c k u n g s = w ü r d i g geurtheilet h a b e " 4 7 . U n t e r den „gemeinen See-Rechten" versteht Langenbeck die Gesamtheit des europäischen Seerechts seiner Zeit, das er i n Gestalt des Consolato del mare, der niederländischen Seerechte u n d der Assecuranzordnungen v o n A m s t e r d a m , A n t w e r p e n , R o t t e r d a m u n d M i d d e l b u r g , dfer Ordonnance de la m a r i n e 1681, der Schwedischen u n d der Dänischen Seerechte sowie der Hanseatischen Seerechte 4 8 verarbeitet. D a m i t korrespondiert die Auseinandersetzung Langenbecks m i t den zeitgenössischen Seerechtswissenschaftlern, z.B. m i t Verver, Weytsen, Straccha, v o n A i t s m a , Loccenius, K u r i c k e , Surland, M . L . Scheie, Grotius, G a i l u n d Pufendorf. V o n einer k l a r definierten seerechtlichen Einheitsidee als G r u n d l a g e der K o m m e n t i e r u n g s m e t h o d e i m Sinne Scherners 4 9 w i r d m a n g l e i c h w o h l b e i Langenbeck n o c h n i c h t sprechen können, aber eine v o r a l l e m i m seeversicherungsrechtlichen T e i l des K o m m e n t a r s w e i t g e h e n d systematische Rechtsvergleichung ist d e u t l i c h erkennbar. D i e „hiesige P r a x i s " umfaßt das kaufmännische Gewohnheitsrecht u n d die Observanz, die als Rechtsquellen i n der Rechtsprechung des A d m i r a l i 46 V. Piergiovanni, B e r i c h t i m J a n u a r 1983 an die A r b e i t s g r u p p e „ T h e Courts a n d the D e v e l o p m e n t of C o m m e r c i a l L a w " , B e r i c h t s a b d r u c k , S. 3. 47 Langenbeck, Anmerkungen . . . , p . 3 7 0 , § 7 . 48 G e m e i n t s i n d h i e r das H a m b u r g i s c h e Seerecht v o n 1497 u n d v o n 1603/05, das Seerecht i m L ü b e c k e r S t a d t r e c h t 1586, B u c h V I , das Wisbysche Seerecht, die Rôles d O l é r o n , das Hansische Seerecht v o n 1591 u n d v o n 1614. Z u m B e g r i f f der „ H a n s e a t i schen Seerechte" vgl. auch Landwehr, S. 68 - 70. 49 K. O. Scherner, A l l g e m e i n e Rechtsgrundsätze u n d Rechtsvergleichung i m europäischen H a n d e l s r e c h t des 17. u n d 18. J a h r h u n d e r t s , i n : l u s Commune, B a n d V I I (1978), S. 118ff., 125ff.

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tätsgerichts eine n i c h t unbedeutende Rolle s p i e l e n 5 0 u n d die Langenbeck i n der A u s p r ä g u n g der H a m b u r g i s c h e n K a u f - u n d Seemannspraxis j u r i s t i s c h würdigt. D i e „eigene v i e l j ä h r i g e E r f a h r u n g " schließlich bezieht sich auf L a n g e n becks r i c h t e r l i c h e T ä t i g k e i t b e i m A d m i r a l i t ä t s g e r i c h t . E r z i t i e r t z w a r auch Erkenntnisse des H a m b u r g i s c h e n Niedergerichts u n d Obergerichts sowie b e i Assecuranzproblemen die M e i n u n g der Rota Genuensis, v o r a l l e m aber Entscheidungen des A d m i r a l i t ä t s g e r i c h t s aus den Jahren 1681 bis 1727, aus dem Jahr 1656 die Sache D o r v i l l c. Reddeling. Diese Nachweise der A d m i r a litätsrechtsprechung - m i t b e n a n n t e m R u b r u m u n d m i t i n z w e i Sätzen skizziertem Sachverhalt - dienen Langenbeck entweder als nachträgliche Bestätigung seiner K o m m e n t i e r u n g oder als A u s g a n g s p u n k t f ü r die W e i t e r e n t w i c k l u n g eines neuen Rechtsgedankens. I m Sinne der z w e i t e n V a r i a n t e w i r k t der v o n i h m m i t g e t e i l t e F a l l L e m v i g c. diverse Assecuradeure, i n dem das A d m i r a l i t ä t s g e r i c h t 1726 f ü r Recht erkennt, daß gemünztes englisches G e l d i n den allgemeinen Begriff „ K a u f mannschaften" einzubeziehen sei u n d u n t e r dieser Benennung - ohne p r ä z i sere Bezeichnung des Versicherungsgegenstandes i n der Police - w i r k s a m versichert w e r d e n k ö n n e 5 1 . Langenbeck selbst hatte n o c h i n seinem Assecur a n z o r d n u n g s e n t w u r f 1721/22, A r t . 12, verlangt, „Edelsteine, Perlen, Geld, G o l d u n d S i l b e r " als Versicherungsobjekte i n der Police spezifiziert anzugeben. Diese Auffassung entsprach den B e s t i m m u n g e n i n der M i d d e l b u r g e r Assecuranzordnung 1689, A r t . 7, i n der A m s t e r d a m e r Assecuranzordnung 1598/1603, A r t . 17, u n d i n der Rotterdamer Assecuranzordnung 1721, A r t . 41, i n denen n a c h dem V o r b i l d der F l o r e n t i n i s c h e n Assecuranzartikel v o m 15. 6 . 1 5 2 6 5 2 Geld, G o l d u n d Silber n i c h t u n t e r die „generale benaminge v a n W a r e n ende K o o p m a n s c h a p p e n " gefaßt werden. A u c h M . L . Scheie h ä l t i n seiner versicherungsrechtlichen D i s s e r t a t i o n 17 0 7 5 3 die exakte „designat i o m e r c i u m , quae, quales et quantae illae s i n t " i n der Police n o c h f ü r erforderlich. Gleiches g i l t f ü r preußische Geldversicherungen n a c h dem Preußischen Seerecht 1727 (Cap. V I , A r t . 3). Andererseits fehlt eine entsprechende V e r p f l i c h t u n g i n der Ordonnance de la m a r i n e 1681. I m französischen Assecuranzrecht - ebenso i m englischen 50 Frentz, S. 128 ff. Z u r B e d e u t u n g der „ m e r c a n t i l e customs" b e i der R e c h t s f i n d u n g der englischen c o m m o n l a w courts vgl. K. W. Nörr, The E u r o p e a n Side of the E n g l i s h L a w : A F e w Comments f r o m a C o n t i n e n t a l H i s t o r i a n , i n : Englische u n d k o n t i n e n t a l e Rechtsgeschichte: e i n F o r s c h u n g s p r o j e k t , hg. v o n H . C o i n g u n d K . W . N ö r r , B e r l i n 1985 ( C o m p a r a t i v e Studies i n C o n t i n e n t a l a n d A n g l o - A m e r i c a n L e g a l H i s t o r y , B a n d 1), S. 15ff., 23f. 51 L a n g e n b e c k , A n m e r k u n g e n . . ., p. 398. 52 Z i t i e r t n a c h N . Magens, Versuch über Assecuranzen, H a v e r e y e n u n d B o d m e reyen, H a m b u r g 1753, p. 382. 53 M . L . Scheie, de i n s t r u m e n t o assecurationis v u l g o polizza, H e l m s t e d t 1707, p. 35.

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R e c h t 5 4 - bedarf es keiner speziellen Benennung edler M e t a l l e oder G e l d m ü n z e n i n der Police; diese gelten u n t e r der generellen Bezeichnung „ s u r facultés" oder „ s u r marchandises" als v e r s i c h e r t 5 5 . D i e französische Rechtsauffassung beeinflußt das A d m i r a l i t ä t s g e r i c h t ; an d e m Verfahren L e m v i g c. diverse Assecuradeure w i r d besonders d e u t l i c h , daß sich das G e r i c h t i m Assecuranzrecht v o r n e h m l i c h m i t den französischen u n d den n i e d e r l ä n d i schen Regelungsmodellen auseinandersetzt u n d - w i e auch andere U r t e i l e zeigen - f ü r den Hanseatischen Seerechtskreis sehr eigenständige abschließende W e r t u n g e n t r i f f t 5 6 . D i e E n t s c h e i d u n g des Gerichts h a t zur Folge, daß Langenbeck i n seinem K o m m e n t a r die an den holländischen Seerechten orientierte M e i n u n g aus seinem Assecuranzordnungsentwurf 1721/22 aufg i b t , dem G e r i c h t z u s t i m m t u n d ein neues juristisches u n d w i r t s c h a f t l i c h e s Regelungsmotiv aus der Ratio der Gerichtsentscheidung e n t w i c k e l t . D i e i n L e m v i g c. diverse Assecuradeure 1726 geäußerte Rechtsmeinung des A d m i ralitätsgerichts findet eine derartige Akzeptanz, daß sie die entgegenstehende V e r e i n b a r u n g der H a m b u r g e r Assecuradeure i m Vergleich 1697, A r t . 1, die eine umfassende Bezeichnungspflicht f ü r versicherte G ü t e r enth ä l t , f ü r das F e l d der Geldversicherungen derogiert, als „hiesige P r a x i s " i n H a m b u r g a n e r k a n n t w i r d u n d schließlich den Gesetzestext über Versicherungsobjekte i n der Endfassung der H a m b u r g i s c h e n Assecuranz- u n d H a v a r e i o r d n u n g 1731 (Tit. I V , A r t . 9) b e s t i m m t : „ G o l d u n d Silber, gemünzet oder ungemünzet, w i e auch Edelgesteine u n d Perlen, w e r d e n u n t e r der allgemeinen Benennung v o n K a u f m a n n s c h a f t e n m i t verstanden". E i n anderes Beispiel f ü r die Personalunion zwischen R i c h t e r n des A d m i ralitätsgerichts u n d Rechtswissenschaftlern ist M a r t i n Lucas Scheie, der v o n 1721 bis 1733 dem G e r i c h t als Ratsherr angehörte u n d v o n 1740 bis 1743 als Gerichtspräses fungierte. M . L . Scheie verfaßt 1707 i n Helmstedt eine aufsehenerregende u n d v i e l z i t i e r t e Dissertation „ d e i n s t r u m e n t o assecurationis v u l g o p o l i z z a " , die sein D o k t o r v a t e r Johann W e r l h o f i n einer v o n Scheie überarbeiteten Fassung m i t z w e i beigefügten A b h a n d l u n g e n v o n Prof. H e r m a n n v. d. H a r d t u n d Prof. M i c h a e l Richey 1736 erneut veröffentl i c h t . M . L . Scheie g i l t seinerzeit auf g r u n d dieser A r b e i t u n d seines R i c h t e r amtes als „erfahrenster R e c h t s = L e h r e r i n See- u n d A s s e c u r a n z = S a c h e n " 5 7 . I n der D i s s e r t a t i o n löst sich Scheie v o l l k o m m e n v o m römischen Recht, defin i e r t den Versicherungsvertrag ohne dogmatische A n l e i h e n b e i m Bodmereiv e r t r a g oder b e i m Bürgschaftsverhältnis p r ä g n a n t als „ c o n t r a c t u s n o m i n a 54 Vgl. M . Pohls, D a r s t e l l u n g des gemeinen D e u t s c h e n u n d des H a m b u r g i s c h e n Handelsrechts f ü r J u r i s t e n u n d K a u f l e u t e , Assecuranzrecht, 1832, S. 181 m . w . N . ; Benecke, B d . I I , S. 74 m . w . N . 55 So später E m é r i g o n , v. I, ch. 10, sect. 2, § 3, u n t e r B e r u f u n g auf Casaregis, Santerna, Rocco u n d M a r q u a r d . se Vgl. h i e r z u Frentz, S. 139f., 147, 160f., 162ff., 176f., 196ff. s? Klefeker, Bd. I, S. 29.

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tus n u d o consensu constans de p e r i c u l i r e r u m et personarum, sive m a r i , sive terra transvehendarum aversione p r o certo ac d e f i n i t o p r e t i o " 5 8 . Scheie's Darstellungssystematik ist erheblich w e i t e r e n t w i c k e l t als z.B. die i n den A b s c h n i t t e n über die Seeassecuranz i n Johann Loccenius' A b h a n d l u n g „ d e iure m a r i t i m o et n a v a l i " (lib. I I , cap. V) u n d i n Franz S t y p m a n n ' s „ T r a c t a t u s de iure m a r i t i m o " (part. I V , cap. V I I ) ; sie n i m m t stellenweise - i n den K a p i t e l n über den P o l i c e n i n h a l t , über die zusätzlichen K l a u s e l n u n d B e d i n g u n gen der Assecuranz, über den U m f a n g des versicherten Risikos - die System a t i k der H a m b u r g i s c h e n Assecuranz- u n d H a v a r e i o r d n u n g 1731 vorweg, an deren A u s a r b e i t u n g Scheie beratend m i t w i r k t e . M a t e r i e l l r e c h t l i c h setzt sich Scheie umfassend u n d m a n c h m a l k r i t i s c h m i t der zeitgenössischen i n t e r n a t i o n a l e n Seerechtsliteratur u n d -gesetzgebung auseinander u n d zieht h i e r b e i auch Entscheidungen der Rota Genuensis heran. D e n rechtsvergleichenden Ansatz, der die ganze A r b e i t prägt, betont er v o r a l l e m i m Bereich der Auslegung des Versicherungsvertrages: „Putern quoque i n t e r d u m ad a l i a r u m l i n g u a r u m p a r a l l e l i s m u m , et s i m i l i a j u r i s vocabula r e c u r r e n d u m esse" 5 9 . I n den V o r d e r g r u n d seiner Überlegungen zur Rechtsnatur der Police als i n s t r u m e n t u m l i q u i d u m oder g u a r e n t i g i a t u m i m Assecuranzprozeß stellt Scheie die Rechtsprechung des A d m i r a l i t ä t s g e r i c h t s , das bis etwa 1740 die „Polizzen n a c h denen See-Rechten u n d n a c h unserer G e r i c h t s - O r d n u n g de 1645 cap. 2 § 13 denen I n s t r u m e n t i s l i q u i d i s g l e i c h s c h ä t z e t " 6 0 . Das G e r i c h t h ä l t die Policen f ü r „ u n l ä u g b a r e H a n d s c h r i f t e n " , deren i n h a l t l i c h e R i c h t i g k e i t d u r c h ergänzende Beweisdokumente oder f ö r m l i c h e öffentliche B e u r k u n d u n g soweit g l a u b h a f t gemacht ist, daß sie alle dilatorischen u n d bestimmte peremtorische E i n r e d e n des Assecuradeurs m i t Ausnahme der exceptiones i n specie sic d i c t i ausschließen. D i e so definierte eingeschränkte E x e k u t i v k r a f t der Policen, die auch Scheie b e f ü r w o r t e t , b e w i r k t i n der Rechtsprechungspraxis, daß der beklagte Assecuradeur die i h m verbliebenen E i n r e d e n erst n a c h gerichtlicher H i n t e r l e g u n g der Schadenssumme i m Reconventionsprozeß erheben darf. E i n vergleichbares Verfahren k e n n zeichnet i m geltenden deutschen Handelsrecht die K l a g e n aus Bürgschaftsu r k u n d e n m i t der K l a u s e l „ a u f erste A n f o r d e r u n g zu zahlen", bei denen der Bürge n i c h t n u r auf die Einrede der Vorausklage verzichtet, sondern m i t seinen gesamten sonstigen E i n r e d e n u n d E i n w e n d u n g e n erst i m Rückforderungsverfahren gehört w i r d 6 1 . M i t der A n e r k e n n u n g einer m i t t e l b a r e n 58

Scheie, p. 9. Ebd., p. 50. 60 Beispiel: B u r m e s t e r c. H ö c k e l , Rationes d e c i d e n d i v o m 12. 12. 1731, p r o d . W e t z l a r 13. 4. 1733, S t a a t s a r c h i v H a m b u r g , R e i c h s k a m m e r g e r i c h t , Β 116; z u r B e d e u t u n g der i n s t r u m e n t a l i q u i d a i m H a m b u r g i s c h e n A d m i r a l i t ä t s p r o z e ß vgl. auch Frentz, S. 89ff. m . w . N . ei Bundesgerichtshof, U r t e i l v o m 31. 1. 1985 - I X Z R 66/84 - , N J W 1985, 1694; vgl. ferner B G H Z 74, 244. 59

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„ e x e c u t i o n parée" bei K l a g e n aus Policen liegt das A d m i r a l i t ä t s g e r i c h t auf einer ä h n l i c h e n L i n i e w i e z.B. die F l o r e n t i n i s c h e n Assecuranzartikel v o m 28.1.1523 u n d v o m 1 5 . 6 . 1 5 2 6 6 2 , die A m s t e r d a m e r

Assecuranzordnung

1598/1603, A r t . 33, u n d die Ordonnance de la m a r i n e 1681, l i v . I I I , t i t . 6, art. 6 1 6 3 , die n o c h weitergehend die provisorische Bezahlung der Versicherungssumme an den Versicherten vorsehen. Andererseits w e n d e t sich Langenbeck schon i n seinem Assecuranzordn u n g s e n t w u r f 1721/22 u n d später i n seinem K o m m e n t a r 6 4 gegen die P r i v i l e gierung des klagenden Policeninhabers u n d k r i t i s i e r t das A d m i r a l i t ä t s g e r i c h t , das „ m i t der C o n d e m n a t i o n gegen die Assecuradeurs gar zu f e r t i g gewesen" sei. D a r a u f h i n verzichtet das A d m i r a l i t ä t s g e r i c h t e t w a ab 1740 zunehmend auf die Verweisung des Assecuradeurs ins Reconventionsverfahren u n d entfernt sich i m Bereich der Seeassecuranz 6 5 v o n den Regeln des Exekutivprozesses. H i e r läßt sich die wechselseitige Beeinflussung der Rechtswissenschaft i n der Person Scheies d u r c h die Rechtsprechung des A d m i r a l i t ä t s g e r i c h t s u n d u m g e k e h r t der Rechtsprechung d u r c h L a n g e n becks literarische K r i t i k besonders d e u t l i c h nachvollziehen. I m ü b r i g e n b e w i r k t die versicherungsrechtliche Rechtsprechung des A d m i r a l i t ä t s g e r i c h t s bei Scheie, daß er die ausschließliche ö r t l i c h e u n d sachliche Z u s t ä n d i g k e i t des Gerichts i n k o n t r a d i k t o r i s c h e n Assecuranzsachen u n t e r s t r e i c h t 6 6 - m i t A b s i c h t , denn i n den bis z u m Erlaß der Assecur a n z - u n d H a v a r e i o r d n u n g i n H a m b u r g verwendeten holländischen P o l i cenformularen ist i m m e r n o c h die K l a u s e l enthalten, sich i n S t r e i t f ä l l e n dem A n t w e r p e n e r Börsenrecht u n d i n z i d e n t der E n t s c h e i d u n g der d o r t i g e n Assecuranzkammer zu u n t e r w e r f e n 6 7 . Scheie v e r w i r f t diese seines E r a c h tens veraltete Gerichtsstandsvereinbarung u n d bereitet d a m i t die Regelung i n der Assecuranz- u n d H a v a r e i o r d n u n g 1731, T i t . I, A r t . 2, vor, die u n t e r sagt, sich i n der Police „ d e n Coustumen der Beurse v o n A n t w e r p e n zu submittiren". Scheies A r b e i t ist ein Beispiel dafür, daß die Rechtsprechung des A d m i r a litätsgerichts auch i n der seerechtlichen D i s s e r t a t i o n s l i t e r a t u r sehr aufm e r k s a m verfolgt w i r d . D i e Dissertation „ d e b o d m e r i a " v o n Henricus Radem i n (Halle 1697), die bis M i t t e des 19. Jahrhunderts i n der bodmereirechtlichen Diskussion beachtet w i r d 6 8 , setzt sich m i t zahlreichen U r t e i l e n des 62

Magens, p. 380, 386. Vgl. ferner E m é r i g o n , ν. I I , ch. 20, sect. 4, §§ 2, 3 m . w . N . ; V a l i n , p. 563, 564. 64 Assecuranzordnungsentwurf, Anhang, A r t . 1 u n d 2 ; Langenbeck, Anmerkungen . . . , p . 325. 65 N i c h t b e i K l a g e n aus B ö d m e r e i b r i e f e n u n d Konnossementen, die w e i t e r als i n s t r u m e n t a l i q u i d a gewertet werden, vgl. Frentz, S. 90 f. 66 Scheie, p. 46, 36. 67 Vgl. d a z u i m einzelnen Frentz, S. 285 ff. es z.B. b e i K l e f e k e r , Bd. V I I , S. 267; v. K a l t e n b o r n , Bd. I I , S. 240, Fußnote. 63

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A d m i r a l i t ä t s g e r i c h t s z u m n o t w e n d i g e n I n h a l t des Bodmereibriefes, z u m Beweis der V e r w e n d u n g der Bodmereigelder „ z u des Schiffes Besten", zur Sicherung des Bodmereigläubigers u n d z u r Rangfolge mehrerer k o n k u r r i e render Bodmereigläubiger, z u r Haftungsbegrenzung i m Vermögen des B o d mereischuldners u n d z u m Regreß des Bodmereischuldners an seine Reeder u n d Befrachter auseinander 6 9 . Entscheidungen des A d m i r a l i t ä t s g e r i c h t s z u m Seeassecuranzrecht u n d zur Mascopey sowie z u m Frachtvertragsrecht k o m m e n t i e r e n u n d verarbeiten Henricus K e l l i n g h u s e n i n der U n t e r s u c h u n g „ d e d i s c r i m i n e tempestatis marinae, v o n Seeschaden" (Halle 1709) u n d Johann Julius S u r l a n d i n der Dissertation „ d e literis m a r i t i m i s , vulgo v o n Zee-Brief en" (Groningen 1715). Johann Julius S u r l a n d w a r der Vater des späteren Professors i n F r a n k f u r t / O d e r Johann Jacob Surland, dem er umfangreiches M a t e r i a l f ü r dessen bekannte „ G r u n d z ü g e des Europäischen See-Rechts" (17 5 0 ) 7 0 z u r V e r f ü g u n g s t e l l t e 7 1 . D i e bisher genannten Seerechtsabhandlungen s i n d d a d u r c h gekennzeichnet, daß sie die A d m i r a l i t ä t s j u d i k a t u r m i t Einzelnachweisen zur B e s t ä t i g u n g der eigenen Auffassung oder z u r B i l d u n g v o n Lehrsätzen heranziehen, ohne den Sachverhalt der Streitfälle a u s f ü h r l i c h m i t z u t e i l e n oder sogar die Entscheidungen des A d m i r a l i t ä t s g e r i c h t s zu einem b e s t i m m t e n Seerechtsi n s t i t u t systematisch z u sammeln. Eine Rechtsprechungssammlung i m Sinne eines reinen Entscheidungsregisters 7 2 oder einer n u r auf Relationen u n d V o t e n k o n z e n t r i e r t e n S p r u c h s a m m l u n g 7 3 hat es - soweit e r s i c h t l i c h - f ü r das H a m b u r g i s c h e A d m i r a l i t ä t s g e r i c h t n i c h t gegeben. Andererseits bestand ganz offensichtlich ein Bedürfnis f ü r die Seerechtswissenschaft w i e f ü r die kaufmännische Praxis, die Erkenntnisse des A d m i r a l i t ä t s g e r i c h t s , bei denen n u r der Entscheidungstenor, n i c h t aber die Entscheidungsgründe s c h r i f t l i c h abgefaßt w u r d e n 7 4 , i n der F o r m der Relationen u n d V o t e n der Referenten kennenzulernen75. Dieses Bedürfnis befriedigt der v o n J o h a n n Klefeker i n n e r h a l b seiner z w ö l f bändigen „ S a m m l u n g der H a m b u r g i s c h e n Gesetze u n d Verfassungen" 1769 herausgegebene B a n d V I I über „ d i e H a n d e l s = R e c h t e " , i n dem Klefeker das Hamburgische Seehandels- u n d das Seeassecuranzrecht behandelt. D i e K o m m e n t i e r u n g des Seehandelsrechts folgt der Systematik des H a m b u r g i 69

R a d e m i n , p. 23, 36, 38, 43 - 48. Z u r B e d e u t u n g dieses Werks K. O. Scherner, D i e Wissenschaft des H a n d e l s rechts, i n : H a n d b u c h der Q u e l l e n u n d L i t e r a t u r der neueren europäischen P r i v a t rechtsgeschichte, hg. v o n H . Coing, Bd. I I , 1, M ü n c h e n 1977, S. 797ff., 953 f. 71 K l e f e k e r , B d . I, S. 74 f. 72 Gehrke, S. 1352 f. 73 Ebd., S. 1354f. 74 Frentz, S. 108 m . w . N . , 120. 7 5 So auch Klefeker, Bd. V I I , S. 594, 293. 70

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sehen Seerechts 1603/05; f ü r jedes Rechtsinstitut fügt Klefeker p a r a d i g m a tische A d m i r a l i t ä t s v e r f a h r e n i n Gestalt der i h m v o n den Referenten des A d m i r a l i t ä t s g e r i c h t s zugänglich gemachten v o l l s t ä n d i g e n Sachberichte, Relationen u n d Voten ein u n d e n t w i c k e l t auf dieser Grundlage eigene A u s legungsregeln u n d Lehrsätze. Diese Methode kennzeichnet auch den A b s c h n i t t über „Assecuranzen" u n d die „ A u s ü b u n g des AssecuranzRechts", m i t einer Besonderheit: Ausgangspunkt dieses A b s c h n i t t s ist die 1752 i n G ö t t i n g e n v o n Franciscus M i c h a e l Poppe verfaßte D i s s e r t a t i o n „de l i t i u m assecurationis causa o r i e n t i u m decisione", die Klefeker als H a n d b u c h des Seeversicherungsrechts bezeichnet u n d an dieser Stelle ins D e u t sche überträgt. I m Seeversicherungsrecht ist Poppe's A r b e i t n a c h den D i s sertationen v o n M . L . Scheie u n d K e l l i n g h u s e n f ü r den deutschen Sprachr a u m die erste umfassende „systematische A b h a n d l u n g , w o r i n n · zugleich anderer Staaten Assecuranz-Rechte d u r c h einander u n d m i t der hiesigen (Hamburgischen Assecuranz- u n d H a v a r e i o r d n u n g 1731) verglichen s i n d " 7 6 . Poppe hatte n a c h dem ersten K a p i t e l „ P r a e m o n i t a quaedam generalia de c o n t r a c t u assecurationis exhibens" u n d dem z w e i t e n K a p i t e l „ q u o d e x p l i c a t unde petendae sint l i t i u m de assecuratione o r t a r u m decisiones" einen d r i t ten A b s c h n i t t k o n z i p i e r t , der n i c h t vollendet w u r d e : „ d e controversiis assecurationis causa o r i e n t i b u s earumque decisione". I n der g e d r u c k t vorliegenden Fassung der D i s s e r t a t i o n besteht dieses letzte K a p i t e l aus 45 Leitsätzen, die Poppe aus seiner p r i v a t e n S a m m l u n g v o n Relationen u n d V o t e n des H a m b u r g i s c h e n A d m i r a l i t ä t s g e r i c h t s herausgearbeitet hatte u n d denen er diese Relationen u n d V o t e n als „ e x e m p l u m n o t a b i l i s controversiae c u m r a t i o n i b u s i n u t r a m q u e p a r t e m a l i t i g a n t i b u s allatis, i l l u s t r a t i o n i s c a u s a " 7 7 beifügen w o l l t e . Klefeker ü b e r n i m m t diese S a m m l u n g u n d v e r ö f f e n t l i c h t sie - neben neueren Seeversicherungsrelationen u n d - v o t e n seit 1752 - v o l l ständig m i t Poppes Leitsätzen sowie m i t eigenen ergänzenden A n m e r k u n gen. E i n i g e Beispiele sollen zeigen, w i e Poppe die A d m i r a l i t ä t s j u d i k a t u r i n Leitsätze k o m p r i m i e r t : 1731 hat das A d m i r a l i t ä t s g e r i c h t i n der Sache Burmester c. H ö c k e l 7 8 die Frage zu klären, ob z u m i n der Police genannten L a d u n g s o r t H a m b u r g auch der elbeabwärts gelegene H a f e n G l ü c k s t a d t (für eine sukzessive E i n l a d u n g ) gehört. D a die gerade verabschiedete Hamburgische Assecuranz- u n d H a v a r e i o r d n u n g den „ O r t der L a d u n g " u n d seine E r s t r e c k u n g i n T i t . V, A r t . 11 u n d 12 sowie i n T i t . I, A r t . 4, N r . 4 n i c h t präzise genug definiert, greift das Gericht auf eine E n t s c h e i d u n g der A m s t e r d a m e r Assecuranzkammer v o m 23.1.1699 z u r ü c k , derzufolge z u m Ladungsort, der den B e g i n n des 76 77 78

Ebd., S. 292, 293. Poppe, p. 46, 47. S t a a t s a r c h i v H a m b u r g , R e i c h s k a m m e r g e r i c h t , Β 116.

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Risikos der Assecuradeure m a r k i e r t , n i c h t n u r der i n der Police genannte Hafen i m engeren Sinne gehört, sondern alle „ c i r c u m j a c e n t i e n desselben Ohrtes bis die gemeldte Seemündung i n c l u s i v e " . D i e niederländische O r d o n n a n t i e P h i l i p p s II. v o n 1563 bezeichnete i n T i t . V I I , A r t . 2, als A u s gangspunkt der Gefahrtragung etwas enger „ p o o r t , haven oft reede" des Ladungsortes der Police. Das U r t e i l des A d m i r a l i t ä t s g e r i c h t s faßt Poppe zusammen: N o m e n l o c i i n i n s t r u m e n t o n o m i n a t i n o n solum dénotât i p s u m nominatae urbis p o r t u m , sed alia quoque loca circumiacentia, u b i naves onerandae atque levandae sunt. 1765 weist das Gericht i n J. S. c. Scheel 7 9 die Klage eines Reeders ab, dessen versichertes Schiff n i c h t den i n der Police genannten Abgangshafen A h u s / D ä n e m a r k erreicht, sondern den entfernter liegenden O r t L a n d ö hafen, der nachweislich nicht zum Seerevier von Ahus gehört. Die Entscheid u n g des Gerichts ist e r s i c h t l i c h d u r c h den Rechtsgedanken i n Ordonnance de la m a r i n e 1681, l i v . I I I , t i t . 6, art. 36 beeinflußt. Poppe f o r m u l i e r t : I t e r n o n m u t a t u m v i d e t u r , saltem n o n d i s s o l v i t u r assecuratio, si navis p o r t u m n o m i n a t o p r o p i o r e m i n t r a v i t , i b i q u e merces expositae sunt. E x p l i c a t u r et l i m i t a t u r recepta régula, q u o d i t e r salva conventione abbreviari, n o n p r o l o n g a r i possit. 1767 m a c h t das Gericht i n B r o u k e r c. J e n i s c h 8 0 deutlich, daß eine G ü t e r versicherung auf eine „ K i s t e L e i n e n " die Versicherung einer W a r e n g a t t u n g darstellt, die sich s o w o h l auf die M a t e r i a l i e n C a t t u n u n d L e i n e n als auch auf verschiedene Verarbeitungsformen des L e i n e n (gestickte Manschetten, L e i nentücher) erstrecken kann. D a m i t folgt das Gericht dem holländischen R e g e l u n g s v o r b i l d 8 1 u n d w e i s t k o n s e q u e n t K l a g e n eines v e r s i c h e r t e n Befrachters ab, w e n n statt der versicherten W a r e n g a t t u n g G ü t e r einer anderen G a t t u n g eingeladen w e r d e n u n d v e r u n g l ü c k e n 8 2 . Poppes Leitsatz: F i e r i potest, u t ob m u t a t i o n e m m e r c i u m i r r i t a sit assecuratio, etiamsi p e r i c u l u m sub generali vocabulo m e r c i u m , Waren, Güter, K a u f m a n n s c h a f t e n t r a n s l a t u m sit. Certo m e r c i u m genere definito, toties c o r u i t assecuratio, quoties loco m e r c i u m i n i n s t r u m e n t o n o m i n a t a r u m , alius generis merces, i n v i t o assecuratore, n a v i impositae sunt. D i e P u b l i k a t i o n der S a m m l u n g exemplarischer Relationen u n d V o t e n des A d m i r a l i t ä t s g e r i c h t s u n d ihre K o m m e n t i e r u n g d u r c h Poppe b z w . Klefeker findet w e i t e V e r b r e i t u n g ; bis ins 20. J a h r h u n d e r t w e r d e n U r t e i l e des A d m i ralitätsgerichts n a c h Klefekers Wiedergabe z i t i e r t 8 3 . 79

Klefeker, Bd. V I I , S. 476. so Ebd., S. 327. 81 Vgl. h i e r z u Frentz, S. 147 f. m . w . N . 82 Beispiel: W y b r a n d t c. S c h l ü t e r , Klefeker, B d . V I I , S. 360. 83 So z.B. i n den n a c h f o l g e n d g e n a n n t e n W e r k e n v o n Pohls u n d Benecke sowie b e i L a d e h o f f ( „ d e h a v a r i a d i s c r i m i n e i n p r i m i s ex legibus G e r m a n i a e s e p t è n t r i o n a l i s " , K i e l 1773), b e i S o l t a u ( „ d e eo, q u o d i u s t u m est circa h a v a r i a m p a r t i c u l a r e m " , L i p p e

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Z w e i A u t o r e n , deren Werke i n die B e m ü h u n g e n u m die K o d i f i k a t i o n eines Deutschen Handelsgesetzbuches i m 19. J a h r h u n d e r t h i n e i n w i r k e n u n d die ihrerseits d u r c h Entscheidungen des A d m i r a l i t ä t s g e r i c h t s erheblich beeinflußt werden, sind W i l h e l m Benecke u n d Meno Pohls. Benecke legt zwischen 1805 u n d 1810 sein v i e r b ä n d i g e s 8 4 „ S y s t e m des Assecuranz- u n d Bodmereiwesens" vor, das i n einer spezifischen Wechselw i r k u n g v o m A d m i r a l i t ä t s g e r i c h t als rechtswissenschaftliche Rechtsquelle bei der E n t s c h e i d u n g s f i n d u n g verwertet w i r d 8 5 u n d gleichzeitig zahlreiche Erkenntnisse des Gerichts d o k u m e n t i e r t u n d der Seerechtsentwicklung dienstbar m a c h t 8 6 . D e n n Benecke ü b e r n i m m t die A d m i r a l i t ä t s j u d i k a t u r m i t teilweise a u s f ü h r l i c h e m Sachbericht einerseits d i r e k t v o n den Referenten des A d m i r a l i t ä t s g e r i c h t s , andererseits aus der Klefeker'sehen S a m m l u n g , i n t e g r i e r t sie i n ein einheitliches, aus europäischer Seerechtsliteratur u n d -gesetzgebung abgeleitetes System v o n versicherungsrechtlichen Rechtsgrundsätzen u n d v o l l z i e h t an H a n d der U r t e i l e n i c h t n u r eine Rechts-, sondern i n einigen F ä l l e n auch eine Rechtsprechungsvergleichung. Dieser vergleichende Ansatz erstreckt sich v o r a l l e m auf die englische Praxis, w e i l Benecke mehrere Jahre bei L l o y d s i n L o n d o n arbeitete. So vergleicht Benecke z.B. den A d m i r a l i t ä t s p r o z e ß Jencquel c. v o n Vinnen, i n dem das Gericht 1728 die Anzeigepflichten des Versicherten u n d den U m f a n g des versicherten Risikos n a c h I n f o r m a t i o n s - u n d Gefahrenkreisen der Vertragsparteien a b g r e n z t 8 7 , m i t den i n E n g l a n d g e r i c h t l i c h entschiedenen cases M a y n e v. W a l t e r u n d Carter v. Bochm. B u r r 8 8 . Weitere Beispiele f ü r den Rechtsprechungsvergleich m i t der englischen Gerichtspraxis sind das U r t e i l des A d m i r a l i t ä t s g e r i c h t s i n W y b r a n d t c. Schlüter, i n dem es u m die D i f f e renzierung verschiedener versicherbarer Warengattungen g e h t 8 9 , die E n t scheidungen i n dem bereits e r w ä h n t e n Verfahren Burmester c. H ö c k e l 9 0 , i n M a t t h i e ß e n u n d S i l l e m c. J. M . S c h m i d t et a l . 9 1 , i n H o c k m e y e r c. 2. Assecur a n z c o m p a g n i e 9 2 . Benecke's „ S y s t e m " - u n d d a m i t auch die v o n i h m k o m mentierte Rechtsprechung des H a m b u r g i s c h e n A d m i r a l i t ä t s g e r i c h t s u n d der englischen Gerichte - findet i n t e r n a t i o n a l e Verbreitung. Es erscheint 1774), b e i W. Hammacher (Die G r u n d z ü g e des allgemeinen Seeversicherungsrechts i n der deutschen Gesetzgebung des 18. J a h r h u n d e r t s v o r d e m H i n t e r g r u n d der älteren europäischen Seeversicherungsgesetzgebung, Diss. i u r . B o n n 1982) u n d b e i G. Lau (Das H a m b u r g i s c h e Seehandelsrecht i m 18. J a h r h u n d e r t , Diss. i u r . H a m b u r g 1975). 84 1 821 erscheint e i n f ü n f t e r Ergänzungsband. 85 Frentz, S. 131. 86 Vgl. n u r Benecke, Bd. I, S. 383f.; Bd. I I , S. 40ff., 76ff., 216ff., 234ff.; B d . I I I , S. 34f., 131 f., 1 7 7 f f 2 0 2 f f . , 242f., 200ff. 87 Klefeker, Bd. V I I , S. 424. 88 Benecke, Bd. I I I , S. 130 ff. 89 Benecke, B d . I I , S. 76f., 70f. 9° Ebd., S. 216ff. 91 Ebd., S. 4 0 f f . , 4 6 f . «2 Ebd., S. 234ff., 240f.

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1828 i n Triest i n einer italienischen Übersetzung v o n Rossetti, bereits 1824 i n L o n d o n i n einer eigenen Ü b e r t r a g u n g Benecke's u n t e r dem T i t e l „ A treatise on the principles of I n d e m n i t y i n M a r i n e Insurance, B o t t o m r y a n d Respondentia" u n d 1825 i n der französischen Übersetzung v o n D u b e r n a d . V i n c e n t N o l t e v e r ö f f e n t l i c h t Benecke's „ S y s t e m " i n einer Neuausgabe 1851/ 52 i n H a m b u r g . Benecke's „ S y s t e m " b e r u h t - w i e Scherner f ü r das allgemeine Handelsrecht bereits nachgewiesen h a t 9 3 - auf dem Gedanken der E i n h e i t des europäischen Seerechts, das s o w o h l i n der Rechtsprechung des A d m i r a l i t ä t s g e r i c h t s 9 4 als auch i n Benecke's V o r s t e l l u n g als europäisches Seehandels- u n d Seeversicherungsrecht den C h a r a k t e r einer subsidiären Rechtsnorm aufweist. Benecke e r k l ä r t i n der Vorrede z u seinem „ S y s t e m " , es sei n o t w e n d i g , „ a u f die Gesetze u n d Gebräuche fremder L ä n d e r beständig R ü c k s i c h t z u nehmen ..., w e i l sich einheimische E i n r i c h t u n g e n oft n a c h fremden verbessern lassen, u n d man, ohne m i t dem Geiste der fremden Gesetze b e k a n n t z u sein, oft Gefahr l ä u f t , einzelne M e i n u n g e n auswärtiger Schriftsteller zu m i ß d e u t e n " . U m sein Z i e l zu erreichen, „ d i e w a h r e n Grundsätze des Assek u r a n z - u n d Bodmereiwesens auf eine allgemeine, dem Versicherer, K a u f manne u n d Rechtsgelehrten aller N a t i o n e n gleich brauchbare A r t . . . aus der N a t u r der Sache u n d m i t beständiger Rücksicht auf die Gesetze u n d Gebräuche aller w i c h t i g e n handelnden Staaten zu e n t w i c k e l n " , stellt er das europäische Assecuranz- u n d Bodmereirecht als Ergebnis des Z u s a m m e n w i r k e n s „ g e r i c h t l i c h e r V e r h a n d l u n g e n w i c h t i g e r Assekuranzstreitigkeiten, der vorzüglichsten Schriftsteller aller N a t i o n e n ... u n d der Gebräuche der größten Handelsstädte Europens" vor. Diese drei F a k t o r e n der R e c h t s e n t w i c k l u n g erkennt auch Meno Pohls an; er n u t z t sie aber, anders als Benecke, als Quellen f ü r eine neue wissenschaftliche Zielsetzung, die der O b e r t i t e l seiner zwischen 1830 u n d 1834 erschienenen A b h a n d l u n g e n z u m Seerecht u n d Assecuranzrecht i n d i z i e r t : „ D a r stellung des gemeinen Deutschen u n d des H a m b u r g i s c h e n Handelsrechts f ü r Juristen u n d K a u f l e u t e " . Pohls bereitet den Weg zu einem allgemeinen Deutschen Handelsrecht m i t Einschluß des Seerechts u n t e r V e r w e r t u n g der p a r t i k u l ä r e n i n - u n d ausländischen Seegesetze u n d der i n t e r n a t i o n a l e n Seerechtswissenschaft. D i e Rechtsprechung des H a m b u r g i s c h e n A d m i r a l i t ä t s gerichts, die auch Pohls ganz ü b e r w i e g e n d n a c h der Klefeker'sehen S a m m l u n g z i t i e r t , erlangt bei i h m seerechtliche N o r m w i r k u n g : Das U r t e i l des A d m i r a l i t ä t s g e r i c h t s t r i t t an die Stelle eines k o d i f i z i e r t e n Rechtssatzes. E i n i g e Beispiele: D i e E n t s c h e i d u n g des Gerichts i n Burmester c. Höckel, die die Benennung des Ladungsortes/-hafens i n der Police auch auf dessen Seerevier u n d Ree93 94

Scherner, i n : l u s C o m m u n e , B a n d V I I (1978), S. 129ff. Vgl. h i e r z u Frentz, S. 126ff., 132ff.

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den erstreckt, stellt Pohls i n Parallele zu den k o n g r u e n t e n gesetzlichen Regelungen i n H o l l a n d u n d S p a n i e n 9 5 . Entsprechendes g i l t f ü r das U r t e i l i n Jencquel c. v o n V i n n e n 9 6 , i n dem das A d m i r a l i t ä t s g e r i c h t i n F o r t e n t w i c k l u n g des Rechtsgedankens der Genuesischen S t a t u t e n 1610 l i b . I V , cap. 17 ( „ n o t i t i a ... per f a m a m l e g i t i m e p r o b a t a m . . . " ) ein bestimmtes berufsbezogenes Sonderwissen des Assecuradeurs abgrenzt v o n den Tatsachen, die i n der Informationssphäre des Versicherten liegen, u n d f ü r börsenkundige T a t sachen eine spezielle Offenbarungs- u n d A n z e i g e p f l i c h t des Versicherten ablehnt. A u c h die oben e r w ä h n t e n U r t e i l e des A d m i r a l i t ä t s g e r i c h t s i n B r o u ker c. Jenisch (1767) u n d i n W y b r a n d t c. Schlüter (1747) über die Zulässigk e i t der Versicherung v o n W a r e n g a t t u n g e n u n t e r dem B e g r i f f der „ a l l g e m e i nen K a u f m a n n s c h a f t e n " u n d die Folgen u n r i c h t i g e r Bezeichnung des Versicherungsobjekts z i t i e r t Pohls w i e k o d i f i z i e r t e Regelungen, die die insoweit gegebenen Gesetzeslücken i n der H a m b u r g i s c h e n Assecuranz- u n d H a v a r e i o r d n u n g 1731 ausfüllen u n d als generelle N o r m e n i m gemeinen Seerecht gelten s o l l e n 9 7 . Andere P r ä j u d i k a t e des A d m i r a l i t ä t s g e r i c h t s w ü r d i g t Pohls i m Vergleich m i t der europäischen Seerechtswissenschaft oder m i t allgemeinen Rechtsgrundsätzen 9 8 . D i e Rechtsprechung des A d m i r a l i t ä t s g e r i c h t s e n t w i c k e l t spätestens bei Pohls eine gewisse Eigengesetzlichkeit, die erheblich über die u r s p r ü n g l i c h v o m Gericht geleistete Einzelfallentscheidung hinausgeht u n d die es r e c h t fertigt, das G e r i c h t i n seiner W i r k u n g auf die Seerechtswissenschaft i n eine L i n i e m i t der Rota Genuensis u n d den seegerichtlichen S p r u c h k ö r p e r n i n E n g l a n d z u stellen. IV. D i e A u s w i r k u n g e n der Rechtsprechung des H a m b u r g i s c h e n A d m i r a l i t ä t s gerichts auf die seerechtliche Gesetzgebung sind u n m i t t e l b a r e r u n d m i t t e l barer N a t u r . E i n u n m i t t e l b a r e r E i n f l u ß ist bei den V o r a r b e i t e n u n d der K o d i f i k a t i o n der 1731 verabschiedeten u n d a m 1.1.1732 i n K r a f t getretenen H a m b u r g i schen Assecuranz- u n d H a v a r e i o r d n u n g festzustellen. Das „Project zu einer A s s e c u r a n t z - O r d n u n g " 9 9 , das H e r m a n n Langenbeck 1721/22 n a c h vorangegangenen ergebnislosen K o d i f i k a t i o n s v e r s u c h e n 1603/05, 1656 u n d 1 6 7 4 1 0 0 f o r m u l i e r t , weist gesonderte Randbemerkungen 95

Pohls, Assecuranzrecht, S. 383, Fußnote 3. Ebd., S. 592, Fußnote 24, S. 560. 97 Ebd., S. 186, Fußnote 3, 4, S. 169f. 98 Vgl. z.B. ebd., S. 591, Fußnote 16, S. 593. 99 S t a a t s a r c h i v H a m b u r g , Senat Cl. V I I , L i t . L b , No. 2, V o l . 3. 100 Vgl. h i e r z u Frentz, S. 121 f. 96

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auf, aus denen sich die f ü r den Gesetzentwurf herangezogenen Rechtsquellen rekonstruieren lassen. Neben der Bezugnahme auf J o h a n n M a r q u a r d , holländische Policenformulare u n d die Gerichtspraxis der A m s t e r d a m e r Assecuranzkammer d o m i n i e r e n die k o d i f i z i e r t e n Rechtsquellen - v o r a l l e m die französische Ordonnance de la m a r i n e 1681, die „ O r d o n n a n t i e v a n de Zeevart" P h i l i p p s I I . v o n 1563 u n d die A m s t e r d a m e r Assecuranzordnung 1598/1603, gefolgt v o m Consolato del mare, v o m H a m b u r g i s c h e n Seerecht 1603/05 u n d v o m Wisbyschen Seerecht sowie v o n dem H a m b u r g i s c h e n Reglement des Dispacheurs v o n 1705 u n d den als „ p a c t a i n t e r p r i v a t o s " geltenden Vergleichen der Hamburgischen Assecuradeure von 1687, 1693, 1697 u n d 1 7 0 4 1 0 1 . Dieser erste B e f u n d legt es nahe, den Gedanken v o n Coing, Rechtsvergleichung - i m Sinne einer Gesetzesvergleichung - könne G r u n d lage v o n handels- u n d w i r t s c h a f t s r e c h t l i c h e r Gesetzgebung s e i n 1 0 2 , auf die K o d i f i k a t i o n des Seerechts i n der H a m b u r g i s c h e n Assecuranz- u n d H a v a r e i o r d n u n g zu übertragen. Andererseits ist zu berücksichtigen, daß die Assecuranz- u n d H a v a r e i o r d n u n g i n i h r e r endgültigen Gestalt n a c h w e i t e ren E n t w u r f s b e i t r ä g e n Langenbecks bis z u dessen T o d 1728 sowie a u f g r u n d der M i t w i r k u n g v o n M . L . Scheie u n d Johann Julius S u r l a n d u n d nach Berat u n g m i t V e r t r e t e r n der H a m b u r g i s c h e n K a u f m a n n s c h a f t i n mehreren n i c h t unwesentlichen P u n k t e n v o n dem E n t w u r f 1721/22 abweicht; das i m p l i z i e r t insoweit ein A b w e i c h e n v o n den i n diesem E n t w u r f verarbeiteten ausländischen Rechtsquellen. A l s eine Ursache dieser A b w e i c h u n g e n muß m a n die noch stärkere V e r w e r t u n g der Rechtsprechung des A d m i r a l i t ä t s g e r i c h t s , u n d z w a r besonders der Rechtsprechung i n den Jahren zwischen 1721 u n d 1731, i n der Endfassung der Assecuranz- u n d H a v a r e i o r d n u n g ansehen. Das Beispiel des Prozesses Rendtorff c. B r a n d t soll diese Schlußfolgerung b e s t ä t i g e n 1 0 3 . Das A d m i r a l i t ä t s g e r i c h t hat 1725 über die Frage zu entscheiden, ob die nachträgliche Versicherung eines bereits v e r u n g l ü c k t e n Schiffes zulässig ist u n d ob dem versicherten Reeder die Versicherungssumme zusteht. Das Gericht v e r u r t e i l t den Versicherten zur Vorlage sämtlicher an seinen K o m m i s s i o n ä r gerichteten Ordrebriefe z u m Beweis dafür, daß er bei Vertragsschluß über den i n z w i s c h e n eingetretenen Schiffsuntergang n i c h t i n f o r m i e r t w a r . D i e den Assecuranzordnungsentwurf 1721/22 m i t p r ä g e n d e O r d o n n a n t i e v a n de Zeevart 1563 (Tit. V I I , A r t . 4) verbietet die Versicherung auf b e k a n n t e n U n t e r g a n g uneingeschränkt: „gheen asseurantien .. op schepen, goeden .., n i e t uitghesondert, die ten tyde v a n der asseurantie sullen wesen ghepericliteert". A u c h die ältere Seerechtsliteratur u n d die Rota Genuensis sehen das o b j e k t i v e „ p e r i c u l u m f u t u r u m " als Wesensmerkmal der Assecuranz an: „Re deperdita aut salva n o n adest Subjectum, super 101

Ebd., S. 123. H. Coing , Rechtsvergleichung als G r u n d l a g e v o n Gesetzgebung i m 19. J a h r h u n dert, i n : l u s Commune, B a n d V I I (1978), S. 160ff., 162. 103 Staatsarchiv H a m b u r g , R e i c h s k a m m e r g e r i c h t , R 18. 102

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q u o d assecuratio f i e r i potest. S u s c i p i u n t (assecuratores) i n se p e r i c u l u m f u t u r u m n o n p r a e t e r i t u m , q u a n d o q u i d e m Contractus assecurationis est contractus conditionis, at n a t u r a c o n d i t i o n i s est inspicere f u t u r u m casum n o n p r a e t e r i t u m " 1 0 4 . V o n dieser a p o d i k t i s c h e n Auffassung, die f ü r die W i r k s a m k e i t der Assecuranz auch n i c h t den s u b j e k t i v e n M a n g e l der K e n n t n i s der Vertragsparteien v o m E i n t r i t t des Versicherungsfalles genügen läßt, nehmen die meisten Assecuranzgesetze des 17. u n d 18. Jahrhunderts A b s c h i e d u n d gestatten die Versicherung eines bereits i n See v e r u n g l ü c k t e n Gegenstandes u n t e r der Voraussetzung beiderseitiger G u t g l ä u b i g k e i t , aber m i t z w e i Besonderheiten, die das A d m i r a l i t ä t s g e r i c h t i n Rendtorff c. B r a n d t i n sehr eigenständiger W e r t u n g n i c h t akzeptiert: S o w o h l n a c h den Assecuranzordnungen v o n M i d d e l b u r g (1689), R o t t e r d a m (1721) u n d A m s t e r d a m (1598/1603) als auch n a c h den Genuesischen Statuten 1610, l i b . IV, cap. 17 („post casum sinistrum secutum t a l i tempore"), n a c h der spanischen Recopilation de ley es de los reynos de las Indias 1681 (torn. I V , L i b . I X , t i t . 39, ley 7) u n d n a c h der Ordonnance de la m a r i n e 1681, l i v . I I I , t i t . 6, § 39, obliegt der Nachweis, daß der Versicherte den E i n t r i t t des Schadensfalles k a n n t e oder hätte kennen können, n i c h t dem Assecuradeur, sondern w i r d d u r c h die u n w i d e r l e g l i c h e gesetzliche V e r m u t u n g ersetzt, daß die N a c h r i c h t m i t einer G e s c h w i n d i g k e i t v o n 3 M e i l e n auf 2 S t u n d e n bzw. 1 Vi M e i l e n auf 1 Stunde oder v o n 1 - 2 M e i l e n auf 1 Stunde v o m U n g l ü c k s o r t z u m O r t des Versicherungsabschlusses gelangt. N a c h der Rechtsprechung französischer Seegerichte ist die V e r m u t u n g auch n i c h t d u r c h den Nachweis des klagenden Versicherten, daß das E i n t r e f f e n der U n g l ü c k s n a c h r i c h t zur Z e i t des Vertragsschlusses o b j e k t i v u n m ö g l i c h w a r , zu widerlegen, sondern es b l e i b t bei dem Grundsatz: „ L e s présomptions j u r i s et de j u r e ne peuvent être détruites, et l a p a r t i e contre q u i elles m i l i t e n t , n'est pas admise à p r o u ver le c o n t r a i r e " 1 0 5 . Diese praesumtio i u r i s l e h n t das A d m i r a l i t ä t s g e r i c h t ab u n d differenziert stattdessen danach, ob die W a h r s c h e i n l i c h k e i t n a c h dem P a r t e i v o r t r a g eher gegen oder eher f ü r den M a n g e l der K e n n t n i s des Versicherten b z w . Versicherungskommissionärs s p r i c h t u n d erlegt dementsprechend den Parteien Beweis oder Gegenbeweis der behaupteten K e n n t n i s auf. Diese Auffassung v e r t r i t t das G e r i c h t i n gefestigter Rechtsprechung auch i n anderen Verfahren 1726 u n d 1 7 2 7 1 0 6 u n d sehr konsequent i n Fällen, i n denen die K e n n t n i s des Versicherten n a c h dem Sachverhalt p r a k t i s c h ausgeschlossen ist S t r a n d u n g des zu versichernden Schiffes v o r der holländischen K ü s t e a m N a c h m i t t a g v o r dem Tag, an d e m morgens i n H a m b u r g die Police gezeichnet 104 Rota Genuensis, decis. 36, n. 9, z i t i e r t n a c h E m é r i g o n , ν. I I , ch. 15, sect. 2; L o c cenius, l i b . 2, cap. 5, § 8. 105 E m é r i g o n , v . I I , ch. 15, sect. 4, § 2 m . w . N . 106 Z . B . J a n t z e n c. W a t k i n s o n , Klefeker, B d . V I I , S. 405f.

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w i r d 1 0 7 - ; hier verzichtet das G e r i c h t g ä n z l i c h auf weitere Beweiserhebung u n d v e r u r t e i l t die Assecuradeure uneingeschränkt zur Z a h l u n g der Versicherungssummen. D i e zweite Besonderheit der genannten zeitgenössischen Assecuranzgesetze liegt darin, daß die praesumtio iuris (nur dann) entfällt, w e n n die Police „ o p goede ende quade t y d i n g " / „ l o s t or n o t l o s t " / „ a u f gute oder schlechte N a c h r i c h t e n " gezeichnet ist; diese K l a u s e l verlagert bei behaupteter K e n n t n i s v o m Schadenseintritt die Beweislast i n v o l l e m U m f a n g auf den Assecuradeur. Dieser z w i n g e n d e n K o n n e x i t ä t u n d der n i c h t einzelfallbezogenen Beweislastverteilung w i d e r s p r i c h t das A d m i r a l i t ä t s g e r i c h t i n seinen Entscheidungen i n Rendtorff c. B r a n d t (1725), i n Jantzen c. W a t k i n s o n (1726) u n d i n Peinhorst c. Meckenhauser (1721). D e r u n m i t t e l b a r e E i n f l u ß dieser Rechtsprechung auf die K o d i f i k a t i o n der H a m b u r g i s c h e n Assecuranz- u n d H a v a r e i o r d n u n g läßt sich an H a n d folgender Gegenüberstellung zeigen: I n A r t . 11 des Assecuranzordnungsentwurfs 1721/22 heißt es f ü r die Versicherung auf ein verunglücktes Schiff noch: „ W e r aber i n solchen z w e i felhaften f a l l assecurantz t h u n lassen w i l l , der soll i n der Police die C o n d i t i o setzen: A u f gute oder böse Z e i t u n g , welche C o n d i t i o n z w a r i n allen assecurancien allgemein ist, aber i n diesem f a l l soll sie expresse wiederholet, u n d ausgedrücket w e r d e n " . U n t e r V e r z i c h t auf die „lost or n o t lost " - K l a u s e l b e s t i m m t die Assecuranz- u n d H a v a r e i o r d n u n g dagegen i n der Endfassung des T i t . V, A r t . 9 i n einer F o r m u l i e r u n g , die i m Obersatz w ö r t l i c h den einschlägigen Entscheidungen des A d m i r a l i t ä t s g e r i c h t s entspricht: „ I s t ein Schiff, z u r Zeit, da die Assecuranz geschiehet, bereits vergangen oder v e r l o ren, u n d k a n n der Assecurirte allenfalls e y d l i c h erhärten, daß er v o n dem Schaden u n d Verlust des Schiffes, zu der Z e i t , da er die Versicherung t h u n lassen, oder solche z u t h u n befohlen, nichtes gewußt; so h a t die Assecuranz, w a n n sie eher geschlossen w o r d e n , als der Assecurirte N a c h r i c h t v o n dem Schachen erhalten, oder, falls derselbe ausserhalb Landes sich befindet, ehe solche N a c h r i c h t v o n i h m hieher geschrieben u n d a l l h i e r k u n d w e r d e n k ö n nen, an beyden Seiten ihre R i c h t i g k e i t , u n d müssen die Assecuradeurs den Schaden, i h r e r V e r p f l i c h t u n g gemäß, bezahlen". D e r E i n f l u ß der Rechtsprechung des A d m i r a l i t ä t s g e r i c h t s ist auch erkennbar i n der E n t w i c k l u n g des versicherungsrechtlich essentiellen Begriffs des „Interesse", der i n der H a m b u r g i s c h e n Assecuranz- u n d H a v a r e i o r d n u n g f ü r den Hanseatischen Seerechtskreis erstmals dogmatisch gesicherte K o n t u r e n erhält. Das A d m i r a l i t ä t s g e r i c h t h a t 1656 i n H ü b n e r c. v o n der K r e n t z e 1 0 8 über eine K l a g e auf Z a h l u n g der Versicherungssumme aus einer Police zu ent107 Beispiel: Clamer c. S c h n i t t l e r , P r o t o c o l l u m A d m i r a l i t a t i s 15.2. 1748/28.3. 1748, i n : Staatsarchiv H a m b u r g , Senat Cl. V I I , L i t . M a , N o . 6, Vol. l b . 108 S t a a t s a r c h i v H a m b u r g , A d m i r a l i t ä t s k o l l e g i u m A 13.

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scheiden, i n der ein bereits i n See gegangenes Schiff „ m i t oder ohne I n t e r esse" gegen eine Prämie v o n 75% versichert w a r . Das G e r i c h t verzichtet auf eine K l a g a b w e i s u n g a l i m i n e , verlangt v i e l m e h r den Nachweis der bestrittenen P r ä m i e n z a h l u n g u n d d o k u m e n t i e r t dadurch, daß es eine Versicherung auf Noninteresse bzw. eine Wettassecuranz - die dem F a l l zugrundelag n i c h t a p r i o r i f ü r unzulässig h ä l t . Diese Auffassung ist z u m T e i l d a m i t zu erklären, daß i m Z e i t p u n k t der E n t s c h e i d u n g i n H a m b u r g noch k e i n Gesetz den M a n g e l eines legalen versicherten Interesses k r i t i s i e r t ; erst i m 18. J a h r h u n d e r t n o r m i e r t der H a m b u r g i s c h e Senat d u r c h M a n d a t e die U n v e r b i n d l i c h k e i t v o n W e t t e n u n d die Unzulässigkeit v o n K l a g e n aus Spiel- u n d W e t t f o r d e r u n g e n 1 0 9 . D i e zeitgenössischen ausländischen Assecuranzordnungen, die w i e z.B. die O r d o n n a n t i e v a n de Zeevart 1563 (Tit. V I I , A r t . 4), die Assecuranzordnungen v o n M i d d e l b u r g 1689 (Art. 2) u n d v o n R o t t e r d a m 1721 (Art. 28) die Wettassecuranz verbieten, v e r k n ü p f e n das Verbot weniger m i t dem fehlenden versicherten Interesse als v i e l m e h r m i t der Unzulässigk e i t v o n „ w e d d i n g s c h a p p e n " oder „ W e d d i n g e v a n Rysen" i n einem Vertrag, der der Sicherung gegen Seegefahren u n d -Verluste dient. V o r a l l e m w i r d der Begriff „Interesse" n o c h n i c h t dogmatisch erfaßt u n d k o d i f i z i e r t . I n diesem Sinne bieten einen Ansatz f ü r die A b g r e n z u n g zur Wettassecuranz die Genuesischen S t a t u t e n 1610, l i b . I V , cap. 17: „Securitatës n o n possint f i e r i p r o se, neque p r o aliis, nisi extet risicum , v e l i n mercibus, v e l i n navigiis, v e l rebus quibusvis assecuratis mediaté, v e l immediaté, p r i n c i p a l i ter, v e l i n d i r e c t é " . D e r t e r m i n u s technicus „Interesse" w i r d hier z w a r noch m i t dem Begriff des Risikos umschrieben; erkennbar ist jedoch, daß der Versicherungsvertrag ein bereits bestehendes direktes oder indirektes Sicherungsinteresse voraussetzt, w ä h r e n d ein erst d u r c h den V e r t r a g begründetes Interesse - m i t der bloßen A b s i c h t der G e w i n n e r z i e l u n g b e i E i n t r i t t der Seegefahr - dem Z w e c k der Assecuranz z u w i d e r l ä u f t . U m die Wende z u m 18. J a h r h u n d e r t ist eine i m m e r n o c h kasuistisch geprägte K o n k r e t i s i e r u n g des Begriffs des n o t w e n d i g e n Interesses i n A b g r e n z u n g z u r Wettassecuranz i n der A d m i r a l i t ä t s j u d i k a t u r zu beobachten, die sich i n Langenbeck's Assecuranzordnungsentwurf 1721/22, A r t . 9, so niederschlägt: „Es k a n n i e m a n d assecurantz t h u n lassen, es sey den daß E r w ü r c k l i c h effecten, Interesse oder Risigo, entweder selbst, oder auf ordre v o n andere, bey dem Schiff habe, sonst ist die assecurantz an sich n u l l u n d n i c h t i g " . I n Entscheidungen zwischen der Vorlage des E n t w u r f s u n d dem I n k r a f t t r e t e n der Assecuranz- u n d H a v a r e i o r d n u n g , z.B. i n Peinhorst c. M e c k e n h a u s e r 1 1 0 u n d i n Schrack c. H a l s e y 1 1 1 , v e r d i c h t e t sich dagegen die Rechtsprechung des A d m i r a l i t ä t s g e r i c h t s a l l e i n auf den B e g r i f f des 109 110

m

Frentz, S. 146 m . w . N . S t a a t s a r c h i v H a m b u r g , R e i c h s k a m m e r g e r i c h t , Ρ 11. Klefeker, B d . V I I , S. 553 ff.

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bestimmten, i n G e l d schätzbaren Interesses, u n d i n dieser gegenüber dem E n t w u r f k o n z e n t r i e r t e n Terminologie findet er i n Gestalt des „ w ü r c k l i c h e n Interesse" E i n g a n g i n die Endfassung der Assecuranz- u n d H a v a r e i o r d n u n g (Tit. X I I I , A r t . 2 u n d T i t . I I , A r t . 3). A n dieser Stelle ist auch n o c h e i n m a l das Verfahren L e m v i g c. diverse Assecuradeure zu nennen, i n dem das A d m i r a l i t ä t s g e r i c h t i n seiner E n t scheidung 1726 gegen Langenbeck's Assecuranzordnungsentwurf (Art. 12) v o t i e r t u n d u n m i t t e l b a r der B e s t i m m u n g i n T i t . I V , A r t . 9 der Assecuranz u n d H a v a r e i o r d n u n g 1731 den Weg bereitet. D i e gezeigten Beispiele sollen verdeutlichen, daß die Endfassung der Assecuranz- u n d H a v a r e i o r d n u n g n i c h t auf schrankenloser Ü b e r n a h m e überwiegend ausländischer Seegesetze beruht, sondern diese Gesetze i n der F o r m verarbeitet, die sie - abgesehen v o n dem B e i t r a g der Seerechtswissenschaft - i n der r i c h t e r r e c h t l i c h differenzierten Rezeption d u r c h das A d m i r a l i t ä t s g e r i c h t gefunden haben. Ü b e r die Hamburgische Assecuranz- u n d H a v a r e i o r d n u n g 1731 hat die Rechtsprechung des A d m i r a l i t ä t s g e r i c h t s m i t t e l b a r auch auf andere Seer e c h t s k o d i f i k a t i o n e n des 18. Jahrhunderts g e w i r k t . Schon i n der Praefatio der Assecuranz- u n d H a v a r e i o r d n u n g m i ß t der Hamburgische Senat dem neuen Gesetz n i c h t n u r G e l t u n g f ü r H a m b u r g zu, sondern begründet das hinausgeschobene I n k r a f t t r e t e n (am 1. Januar 1732) d a m i t , daß das Gesetz „ n o t h w e n d i g e r Weise i n fremden Orten vorhero b e k a n n t gemacht w e r d e n m u ß " . Zeitgenössische Quellen bezeichnen die Hamburgische Assecuranz- u n d H a v a r e i o r d n u n g als „ M u s t e r i h r e r A r t " , die als unmittelbares V o r b i l d bei den Kodifikationsarbeiten für die Assecuranzu n d H a v a r e i o r d n u n g f ü r sämtliche K ö n i g l . Preußischen Staaten 1766, f ü r die Amsterdamer O r d n u n g „ V a n Assurantie en A v a r y e " v o n 1744, f ü r die Dänischen Assecuranzbedingungen v o n 1746 u n d f ü r die Schwedische O r d n u n g „ F ö r s ä k r i n g s - och H a w e r i - S t a d g a , A r t . ,Om F ö r s ä k r i n g ' " v o n 1750 herangezogen w i r d 1 1 2 . Gesetzgeberische Parallelentscheidungen sind beispielsweise festzustellen i n der Schwedischen Assecuranzordnung 1750, T i t . V o n Assecuranzen, A r t . 9, 10, 11 u n d i n der H a m b u r g i s c h e n Assecuranzu n d H a v a r e i o r d n u n g 1731, T i t . Χ , X V I I I , X I - das Schwedische Recht ü b e r n i m m t auch den Gedanken der n a c h versicherbaren Interessen differenzierten M u s t e r p o l i c e n aus der H a m b u r g i s c h e n O r d n u n g - , i n der Preußischen Assecuranz- u n d H a v a r e i o r d n u n g 1 7 6 6 , § § 4 0 , 4 6 u n d i n der H a m b u r g i s c h e n Assecuranz- u n d H a v a r e i o r d n u n g T i t . I I , A r t . 4 u n d T i t . V, A r t . 7,8, sowie i n der A m s t e r d a m e r Assecuranzordnung 1744, A r t . 7 , 1 4 - 1 6 , 1 7 , 5 8 - 6 1 u n d i n 112 Staatsarchiv H a m b u r g , Senat Cl. V I I , L i t . L b , No. 2, Vol. 7 a; H a m m a c h e r , S. 60f., 66f.; K l e f e k e r , Bd. I, S. 8, Bd. V I I , S. 505; Pohls, Assecuranzrecht, S. 18; Schemer, i n : l u s C o m m u n e , B a n d V I I (1978), S. 121f.

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der H a m b u r g i s c h e n Assecuranz- u n d H a v a r e i o r d n u n g T i t . I I I , A r t . 3, T i t . I I I , A r t . 1 u n d T i t . X , T i t . I I I , A r t . 2, T i t . I, A r t . 1 u n d T i t . I, A r t . 3. V i e l l e i c h t hat sogar ein U r t e i l des A d m i r a l i t ä t s g e r i c h t s d i r e k t auf die i n h a l t l i c h e F o r m u l i e r u n g einer V o r s c h r i f t der A m s t e r d a m e r Assecuranzordnung 1744 Einfluß genommen. I n deren A r t . 4 ist der Begriff des Ladungsortes i n der Police n i c h t n u r als „circumjacentien" des Abgangshafens, sondern präziser - auch präziser als i n den eigenen niederländischen V o r b i l d r e gelungen - definiert als „ n i e t alleen de Plaats der Ladinge, m a a r ook de Zeegaten en Zeehavens, en voorts alle de Tonnen, Bakens, of diegelyke Teekenen, zoo daar eenighe moghen zyn, t o t dat de Scheepen dezelve sullen z y n gepasseert". V o n dieser Ratio w a r das A d m i r a l i t ä t s g e r i c h t auch i n B u r m e ster c. H ö c k e l ausgegegangen, einem der m e i s t z i t i e r t e n U r t e i l e des Gerichts ü b e r h a u p t 1 1 3 . D a zwischen dem H a m b u r g i s c h e n A d m i r a l i t ä t s g e r i c h t u n d den verschiedenen holländischen A d m i r a l i t ä t e n u n d Seegerichten ein B r i e f k o n t a k t b e s t a n d 1 1 4 , da ferner die Richter der holländischen Assecuranzkamm e r n u n d A d m i r a l i t ä t e n beratend an der A u s a r b e i t u n g der A m s t e r d a m e r Assecuranzordnung 1744 m i t w i r k t e n 1 1 5 , k a n n eine W e c h s e l w i r k u n g z w i schen der neueren A d m i r a l i t ä t s e n t s c h e i d u n g i m Verfahren Burmester c. H ö c k e l 1731, dem älteren U r t e i l der A m s t e r d a m e r Assecuranzkammer v o m 23.1. 1699, die ä h n l i c h w i e das A d m i r a l i t ä t s g e r i c h t tenoriert, u n d der E n d fassung der A m s t e r d a m e r Assecuranzordnung 1744, A r t . 4, n i c h t ausgeschlossen werden.

V. I m B l i c k auf die zahlreichen Beispiele f ü r W i r k u n g e n der H a m b u r g i s c h e n A d m i r a l i t ä t s j u d i k a t u r auf das zeitgenössische R e c h t s - U m f e l d soll abschließend die Eingangsfrage n o c h e i n m a l gestellt werden. „ N o n sibi sed o r b i " Programm, A n s p r u c h , W i r k l i c h k e i t ? Offensichtlich haben seit G r ü n d u n g des A d m i r a l i t ä t s g e r i c h t s 1623 seine M i t g l i e d e r n a c h einer L e i t v o r s t e l l u n g gehandelt, die m a n d a h i n zusammenfassen k a n n , daß seerechtliche Rechtsprechung der oft grenzüberschreitenden F ö r d e r u n g der Rechtssicherheit u n d S t r e i t s c h l i c h t u n g n u r d a n n w i r k sam dient, w e n n sie die Beschränkungen der lex f o r i ü b e r w i n d e t . D i e B r ü c k e zwischen den l o k a l e n Seegesetzen u n d den analogiefähigen ausländischen 113 Vgl. n u r K l e f e k e r , Bd. V I I , S. 456ff., 548ff., 590f.; Benecke, Bd. I I , S. 216f.; Pohls, Assecuranzrecht, S. 383, Fußnote 3; F. Plaß, Geschichte der Assecuranz u n d der Hanseatischen Seeversicherungsbörsen H a m b u r g , B r e m e n u n d L ü b e c k , H a m b u r g 1902, S. 63 ff. 114 S t a a t s a r c h i v H a m b u r g , Senat Cl. V I I , L i t . Ca, No. 2, Vol. l b (Nr. 91). 115 S. Lammel, D i e Gesetzgebung des Handelsrechts, i n : H a n d b u c h der Q u e l l e n u n d L i t e r a t u r der neueren europäischen Privatrechtsgeschichte, hg. v o n H . Coing, B a n d I I , 2, M ü n c h e n 1976, S. 571 ff., 774.

Seerechtsentwicklung durch Seerechtsprechung

159

Regelungsmodellen b i l d e t dabei n i c h t n u r das kaufmännische Gewohnheitsrecht i n Gestalt der i n t e r n a t i o n a l e n Usancen oder C o u t u m e n der See; die Richter des H a m b u r g i s c h e n A d m i r a l i t ä t s g e r i c h t s setzen sich auch ohne Verm i t t l u n g des Gewohnheitsrechts i m Wege der Rechtsvergleichung d i r e k t m i t den K o n f l i k t l ö s u n g s i d e e n fremder Seerechte auseinander. D a m i t korrespondiert die Beobachtung, daß auch n i c h t rechtsgelehrte kaufmännische - M i t g l i e d e r des Gerichts sich auswärtiges Seerecht erschließen, i n d e m sie p r i v a t e Gesetzessammlungen anlegen (z.B. m i t den Amsterdamer Assecuranzordnungen, der O r d o n n a n t i e v a n de Zeevart P h i l i p p s I I . v o n 1563 u n d i n der Fassung v o n 1570/1571, der I n s t r u k t i o n f ü r den ersten niederländischen Dispacheur Diego Gonzales Gante v o m 11. O k t o b e r 1570) 1 1 6 . W ä h r e n d i n der Aufbauphase des Gerichts diese bewußte Rechtsvergleic h u n g n o c h die Erschließung ergänzender Rechtsquellen - neben den H a n seatischen Seerechten - z u m Z i e l u n d d a m i t den E i n f l u ß fremder Seerechte auf Hamburgische Rechtsfindung zur Folge hat, verursacht die Rechtsprechung des A d m i r a l i t ä t s g e r i c h t s i m Laufe einer gefestigten Gerichtspraxis wegen der differenzierten B e h a n d l u n g der rezipierten Rechtsquellen w i e d e r u m eine R ü c k w i r k u n g auf die Rechtsprechung anderer Seegerichte, auf die Seerechtswissenschaft bis ins 19. J a h r h u n d e r t u n d auf die seerechtliche Gesetzgebung des 18. Jahrhunderts. I m Jahr 1690 muß der Satz „ n o n sibi sed o r b i " mindestens als Programmsatz u n d Leitidee des H a m b u r g i s c h e n A d m i r a l i t ä t s g e r i c h t s verstanden werden; die tatsächliche W i r k u n g seiner Rechtsprechung ist zweifellos schon damals w e s e n t l i c h umfassender gewesen, als es einer ins Bescheidene abgewandelten I n s c h r i f t „ n o n s i b i sed u r b i " auf dem Portugaleser entsprochen hätte.

116 Vgl. beispielsweise die p r i v a t e n Gesetzessammlungen der A d m i r a l i t ä t s m i t g l i e der J o h a n n v. Spreckelsen 1624 ( C o m m e r z b i b l i o t h e k H a m b u r g S / 4 6 8 ) u n d P a u l Jenisch 1720 (Staatsarchiv H a m b u r g , Senat Cl. V I I , L i t . Ca, No. 2, V o l . l b , N r . 90).

C H R I S T O P H E R P. R O D G E R S

Continental Literature and the Development of the Common L a w by the King's Bench: c. 1750 - 1800 L o r d M a n s f i e l d (Chief Justice of K i n g ' s Bench 1756 - 1788) has t r a d i t i o n a l l y been regarded as the " c r e a t o r " of E n g l i s h commercial l a w 1 . To t a l k of Mansfield, however, as the " f o u n d e r " or " c r e a t o r " of E n g l i s h commercial l a w p r o b a b l y overstates his achievement. W h i l e he u n d o u b t e d l y c o n t r i b u t e d greatly to the f o u n d a t i o n , for the first time, of a systematic b o d y of mercant i l e jurisprudence i n the c o m m o n l a w , he was nonetheless n o t an o r i g i n a l t h i n k e r . M a n y of the principles absorbed i n t o the c o m m o n l a w d u r i n g this p e r i o d were derived f r o m c o n t i n e n t a l l e a r n i n g on the l a w merchant a n d jus gentium. This influence was p a r t i c u l a r l y m a r k e d i n m e r c a n t i l e cases, b u t was also evident i n cases w i t h a " p u b l i c " i n t e r n a t i o n a l l a w element, a n d i n the development of the p r i v a t e l a w of obligations.

L a w and Fact in Commercial Cases As a p r e l i m i n a r y to any study of the commercial l a w of this period, a n d of the role p l a y e d b y c o n t i n e n t a l literature, i t is necessary to l o o k at the f u n c t i o n of the j u r y , a n d the r e l a t i o n s h i p between questions of l a w a n d fact i n commercial cases. I n the mediaeval p e r i o d the l a w merchant h a d been administered i n its o w n special courts, e.g. the p i e p o w d e r courts, a n d A d m i r a l t y . D u r i n g the sixteenth a n d seventeenth centuries, the developing a c t i o n of assumpsit p r o v i d e d a mechanism b y w h i c h m e r c a n t i l e custom c o u l d be recognised b y the c o m m o n l a w . The courts began to accept t h a t custom c o u l d be proved, as a question of fact, to f o u n d a legal d u t y i n an a c t i o n on the case. The use of juries i n commercial cases, to adjudicate on questions of fact, was n o t n e w i n Mansfield's time. They h a d been used sporadically since at least the b e g i n n i n g of the seventeenth century, a n d b y an A c t of 1730 each p a r t y was e n t i t l e d to a special j u r y for the t r i a l of any issue, p r o v i d e d he p a i d the 1 A r e p u t a t i o n w h i c h goes b a c k t o the w e l l - k n o w n discourse of his c o n t e m p o r a r y , J. B u l l e r i n Lickbarrow v. Mason (1787) 2 T. R. 63 at 73.

11 Piergiovanni

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Christopher P. Rodgers

expenses i n c u r r e d 2 . L o r d M a n s f i e l d i n s t i t u t i o n a l i s e d the system, a n d used special juries of merchants i n most commercial cases. I f an i m p o r t a n t p r i n c i ple was at issue, his practice was to direct the j u r y to state a case for the o p i n i o n of the court, w h i c h c o u l d t h e n translate the m e r c a n t i l e custom a p p l i e d at t r i a l i n t o a rule of l a w for f u t u r e cases. A c c o r d i n g to the t r a d i t i o n a l theory, mercantile custom was i n this w a y i n c o r p o r a t e d i n t o the comm o n l a w , w i t h o u t at the same t i m e losing its f l e x i b i l i t y to adapt to changing commercial practice 3 . U n d e r Mansfield's guidance, the courts ceased to treat mercantile custom as a m a t t e r of fact a n d evidence, a n d began to treat i t as a source of legal obligation. F o r this reason, M a n s f i e l d is n o r m a l l y recognised as h a v i n g engineered the a b s o r p t i o n of the l a w merchant i n t o the common law. Recent scholarship was suggested t h a t the process of i n c o r p o r a t i o n was i n fact more complex. J. H. Baker has s h o w n 4 t h a t the c o m m o n l a w courts did take cognizance of mercantile custom before 1700, a n d p r o v i d e d remedies i n commercial cases t h r o u g h the e x i s t i n g forms of a c t i o n at c o m m o n l a w . The a c t i o n of onerabilis assumpsit p r o v i d e d a remedy based on the l a w m e r chant, custom i n this instance being expressly pleaded to f o u n d an o b l i g a t i o n to pay. Custom c o u l d also be i n v o k e d at t r i a l i n a general assumpsit declaration, to support the i m p l i c a t i o n of an u n d e r t a k i n g to pay on the facts of the case, a l t h o u g h there m i g h t be no m e n t i o n of custom on the face of the pleadings. Customs " i n c o r p o r a t e d " i n this w a y were n o t regarded b y cont e m p o r a r y lawyers as i m p o r t a t i o n s f r o m a coherent b o d y of i n t e r n a t i o n a l l a w - the " l a w m e r c h a n t " . F o r this reason, foreign treatises on m a r i t i m e and commercial l a w seem to have been rarely quoted before E n g l i s h courts before the eighteenth century. The i n c o r p o r a t i o n of the l a w merchant h a d begun i n the sixteenth a n d seventeenth centuries; i t was s i m p l y t h a t before Mansfield's t i m e i t h a d n o t manifested itself i n the development of a b o d y of rules w i t h i n the c o m m o n l a w itself. The use of special juries a n d the case stated procedure was the mechanism b y w h i c h this change c o u l d occur. I t is n o w possible, using the evidence p r o v i d e d b y Mansfield's o w n Judge's Notebooks, to analyse more closely the w a y i n w h i c h the transform a t i o n of m a n y issues f r o m the r e a l m of fact to t h a t of l a w t o o k place 5 . I t is evident f r o m the Notebooks t h a t the use of special juries became a regular 2

3 Geo. I I c. 25. See, i n t e r alia: Fifoot, L o r d M a n s f i e l d , p. 104ff.; Holden, H i s t o r y of N e g o t i a b l e I n s t r u m e n t s i n E n g l i s h L a w , p. 114ff.; Holdsworth, H i s t o r y of E n g l i s h L a w I, p. 572; Scrutton, 3 Select Essays i n A n g l o - A m e r i c a n L e g a l H i s t o r y , p. 13. 4 L a w M e r c h a n t a n d the C o m m o n L a w before 1700 (1979) C. L . J. 295. 5 Mansfield's N o t e b o o k s were discovered at Scone Palace, Perth, i n 1967. T h e y cont a i n m o s t l y notes of evidence i n cases h e a r d before M a n s f i e l d i n K i n g ' s Bench, made i n his o w n hand. F o r a general description, see E. Heward, L o r d Mansfield's N o t e b o o k s (1976) 92 L . Q. R. 438 - 455. Some of the N o t e b o o k s are missing, b u t they otherwise p r o v i d e a record of cases heard before M a n s f i e l d b e t w e e n 1756 a n d 1786. 3

C o n t i n e n t a l L i t e r a t u r e a n d the D e v e l o p m e n t of the C o m m o n L a w

163

Table 1 Commercial cases heard before Lord Mansfield 1 7 5 7 - 1 7 8 6 (excluding those heard on circuit) Sub j ect Bills of

Matter

Bill Charter-

of

Ransom

Seamens

party

Lading

contracts

Wages

2

1

Insurance E x c h a n g e

Maritime Salvage

Collision

2

1757 1758

2

1759

8

1 1 1

1760 1761

9

1762

7

1 1

1 1

1763

7

1

1764

12

3

1765

3

3

1766

3

1

2

4 1 1

1767

(Notebooks c o v e r i n g 1767 missing)

1768

1

6

1769

6

3

1770

5

12

1771

1

3

1772

12

4

1773

3

2

1774

1 4

1 1

1 (Notebooks covering 1774 a n d 1775 missing)

1775 10

1776

8

1777

9

3

1778

18

11

3

3

1

1779 1780 1781

38

21

1

1782

25

20

1

1783

10

17

1784

11

12

1785

1 2

3

1

1

(Notebooks c o v e r i n g 1785 missing) 3

1786

Source: Lord Mansfield's Judges Notebooks, Scone Palace, Perth.

feature of K i n g ' s B e n c h procedure soon after Mansfield's a p p o i n t m e n t 1756. T h e f i r s t r e c o r d e d a c c o u n t o f h i s r e l a t i o n s h i p w i t h t h e j u r o r s g i v e n i n Lewis

v . Rucker

β (1761) 2 B u r r . 1167. 1*

in

was

(1761)6, b u t special juries h a d clearly become a

164

Christopher P. Rodgers

c o m m o n feature before this. The first case i n w h i c h M a n s f i e l d n o t e d the presence of a j u r y i n his N o t e b o o k was Green v. Rucker (8th December 1759) 7 . H e n o t e d on this occasion t h a t " b u t five of the special j u r y appeared", i n d i c a t i n g perhaps t h a t t h e i r use was n o t at this stage w e l l established. The presence of a j u r y is evidenced b y the Notebooks i n one other case i n 1759 (Gardiner v. Croasdale 8), and i n one case i n 1762 (Green v. Butler 9). F r o m J u l y 1766 onwards, the presence of a special j u r y i n v i r t u a l l y every commercial case i n the K i n g ' s Bench is i n d i c a t e d b y a standard entry to this effect i n the headnote of each commercial case noted i n the N o t e b o o k s 1 0 . The use of juries h a d become standard practice b y 1766, a n d remained so for the n e x t t w e n t y years. The process b y w h i c h the juries' findings of fact became l a w i n v o l v e d more t h a n t h e i r simple i n c o r p o r a t i o n , wholesale, i n t o the c o m m o n l a w . To have done so w o u l d have sacrificed the f l e x i b i l i t y of customary rules, for once i n c o r p o r a t e d i n t o the l a w they w o u l d , n a t u r a l l y , be subject to the rule of stare decisis. O n the other hand, L o r d M a n s f i e l d recognised t h a t a p r i m a r y p o l i c y of the l a w m u s t be to p r o m o t e c e r t a i n t y i n commercial transactions. He reconciled the c o n f l i c t i n g interests of f l e x i b i l i t y a n d c e r t a i n t y b y i n c o r p o r a t i n g i n t o the c o m m o n l a w the general principles of the l a w m e r chant, w h i l e at the same t i m e l e a v i n g a large n u m b e r of subsidiary matters as questions of fact for the j u r y . This p o l i c y i n commercial cases was o u t l i n e d b y B u l l e r J. i n Lickbarrow v. Mason, w h o tells us t h a t before M a n s field's time, " . . . i n courts of l a w a l l the evidence i n m e r c a n t i l e cases was t h r o w n together; they were left to a j u r y a n d they p r o d u c e d no established p r i n c i p l e . F r o m t h a t t i m e w e a l l k n o w the great study has been to f i n d some certain general principles w h i c h shall be k n o w n to a l l m a n k i n d , n o t o n l y to r u l e the p a r t i c u l a r case under consideration, b u t to serve as a guide for the future. The p r i m a r y objective was to b r i n g certainty i n t o mercantile transactions - something w h i c h c o u l d n o t be achieved where the issue was left entirely to the j u r y , f r o m whose general v e r d i c t i t w o u l d be impossible to e l i c i t any p r i n c i p l e to govern f u t u r e cases" 1 1 . C e r t a i n t y was so i m p o r t a n t t h a t M a n s f i e l d f r e q u e n t l y directed a case to be stated for the o p i n i o n of the court, even w h e r e the issue was n o t i n d o u b t 1 2 . The desire for c e r t a i n t y came 7

N o t e b o o k , Vol. 455, 8 Dec. 1759 - 19 Feb. 1760. N o t e b o o k , V o l . 455 i b i d . p. 66. 9 N o t e b o o k , Vol. 458, 22 Feb. 1762 - 9 June 1762, p. 51. 10 A s t a n d a r d e n t r y , "S. J u r y " , is made i n the h e a d i n g of each case e n t r y i n the Notebooks, s t a r t i n g w i t h Webster v. Edie (2 J u l y , 1766) (Vol. 456, 17 M a y 1766 - 2 Dec. 1766). n (1787) 2 T. R. 63 at 73. 12 See Hankey v. Jones (1778) 2 C o w p . 745 at 750. A l s o M a n s f i e l d ' s comments i n Vallejo v. Wheeler (1774) 1 C o w p . 145: " I t is n o t easy to collect w i t h c e r t a i n t y f r o m the general v e r d i c t , or f r o m notes t a k e n at Nisis Prius, w h a t was the t r u e g r o u n d of decision. Therefore i n t h i s case, as i n a l l d o u b t f u l cases, I w i s h e d a case t o be made for the o p i n i o n of the c o u r t " (at p. 153). 8

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also f r o m the merchants themselves. I n a n u m b e r of cases, M a n s f i e l d n o t e d i n his N o t e b o o k t h a t he h a d given leave for a case to be stated at the request of jurors a n d witnesses, often where the issue was n o t i n d o u b t 1 3 . Once a r u l e of l a w was settled, however, the role of the j u r y was at an e n d 1 4 . The nature, a n d generality, of m a n y of the rules i n c o r p o r a t e d f r o m the l a w merchant meant t h a t the j u r y r e t a i n e d an i m p o r t a n t role i n t h e i r a p p l i c a t i o n to i n d i v i d u a l cases. M a n y of these rules were 'open t e x t u r e d ' , i n t h a t t h e i r f u t u r e a p p l i c a t i o n c o u l d change i n accordance w i t h c h a n g i n g m e r c a n t i l e m o r a l i t y a n d practice. I t was established, for instance, t h a t the indorsee of a negotiable i n s t r u m e n t w h i c h was dishonoured must give notice to the d r a w e r w i t h i n a reasonable period. W h a t c o n s t i t u t e d a "reasonable" p e r i o d of notice was a question of l a w for the court. The mode of g i v i n g notice a n d its adequacy according to mercantile usage remained, however, a question of fact for the j u r y 1 5 . S i m i l a r l y , i n the l a w of m a r i n e insurance, the rules as to w h e n a loss m u s t be proved to have occurred, a n d the p r i n c i p l e t h a t a vent u r e m u s t be frustrated i f the loss was to be ' t o t a l ' (and n o t s i m p l y 'average'), were matters of l a w . W h a t measure of loss w o u l d suffice to frustrate the venture, however, remained a question of fact for the j u r y 1 6 . I n this w a y an element of f l e x i b i l i t y i n the a p p l i c a t i o n of the l a w was m a i n t a i n e d , n o t w i t h s t a n d i n g the t r a n s l a t i o n i n t o rules of l a w of m a n y of the principles of the l a w merchant. I n m a n y other instances, m e r c a n t i l e usage was considered unsuitable for i n c o r p o r a t i o n i n t o the l a w , either because of its subsidiary n a t u r e or because the usage itself was not settled. I n such cases its a p p l i c a t i o n r e m a i n e d a question of fact for the j u r y , l e a v i n g scope for development a n d change. Moreover i f issues of fact were uncertain, M a n s f i e l d w o u l d seek the advice of expert witnesses, a practice w h i c h is evidenced t h r o u g h o u t his Notebooks, e.g. i n insurance cases he frequently sought the advice of the directors of the l e a d i n g insurance companies 1 7 .

13 F o r instance, Stevenson v. Snow (1761) N o t e b o o k , Vol. 456, p. 168 ( " T h e r e seems no d o u b t at a l l i n t h i s case. I reserved i t o n l y because asked"); Green v. Butler (1759) N o t e b o o k , V o l . 458, p. 51 ( " I gave t h e m [the j u r y ] leave to move t h e c o u r t b y a n e w action"). 14 Edie v. East India Coy. (1761) 1 W.B1. 295 ( " T h e p o i n t of l a w is here w e l l settled; and, once solemnly settled, no p a r t i c u l a r usage s h a l l be a d m i t t e d t o w e i g h against i t ; this w o u l d send e v e r y t h i n g to sea a g a i n " ) ; Buller v. Harrison (1777) 2 C o w p . 565. is Tindal v. Brown (1786) 1 T . R . 167. 16

Goss v. Withers (1758) 2 B u r r . 683; Hamilton v. Mendes (1761) 2 B u r r . 1200. F o r instance i n Grant v. James (15 M a y 1759), N o t e b o o k , Vol. 453. M a n s f i e l d n o t e d the evidence of M r . B a r k e r , a D i r e c t o r of the L o n d o n Assurance Co., as t o the i n s u r a b i l i t y of freight. I n other insurance cases evidence was sought f r o m u n d e r w r i t ers (e.g. Green v. Butler, 1762, N o t e b o o k , Vol. 458, p. 51) a n d brokers (e.g. Green v. Rucker, 8 Dec. 1758, N o t e b o o k , Vol. 455, p. 1). 17

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The Role of Continental Literature C o n t i n e n t a l l i t e r a t u r e on the jus gentium a n d l a w merchant p l a y e d an i m p o r t a n t role i n the t r a n s l a t i o n of usage f r o m fact i n t o l a w . The l e a d i n g c o n t i n e n t a l w o r k s p r o v i d e d the sources f r o m w h i c h m a n y of the general principles of the l a w m e r c h a n t i n c o r p o r a t e d i n t o l a w were taken. The t r a n s f o r m a t i o n of custom i n t o l a w , v i a the special j u r y system, meant t h a t f r o m the m i d - e i g h t e e n t h century onwards E n g l i s h lawyers began to treat the l i t e r a t u r e of the l a w merchant as a p o t e n t i a l source of legal o b l i g a t i o n , a n d n o t s i m p l y as evidence of issues of fact. E n g l i s h lawyers' perception of the l a w merchant itself h a d also changed. Before Mansfield's time, views as to its nature h a d differed. Some, such as M a l y n e s 1 8 , regarded i t s i m p l y as the custom of merchants, w h i l e others saw i t as p a r t of the universal jus gentium , a k i n to i n t e r n a t i o n a l l a w . Blackstone asserted t h a t " t h e affairs of commerce are regulated b y a l a w of t h e i r o w n , called the L a w M e r c h a n t or Lex Mercatoria, w h i c h a l l nations agree i n a n d take notice of; a n d i n p a r t i c u l a r i t is h e l d to be p a r t of the l a w of England, w h i c h decides the causes of merchants b y the general rules w h i c h o b t a i n i n a l l commercial countries, a n d t h a t often even i n matters r e l a t i n g to domestic trade, as for instance i n the d r a w i n g , accepting a n d transfer of i n l a n d b i l l s of e x c h a n g e " 1 9 . L o r d M a n s f i e l d belonged e m p h a t i c a l l y to the l a t t e r school, h o l d i n g the l a w m e r chant to be p a r t of the u n i v e r s a l jus gentium , as evidenced b y the practice of merchants, a n d as such p a r t of the l a w of England. " T h e l a w of nations is i n its f u l l extent p a r t of the l a w of E n g l a n d , a n d ... [is] to be collected f r o m the practice of different nations a n d the a u t h o r i t y of w r i t e r s . " (Triquet v. Bath, 1764)20. This v i e w h a d been p o p u l a r w i t h some E n g l i s h w r i t e r s , n o t a b l y Zouche a n d S i r J o h n Davies, d u r i n g the seventeenth c e n t u r y 2 1 . D u r i n g the eighteenth century, i t became the accepted v i e w of the status of the l a w m e r chant. This was u n d o u b t e d l y due to the influence of the n a t u r a l l a w theorists, a n d p a r t i c u l a r l y to the w o r k s of G r o t i u s a n d Pufendorf. M a n s field's views reflect Grotius's theory t h a t the existence of n a t u r a l l a w can be proved b y the u n i v e r s a l practice of states, a n d b y the opinions of j u r i s t s 2 2 . 18

L e x M e r c a t o r i a (1622) pp. 2 - 3 . Commentaries, i, 273. 20 (1764) 3 B u r r . 1478. See also d i c t a i n Heathfield v. Chiltern (1764) 4 B u r r . 2051; " t h e privileges of m i n i s t e r s a n d t h e i r r e t i n u e depend u p o n the l a w of nations, w h i c h is p a r t of the c o m m o n l a w of E n g l a n d " . 21 R. Zouche, J u r i s d i c t i o n of the A d m i r a l t y i n E n g l a n d Asserted (1686) p. 89; J. Davies, T h e Q u e s t i o n c o n c e r n i n g I m p o s i t i o n s (1656) p p . 1 0 a n d 27 - b o t h c i t e d b y Scrutton, " R o m a n L a w I n f l u e n c e " , 1 Select Essays i n A n g l o - A m e r i c a n L e g a l H i s t o r y at pp. 238 - 9. 22 D e Jure B e l l i ac Pacis 1.1.12. a n d Prolegomena. P. Stein has d r a w n a t t e n t i o n to the contrast b e t w e e n G r o t i u s ' s a posteriori m e t h o d of proof, a n d t h e a priori m e t h o d a d o p t e d b y P u f e n d o r f i n D e Jure N a t u r a e et G e n t i u m ( L e g a l E v o l u t i o n , 1980, p. 4). 19

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The apparent acceptance of Grotius's views by M a n s f i e l d f a c i l i t a t e d reference to the c o n t i n e n t a l w o r k s , w h i c h p r o v i d e d evidence of the practice of states a n d merchants, a n d therefore of the jus gentium itself. The c o n t i n e n t a l l i t e r a t u r e p l a y e d an i m p o r t a n t p a r t i n t w o ways. I n the first place, m a n y of the l e a d i n g principles of the l a w merchant were to be f o u n d i n the c o n t i n e n t a l compilations w i d e l y used b y practitioners. M a n s f i e l d frequently relied, for instance, u p o n the Guidon de la mer a n d Colbert's Ordonnance de la Marine of 1681. Secondly, i n cases where there was no settled p r i n c i p l e or u n i f o r m commercial practice, reference c o u l d be h a d to the more theoretical w o r k s on the jus gentium , a n d p a r t i c u l a r l y to the l e a d i n g w o r k s of the n a t u r a l lawyers such as Grotius's De Jure Belli ac Pads , Pufendorf's De Jure Naturae et Gentium, a n d Bynkershoek's Questiones Juris Publici. I n cases where there was no settled practice, or the opinions of the w r i t e r s differed, M a n s f i e l d was able to synthesize the views of the authorities to arrive a satisfactory p r i n c i p l e of l a w . To this l i m i t e d extent, he can t r u l y be described as the " c r e a t o r " of E n g l i s h commercial l a w . The l i t e r a t u r e relied u p o n b y M a n s f i e l d i n his judgements can, for the p u r poses of analysis, be d i v i d e d i n t o four b r o a d categories. I t m a y be useful to make some general observations as to the use made of each type of l i t e r a t u r e before g i v i n g a detailed analysis of the c i t a t i o n of foreign w o r k s i n different areas of E n g l i s h l a w . The c o n t i n e n t a l codes a n d other models of c o m m e r c i a l l a w , the technical treatises on the l a w merchant, the theoretical w o r k s of the n a t u r a l lawyers, a n d the l e a d i n g w o r k s of the c o n t i n e n t a l civilians, a l l p l a y e d d i f f e r i n g roles i n the development of the c o m m o n l a w . Where the l a w merchant was settled, reliance was c o m m o n l y placed on the c o n t i n e n t a l c o m m e r c i a l codes a n d c o m p i l a t i o n s of m e r c a n t i l e custom as evidence of the jus gentium. The m o d e l most often cited b y M a n s f i e l d was Colbert's Ordonnance de la Marine of 1681, w h i c h was a d m i t t e d b y counsel i n one of the l e a d i n g m a r i n e insurance cases to be " i n some measure a digest of the general l a w of merchants relative to m a r i t i m e causes" 2 3 . V a l i n ' s i n f l u e n t i a l Commentaire sur l'Ordonnance de la Marine (1760) was also freq u e n t l y c i t e d before L o r d M a n s f i e l d 2 4 . The Ordinance of 1681 and V a l i n ' s commentary were the source of m a n y of the principles i n c o r p o r a t e d i n t o the c o m m o n l a w . Other c o n t i n e n t a l models relied u p o n i n c l u d e d the Guidon de la Mer 25, the Rules of Oleron a n d the L a w s of Wisby. The G u i d o n was itself one of the earliest treatises on m a r i n e insurance and set out m a n y of the principles of insurance l a w adopted i n t o E n g l i s h l a w b y Mansfield. The 23

Bermon v. Woodbridge (1781) 2 D o u g . 781. R. J. V a l i n , N o u v e a u C o m m e n t a i r e sur l ' O r d o n n a n c e de l a M a r i n e d u M o i s A o û t 1681 etc. (1760). 25 A treatise o n insurance, b o t t o m r y a n d average, b y a n u n k n o w n author. I t was d r a w n u p for the use of merchants at Rouen i n 1561. 24

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G u i d o n , the Rules of Oleron a n d the L a w s of W i s b y were i n c l u d e d i n an annotated c o m p i l a t i o n b y C l e i r a c 2 6 . This e d i t i o n became the most a u t h o r i t a t i v e of the c o m p i l a t i o n s i n E n g l a n d a n d was the source f r o m w h i c h M a n s f i e l d d r e w m a n y of the principles of E n g l i s h m a r i t i m e l a w . A n E n g l i s h t r a n s l a t i o n of Cleirac's w o r k was i n c l u d e d i n Justice's General Treatise of the Dominion of the Sea, of w h i c h three editions appeared between 1705 and 1724 2 7 . The l a t t e r also i n c l u d e d the R h o d i a n laws a n d m u c h R o m a n l a w material, a n d was relied u p o n b y M a n s f i e l d i n a n u m b e r of cases. Where more complex issues of l a w were involved, reliance was often placed on the more t e c h n i c a l treatises on the l a w merchant. Of such w o r k s , Roccus's De Navibus et Naulo, item de Assecurationïbus Notabilia (1655) was p a r t i c u l a r l y influential, and was cited on numerous occasions by Mansf i e l d 2 8 . Reliance was also placed on a n u m b e r of other treatises i n c l u d i n g Loccenius' De Jure Maritimo et Navali (16 5 0 ) 2 9 , a n d M a r q u a r d ' s De Jure Mercatorom et Commerciorum (1662) 3 0 . I t has been n o t e d t h a t Mansfield's a t t i t u d e to the l a w merchant was itself founded i n n a t u r a l l a w philosophy. The w r i t i n g s of the l e a d i n g n a t u r a l l a w theorists - p a r t i c u l a r l y Grotius, Pufendorf, Barbeyrac, B u r l a m a q u i and Bynkershoek - also c o n t r i b u t e d to the development of the substantive comm e r c i a l l a w . They were f r e q u e n t l y cited i n cases where the e x t a n t w o r k s on the l a w merchant p r o v i d e d no guidance, or where the opinions of the w r i t e r s Conflicted. Grotius's De Jure Belli ac Pads (1625) a n d Pufendorf's De Jure Naturae et Gentium (1672) were r e g u l a r l y cited as authorities for the basic principles of the l a w of contract, and on insurance. B o t h w o r k s were w e l l suited for this purpose. B o o k I I of Grotius's De Jure Belli ac Pacts h a d l i t t l e to do w i t h i n t e r n a t i o n a l l a w , being a systematic t r e a t m e n t of the various branches of p r i v a t e l a w according to the dictates of the l a w of nature. S i m i l a r l y , of the eight books of Pufendorf's De Jure Naturae et Gentium , o n l y B o o k E i g h t deals specifically w i t h the l a w of Nations. Books Three a n d Five 26 E. Cleirac, U s et coustumes de l a mer, c o n t e n a n t les Jugemens d'Oleron, O r d o n nances de W i s b u r g , de l a H a n s e - T e u t o n i q u e et autre pieces, 4 Vols. (1647, 1661 a n d 1671, B o r d e a u x a n d Rouen). A n E n g l i s h t r a n s l a t i o n of the rules of O l e r o n was also p u b l i s h e d u n d e r Cleirac's name i n L o n d o n i n 1686. I t seems curious t h a t M a n s f i e l d s h o u l d have used Cleirac's c o m p i l a t i o n , as he m u s t have been aware of the G u i d o n ' s i n c l u s i o n i n the B l a c k B o o k of A d m i r a l t y . 27 A . Justice, General Treatise of the D o m i n i o n of the Sea, a n d a compleat b o d y of the Sea L a w s , c o n t a i n i n g w h a t is most v a l u a b l e of t h a t subject i n A n t i e n t a n d M o d e r n A u t h o r s , a n d p a r t i c u l a r l y the a n t i e n t l a w s of the Rhodians a n d Romans, those of Oleron, W i s b u y a n d other countries, as also the sea l a w s l a t e l y p u b l i s h e d i n France . . . w i t h a d j u d g e d cases i n several courts, o p i n i o n s o n i m p o r t a n t m a r i t i m e cases, etc. 4 Vols. (3rd ed. 1724). 28 P u b l i s h e d at Naples 1655. There were t w o D u t c h e d i t i o n s e x t a n t , p u b l i s h e d at A m s t e r d a m i n 1708 a n d 1737. A n E n g l i s h t r a n s l a t i o n was n o t a v a i l a b l e u n t i l 1809. 29 J. Loccenius, D e Jure M a r i t i m o et N a v a l i l i b r i très. 8 Vols. ( S t o c k h o l m 1650). 30 J. M a r q u a r d . D e Jure M e r c a t o r u m et C o m m e r c i o r u m s i n g u l a r i , l i b r i I V . ( F r a n k f u r t 1662).

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deal w i t h the l a w of obligations f r o m the p o i n t of v i e w of n a t u r a l l a w , a n d were the source of m a n y of the i n n o v a t i o n s i n t r o d u c e d b y M a n s f i e l d i n this area. The most f r e q u e n t l y used e d i t i o n of Pufendorf was t h a t b y Barbeyrac, whose o w n commentary on the t e x t was itself cited w i t h a p p r o v a l i n a n u m b e r of cases 31 . Of the other standard n a t u r a l l a w texts, B u r l a m a q u i ' s Principles of Natural Law (17 4 8 ) 3 2 was f r e q u e n t l y referred to. B y n k e r shoek's Questiones Juris Publier (1737) 3 3 was also i n f l u e n t i a l ( p a r t i c u l a r l y i n cases i n v o l v i n g issues of p r i v a t e a n d p u b l i c i n t e r n a t i o n a l law). The influence of w o r k s b y c o n t i n e n t a l c i v i l i a n s was more l i m i t e d . The R o m a n l a w itself k n e w n o t h i n g of m a n y of the transactions w i t h w h i c h the E n g l i s h courts n o w h a d to deal. C i v i l i a n l e a r n i n g was thus of l i t t l e use i n developing areas of commercial l a w such as insurance a n d b i l l s of exchange. L i k e the n a t u r a l l a w w o r k s , c i v i l i a n l e a r n i n g was of some use i n f o r m u l a t i n g general principles, p a r t i c u l a r l y i n the l a w of contract a n d r e s t i t u t i o n . Huber's Praelectiones Juris Romani et Hodierni (1689) h a d a strong i n f l u ence on the development of p r i n c i p l e s of conflict of laws i n contract cases. Vinnius's Commentary on the Institutes of J u s t i n i a n (1642) 3 4 was also cited w i t h a p p r o v a l i n a n u m b e r of cases, p r i n c i p a l l y those i n v o l v e d w i t h contract l a w . The w o r k s of Johanne Voet were also r e l i e d u p o n i n this context. L o r d M a n s f i e l d m u s t himself have possessed m a n y of the l e a d i n g c o n t i n e n t a l w o r k s on the c i v i l a n d m a r i t i m e laws. H e is k n o w n to have k e p t an extensive l i b r a r y at his home i n B l o o m s b u r y Square, b u t this was destroyed w h e n the p r o p e r t y was b u r n e d i n the G o r d o n Riots of 17 8 0 3 5 . He must have re-acquired, or at least h a d access to, m a n y of the standard w o r k s for use i n his r e m a i n i n g years i n office, for he is reported on a n u m b e r of subsequent occasions as d r a w i n g counsel's a t t e n t i o n to relevant foreign treatises 3 6 . The M a n s f i e l d f a m i l y papers c o n t a i n an anonymous i n v e n t o r y , described s i m p l y as a "Catalogue of L o r d Mansfield's Books i n L i n c o l n ' s I n n Fields, June 1793". M a n s f i e l d m a i n t a i n e d a t o w n house at No. 57/8 L i n c o l n ' s I n n Fields 31 L e D r o i t de l a N a t u r e et des Gens de S. P u f e n d o r f . . . t r a d u i t p a r J. Barbeyrac. Avec des notes d u t r a d u c t e u r ( A m s t e r d a m , 1706). I have used the 1749 E n g l i s h e d i t i o n . 32 J. J. B u r l a m a q u i , O n N a t u r a l L a w , t r a n s l a t e d i n t o E n g l i s h b y N u g e n t , 8 Vols, 1748. B u r l a m a q u i ' s P r i n c i p l e s of P o l i t i c a l L a w was t r a n s l a t e d a n d p u b l i s h e d i n 1752. The t w o were p u b l i s h e d together i n t r a n s l a t i o n as B u r l a m a q u i ' s P r i n c i p l e s of N a t u r a l a n d P o l i t i c a l L a w (2 Vols.) i n 1752. Several e d i t i o n s appeared subsequently. 33 C. v a n B y n k e r s h o e k , Questiones Juris P u b l i c i (1737) 2 Vols. 34 I n q u a t u o r l i b r o s I n s t i t u t i o n u m i m p e r i a l i u m C o m m e n t a r i u s academicus et forensis (Leyden 1642). 35 Campbell's L i v e s of the Justices I I , p. 524. T h e d e s t r u c t i o n of his l a w l i b r a r y was evidenced b y the fact t h a t , w h e n s p e a k i n g on t h e l e g a l issues raised b y t h e use of the m i l i t i a t o q u e l l the G o r d o n riots of 1780, M a n s f i e l d i n f o r m e d t h e House of L o r d s t h a t he h a d to speak f r o m m e m o r y because " h e h a d no books to c o n s u l t " - C a m p b e l l op. cit. p. 527. 36 Thus i n Anton v. Fisher (1781) 2 Doug. 649 he specifically d r e w counsel's a t t e n t i o n to V a l i n ' s C o m m e n t a r y o n the M a r i n e Ordinance.

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u n t i l his death i n M a r c h 1793, a n d his w i l l refers to household effects stored i n the basement t h e r e 3 7 . F u r t h e r b i o g r a p h i c a l research w i l l be necessary to establish the provenance of the catalogue, b u t i t seems possible t h a t i t was made f o l l o w i n g Mansfield's death, a n d possibly for probate purposes. Its chief interest lies i n t h a t i t lists over s i x t y w o r k s of c o n t i n e n t a l origin, p r o v i d i n g c i r c u m s t a n t i a l evidence t h a t M a n s f i e l d m u s t have possessed m a n y of the l e a d i n g c o n t i n e n t a l w o r k s . A n abstract of those c o n t i n e n t a l treatises listed i n the Catalogue is p r i n t e d at Table 2. As m i g h t be expected, M a n s f i e l d m a y w e l l have possessed copies of the standard w o r k s on n a t u r a l l a w , n o t a b l y Grotius's De Jure Belli ac Pads a n d b o t h Pufendorf's De Jure Naturae et Gentium a n d his De Officio Hominis 38. He also seems to have possessed m a n y of the l e a d i n g French w o r k s of this period, i n c l u d i n g n o t o n l y V a l i n ' s commentary, b u t also Denisart's Collections de Decisions 39, 40 Delacombe's Recueil de la Jurisprudence Civile , a n d the I n s t i t u t i o n s of b o t h G a b r i e l A r g o u 4 1 a n d of L o i s e l 4 2 . He also possessed copies of the French Ordinances. The l e a d i n g m a r i t i m e treatises are also i n evidence, i n c l u d i n g editions of Loccenius a n d Justice's Treatise of the Dominion of the Sea43. M a n s f i e l d also appears to have possessed a large collection of the w o r k s of the l e a d i n g civilians. These i n c l u d e Voet's C o m m e n t a r y on the D i g e s t 4 4 , and his Elementa Juris 45, and the w o r k s of V i n n i u s , Böckelmann, Corvinus, O l d endorp and V a n Leeuwen. T r a c i n g the precise influence of these w o r k s on the development of E n g l i s h commercial l a w presents a n u m b e r of problems. I n some cases, the use of foreign treatises is e x p l i c i t , as w h e n the w r i t e r a n d o r i g i n a l source are d i r e c t l y quoted. I n m a n y other cases, however, evidence of t h e i r use is more indirect. A doctrine k n o w n to have o r i g i n a t e d i n certain of the c o n t i n e n t a l l i t e r a t u r e is discussed a n d relied upon, b u t w i t h o u t d i r e c t l y a t t r i b u t i n g its source. A n e x a m i n a t i o n of Mansfield's judgements reveals b o t h types of influence. I n the absence of direct a t t r i b u t i o n , i t is o n l y possible to speculate as to the source of some of the rules discussed 4 6 . The knowledge t h a t Mans37

E. Heward, L o r d M a n s f i e l d (1979) p. 25. D e O f f i c i o H o m i n i s et Civis J u x t a L e g e m N a t u r a l e m L i b r i D u o (1673). The catalogue also includes Pufendorf's I n t r o d u c t i o n à l ' H i s t o i r e Universelle. 39 J. Β . D e n i s a r t , Collections de decisions nouvelles et de notions relatives à la Jurisprudence A c t u e l l e . 40 Delacombe, Recueil de l a Jurisprudence Civile. 41 G. A r g o u , I n s t i t u t i o n a u d r o i t françois (1692). 42 A . Loysel, I n s t i t u t i o n a u d r o i t françois. 43 As t o w h i c h , see notes 27 a n d 29 supra. 44 J. Voet, C o m m e n t a r i u s a d Pandectas (1698 - 1704). 45 J. Voet, E l e m e n t a j u r i s secundum o r d i n e m I n s t i t u t i o n u m J u s t i n i a n i i n u s u m domesticae e x e r c i t a t i o n i s digesta (1700). T h i s was a n elementary student t e x t b o o k , designed to enable students to f o l l o w his lectures w i t h o u t m a k i n g notes - as to w h i c h , see Feenstra a n d Waal, Seventeenth C e n t u r y L e y d e n L a w Professors (1975), p. 40. 46 Mansfield's N o t e b o o k s c o n t a i n o n l y notes of evidence, a n d do n o t t h r o w any l i g h t o n the sources o n w h i c h he r e l i e d i n m a n y l e a d i n g cases. 38

Continental Literature and the Development of the Common Law

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Table 2 Catalogue of Lord Mansfield's Books in Lincoln's I n n Fields, June 1793

Page i n

Folio

Volumes

catalogue. 6

B r o n c h o r s t . de V e r b o r u m S i g n i f i c a t i o n e .

fo. 8

Fachinus. de Controversiis Iuris. [Fachinaeus, A ; Controversiarum i u r i s l i b r i tredecim]. M a r q u a r d u s . de Jure M e r c a t o r u m . [ M a r q u a r d , J. D e Jure M e r c a t o r u m et C o m m e r c i o r u m S i n g u l a r i . 4 Vols. 1662]. D e M e r c a t u r a Decisiones, et T r a c t a t u s V a r i i (anon.).

fo. 10

Jo. Voet. C o m m e n t , a d Pandectas. 2 Vols. Quarto

Volumes

fo. 11

Police of France, [anon, b u t p r o b a b l y the w o r k of this name b y S i r W m . Mildmay]. Treatise of the D o m i n i o n of the Sea. (anon.) [Justice, A. General Treatise of the D o m i n i o n of the Sea etc.]. J. B. D e n i s a r t , Collections de decisions [nouvelles et de notions relatives à l a j u r i s p r u d e n c e actuelle] 3 Vols. Delacombe, Recueil de l a j u r i s p r u d e n c e Civile. V a l i n , C o m m e n t a i r e sur l ' O r d o n n a n c e de l a M a r i n e . Salle, E s p r i t des Ordonnances & c. de L o u i s X V . 2 Vols. Pacquet, T r a i t é des Fiefs.

fo. 13

Mysinger, de I n s t i t u t i o n i b u s J u s t i n i a n i . F r i t s c h i , Sylloge v a r i o r u m T r a c t a t u m Juris P u b l i c i et p r i v a t i . M . B e r l i c h i u s , de N o v e r c a r u m Jure. U . H u b e r , Praelectiones [Juris R o m a n i et H o d i e r n i ] 2 Vols. H o t t i n g e m , de L e g i b u s H e b r a e o r u m . " E x t r a c t s f r o m M a r i n e T r e a t i e s " (anon.). Coustumes de l a M e r (anon.). A. Corvinus, S u m m a r i u m J u r i s p r u d e n t i a e Romanae. "Code de H e n r y I V " (anon.). Françon, C o u t u m e de Paris. Peregrinus, de Jure et P r i v i l e g i i s Fisci.

fo. 14

M e r t e r t i u s , de J u s t i t i a R o m a n o r u m L e g u m . Bachovius, T r a c t a t u s de P i g n o r i b u s & Hypothecis. [ F r a n k f u r t , 1627].

fo. 15

Russian Code of L a w s (anon.). Magens o n Insurance, Vol. 2.

fo. 16

B y n k e r s h o e k , Opera, Vols. 2, 3, 4, 5, 6. B y n k e r s h o e k , Questions Juris P u b l i c i , 2 Vols.

fo. 17

C o m m e n t a i r e S u r l ' O r d o n n a n c e C r i m i n e l l e , (anon.). Pufendorf, de O f f i c i o H o m i n i s . Corpus Juris C i v i l i s ( e d i t i o n u n i d e n t i f i e d ) .

Octavo & c.

fo. 18

P a r k o n M a r i n e Insurance (2 copies).

fo. 19

T r a i t é des Prises, 2 Vols i n 1 (anon.).

172

C h r i s t o p h e r P. Rodgers

Table 2 (continued) fo. 20

G r o t i u s , de Jure B e l l i ac Pacis, 2 Vols.

fo. 21

L e n g n i c h , Jus P u b l i c u m R e g n i P o l o n i , 2 Vols.

fo. 23

C o l l e c t i o n of Treaties, 4 Vols. (anon.). W a r v i l l e , B i b l i o t h è q u e d u L é g i s l a t e u r , 4 Vols. W a r v i l l e , Theorie des L o i x C r i m i n e l l e s , 2 Vols.

fo. 24

Principes de l a Jurisprudence François, 2 Vols. G. A r g o u , I n s t i t u t i o n a u D r o i t François, 2 Vols. Recueil des Ordonnances d u R o i de P o r t u g a l , Vols 1 - 4 (anon.). Justinian's Institutes (edition unidentified).

fo. 26

V i n n i u s , de J u r i s d i c t i o n e . Böckelmann, Compendium Institutionum Justiniani. [Lugduni Batav 1679]. A . D u c k , de u s u Juris C i v i l i s . V i n n i u s , Questiones Juris.

fo. 27

A . Corvinus, E l e m e n t a Juris C i v i l i s . [ A m s t e r d a m 1664]. G r o t i u s , F l o r u m Sparsio a d Jus J u s t i n i a n e u m .

fo. 28

Refuge, T r a i t é de l a cour. O l d e n d o r p , Miscellanea.

fo. 30

G r o t i u s , de Jure B e l l i ac Pacis. J. Voet, E l e m e n t a Juris. [ L u g d u n i , Batav. 1700].

fo. 31

Loccenius, de Jure M a r i t i m o [et N a v a l i l i b r i très (1650)]. L e e w i u s , de o r i g i n e I u r i s C i v i l i s R o m a n i [ p r e s u m a b l y S. v a n Leeuwen, D e o r i g i n e et progressu j u r i s c i v i l i s & c. (1671)]. Ordonnances de L o u i s X I V . (anon.).

fo. 33

Loisel, I n s t i t u t e s Coutumieres, Vol. 1. [A. Loysel, I n s t i t u t i o n a u d r o i t françois].

fo. 34

Pufendorf, I n t r o d u c t i o n à l ' H i s t o i r e Universelle, Vol. 4.

fo. 35

C o m m e n t a i r e sur l ' O r d o n n a n c e Civile, Vol. 1. (anon.). C o m m e n t a i r e sur l ' E d i t de 1695. (anon.).

Note: The Catalogue contains legal works of both English and continental origin, and works of a non legal nature. Only those works identifiable as of foreign origin, and works on commercial law, are abstracted here. The Catalogue is written in a rough hand. Entries are reproduced above as they appear in the Catalogue itself.

f i e l d m a y w e l l h a v e p o s s e s s e d m a n y o f t h e t r e a t i s e s s u s p e c t e d as s o u r c e m a t e r i a l does, h o w e v e r , m a k e s u c h s p e c u l a t i o n m o r e f r u i t f u l t h a n

would

o t h e r w i s e b e t h e case. T h e f o l l o w i n g d i s c u s s i o n c o n c e n t r a t e s o n t h e u s e o f c o n t i n e n t a l l i t e r a t u r e i n t h e areas of c o m m e r c i a l l a w , p r i v a t e i n t e r n a t i o n a l l a w , a n d t h e l a w of contract. F o r e i g n influences o n t h e d e v e l o p m e n t of these branches of the c o m m o n l a w are k n o w n to have been strong,

although

f u r t h e r research m a y r e v e a l t h e e x t e n t of t h i s i n f l u e n c e i n o t h e r areas of t h e common law.

C o n t i n e n t a l L i t e r a t u r e a n d t h e D e v e l o p m e n t of the C o m m o n L a w

173

Maritime L a w The i n t e r n a t i o n a l character of m a r i t i m e l a w , a n d the fact t h a t M a n s f i e l d saw E n g l i s h l a w as p a r t of the u n i v e r s a l jus gentium , meant t h a t c o n t i n e n t a l l i t e r a t u r e was b o u n d to exert a strong influence on the development of this b r a n c h of the c o m m o n l a w . M a n s f i e l d was p a r t i c u l a r l y concerned t h a t the l a w a p p l i e d i n E n g l a n d s h o u l d be the same as t h a t a p p l i e d elsewhere, a n d his w o r k i n the f i e l d of m a r i t i m e l a w was accordingly an early a t t e m p t at legal harmonisation. C o n t i n e n t a l l i t e r a t u r e p l a y e d a l e a d i n g role i n t w o areas of E n g l i s h m a r i t i m e l a w : the l a w of m a r i n e insurance, a n d the development or rules as to the enforceability of ransom b i l l s . So confused was c o m m o n l a w t h i n k i n g on the l a w of m a r i n e insurance t h a t i t was unclear u n t i l 1746 w h e t h e r an insurable interest was necessary for a v a l i d contract of insurance or not, viz. w h e t h e r w a g e r i n g policies were v a l i d , or v o i d on grounds of p u b l i c policy. This p r e - e x i s t i n g u n c e r t a i n t y was n o t e d b y Blackstone i n the Commentaries, where he observed, " T h e l e a r n i n g r e l a t i n g to m a r i n e insurance h a t h of l a t e years been g r e a t l y i m p r o v e d b y a series of j u d i c a l decisions, w h i c h have n o w established the l a w i n such a v a r i e t y of cases, t h a t (if w e l l a n d j u d i c i o u s l y collected) t h e y w o u l d f o r m a v e r y complete t i t l e i n a code of c o m m e r c i a l j u r i s p r u d e n c e . B u t b e i n g f o u n d e d o n e q u i t a b l e p r i n c i ples, w h i c h chiefly result f r o m the special circumstances of the case, i t is n o t easy to reduce t h e m to any general heads i n mere elementary i n s t i t u t e s 4 7 . "

Blackstone's discussion of b o t t o m r y a n d m a r i n e insurance was itself inserted i n t o a description of contracts of h i r e a n d b o r r o w i n g , a n d is very perfunctory. He discusses b o t t o m r y a n d w a g e r i n g contracts, b u t says v i r t u a l l y n o t h i n g about contracts of m a r i n e insurance as such, except t h a t they are contracts of u t m o s t good faith. B y 1788 the p o s i t i o n h a d been transformed. The K i n g ' s Bench h a d l a i d d o w n most of the l e a d i n g principles of the m o d e r n l a w of insurance i n a clear a n d i n t e l l i g i b l e form, a n d treatises devoted to the n e w jurisprudence h a d appeared. N o t a b l e among the l a t t e r was Park's treatise on Marine Insurance (1787) 4 8 , a b o o k w h i c h is c o m m o n l y regarded as a digest of the l a w developed i n the previous t h i r t y years b y L o r d Mansfield. T w o considerations influenced Mansfield's w o r k on the l a w of m a r i n e insurance. The first was t h a t the basic principles of the l a w should be cont a i n e d i n clear a n d certain general principles, a n d t h a t w i t h d i f f i c u l t cases recourse should always be h a d to basic principles so as n o t to c l o u d the issues w i t h legal technicalities. Secondly, w h e n i n t e r p r e t i n g policies he was concerned to ensure t h a t they s h o u l d be i n t e r p r e t e d i n the same w a y a n d 47

Commentaries, i i , 461. S i r J. A . Park, System of the L a w of M a r i n e Insurance, w i t h three chapters o n B o t t o m r y , Insurance o n L i v e s a n d o n Insurance against F i r e (1787). 48

Christopher P. Rodgers

174

have the same legal effect i n E n g l a n d as they w o u l d abroad. W h e t h e r form u l a t i n g general principles to be a p p l i e d to f u t u r e cases, or i n t e r p r e t i n g technical language i n policies, M a n s f i e l d encouraged the c i t a t i o n of c o n t i n e n t a l authorities. G i v e n the u n c e r t a i n t y of the l a w , the first task was to settle a clear d e f i n i t i o n of the n a t u r e of the contract of insurance itself. I n Goss v. Withers (17 5 8) 4 9 , counsel cited Bynkershoek's d e f i n i t i o n of insurance (Questiones Juris Publicly 1.21) viz. "insurance is n o t h i n g else t h a n an engagement for the security of another's p r o p e r t y b y w h i c h the o w n e r is l i b e r a t e d f r o m the risk, w h i c h is assumed b y the insurer i n consideration of a certain f i x e d prem i u m . " This was n o t challenged, and f o r m e d a basis for the detailed rules later l a i d d o w n b y Mansfield. The reporter noted t h a t " L o r d M a n s f i e l d spoke extremely w e l l of Bynkershoek's w r i t i n g s ... a n d recommended espec i a l l y as w e l l w o r t h r e a d i n g his book on Prizes" ( Questiones Juris Publici) 50. Bynkershoek's Questiones was also an i m p o r t a n t source for the general principles of other areas of m a r i t i m e l a w . Blackstone cites Questiones Juris Publici , 3.16, as a u t h o r i t y for his description of contracts of b o t t o m r y 5 1 . G r o t i u s (De Jure Belli ac Pacts, I I , 12, 3.5) defined insurance, further, as " t h e act of guaranteeing i n d e m n i t y against chance losses" a n d a " g u a r d i n g against r i s k " . The n a t u r e of the contract as one of i n d e m n i t y was recognised b y L o r d Mansfield, a n d i n c o r p o r a t e d as one of the basic p r i n c i p l e s of E n g l i s h insurance l a w . " T h e insurer runs the r i s k of the insured a n d u n d e r takes to i n d e m n i f y : he m u s t therefore bear the loss a c t u a l l y sustained a n d can be l i a b l e for no m o r e 5 2 . " One of the most i m p o r t a n t problems i n practice was to d i s t i n g u i s h between average and t o t a l losses. Under the common f o r m of marine insurance, the rights of the insured v a r i e d according to w h e t h e r the loss sustained was ' t o t a l ' or merely 'average'. I f the ship a n d cargo s u r v i v e d some c a l a m i t y i n t r a n s i t , b u t the commercial purpose of the voyage was completely frustrated, the insured was e n t i t l e d to c l a i m a t o t a l loss, surrender his interest to the insurers a n d c l a i m u p o n the policy. I f the venture was n o t frustrated, the loss m i g h t be p a r t i a l (or 'average'), i n w h i c h case the insured c o u l d recover o n l y the damage a c t u a l l y sustained. I n the l e a d i n g cases of Goss v. Withers (1758) a n d Hamilton v. Mendes (1761), M a n s f i e l d l a i d d o w n the basic p r i n c i ples of the E n g l i s h l a w o n t o t a l and average losses. C o n t i n e n t a l l e a r n i n g was very i n f l u e n t i a l i n t h e i r development. I n Goss v. Withers, an E n g l i s h m e r c h a n t m a n was captured b y a French privateer, b u t , after eight days, was recaptured a n d t a k e n to M i l f o r d Haven. « 50 51 52

(1758) 2 B u r r . 683. (1758) 2 B u r r . 683 at 692. Commentaries, i i , 459. Goss v. Withers (1758) 2 B u r r . 683, supra.

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A quarter of the cargo h a d been lost i n a storm at sea, a n d the rest perished w h i l e she was l y i n g off M i l f o r d . A r g u m e n t t u r n e d on w h e t h e r detention for eight days was sufficient to transfer t i t l e i n the vessel to the French, thereby rendering the loss t o t a l i n l a w . The p l a i n t i f f s relied u p o n Grotius's De Jure Belli ac Pads, 3.6.3.2 53 for the proposition t h a t property passes after t w e n t y four hours' d e t e n t i o n i n enemy hands. The defendants relied on B y n k e r shoek, Questiones Juris Publici, 1.4, for the c o n t r a r y v i e w t h a t l e n g t h of t i m e alone cannot divest an owner of property, a n d t h a t the spes recuperandi must h e entirely gone before p r o p e r t y can pass - the captor has a possessory t i t l e , w h i c h only becomes absolute w h e n resonable hope of recovery has gone. B u r l a m a q u i ' s Principles of Natural Law, 1.6 and 2.7, was relied on to the effect t h a t fresh p u r s u i t prevents possessory t i t l e becoming absolute. Mansfield's k n o w l e d g e of the c o n t i n e n t a l authorites was s h o w n b y the fact t h a t he corrected counsel's version of Bynkershoek's views. Faced w i t h the c o n t r a d i c t o r y views of the authorities, a separate g r o u n d for decision was required. Whether the p r o p e r t y h a d been transferred to the enemy was h e l d to be irrelevant as between the insurerer a n d insured. L o r d M a n s f i e l d therefore started f r o m the p r i n c i p l e t h a t n o t h i n g should be t a k e n to have changed u n t i l a l l p u r s u i t h a d ceased - a p r o p o s i t i o n he d r e w f r o m Voet's Comment a r y on the Pandects, 49.15.2.1155. The insurer runs the r i s k of the insured, a n d undertakes to i n d e m n i f y - he m u s t therefore bear the loss a c t u a l l y sustained. T h a t loss m u s t be j u d g e d at the date w h e n i t a c t u a l l y happened. Here the loss was t o t a l w h e n the ship was captured, for h a l f the r e m a i n i n g cargo w o u l d have to be p a i d for salvage even i f i t was recaptured, a n d the cargo was perishable. B e i n g i n the n a t u r e of an i n d e m n i t y , however, the contract should be l i b e r a l l y construed, so t h a t an average loss m i g h t occur where the entire cargo was recaptured after a short time. The d e f i n i t i o n of the r i g h t to abandon a c l a i m on a t o t a l loss was adopted b y M a n s f i e l d f r o m the Guidon de la Mer, 7.1, viz. where there h a d been a capture " o r such other d i s t u r bance as defeats the voyage, or makes i t n o t w o r t h w h i l e , or w o r t h the freight, to pursue i t " . Mansfield's source was the t r a n s l a t i o n of the Guidon i n c l u d e d i n Cleirac's Us et Coustumes de la Mer 5A. I t was c o m m o n for owners to a t t e m p t to cut t h e i r losses where there was a f a l l i n g m a r k e t b y c l a i m i n g a t o t a l loss, and surrendering t h e i r goods to the insurers. The decision i n Gross v. Withers encouraged this practice a n d the court was faced i n Hamilton ν Mendes (1761) w i t h a more questionable c l a i m for a t o t a l loss where a w h o l e cargo h a d been delivered i n L o n d o n after recapture. Counsel for the p l a i n t i f f s argued for a t o t a l loss on the basis 53 The c i t a t i o n i n B u r r o w ' s r e p o r t of the case, w h i c h refers to D e Jure B e l l i , 3.6, pa 814, appears to be inaccurate. 54 (1758) 2 B u r r . 683 at 698. M a n s f i e l d quotes the G u i d o n w h i c h , he says, is cont a i n e d " i n the second p a r t of the Usage a n d Customs of the Sea (a F r e n c h b o o k t r a n s lated into English)".

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of the l e n g t h of t i m e (17 days) t h a t the vessel h a d been i n enemy hands, r e l y i n g on Grotius, Bynkershoek and Roccus 5 5 . The defendants, l i k e t h e i r counterparts i n Goss, argued t h a t the hope of recovery c o u l d o n l y be considered gone w h e n the vessel was t a k e n infra praesidia hostium. A r t i c l e 45 of the Ordonnance de la Marine of 1681 a n d the Consolato del Mare were adduced to support this, a n d the correct views of Bynkershoek a n d Roccus d e b a t e d 5 6 . L o r d M a n s f i e l d reiterated t h a t the basic p r i n c i p l e of E n g l i s h l a w was stated i n the Guidon, 7.1. The most i m p o r t a n t t h i n g was to adopt a certain p r i n c i ple of l a w . I f the result "is to depend u p o n speculative refinements, f r o m the l a w of nations or the R o m a n jus postliminii concerning the c h a n g i n g or revesting of property, no w o n d e r the merchants are i n the d a r k , w h e n doctors have differed u p o n the subject f r o m the b e g i n n i n g a n d are n o t yet a g r e e d " 5 7 . Insurance being i n the n a t u r e of an i n d e m n i t y , the insured m u s t establish some i n j u r y at the t i m e his a c t i o n is b r o u g h t . This conclusion was itself based on the general principles recognised b y the c o n t i n e n t a l authorities w h o , M a n s f i e l d asserted, a l l agreed " t h a t i f the t h i n g is recovered before the money paid, the insured can only be e n t i t l e d According to the f i n a l event." As a u t h o r i t y for this v i e w , M a n s f i e l d relied on Roccus, not. 50, w h i c h "collects the opinions of a l l the authors before his t i m e . " The n a t u r e of the p l a i n t i f f s ' i n j u r y here was merely a delay a n d o b s t r u c t i o n i n delivery, a n d the loss was therefore average. These t w o decisions l a i d d o w n the basic principles of the l a w of average a n d t o t a l losses, a n d were f o l l o w e d i n subsequent cases 58 . Another i m p o r t a n t p r i n c i p l e recognised by the l a w merchant, and incorpor a t e d i n t o E n g l i s h l a w b y L o r d Mansfield, was t h a t insurance contracts are contracts uberrimae fidei, viz. the parties are under a d u t y of u t m o s t good faith. A f a i l u r e to disclose m a t e r i a l facts w i l l a v o i d the contract, w h e t h e r the failure is deliberate or not. Mansfield's t r e a t m e n t of the subject i n his reported decisions owes m u c h to c i v i l i a n learning, a l t h o u g h no direct c i t a t i o n is apparent. The requirement of good f a i t h derives f r o m the n a t u r e of insurance as an i n d e m n i t y against chance occurrences. Pufendorf (De Jure Naturae et Gentium, 5.9) discusses insurance i n c o n j u n c t i o n w i t h wagers, lotteries a n d r a f fles, i.e. w h a t m o d e r n c i v i l i a n s w o u l d t e r m aleatory contracts. " T h i s cont r a c t is n u l l , i f either the insurer k n o w s for certain t h a t the goods be already safe, or the m e r c h a n t t h a t they be lost. F o r the m a t t e r of this contract is sup55

D e N a v i b u s et N a u l o , respons. 34. B y n k e r s h o e k , Questiones J u r i s P u b l i c i , 1.5., holds t h a t ships a n d other moveables become the absolute p r o p e r t y of the c a p t o r o n l y w h e n b r o u g h t w i t h i n the praesidia. Roccus, op. cit., N o t . 50 was also c i t e d for the p r o p o s i t i o n t h a t " a ship c a n n o t be a b a n d o n e d as l o n g as i t can s w i m " . s? (1761) 2 B u r r . 1200 at 1214. 56

58

See for instance Milles

v. Fletcher

(1779) 1 D o u g . 231.

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posed to be a loss considered as uncertain. Whereas, i f the insurer is certain t h a t the goods are a r r i v e d safe, he runs no r i s k ; a n d i f the owner k n o w s t h a t they are lost, he cannot d e m a n d another to r u n the r i s k of them; for w h a t is n o t i n b e i n g cannot be l i a b l e to r i s k . " 5 9 These principles were w o r k e d i n t o E n g l i s h l a w i n Stevenson v. Snow 60

(1761) a n d Carter v. Boehm

(1766) 6 1 .

I n the former i t was h e l d t h a t p r e m i u m s m u s t be r e p a i d where a vessel does n o t undertake its voyage, for no r i s k is r u n . Magens's Essay on Insurances62 p r o v i d e d proof t h a t r e t u r n of p r e m i u m s was the rule i n other j u r i s dictions, a n d the Ordinances of K o n i g s b e r g h a n d S t o c k h o l m were c i t e d as examples. U n d e r the c o n t i n e n t a l codes, a s m a l l percentage (half a per cent) was usually retained to cover the cost of effecting the p o l i c y , w i t h the remainder of the p r e m i u m b e i n g repaid. M a n s f i e l d was prepared to rely on the more general g r o u n d t h a t insurance, b e i n g a contract of the jus gentium , should be construed l i b e r a l l y a n d n o t stricti iuris. E q u i t y i m p l i e s a c o n d i t i o n " t h a t the insurer shall n o t receive the price of r u n n i n g a r i s k , i f he runs none." W i l m o t J. was more e x p l i c i t , h o l d i n g t h a t , "these k i n d s of contracts are b y the w r i t e r s ... called contractus innominati; and the r u l e w h i c h they lay d o w n concerning t h e m is t h a t they are to be d e t e r m i n e d secundum bonum et aequum". The m a t e r i a l i t y or otherwise of disclosure was discussed i n Carter v. Boehm (1766), i n w h i c h M a n s f i e l d h e l d t h a t good f a i t h forbids either p a r t y f r o m d r a w i n g the other i n t o a b a r g a i n b y concealing w h a t he p r i v a t e l y knows. Each p a r t y m a y i n n o c e n t l y be silent as to the grounds open to both, a n d the insured need n o t d i v u l g e to the u n d e r w r i t e r w h a t he o u g h t to k n o w . A n innocent concealment of something outside the u n d e r w r i t e r ' s sphere of k n o w l e d g e w o u l d , however, v i t i a t e the contract i f i t changed the r i s k insured against under the policy. S i m i l a r l y , a p o l i c y w o u l d be v o i d against an u n d e r w r i t e r i f he insured a ship on a voyage w h e n he p r i v a t e l y k n e w i t h a d already a r r i v e d - the example given b y Pufendorf . The influence of the w o r k s of Pufendorf a n d other n a t u r a l l a w w r i t e r s was h i n t e d at i n Hodgson v. Richardson (1764) b y Yates J. w h o (concurring w i t h Mansfield) observed t h a t " t h e concealment of m a t e r i a l circumstances vitiates a l l such contracts u p o n the principles of n a t u r a l l a w " 6 3 . Mansfield's approach to the c o n s t r u c t i o n of insurance policies proceeded on the premise t h a t m e r c a n t i l e documents s h o u l d have the same m e a n i n g before E n g l i s h courts as abroad. " F r o m the nature, object a n d u t i l i t y of this k i n d of contract, consequences have been d r a w n , and a system of construc59 D e Jure N a t u r a e et G e n t i u m 5.9.8. P u f e n d o r f h i m s e l f cites Loccenius's D e Jure M a r i t i m o as a u t h o r i t y f o r some of the p r o p o s i t i o n s i n his passage o n Insurance. 60 (1761) 3 B u r r . 1237. ei (1766) 3 B u r r . 1905. 62 N . Magens, Essay o n Insurances, i l l u s t r a t e d b y cases; a C o l l e c t i o n of a l l the f o r eign Ordinances of insurance a n d forms of policies, etc. (1755). 63 (1764) 1 W. B l . 464.

12 Piergiovanni

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Christopher P. Rodgers

t i o n established u p o n the ancient a n d inaccurate f o r m of w o r d s i n w h i c h the i n s t r u m e n t is conceived. The m e r c a n t i l e l a w , i n this respect, is the same a l l over the w o r l d . F o r f r o m the same premises, the sound conclusions of reason a n d justice m u s t universally be the s a m e . " 6 4 Moreover, being contracts de jure gentium, t h e i r i n t e r p r e t a t i o n depended u p o n equitable considerations, a n d n o t u p o n the strict legal i m p o r t of the terms i n the c o n t r a c t 6 5 . I t was n a t u r a l t h a t the courts should rely heavily on the more technical foreign treatises to ascertain the m e a n i n g of phrases h i t h e r t o u n f a m i l i a r to E n g l i s h courts. Reference was also made to the c o n t i n e n t a l m e r c a n t i l e codes for g u i dance. The inaccurate phraseology used b y merchants meant t h a t disputes as to i n t e r p r e t a t i o n were common. I n Felly v. Royal Exchange Assurance Co. (1757) the t r u e m e a n i n g of the phrase " i n the ordinary course of a voyage" h a d to be decided. The w o r k s of Loccenius, M a r q u a r d u s a n d Roccus 6 6 , a n d other foreign w r i t e r s , were cited to the effect t h a t the insurer is l i a b l e for a l l loss o c c u r r i n g as a result of something u s u a l l y done i n the course of a voyage, i n c l u d i n g r e f i t t i n g . This was accepted as l a w b y L o r d Mansfield. A n o t h e r concept u n k n o w n to E n g l i s h l a w was t h a t of " b a r r a t r y " , viz. the misconduct of a ship's master, w h i c h was u s u a l l y insured against. This usually manifested itself i n cases where the master h a d deviated f r o m his proper course i n order to collect c o n t r a b a n d or engage i n s m u g g l i n g on his o w n account. C o u l d the owners c l a i m on the p o l i c y w h e n damage to the vessel occurred d u r i n g the course of such a deviation? I n Vallejo v. Wheeler (1774), a w i d e - r a n g i n g i n v e s t i g a t i o n of the h i s t o r y a n d c o n t i n e n t a l usage of the phrase was conducted. The p l a i n t i f f argued for the w i d e i n t e r p r e t a t i o n t h a t every p e r i l is insured against, except such as happen w i t h the consent or k n o w l e d g e of the owner. Magens p r o v i d e d a source of examples of court usage t a k e n f r o m the Ordinances of M i d d l e b u r g h (s. 14), R o t t e r d a m (s. 52), A m s t e r d a m (s. 6), H a m b u r g (4.6, 5.1 a n d 7.1) and S t o c k h o l m (Art. 5, s. 11, 16, a n d A r t . 6, s. 14). Postlethwaite's Universal Dictionary of Trade and Commerce, a w o r k itself m o d e l l e d on Savary's Dictionnaire de Commerce, was also c i t e d 6 7 . M a n s f i e l d accepted this d e f i n i t i o n , as i t w o u l d be i n a p p r o p r i a t e for policies to be given a n a r r o w e r i n t e r p r e t a t i o n i n E n g l i s h courts t h a n o b t a i n e d on the continent. I n d o i n g so, he investigated the I t a l i a n origins of the phrase, i n d i c a t i n g t h a t he h a d also l o o k e d i n t o the foreign materials for guidance. The c o n t r a r y argum e n t t h a t the phrase o n l y encompassed direct a n d i n t e n t i o n a l i n j u r y to the owners - itself argued f r o m Savary's Dictionnaire de Commerce - was 64

Pelly v. Royal Exchange Assurance Co. (1757) 1 B u r r , at 347. Stevenson v. Snow (1761) 1 W. B l . at 319. 66 Loccenius, D e Jure M a r i t i m o 2.5.10. M a r q u a r d u s , D e Jure M e r c a t o r u m 2.15.148. Roccus, De N a v i b u s et N a u l o , N o t . 138. 67 (17 7 8) 1 Cowp. 143. M . P o s t l e t h w a y t , U n i v e r s a l D i c t i o n a r y of Trade a n d C o m merce, 2 vols., 1751 - 5. 65

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rejected. The p r i n c i p l e adopted i n Vallejo' s case represented a synthesis of the various views expressed i n the c o n t i n e n t a l l i t e r a t u r e a n d the codes. This was recognised i n Lockyer

v. Offley

(17 8 6 ) 6 8 where Willes J. observed t h a t

" m a n y definitions of b a r r a t r y are to be f o u n d in the books , b u t perhaps this one m a y comprehend almost a l l the cases. B a r r a t r y is every species of f r a u d or k n a v e r y i n the master of a ship b y w h i c h the freighters or owners are injured". C o n t i n e n t a l authorities were i n v o k e d to a i d the i n t e r p r e t a t i o n of other mercantile documents, n o t a b l y charterparties. I n Luke v. Lyde (1759) 6 9 , L o r d M a n s f i e l d h a d to decide the p r o p o r t i o n of freight payable where a vessel c a r r y i n g fish h a d been captured 17 days out of N e w f o u n d l a n d and 4 days f r o m her destination. She h a d been subsequently recaptured, a n d h a l f the value of her cargo p a i d as salvage. Some freight was clearly o w i n g , b u t h o w much? I n the absence of any guidance f r o m E n g l i s h authorities, i t was decided t h a t a pro rata itineris rate should be payable i n such cases. I n this case freight was therefore payable on 17/21 of the value of h a l f the cargo, the other h a l f h a v i n g been p a i d as salvage. A u t h o r i t y for this c o m m o n sense solu t i o n was f o u n d i n the c o n t i n e n t a l models. L o r d M a n s f i e l d referred to the R h o d i a n laws, the Consolato del Mer, the L a w s of W i s b y a n d the Rules of Oleron, using as his source for the l a t t e r Cleirac's Us et Coustumes de la Mer. Colbert's Ordinance of 1681 was also i n v o k e d as an example of the c o n t i n e n t a l practice as to p a y m e n t of freight i n cases of s h i p w r e c k a n d ransom. Roccus's De Navibus et Naulo, not. 81, was relied u p o n and p r o v i d e d the express g r o u n d for the judgement. Of the c o n t i n e n t a l authorities referred to b y the E n l i s h courts, the preeminent m o d e l was Colbert's Ordonnance de la Marine of 1681. This was o n l y to be expected. I t was h i g h l y i n f l u e n t i a l i n the rest of Europe and, given Mansfield's t r e a t m e n t of E n g l i s h c o m m e r c i a l l a w as p a r t of the ius gentium, i t was i n e v i t a b l e t h a t i t w o u l d have a strong influence on the development of E n g l i s h L a w . I n a d d i t i o n to the instances already mentioned, i t was c i t e d as a u t h o r i t y on the i n t e r p r e t a t i o n of "free f r o m average" clauses 7 0 a n d the d i v i s i b i l i t y or otherwise of insurance c o n t r a c t s 7 1 . M a n s f i e l d also h a d an o p p o r t u n i t y to b r i n g E n g l i s h l a w i n t o h a r m o n y w i t h the jus gentium i n a n u m b e r of cases i n v o l v i n g ransom contracts. I t was c o m m o n practice for a ship's master, f o l l o w i n g capture b y privateers, to sign a w r i t t e n b i l l p r o m i s i n g p a y m e n t i n r e t u r n for the release of his vessel. The enforceability or otherwise of such contracts was a m a t t e r of p u b l i c debate. The p r i n c i p l e consistently adopted b y L o r d M a n s f i e l d was t h a t , i f the agree68 (1786) 1. T. R. 252. See also Nutt v. Bourdieu 69 (1759) 2 B u r r . 382, 1 W . B l . 190. ™ Wilson v. Smith (1761) 3 B u r r . 1237. 71 Bermon v. Woodbridge (1781) 2 Doug. 781. 12*

(1786) 1. T. R. 323.

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Christopher P. Rodgers

m e n t w o u l d be enforced b y the courts of the captor's domicile, t h e n i t should be accepted as enforceable i n E n g l i s h l a w . C o n t i n e n t a l authorities w o u l d i n e v i t a b l y have to be i n v o k e d to establish the p o s i t i o n of such agreements i n foreign domestic l a w . The first case i n w h i c h the p r o b l e m arose was Ricord v. Bettenham (17 6 5) 7 2 . The master of a French privateer sued on a ransom b i l l , i n c i r cumstances where the hostage h a d d i e d n a t u r a l l y before p a y m e n t h a d been made. A r g u m e n t centred on w h e t h e r the contract survived the death of the hostage. The p l a i n t i f f relied u p o n the Digest, 20.5.9., to argue t h a t a hostage was merely collateral security, and t h a t the o b l i g a t i o n survived his death. Cleirac's Us et Coustumes de la Mer, the Guidon, G r o t i u s 3.20.58 and 3.23.16, a n d the Ordinance of 1681, were adduced to prove t h a t the contract was v a l i d i n i n t e r n a t i o n a l l a w . The defendant, n o t surprisingly, relied on the n a r r o w e r g o u n d t h a t no a c t i o n c o u l d arise on a contract made w i t h an enemy alien. Counsel confessed t h a t " i t astonished h i m t h a t a l l foreign w r i t ers (except G r o t i u s a n d Pufendorf) are silent u p o n this subject; a n d they do n o t say m u c h about i t " . The views of G r o t i u s and Pufendorf were explored i n argument, a n d f o u n d to favour the enforceability of such agreements. Grotius, De Jure Belli ac Pacts 3.23.16 holds t h a t a hostage is merely "assessory to the p r i n c i p a l a c t " . Pufendorf's De Jure Naturae et Gentium 8.7.14 has l i t t l e to say, a n d reference was therefore made to Barbeyrac's commentary, w h i c h (we are told) "has cleared G r o t i u s f r o m the i m p u t a t i o n of i n c o n sistency". Barbeyrac also supported the enforceability of such compacts, h o l d i n g t h a t " w h e n an Officer has gone beyond his p r i v a t e instructions, the sovereign is no less obliged b y such a compact; otherwise the execution of a l l sorts of treaties w o u l d or m i g h t be e v a d e d " 7 3 . The enforceability of such pacts being recognised b y a l l the authorities, i t was decided t h a t i n p r i n c i p l e judgement s h o u l d be entered for the p l a i n t i f f , subject o n l y to evidence being furnished t h a t the agreement w o u l d be enforced abroad. Blackstone u n d e r t o o k to w r i t e to the Pensionary of Rotterdam, and to an A v o c a t of the Parlem e n t de Paris, a n d on b e i n g advised t h a t the contract w o u l d be u p h e l d i n 72

(1765) 3 B u r r . 1734. See also Cornu v. Blackburn (1781) 2 D o u g . 648 a n d Anton v. (1781) 2 D o u g . 649 (Note) (discussed below). 73 Barbeyrac's n o t e to P u f e n d o r f 8.7.14. i n fact deals w i t h pacts made b y m i l i t a r y officers, b u t its reasoning was e v i d e n t l y a p p l i e d here to those made b y the masters of m e r c h a n t vessels also. " T h e Sovereign is o b l i g e d to keep the compacts w h i c h are made b y his Generals, Commanders a n d other M i l i t a r y Officers, w h e n t h e y c o n t a i n n o t h i n g b e y o n d the p o w e r of t h e i r posts, or the e x t e n t of p r i v a t e orders they were charged w i t h , give t h e m , w h e t h e r they are executed o p e n l y i n t h e v i e w of the w h o l e w o r l d or p r i v a t e l y k n o w n to those w i t h w h o m they treat. B u t i f a compact be made w i t h o u t orders, a n d a f t e r w a r d s r a t i f i e d b y the Sovereign, b y an express or t a c i t consent; i t is p l a i n t h a t , i n t h a t case, i t o u g h t to be k e p t the v e r y same as i f i t h a d at f i r s t been made b y his a u t h o r i t y . N a y , W h e n a n Officer has gone b e y o n d his p r i v a t e i n s t r u c t i o n s , the Sovereign is no less o b l i g e d b y such a c o m p a c t ; otherwise the e x e c u t i o n of a l l sorts of treaties w o u l d or m i g h t be evaded." (Note 1 t o Puf. 8.7.14.). I have used the 1749 E n g l i s h e d i t i o n of D e Jure N a t u r a e , w i t h Barbeyrac's notes. Fisher

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France a n d H o l l a n d , judgement was given for the p l a i n t i f f . The a c t i o n was something of a test case, a n d a n u m b e r of other ransoms were p a i d as a result. A c t i o n s on ransom b i l l s were n o t u n c o m m o n , a n d Mansfield's Notebooks disclose t h a t there were at least h a l f a dozen such actions d u r i n g his tenure of office i n a d d i t i o n to the l e a d i n g cases reported i n the p r i n t e d reports. The v a l i d i t y of such contracts again arose i n t w o l e a d i n g cases i n 1781. I n Cornu v. Blackburn, a ransom b i l l h a d been given to a French privateer w h i c h h a d t h e n been captured b y B r i t i s h warships. The French c a p t a i n h a d concealed the ransom b i l l itself f r o m his captors i n order to preserve the o b l i g a t i o n to pay. I t was argued t h a t the ransom b i l l itself m u s t be recaptured, for the rights of s p o l i a t i o n i n w a r are " o d i o u s " a n d should n o t be extended to a n y t h i n g n o t absolutely seized a n d reduced to possession - a p r i n c i p l e advocated by Grotius (De Jure Belli ac Pads 3.21.28). V a l i n ' s C o m m e n t a r y on the Ordinance of 1681 was adduced as evidence t h a t the contract w o u l d be enforceable i n France. M a n s f i e l d accepted this l i n e of reasoning and u p h e l d the enforceability of the b i l l , c o m m e n t i n g t h a t " t h e a u t h o r i t y f r o m G r o t i u s is very strong on this last g r o u n d " . The p l a i n t i f f s also i n v o k e d Pufendorf (De Jure Naturae 8.6.23) to the effect t h a t the existence of a r i g h t d i d not, i n any event, depend u p o n the document w h i c h evidenced i t . A s i m i l a r p r o b l e m arose i n Anton v. Fisher, w i t h the difference t h a t the French master i n this instance h a d f r a u d u l e n t l y concealed the ransom b i l l after b e i n g asked to h a n d over a l l his papers. L o r d M a n s f i e l d directed the case to be argued b y a c i v i l i a n on each side. We are t o l d t h a t " a great v a r i e t y of new authorities were cited, chiefly f r o m foreign w r i t e r s , a n d p a r t i c u l a r l y m a n y passages f r o m V a l i n ' s Commentary on the French Ordinance of 1681, w h i c h h a d been p o i n t e d out b y L o r d M a n s f i e l d " . V a l i n ' s o p i n i o n was t h a t only the recapture of the b i l l itself c o u l d p u t an end to the o b l i g a t i o n 7 4 . A t this j u n c t u r e the legislature intervened. B y the S t a t u t e 22 Geo. 3, c. 25 i t was made u n l a w f u l for any B r i t i s h subject to enter i n t o a ransom contract, a n d a l l such contracts were declared void. W h e n A n t o n ' s case came on for j u d g e m e n t i n 1783, judgement was given pro forma for the p l a i n t i f f , b u t reversed on a w r i t of error i n the Exchange Chamber on the g r o u n d t h a t the statute of 1782 h a d removed the court's j u r i s d i c t i o n over ransom b i l l s . L o r d Mansfield's success i n i n c o r p o r a t i n g the ius gentium i n t o E n g l i s h l a w was on this occasion shortlived. The A c t of 1782 d i d not, however, prevent f u r t h e r l i t i g a t i o n r e l a t i n g to ransom b i l l s . I n Yates v. Hall (1785) 7 5 , an a c t i o n was b r o u g h t b y a seaman w h o h a d agreed to act as hostage, p r o v i d e d his wages c o n t i n u e d to be paid. He was i m p r i s o n e d for almost four years, 74 75

V a l i n , C o m m e n t a i r e sur l ' O r d o n n a n c e de l a M a r i n e , Vol. 2,3.9. art. 19. (17 8 5) 1 T . R . 74.

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and later sued the owner to recover his wages. This was a unique action, and (as L o r d M a n s f i e l d noted) "there is no case l i k e this i n the c i v i l l a w or the l a w of E n g l a n d " . H e h a d clearly l o o k e d to the c o n t i n e n t a l authorities for guidance w i t h o u t success. Roccus's De Navibus et Naulo, not. 32 was adduced i n argument to support the v i e w t h a t the ship's master can v a l i d l y b i n d his p r i n c i p a l w i t h o u t f i n a n c i a l l i m i t . I t was decided t h a t , i n the absence of direct a u t h o r i t y , the correct p r i n c i p l e was t h a t the master can b i n d his p r i n c i p a l u p to the value of the ship a n d cargo, a n d the owners were therefore l i a b l e to account for the u n p a i d wages. Ransoms c o n t i n u e d to be a m a t ter of p u b l i c concern. L o r d Mansfield's N o t e b o o k discloses t h a t , i n a d d i t i o n to Yates v. Hall , there were i n 1783 a f u r t h e r t w o actions o n ransom b i l l s , i n b o t h of w h i c h the p l a i n t i f f succeeded 7 6 .

Private International L a w When, u n d e r Mansfield's guidance, the K i n g ' s Bench began to incorporate the l a w merchant i n t o the c o m m o n l a w , the c o m m o n l a w courts were presented for the first t i m e w i t h problems of the conflict of laws. To w h a t extent s h o u l d foreign l a w s be given e x t r a - t e r r i t o r i a l effect i n England? There was a p a u c i t y of E n g l i s h l e a r n i n g a n d the doctrines of the D u t c h jurists - especially U l r i c h H u b e r and the Voets - exercised a strong i n f l u ence on the development of this b r a n c h of the c o m m o n l a w . L o r d M a n s f i e l d was d i r e c t l y responsible for i n t r o d u c i n g E n g l i s h lawyers to t h e i r w r i t i n g s . C o n t i n e n t a l authorities are k n o w n to have been c i t e d i n conflicts cases before the C o u r t of Session i n Scotland. A f t e r the U n i o n i n 1707, i t seems probable t h a t these authorities must also have been c i t e d i n Scottish appeals to the House of Lords, a l t h o u g h the reports p r o v i d e no overt evidence of t h i s 7 7 . M a n s f i e l d h a d himself acted as counsel i n a n u m b e r of Scottish appeals before 1756, a n d his acquaintance w i t h the D u t c h jurists' w o r k s m a y therefore owe something to his Scottish connections. A strong influence was exerted b y Huber's t i t l e De Conflictu Legum i n his Praelectiones Juris Romani et Hodierni (16 8 9) 7 8 . Huber's theories were first discussed i n Robinson v. Bland (1761) 7 9 , i n w h i c h an a c t i o n was b r o u g h t on a b i l l of exchange given i n France to secure monies w o n by gaming. E v i dence was given t h a t the debt w o u l d be enforceable i n France as a debt of h o n o u r i n the court of the marshalls. I t was unenforceable i n E n g l i s h l a w . 76 Castagnier v. Selby 25 J u l y 1783, Vol. 498. p. 11. Poreau v. Hartley 1 A u g . 1783, Vol. 498, p. 87. T h e g r o u n d o n w h i c h these claims were u p h e l d is n o t apparent. 77 O n the S c o t t i s h origins of the c o n t i n e n t a l influence, see Anton, The I n t r o d u c t i o n i n t o E n g l i s h Practice of C o n t i n e n t a l Theories o n the C o n f l i c t of L a w s (1956) I.C.L.Q. 534. 78 O n H u b e r ' s influence generally, see Llewelfryn Davies (1937) B . Y . I . L . 49. 7 ® (1760) 1 W . B l . 234, 256; 2 B u r r . 1077.

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A f t e r the case h a d been argued once, L o r d M a n s f i e l d directed t h a t i t be reheard a n d " t h r e w out a few h i n t s to be spoken t o the n e x t t i m e " , i n c l u d i n g the d i s t i n c t i o n between personal a n d real statutes. W h e n the m a t t e r was reargued, counsel for the p l a i n t i f f s relied on the w r i t i n g s of Voet, H u b e r , G r o t i u s (De Jure Belli ac Pacts 2.11.5), V i n n i u s a n d D u c k for the p r o p o s i t i o n t h a t a l l m i x e d a n d personal contracts should be governed b y the lex loci contractus. The defendants relied u p o n D o m a t a n d Delamare's Traité de la Police (3.4.4) to the effect t h a t the contract was n o t enforceable i n France i n any event, as i t became due after the death of the defendant. L o r d M a n s f i e l d relied u p o n the p r i n c i p l e s set out i n Huber' s Praelectiones, a n d r u l e d t h a t as a general r u l e the lex loci contractus should govern. " T h e general r u l e established ex comitate et jure gentium is t h a t the place where the contract is made, a n d not where the a c t i o n is b r o u g h t , is to be considered i n e x p o u n d i n g a n d enforcing the contract." H u b e r himself, however, a d m i t t e d an exception where the parties themselves h a d a v i e w to a different l a w . The general rule, therefore, was t h a t the l a w of the place where the contract was t o be executed s h o u l d apply. As the b i l l of exchange was payable i n E n g l a n d , E n g l i s h l a w a p p l i e d to render the debt unenforceable. M a n s f i e l d is reported to have commended Huber's w o r k as "clear a n d d i s t i n c t " , a n d p o i n t e d out t h a t Voet's conclusions were to the same effect. Huber's Praelectiones Juris Romani et Hodierni was also relied u p o n i n Holman v. Johnson (1775) 8 0 . A c t i o n was b r o u g h t to enforce p a y m e n t for tea w h i c h h a d been sold at D u n k i r k i n the k n o w l e d g e t h a t i t was to be smuggled i n t o England. M a n s f i e l d relied u p o n Huber's general p r i n c i p l e t h a t the l a w where the cause of a c t i o n arose s h o u l d govern: " T h e d o c t r i n e H u b e r lays d o w n is founded i n good sense a n d u p o n general principles of justice. I entirely agree w i t h h i m " . The contract was enforceable as the vendor was not himself i n v o l v e d i n the smuggling. The principles enunciated i n Robinson v. Bland and Holman v. Johnson were f o l l o w e d i n subsequent cases, n o t a b l y Briggs v. Lawrence (1789) 8 1 a n d Waymell v. Reed (1794) 8 2 . Huber's doctrine on the enforceability of contracts consequently became the accepted E n g l i s h rule. The o p p o r t u n i t y d i d n o t arise for M a n s f i e l d to adopt the theories of the c o n t i n e n t a l w r i t e r s i n other areas of p r i v a t e i n t e r n a t i o n a l l a w . T h e i r influence was more strongly felt at the end of the eighteenth a n d the b e g i n n i n g of the nineteenth centuries. I n Bruce v. Bruce (1790) 8 3 , the House of L o r d s heard argument f r o m the w r i t ings of H u b e r , Vattel, V i n n i u s , J. Voet, V a n L e e u w e n a n d Denisart a n d accepted t h a t intestate succession to moveable p r o p e r t y is governed b y the 80

(17 7 5) 1 C o w p . 341. * (1789) 3 T. R. 454. 82 (1794) 5 T. R. 599. 83 (1790) 2 Bos. & Pul. 226. 8

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l a w of the intestate's domicile. The c o n t i n e n t a l authorities were also i n v o k e d i n Potinger v. Wightman (1817) 8 4 , where i t was established beyond question t h a t an infant's d o m i c i l e follows t h a t of his s u r v i v i n g parent. Counsel on this occasion a d m i t t e d t h a t " o f a u t h o r i t y on this subject, i n the E n g l i s h l a w none exists ... b u t i t has been m u c h discussed b y foreign jurists, to whose opinions ... our courts are accustomed to resort, on questions w h i c h (like the present) m u s t be decided r a t h e r b y general principles of l a w t h a n b y the p e c u l i a r doctrines of any l o c a l c o d e " 8 5 . S i r W i l l i a m G r a n t , M . R . based his decision on the views of J. Voet, Bynkershoek a n d Pothier, and commented t h a t " o n the subject of domicile, there is so l i t t l e to be f o u n d i n our o w n l a w t h a t w e are obliged to resort to the w r i t i n g s of foreign jurists for the decision of most of the questions t h a t arise concerning i t " 8 6 . The principles l a i d d o w n i n Bruce v. Bruce were a m p l i f i e d i n a n u m b e r of subsequent cases, b y reference to the foreign a u t h o r i t i e s 8 7 . B y w a y of i n t r o d u c t i o n , H u b e r set out i n his Praelectiones three m a x i m s w h i c h (he claimed) represent the f u n d a m e n t a l principles of the subject. Huber's t h i r d m a x i m set out the c o m i t y doctrine: "Those w h o exercise sovereign a u t h o r i t y so act f r o m c o m i t y t h a t the laws of each n a t i o n h a v i n g been a p p l i e d w i t h i n its o w n boundaries should r e t a i n t h e i r effect everywhere so far as they do n o t prejudice the p o w e r or r i g h t s of another state or its s u b j e c t s " 8 8 . Conflicts rules, according to H u b e r , owe t h e i r existence to " t h e convenience a n d t a c i t consent of nations, for a l t h o u g h the laws of one c o u n t r y cannot have any direct force i n another, yet n o t h i n g c o u l d be more inconvenient to the commerce a n d general intercourse of nations t h a n t h a t w h i c h is v a l i d b y the l a w of one place s h o u l d be i n v a l i d elsewhere o w i n g to a difference i n the l a w " . L o r d M a n s f i e l d w h o l e h e a r t e d l y accepted this reasoning. One of the grounds for his decision i n Holman v. Johnson (1775) was t h a t " t h e l a w of E n g l a n d says t h a t i n a v a r i e t y of circumstances, w i t h regard to contracts legally made abroad, the l a w of the c o u n t r y where the cause of the a c t i o n arose shall govern". This theory is often criticised b y m o d e r n jurists on the g r o u n d t h a t i t leaves the enforcement of r i g h t s as a m a t t e r of mere courtesy. I t can be argued, however, t h a t H u b e r saw conflicts rules as p a r t of the jus gentium , a n d as such resting on the consent of nations. This was certainly Mansfield's v i e w . Whatever the theoretical objections to the c o m i t y doctrine (for instance t h a t i t gives no guidance as to h o w one is to decide which rules w i l l be enforced) L o r d M a n s f i e l d can

84 85 86 87

(1817) 3 M e r . 67. (1817) 3 Mer. 67 at 73 per Sir. S. R o m i l l y . (1817) 3 Mer. 67 at 79 - 80. O n the influence of c o n t i n e n t a l theories post M a n s f i e l d , see Anton

534. 88

D e C o n f l i c t u L e g u m , s. 2.

(1956) I.C.L.Q.

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share at least some of the credit for i n t r o d u c i n g E n g l i s h lawyers to the theoretical foundations of p r i v a t e i n t e r n a t i o n a l l a w . Public International L a w Questions i n v o l v i n g w h a t w e n o w c a l l " p u b l i c " i n t e r n a t i o n a l l a w rarely came before the c o m m o n l a w courts d u r i n g the eighteenth century. The n a t u r a l l a w jurists, p a r t i c u l a r l y G r o t i u s a n d Pufendorf, were pioneers i n the systematic study a n d e x p o s i t i o n of the subject. I t was o n l y n a t u r a l , therefore, t h a t t h e i r w r i t i n g s w o u l d have a strong influence i n those cases where questions of p u b l i c i n t e r n a t i o n a l l a w arose. Indeed, L o r d Mansfield's j u d g e ments i n cases of sovereign i m m u n i t y are s t i l l quoted today to support the " i n c o r p o r a t i o n " theory of the r e l a t i o n s h i p of m u n i c i p a l a n d i n t e r n a t i o n a l l a w , i.e. t h a t i n t e r n a t i o n a l l a w , f o u n d i n the opinions of the w r i t e r s on the subject, is automatically p a r t of the c o m m o n l a w of England. B y the Statute 7 Anne, c. 10, sovereign i m m u n i t y f r o m suit extended to "ambassadors a n d other p u b l i c m i n i s t e r s " . M a n s f i e l d was counsel i n Bar buit's case (1737) i n C h a n c e r y 8 9 , i n w h i c h the relevant p r i n c i p l e s were first discussed at length. The case was "solemnly argued and decided by L o r d T a l bot on considering a n d w e l l w e i g h i n g Barbeyrac, Bynkershoek, Grotius, W i n c q u e f o r t a n d a l l the foreign authorities; for there is l i t t l e to be said b y our o w n w r i t e r s on this s u b j e c t " 9 0 . I t was decided t h a t i m m u n i t y o n l y attaches to ambassadors entrusted to transact matters of state between t w o nations, a n d was n o t to a t t a c h to mere consuls w i t h no such a u t h o r i t y . L o r d M a n s f i e l d was clearly f a m i l i a r , therefore, w i t h the c o n t i n e n t a l authorities on the subject at an early stage i n his career. H e h a d an o p p o r t u n i t y to review the l a w i n a j u d i c i a l capacity i n Triquet v. Bath (1764) 9 1 . The court h a d to decide the legal p o s i t i o n of the servants of d i p l o m a t s a n d those engaged i n trade on t h e i r o w n account. The debtor was an E n g l i s h secretary employed b y the B a v a r i a n m i n i s t e r i n L o n d o n a n d c l a i m e d i m m u n i t y f r o m suit. Blackstone, for the p l a i n t i f f s , argued f r o m the a u t h o r i t y of Grotius's De Jure Belli and Bynkershoek's De Foro Legatorum, c. 15, t h a t b y the l a w of nations the servants of l e g i t i m a t e ministers have i m m u n i t y , b u t t h a t mere traders do not. L o r d M a n s f i e l d accepted this, h o l d i n g t h a t " t h e l a w of nations is i n its f u l l extent p a r t of the l a w of E n g l a n d " . I n the event, h o w ever, the defendant was able to produce evidence to establish his status as a 89 (1737) Cases T . T a l b o t 281. 90 H e a t h f i e l d v. C h i l t e r n (1767) 4 B u r r . 2015 per L o r d M a n s f i e l d . Some E n g l i s h w r i t e r s , however, were clearly aware of the c o n t i n e n t a l l i t e r a t u r e o n the l a w of ambassadors. F o r instance, S i r E d w a r d L i t t l e t o n ' s u n f i n i s h e d treatise ( " T h e N e w e L i t t l e t o n " ) makes extensive use of f o r e i g n a u t h o r i t i e s i n i t ' s discussion of the subject; see J. H. Baker (1974) C.L.J, at p. 151. 91 (1764) 3 B u r r . 1478.

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bona fide servant, a n d so c l a i m i m m u n i t y . These p r i n c i p l e s were reiterated i n Heathfield v. Chiltern (1767), where i t was h e l d t h a t a servant m u s t be an ambassador's e m p l o y m e n t at the a c t u a l date of his arrest i n order to q u a l i f y for the p r i v i l e g e of i m m u n i t y . The l a w of prize was a m a t t e r for the A d m i r a l t y j u r i s d i c t i o n . Questions of the l a w of prize, however, sometimes arose i n c i d e n t a l l y i n actions before the c o m m o n l a w courts, as for instance where p r o p e r t y the subject of a trespass a c t i o n was c l a i m e d to be prize b y a defendant. W h e n questions of this n a t u r e arose, i t was n a t u r a l t h a t the extensive c o n t i n e n t a l l i t e r a t u r e w o u l d be referred to for guidance. A n example is the decision i n Land v. Lord North and the Bank of England (17 8 5) 9 2 . Coins belonging to an enemy alien were f o u n d aboard a Prussian ship w h i c h h a d foundered on the G o o d w i n Sands. L o r d N o r t h (as W a r d e n of the Cinque Ports) seized t h e m a n d declared his i n t e n t i o n of h a v i n g t h e m condemned as prize i n A d m i r a l t y . I n an a c t i o n of detinue to recover the coins, the c a p t a i n of the Prussian vessel relied on Grotius, De Jure Belli 3.6.12, to argue t h a t moveables t a k e n outside the course of p u b l i c service belong to t h e i r c a p t o r 9 3 . L o r d Mansfield, however, overruled the previous r u l e w h i c h h a d reflected Grotius's v i e w , a n d h e l d t h a t a l l enemy p r o p e r t y c o m i n g w i t h i n the r e a l m belongs to the C r o w n .

The L a w of Obligations L o r d Mansfield's attempts to reform the E n g l i s h l a w of contract are w e l l k n o w n . I t m a y be f r u i t f u l , however, to speculate as to the c i v i l i a n origins of some of his attempts at reform. The development of the a c t i o n of assumpsit meant t h a t an e v e r - w i d e r range of promises were b e c o m i n g enforceable at c o m m o n l a w . As a result, the courts were faced w i t h the p r o b l e m of establ i s h i n g criteria to d i s t i n g u i s h seriously i n t e n d e d promises w h i c h they should enforce f r o m merely g r a t u i t o u s promises, w h i c h they w o u l d not. This p r o b l e m was f a m i l i a r to civilians, of course, a n d most of the contemporary w o r k s on the c i v i l l a w discussed the problems of nudum pactum at length. B o t h G r o t i u s a n d Pufendorf classified promises i n t o three types (De Jure Belli 2.11.3 - 4, De Jure Naturae 3.5.1 - 9): (i) Bare assertions, i. e. an expression of a present opinion. Such promises were n o t b i n d i n g either b y the l a w of n a t u r e or the c i v i l l a w . (ii) A n " i m p e r f e c t " promise w h i c h obligates the p r o m i s o r b u t confers no r i g h t s on another. A n imperfect s t i p u l a t i o n , w h i c h m o r a l l y obligates 92

(1785) 4 B u r r . 266. "Subjects, b y the l a w of nations, have a r i g h t t o seize the goods of the enemy. B u t t h i n g s moveable, w h e t h e r w i t h or w i t h o u t life, are either t a k e n i n p u b l i c service or o u t of i t ; i f they are n o t t a k e n i n p u b l i c service t h e y are the c a p t o r s " (De Jure B e l l i ac Pacis, 3.6.12.). 93

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the s t i p u l a t o r b y the l a w of n a t u r e b u t does n o t create a c i v i l o b l i g a t i o n , w o u l d f a l l w i t h i n this category, e.g. " I have made u p m y m i n d i n a l l seriousness to do this or t h a t for y o u a n d I hope y o u w i l l take m y w o r d for i t . " 9 4 (iii) A " p e r f e c t " promise w h i c h obligates the p r o m i s o r b y b o t h c i v i l a n d n a t u r a l l a w . A c c o r d i n g to Grotius, the promisee acquires a legal r i g h t p r o v i d e d the promise is accompanied b y " a n o u t w a r d sign of the i n t e n t to confer the due r i g h t u p o n the other p a r t y " (De Jure Belli 2.11.4.). S i m i l a r l y , Pufendorf holds t h a t " i t is a perfect promise w h e n a m a n n o t o n l y declares his w i l l for a f u t u r e t i m e to do something for another, b u t also shows t h a t he gives h i m a r i g h t w h e r e b y the other is f u l l y e n t i t l e d to demand of h i m the t h i n g p r o m i s e d " (De Jure Naturae 3.5.7.). H o w should the l a w assess the seriousness of the promise made? F o r the civilians this question resolved itself i n t o a discussion of the content of the doctrine of causa, viz. the requirement of the c i v i l l a w t h a t , to be enforceable, a promise m u s t have a sufficient "cause". This was a topic of some debate i n the seventeenth a n d eighteenth centuries. Some, p r i n c i p a l l y F r a n cois C o n n a n 9 5 , argued t h a t for an o b l i g a t i o n to arise a promisee must derive a benefit f r o m the promise, a n d the p r o m i s o r a d e t r i m e n t , such t h a t the promisee w o u l d suffer a d e t r i m e n t i f the promise was n o t performed. G r o t i u s a n d Pufendorf countered this, h o l d i n g t h a t any seriously i n t e n d e d promise, even i f gratuitous, was enforceable. B o t h h e l d t h a t the loss of a p r o spective benefit, i f a promise r e m a i n e d unperformed, a m o u n t e d to a sufficient d e t r i m e n t to the promisee a n d t h a t a g r a t u i t o u s promise could not, therefore, he said to be w i t h o u t cause. Barbeyrac, i n his note to De Jure Naturae 3.5.9., e x p l a i n e d the prevalent v i e w as follows: " i f a promise, p u r e l y free, m a y confer a real r i g h t , the person w h o has received i t certainly loses t h a t r i g h t . To say n o t h i n g of the mischief w h i c h w o u l d ensue, f r o m b e i n g always b e i n g deceived b y a person, w h o seems to promise seriously a n d on whose w o r d w e depend. This damage m a y often be as sensible as the most real loss, w h i c h m a y otherwise a t t e n d i t " 9 6 . The n a t u r a l lawyers' p o s i t i o n was t h a t any seriously i n t e n d e d promise s h o u l d be enforceable, p r o v i d e d i t manifested a present i n t e n t - w h e t h e r g r a t u i t o u s or otherwise, a n d w h e t h e r or n o t evidenced i n w r i t i n g . The c o m m o n l a w adopted a characteristically more p r a g m a t i c solution. To create an enforceable contract, there m u s t be a present exchange of values, i. e. consideration must f l o w f r o m the promisee to the p r o m i s o r i n r e t u r n for the promise made. The only exception was where the contract was executed under seal. Forseeing some of the problems to w h i c h this r e q u i r e m e n t w o u l d 94 95 96

The example g i v e n b y P u f e n d o r f (De Jure N a t u r a e 3.5.). C o m m e n t . Juris C i v i l i s , 5.1. D e Jure N a t u r a e , 3.5.9. note 4, p. 271.

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give rise, M a n s f i e l d a t t e m p t e d to influence the development of the doctrine of consideration i n t w o ways. H e t r i e d t o reduce i t to the status of an evident i a r y requirement, and i n so d o i n g to u p h o l d the enforceability of w r i t t e n agreements u n s u p p o r t e d b y consideration. Secondly, he recognised " m o r a l " consideration as sufficient i n itself to support an u n w r i t t e n promise. M u c h has been w r i t t e n about his a t t e m p t e d reforms b y historians of the E n g l i s h l a w of contract. W h a t interests us here, however, are the sources f r o m w h i c h the principles i n t r o d u c e d b y M a n s f i e l d were derived. B o t h lines of developm e n t appear to d r a w heavily on contemporary c i v i l i a n learning. A l t h o u g h c i t a t i o n of c o n t i n e n t a l l i t r a t u r e is less c o m m o n t h a n i n (for instance) m a r i t i m e cases, there can be l i t t l e d o u b t t h a t c o n t i n e n t a l treatises p r o v i d e d the source m a t e r i a l f r o m w h i c h m a n y of Mansfield's i n n o v a t i o n s were derived. The l a c k of direct c i t a t i o n makes i t d i f f i c u l t , however, to specify accurately the sources of this c i v i l i a n influence. The use of w r i t i n g to evidence contracts, instead of the seal, h a d been encouraged b y the S t a t u t e of Frauds 1677, Section 4 of w h i c h r e q u i r e d w r i t i n g for five categories of contract. These were a l l types of contract w h i c h h a d become enforceable t h r o u g h the a c t i o n of assumpsit, e. g. promises b y an executor to pay legacies out of his o w n estate, promises to pay another's debts, marriage agreements, a n d agreements for the sale of land. W r i t i n g was also r e q u i r e d for any agreement w h i c h was to be performed w i t h i n one year of b e i n g entered i n t o . One consequence of i n t r o d u c i n g w r i t i n g as a f o r m a l r e q u i r e m e n t for the conclusion of a b i n d i n g contract was to reduce the significance of considera t i o n as a p u r e l y e v i d e n t i a r y requirement. The p o s i t i o n of the doctrine of consideration was reviewed i n Pillans v. Van Mierop (1765) 9 7 , i n w h i c h a w r i t t e n u n d e r t a k i n g to meet a b i l l of exchange, u n s u p p o r t e d b y consideration, was sued upon. M a n s f i e l d t o o k a b r o a d v i e w , c i t i n g no a u t h o r i t y , a n d h e l d t h a t as consideration was a requirement of evidence o n l y i t was not necessary i n agreements evidenced b y w r i t i n g . J u s t i f i c a t i o n for this v i e w c o u l d be f o u n d i n the S t a t u t e of Frauds " w h i c h proceedeth on the same p r i n c i p l e " . W i l m o t J. was more specific. H a v i n g traced the theory of nudum pactum i n R o m a n and E n g l i s h l a w , he relied on V i n n i u s ' s C o m m e n t a r y on the I n s t i t u t e s 9 8 for an e x p l a n a t i o n of its rationale a n d u t i l i t y : " i f b y s t i p u l a t i o n (and a fortiori b y w r i t i n g ) i t was good w i t h o u t consideration. I t was made requisite i n order to p u t people on a t t e n t i o n a n d reflection, a n d to prevent obscurity a n d u n c e r t a i n t y ; a n d i n t h a t v i e w either w r i t i n g or certain formalities were r e q u i r e d " . Consideration, i n other words, was merely a g u a r d against " r a s h inconsiderate promises". If, however, a promise was made " u p o n d e l i b e r a t i o n a n d r e f l e c t i o n " , as for instance where w r i t i n g was 97 (1765) 3 B u r r . 1663. 98 B o o k 3, D e O b l i g a t i o n i b u s .

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used, then i t was binding. He relied upon Grotius (De Jure Belli 2.11. above) and Pufendorf (De Jure Naturae 3.5. above) for a u t h o r i t y t h a t such promises were o b l i g a t o r y b y the l a w of nations. This i n n o v a t i o n was, as is w e l l k n o w n , short-lived. I n Rann v. Hughes ( 1 7 7 4 ) " the Exchequer Chamber re-established the t r a d i t i o n a l d i s t i n c t i o n between agreements b y Specialty (under seal) for w h i c h consideration was n o t required, a n d p a r o l agreements w h i c h must be supported b y consideration to be enforceable. The existence of a t h i r d category of agreement, viz. w r i t t e n agreements w i t h o u t consideration, was expressly rejected. The c i v i l i a n l e a r n i n g on nudum pactum therefore failed to g a i n a f o o t h o l d i n the c o m m o n l a w . I t is n o t e w o r t h y , however, t h a t L o r d Chief B a r o n S k y n n e r made a p o i n t of asserting i n the Exchequer Chamber t h a t W i l m o t J. was " c o n t r a d i c t e d b y V i n n i u s i n his Commentary on J u s t i n i a n " . V i n n i u s ' s a u t h o r i t y was such, even i n England, t h a t i t was felt necessary to ascertain his views on the question i n p o i n t - a n d these were clearly felt by the Exchequer Chamber to be at variance w i t h the i n t e r p r e t a t i o n placed u p o n t h e m i n Pillans v. Van Mierop. The second l i n e of development pursued b y M a n s f i e l d was to a t t e m p t to change the substance of the requirement of consideration itself, by h o l d i n g t h a t a m o r a l o b l i g a t i o n c o u l d constitute a v a l i d consideration. This also reflected contemporary c o n t i n e n t a l l e a r n i n g on the doctrine of "causa". I n the classical c i v i l l a w an element of r e c i p r o c i t y h a d been r e q u i r e d to clothe an agreement w i t h enforceability. I n the m e d i e v a l p e r i o d the requirement t h a t a promise must have a v a l i d "cause" changed s i g n i f i c a n t l y as a result of canonist influences, u n t i l i n the sixteenth a n d seventeenth centuries c i v i l i a n w r i t e r s generally h e l d any agreement to be enforceable, p r o v i d e d i t was seriously i n t e n d e d to create an o b l i g a t i o n . Where the agreement was b i l a t e r a l , the engagement of one p a r t y p r o v i d e d the f o u n d a t i o n (or cause) for t h a t of the other. I n the case of gratuitous contracts, however, the g r a t u i t o u s i n t e n t of the g r a n t o r was h e l d to be a sufficient "cause" for his o b l i g a t i o n to give. As Pothier p u t i t , " D a n s les contrats de bienfaisance, l a l i b é r a l i t é que l ' u n e des parties veut exercer envers l'autre, est une cause suffisante de l'engagem e n t qu'elle contracte envers e l l e " 1 0 0 . This v i e w was p r o p o u n d e d also b y D o m a t , w i t h the result t h a t the doctrine of cause was l i m i t e d to the role of e x p l a i n i n g the i n v a l i d i t y of i l l e g a l a n d i l l i c i t contracts, a role i t retains i n the m o d e r n c i v i l l a w 1 0 1 . I t h a d ceased to have any objective m e a n i n g as a requirement for the f o r m a t i o n of c o n t r a c t u a l obligations, a development encouraged b y the teaching of the n a t u r a l lawyers. G r o t i u s a n d Pufendorf b o t h h e l d t h a t agreements s h o u l d be enforceable ipso facto , p r o v i d e d evidence of the seriousness of the parties' i n t e n t was available. The o n l y l i m i t a 99

(1774) 4 B r o w n P.C. 27, 7 T . R . 350n. 100 T r a i t é des O b l i g a t i o n s , A r t . 42, q u o t e d b y Walton , Cause a n d C o n s i d e r a t i o n i n Contracts (1925) 41 L.Q.R. at 316. 101

See e.g., C.c. A r t s 1131 a n d 1133.

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t i o n they recognised was t h a t a promise s h o u l d n o t be enforceable i f i t conferred no benefit on the other party. So, Pufendorf explains "cause" thus: " I cannot compel someone to do something unless I a m going to receive an advantage for myself - w h i l e for the promisor's p a r t i t is against a l l reason to u n d e r t a k e something f r o m w h i c h no good and o n l y e v i l w i l l r e s u l t " (De Jure Naturae,

3.5.9.). V i r t u a l l y any agreement, seriously intended, w o u l d be

enforceable. Mansfield's doctrine of m o r a l obligation, i f accepted, w o u l d have b r o u g h t the c o m m o n l a w very nearly i n t o c o n f o r m i t y w i t h the c o n t i n e n t a l learning. Reflecting Mansfield's views, Blackstone asserted t h a t " a n y degree of recipr o c i t y w i l l prevent [a] pact f r o m b e i n g nude; nay, even i f the t h i n g be founded on a p r i o r m o r a l o b l i g a t i o n (as a promise to pay a just debt, t h o u g h b a r r e d b y the S t a t u t e of L i m i t a t i o n s ) i t w i l l no longer be nudum pactum" 102. I n a n u m b e r of early cases L o r d M a n s f i e l d was able to m i t i g a t e the effects of the doctrine of consideration b y r e l y i n g on principles of estoppel b y cond u c t 1 0 3 . The first o p p o r t u n i t y to w i d e n the scope of the doctrine itself arose i n Trueman v. Fenton (1777) 1 0 4 . A c t i o n was b r o u g h t on a promissory note given by an undischarged b a n k r u p t , i n r e t u r n for w h i c h the p l a i n t i f f h a d agreed n o t to prove i n the b a n k r u p t c y . A l t h o u g h the note was void, the promise to pay was h e l d to be enforceable, for " t h e debts of a b a n k r u p t are due i n conscience ... a l t h o u g h a l l legal remedy be gone the debts are clearly n o t e x t i n g u i s h e d i n conscience". The m o r a l o b l i g a t i o n to pay, i n accordance w i t h the promise given, furnished a sufficient consideration. A n o p p o r t u n i t y to develop this theme arose i n a n u m b e r of cases b r o u g h t b y legatees against executors w h o h a d promised to pay legacies out of t h e i r assets. There was no legal o b l i g a t i o n to pay legacies i n this w a y , the o n l y j u s t i f i c a t i o n for enforci n g p a y m e n t b e i n g t h a t an executor is under a m o r a l o b l i g a t i o n , once he has received the deceased's assets, to a d m i n i s t e r the estate according to his wishes. I f an executor h a d sufficient personal assets to b a c k his promise to pay, he was clearly under a m o r a l o b l i g a t i o n to pay, a n d his promise w o u l d be enforced as a b i n d i n g contract. This was established beyond d o u b t i n Atkins v. Hill (17 7 5 ) 1 0 5 a n d Hawkes v. Saunders (17 8 2 ) 1 0 6 . I n the l a t t e r L o r d M a n s f i e l d commented: " W h e r e a m a n is under a m o r a l o b l i g a t i o n w h i c h no court of l a w or e q u i t y can enforce, a n d promises, the honesty a n d rectitude of the t h i n g is a consideration ... t h o u g h the promise gives a compulsory remedy where there was none before i n l a w or equity, yet as the promise is to do w h a t an honest m a n ought to do the ties of conscience u p o n an u p r i g h t m i n d are a sufficient consideration." 102

Commentaries, i i , 445. See for instance Montefiori 104 (1777) 2 C o w p . 544. 103

105

v. M . (1762) 1 W . B l . 363.

(17 7 5) 1 C o w p . 284. (Reversed o n its facts b y Rann v. Hughes, (1782) 1 C o w p . 289.

supra).

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This development was reflected i n other areas of the l a w of contract. I t was h e l d that, even where the p r e - e x i s t i n g debt was w h o l l y void, a subsequent promise to pay w o u l d be enforceable 1 0 7 . L i k e w i s e a subsequent promise to pay a debt b a r r e d b y the Statute of L i m i t a t i o n s . The doctrine of m o r a l consideration was f i n a l l y overruled i n Eastwood v. Kenyon (1840) 1 0 8 i n w h i c h the boundaries of the m o d e r n doctrine of consideration were l a i d d o w n . E a r l i e r authorities were r e t u r n e d to a n d i t was clearly h e l d t h a t a m o r a l o b l i g a t i o n c o u l d never be a v a l i d consideration, w i t h the result t h a t a precedent v o i d debt c o u l d no longer f o u n d an enforceable subsequent p r o m ise to pay. D e n m a n C. J., i n r e j e c t i n g Mansfield's views, observed t h a t " t h e doctrine [of m o r a l consideration] w o u l d a n n i h i l a t e the necessity for any consideration at all, i n a s m u c h as the mere fact of g i v i n g a promise creates a m o r a l o b l i g a t i o n to p e r f o r m i t " 1 0 9 . I n the earlier case of Lee v. Muggeridge (1813), a s i m i l a r i n t e r p r e t a t i o n of Mansfield's views was p u t f o r w a r d b y counsel, w h o observed t h a t " L o r d M a n s f i e l d t h o u g h t the rule of nudum pactum m u c h too strict, and t h a t i t was competent for parties to make t h e i r o w n agreements on deliberation and ... they must be subject to t h e m " 1 1 0 . Mansfield's cases never, i n fact, w e n t this far. They were based on the premise t h a t there must be a p r e - e x i s t i n g m o r a l o b l i g a t i o n to support a subsequent promise to pay. H a d the a d d i t i o n a l step been t a k e n of recognising t h a t a promise to pay in itself i m p o r t e d a m o r a l o b l i g a t i o n recognised b y l a w , t h e n the i d e n t i f i c a t i o n of the doctrine of consideration w i t h contemporary c i v i l i a n l e a r n i n g on causa w o u l d have been complete. Mansfield's approach nevertheless w e n t a l o n g w a y t o w a r d s a d o p t i n g the principles enunciated b y Grotius, Pufendorf a n d other of the c o n t i n e n t a l authorities. C i v i l i a n doctrine also seems to have exerted a strong influence on the development b y M a n s f i e l d of the r e s t i t u t i o n a r y action for money h a d a n d received. M u c h has been w r i t t e n about this i n n o v a t i o n , b u t i t m a y prove f r u i t f u l , once again, to speculate as to the origins of some of the rules i n t r o d u c e d b y M a n s f i e l d i n t o E n g l i s h l a w . The principles of the m o d e r n l a w of quasi-contract derive f r o m Mansfield's judgement i n Moses v. Macferlan (1760) 1 1 1 . Despite a l a c k of direct citation, the views of Pufendorf and other c o n t i n e n t a l authorities are clearly reflected i n Mansfield's judgement. The p r o b l e m w i t h w h i c h the courts were faced was to classify the situations i n w h i c h an action of indebitatus assumpsit c o u l d be b r o u g h t to recover sums 107

Barnes v. Hedley (1809) 2 T a u n t . 184. (1840) 11 A d . & E . 438. 109 (1840) 11 A d . & E. at 450. no (1813) 5 T a u n t , at 42. m (1760) 2 B u r r . 1002; 1 W . B l . 219. F o r an exhaustive discussion of the c i v i l i a n influences evident i n M a n s f i e l d ' s j u d g e m e n t , see: P. B. H. Birks, E n g l i s h a n d R o m a n L e a r n i n g i n Moses v. M a c f e r l a n , (1984) 37 C u r r e n t L e g a l Problems 1. There is l i t t l e t h a t can f r u i t f u l l y be a d d e d to B i r k s ' survey, a n d the account g i v e n here concentrates on the possible l i t e r a r y sources of some of these influences. 108

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p a i d to another's use, b u t i n w h i c h no express contract c o u l d be pleaded. I n Moses M a n s f i e l d l a i d d o w n as a general p r i n c i p l e t h a t " i f the defendant be under an o b l i g a t i o n , f r o m the ties of n a t u r a l justice, to refund, the l a w implies a debt, a n d gives this action, founded i n the e q u i t y of the p l a i n t i f f ' s case, as i t were u p o n a contract ( " q u a s i ex c o n t r a c t u " as the R o m a n l a w expresses i t ) " 1 1 2 . The a c t i o n i n quasi contract is therefore e x p l a i n e d as d e r i v i n g f r o m an i m p l i e d contract to repay. I n a d o p t i n g the i m p l i e d contract theory, M a n s f i e l d was reflecting Pufendorf's i n t e r p r e t a t i o n of the R o m a n category of c l a i m a r i s i n g quasi ex contractu: "these actions are said to depend u p o n a k i n d of i m a g i n a r y contract. For w h e n w e deliver the t h i n g w i t h o u t i n t e n d i n g i t for a m a t t e r of pure b o u n t y , i t is supposed to be given b y the one p a r t y , a n d received b y the other on this c o n d i t i o n , t h a t i t shall be delivered back, i n case there appear no reason w h y i t was g i v e n " (De Jure Naturae 4.13.5.). This was a controversial topic among contemporary c i v i lians, m a n y of w h o m dispensed w i t h the f i c t i o n of i m p l y i n g an agreement i n t o w h a t was, i n essence, an i n v o l u n t a r y o b l i g a t i o n . Barbeyrac, for instance, i n his note to Pufendorf's De Jure Naturae disagreed w i t h the a u t h o r a n d dispensed w i t h the i m p l i e d contract t h e o r y 1 1 3 . M a n s f i e l d was p r o b a b l y aware of the dispute, a n d adopted Pufendorf's i n t e r p r e t a t i o n , w h i c h f i t t e d more easily w i t h the n a t u r e of the a c t i o n as a species of assumpsit. C i v i l i a n influence is also evidenced b y the fact t h a t the heads of recovery enumerated b y L o r d M a n s f i e l d i n Moses reflect the categories of r e s t i t u t i o n a r y condictiones of R o m a n l a w , a n d (again) a p p r o x i m a t e to the description i n Pufendorf's De Jure Naturae (4.13.5.). The heads of recovery recognised i n Moses v. Macferlan were: (i) Where there h a d been a mistake of fact (cf. the condictio R o m a n law).

indebiti

(ii) Where there h a d been a failure of consideration (cf. the condictio data causa non secuta).

of

causa

(iii) Where there h a d been e x t o r t i o n , i m p o s i t i o n , oppression, or undue influence (cf. the condictio ob turpem vel iniustam causam). The o n l y significant l i m i t a t i o n of the a c t i o n was t h a t i t w o u l d n o t lie to recover monies w h i c h the defendant h a d a m o r a l (if n o t a legal) r i g h t to retain, e.g. money p a i d b y the defendant as a debt " i n p o i n t of h o n o u r a n d 112

(1760) 2 B u r r , at 1008. D e Jure N a t u r a e 4.13.5. n o t e 7; " t h e r e is n o necessity for a consent, either express or t a c i t , the a u t h o r i t y of the l a w , or the n a t u r e of t h e t h i n g itself b e i n g s u f f i cient to establish a n o b l i g a t i o n ; a n d so there is no need of f e i g n i n g the f o r m a l consent of a person w h o l l y i g n o r a n t of w h a t passes". 113

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honesty". This doctrine was also p r o m i n e n t i n the w r i t i n g s of contemporary civilians. Thus Pufendorf (De Jure Naturae

3.4.5.):

" G r o t i u s observes t h a t the l a w y e r s sometimes c a l l a t h i n g of n a t u r a l o b l i g a t i o n , the d o i n g of w h i c h N a t u r e shows t o be good a n d honest, a l t h o u g h i t be n o t s t r i c t l y a debt ... W h e n any t h i n g of t h i s k i n d is v o l u n t a r i l y p a i d , a m a n c a n n o t recover i t again, o n pretence t h a t i t was n o t due, a l t h o u g h he m i g h t at f i r s t have refused to p a y it."

Barbeyrac's note to this passage makes the p o i n t t h a t i n the R o m a n l a w , the condictio indebiti was " a R i g h t r e q u i r i n g a t h i n g i n justice, w h i c h one has paid, b u t was n o t d u e " 1 1 4 . The same m i g h t equally be said of the a c t i o n for money h a d a n d received, as o u t l i n e d b y M a n s f i e l d i n Moses v. Macferlan, a n d developed b y h i m i n later cases.

Conclusion A l t h o u g h Mansfield's r e p u t a t i o n as the founder of E n g l i s h commercial l a w is w e l l established, his frequent use of c o n t i n e n t a l sources illustrates clearly t h a t he was n o t an o r i g i n a l t h i n k e r . M a n y of the l e a d i n g principles of E n g l i s h commercial l a w were derived f r o m c o n t i n e n t a l sources, as this paper has endeavoured to show, a n d s i m p l y adopted b y M a n s f i e l d i n t o the c o m m o n l a w . I t is evident f r o m recent research i n t o the earlier h i s t o r y of the l a w merchant t h a t the process of i n c o r p o r a t i o n h a d begun before the eighteenth century. Mansfield's most i m p o r t a n t achievement was to develop the means b y w h i c h the E n g l i s h courts could give expression, i n the f o r m of a coherent b o d y of legal rules, to the developing b o d y of c o n t i n e n t a l j u r i s prudence on the l a w merchant a n d jus gentium . The i n t r o d u c t i o n of special case procedures as a regular feature of court procedure, a n d the consequent t r a n s f o r m a t i o n of mercantile usage f r o m fact to l a w , p r o v i d e d the means b y w h i c h this c o u l d be achieved. This paper has concentrated on i d e n t i f y i n g the sources of some of the rules i n c o r p o r a t e d i n t o E n g l i s h commercial l a w , an area where c o n t i n e n t a l i n l u ence is k n o w n to have been strong. Mansfield's attempts to i n t r o d u c e c i v i l i a n concepts i n t o the p r i v a t e l a w of obligations were less successful. Nevertheless, c o n t i n e n t a l l i t e r a t u r e u n d o u b t e d l y p l a y e d a l e a d i n g role i n the development of the c o m m o n l a w here also, albeit i n a less direct manner. B y 1781 S i r W i l l i a m Jones, i n his Essay on Bailments , c o u l d comment t h a t Pothier's Traité des Obligations was a book " . . . the greatest p a r t of w h i c h is l a w at Westminster as w e l l as at O r l e a n s " 1 1 5 . I n the absence of any systemat i c t r e a t m e n t of obligations b y E n g l i s h w r i t e r s , i t was i n e v i t a b l e t h a t the 114 115

D e Jure N a t u r a e , 3.4.5. note 5, page 263. Essay o n B a i l m e n t s , p. 29.

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extensive c o n t i n e n t a l l i t e r a t u r e w o u l d exert a strong influence. F u r t h e r research m a y t h r o w l i g h t on specific areas of the c o m m o n l a w of contract a n d t o r t where this influence manifested itself. I t is also l i k e l y t h a t c o n t i n e n t a l l e a r n i n g coloured M a n s f i e l d a n d Blackstone's a t t i t u d e to e q u i t y a n d his attempts to reform E n g l i s h p r o p e r t y l a w 1 1 6 . F u r t h e r research m a y w e l l shed some l i g h t on the sources of some of his attempts at reform i n these, and other, areas of the c o m m o n l a w .

116 See Holdsworth (1929) 43 H . L . R . 1. Blackstone's t r e a t m e n t of e q u i t y i n his lectures d r a w s o n the Digest a n d G r a v i n a ' s O r i g i n s Juris C i v i l i s - see H o l d s w o r t h ' s N o t e at (1929) 43 H . L . R . 28 - 9.

K N U T W O L F G A N G NÖRR

Procedure in Mercantile Matters: Some Comparative Aspects The d i f f e r e n t i a t i o n of a society can be traced i n the g r o w t h of new sections of the legal order a n d sometimes i n a shift w i t h i n the elements t h a t stamp the conception of l a w . Thus i n the m i d d l e ages the l a w of i n t e r r e g i o n a l commerce a n d the l a w of ecclesiastical benefices bear witness to the rise of the t w o most significant social branches t h a t j o i n e d the ancient a n d t r a d i t i o n a l r u r a l a n d feudal categories. I n b o t h cases the instrumental element of l a w began to prevail, l a w devotes itself to e x t e r n a l purposes, the p r o m o t i o n of commerce a n d the economical b a c k i n g of the ecclesiastical service. I n the case of commercial l a w the i n s t r u m e n t a l character was favoured by the need of evading the dogma of usury. I t is no accident t h a t b o t h times the solemn forms of l i t i g a t i o n were rejected; no more the i n d i v i d u a l i n its e n t i r e t y is at stake n o r the l a w itself w h i c h covers m a n a n d his fate. The conflict, instead, t u r n s to demarcated a n d depersonalized issues. The second reason for unceremonious proceedings was the multitude of transactions i n the comm e r c i a l as w e l l as i n the benefice spheres (and for this reason also m a t r i m o n i a l cases were assigned to s u m m a r y procedure). M y task, however, is n o t to continue these parallels, b u t to t u r n to some j u d i c i a l a n d p r o c e d u r a l questions i n the early h i s t o r y of m e r c a n t i l e l a w . There are, i t seems to me, four m a j o r points i n this respect 1 . 1. Whatever m e r c a n t i l e l a w means, i t contains special a n d often u n w r i t ten rules w h i c h the l a w - c o u r t h a d to be confronted w i t h . This was no p r o b l e m i n case of m e r c a n t i l e courts w i t h merchants as judges, as i n the a r t i of m e d i e v a l I t a l y , i n the p e r i o d of the consules mercantiae. Often the m e r chants were n o t alone, m a n y statutes p r o v i d e d t h a t a i u r i s p e r i t u s h a d to j o i n as a judge or, at least, h a d to give the consilium sapientis. Hence the uses of the merchants a n d the R o m a n a n d canon l a w rules h a d to be conciliated one w a y or another. The p r i n c i p l e was t h a t the curia m e r c a t o r u m is n o t b o u n d 1 I t a l y : Benvenuto Straccha, T r a c t a t u s de m e r c a t u r a , ed. L u g d u n i 1610; Alessandro Lattes , I l d i r i t t o commerciale n e l l a legislazione s t a t u t a r i a delle c i t t à i t a l i a n e , 1884, p. 242 ss. - E n g l a n d : A. H. Thomas, Calendar of Select Pleas a n d Memoranda of the C i t y of L o n d o n , a.d. 1381 - 1412, 1932, p. V I I s s ; Theodore F. T. Plucknett, A Concise H i s t o r y of the C o m m o n L a w , 5 t h ed. 1956. - I n general Levin Goldschmidt, Handbuch des Handelsrechts I, 2. A u f l . 1875; 3. A u f l . (Universalgeschichte des Handelsrechts, 1. L i e f e r u n g ) 1891.

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to the apices iuris b u t free to judge according to negotii veritatem 2 t h a t is to the circumstances of the case i n question. T h r o u g h the facti Veritas the usages of the merchants entered the court, b u t they were shaped i n conformi t y w i t h the technics of the ius commune. I n o r d i n a r y courts w i t h professional judges the mercantile customs l i k e other customs h a d to be pleaded a n d proved. This was a widespread r u l e t h r o u g h o u t Europe whereas the w a y of s h o w i n g them, of course, varied. I n the west, for instance, w e f i n d the device of the i n q u i s i t i o n par turbe; i t was used i n the Netherlands u n t i l the 18th c e n t u r y 3 . I n m e d i e v a l E n g l a n d m e r c a n t i l e matters were h a n d l e d b y a v a r i e t y of l o c a l courts; the merchants i n the t o w n or the p o r t acted as suitors a n d gave the p e r t i n e n t judgements. As soon as the j u r y prevailed, the f u n d a m e n t a l d i c h o t o m y of l a w a n d fact plays a p a r t . For example, the Mayor's C o u r t i n L o n d o n was assisted by the A l d e r m e n w h i c h i n m e r c a n t i l e matters h a d to have k n o w l e d g e of the l a w merchant. As to the j u r y the Statute of Merchants of E d w a r d I 1285 established the so-called j u r y of the moiety: i n cases bet w e e n E n g l i s h a n d foreign merchants one h a l f of the j u r y should consist of citizens, the other h a l f of foreigners v i s i t i n g the place. The l a t t e r were p r o b ably taken, i f available, f r o m the place or the n a t i o n of the foreign p a r t y 4 . The Statute of the Staple 1353 assigned t w o alien merchants ( " l u n devers le S u t h et l a u t r e devers le N o r t h " ) to the court of the M a y o r and Constables 5 . B u t the merchants were n o t l i m i t e d to l i t i g a t i o n i n the l o c a l courts, they appeared as parties i n the central courts, too. I n the v i e w of the l a w as administered i n Westminster the l a w merchant originally was no law, b u t a m a t t e r of fact, therefore to be proved 6 . B u t later, d u r i n g the 17th century, the m a x i m t u r n e d u p t h a t the l a w merchant is p a r t of the l a w of the land.

2

B a r t o l u s D i g . 17.1.29 § Quedam; B a l d u s Cod. 4.35.10. J. W. Bosch, L a preuve dans l ' a n c i e n d r o i t néerlandais, L a preuve I I (Recueil Jean B o d i n X V I I ) , 1965, p. 475s. 4 Questions of C o n f l i c t of L a w s sometimes were c l o t h e d i n t h e c o m p o s i t i o n of t h e j u r y , cf. L i b e r A l b u s of L o n d o n , Rolls Series X I I p. 216: I t e m , les V i s c o u n t z de L o u n d res o u n t usez de t o u t temps de tener plees d e v a u n t eaux p a r entre qicouncqes m a r chauntz, l a o u a m b e d e u x parties sount m a r c h a u n t z , des touz bargaynes et c o n t r a c t z personelx qe t o u c h e n t m a r c h a u n d y s faitz o u t r e le meer a v i l l e m a r c h a u n t o u a l i e u m e r c h a u n d a b l e , l o u les bargaynes et contractz sount faitz p a r expresse p a r o l e sur p a i e m e n t z o u liveree des marchaundises, o u de rendre accompt deinz l a d i t e citee de Londres. E t en t i e l cas, si les parties descendent en issue denquest, adouncqes serra lenquest prys des gentz d e m o r a n t z deinz mesme l a citee, cestassavoir des m a r c h a u n t z passauntz, q i usent de passer o u t r e meer, q i p o e n t m e i l t z a v o i r conisaunce de les b a r gaynes et contractz suisditz. E t sascun estraunge m e r c h a u n t et a l i e n soit p a r t i e a l pley, et t i e l enquest soit a prendre, adouncqes le m a r c h a u n t a l i e n avéra l a m o i t e de lenquest de sa lange. 3

5 A l s o i n I t a l y w e f i n d , at a l a t e r date, f o r e i g n merchants as judges, for instance A n c o n a 1593 a n d N i z z a 1613, v. S. Lammel, D i e Gesetzgebung des Handelsrechts, H a n d b u c h , ed. Coing, II.2 p. 973, 974. 6 F o r instance Select Cases i n the C o u r t of K i n g ' s B e n c h U n d e r E d w a r d I, ed. G. O. Sayles, vol. I I (S.S.57), No. 34, p. 71s.

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The c r u c i a l question arises h o w the fact became l a w , a question recently revived b y D r . Baker 1. The result, a n y w a y , as practised b y H o l t a n d M a n s field, was the d i s t i n c t i o n between the general a n d better k n o w n customs, of w h i c h the courts t o o k j u d i c i a l notice, a n d the special a n d p a r t i c u l a r customs, w h i c h h a d to be pleaded. I n the l a t t e r case merchants were chosen i n order to e x p l a i n t h e i r uses a n d customs, either as members of the j u r y or as authorities w i t h i n an i n f o r m a l i n q u i r y . This was the w a y h o w the c o m m o n l a w courts were shaping the c o m m e r c i a l l a w . We f i n d a s t r i k i n g p a r a l l e l i n the c o n t i n e n t a l ius commune 8 a n d especially i n the approach of the Rota Genuensis. Customs w h i c h were notorious a n d general, need n o t be alleged and proved, a n d the judge t o o k notice "etiam per solam famam" 9, whereas other customs or stiles of the merchants h a d t o be proved; they were u s u a l l y attested b y parere of m e r c h a n t s 1 0 or of iuris consulti, procuratores a n d practicanteSy as a decision of the Rota reads 1 1 . The concurrence of the general a n d the m e r c a n t i l e l a w c o u l d lead to t e n sions w i t h p r a c t i c a l results i n a l a w suit. I n I t a l y a n d Germany the legal l i t erature developed certain rules for the r e l a t i o n between the c o m m o n a n d the p a r t i c u l a r l a w , above a l l the statutes, b u t these rules, the dottrina degli statutiy were n o t d i s t i n c t i v e of m e r c a n t i l e matters. I n E n g l a n d the s i t u a t i o n was different. There was no theory on the l i m i t s of operation, on the p r o vince of the c o m m o n l a w , a n d so the lines h a d to be d r a w n as required. Thus the Statute of the Staple ordered the judges to a p p l y the l a w merchant a n d not the c o m m o n l a w , a n d i n the w e l l - k n o w n case of the carrier w h o b r o k e b u l k , the Chancellor i n the Star Chamber i n favour of an alien merchant advanced the l a w of nature, " q u e est appelle p a r ascunz ley m a r c h a u n t , que est ley universalle p a r t o u t le m o n d e " against an inconvenient rule of the c o m m o n l a w 1 2 . I n this case the l e g i t i m a t i o n of the mercantile l a w i n face of the c o m m o n l a w was touched upon, a question w h i c h was to be discussed i n a w i d e r context since the 17th c e n t u r y 1 3 . 2. A m a i n obstacle to commerce is the f o r m a l i s m of l i t i g a t i o n . Hence the merchants were exempted f r o m the vare t h a t is the vexatious p r o c e d u r a l punctiliousness i n the courts of n o r t h e r n Germany. The courts of the foires 7

C a m b r i d g e L a w J o u r n a l 38 (1979), 295ss. Cf. Wolfgang Wiegand, S t u d i e n z u r Rechtsanwendungslehre der Rezeptionszeit, 1977, p. l O l s s . 9 Ed. Venetiis 1582; dec. 16, n r . 12, 13; dec. 138 n r . 3, 4. 10 A n e x a m p l e i n S i g i s m o n d o Scaccia, T r a c t a t u s de commerciis et cambio, ed. Romae 1619, § 2, Glos. 5, nr. 61. 11 Dec. 206 nr. 2. 12 Select Cases i n the E x c h e q u e r C h a m b e r Before A l l the Justices of E n g l a n d , ed. M . Hemmant (S.S.64), N o . 12, p. 32; cf. Select Cases C o n c e r n i n g t h e L a w M e r c h a n t , ed. H. Hall , vol. I I (S.S.46), p. L X X X V s . 1 3 L. S. Sutherland , T h e L a w M e r c h a n t i n E n g l a n d i n t h e 17th a n d 18th c., Transact i o n s of the R o y a l H i s t o r i c a l Society, 4 t h series, v o l . X V I I , p. 149 ss. 8

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i n the Champagne a n d the p i e p o w d e r courts i n E n g l a n d a p p l i e d p r o c e d u r a l rules t h a t were to cope w i t h the m o b i l i t y of the parties. E n g l i s h customs a n d statutes offered the merchants a n d mariners justice " f r o m h o u r to hour, f r o m t i d e to tide, f r o m day to d a y " , a n d the phrase lex mercatoria i n the sources often sounded as a code w o r d for the arrangements of speedy procedure. Or the o r d i n a r y courts granted special sessions such as the gastrecht i n the Netherlands and i n Germany. The romano-canonical procedure was just as inadequate, a n d so the courts proceeded summarie and de piano (not necessarily i n the sense of the Clem. Saepe)] a n d rejecting the apices iuris often aimed at the p r o c e d u r a l subtleties. A good example of the mercantile procedure w i t h r o m a n o - c a n o n i c a l b a c k g r o u n d outside I t a l y is to be f o u n d i n the E d i c t Charles I X ' s w h i c h created the court of the juge et consuls des marchands i n Paris 1563 1 4 . The measures were s i m i l a r a l l over Europe: Suits s h o u l d be settled w i t h i n a f i x e d period, summonses secured b y efficient pressure, delays cut d o w n i n every stage of proceedings, exceptions a n d proof restricted, a n d the execution q u i c k e n e d a n d sharpened; i n a d d i t i o n , sometimes the attorney or advocate is excluded, a n d the suspensive effect of appeal removed. 3. The l a w of evidence was f r e q u e n t l y adjusted to the w a n t s of the m e r chants. I n m a n y places they were exempted f r o m the archaic j u d i c i a l duel. A p o p u l a r f o r m of t r a n s a c t i o n was the t a l l y ; its value as evidence has been studied above a l l for the m e d i e v a l E n g l i s h practice. If, i n the c o m m o n l a w courts, the p l a i n t i f f pleaded according to the l a w merchant, the defendant's offer to wage his l a w was n o t an apt answer, a n d the c l a i m a n t n o r m a l l y was a d m i t t e d to prove the t a l l y b y t w o or more witnesses 1 5 . S i m i l a r l y , i n L o n d o n the sealed t a l l y was of the same value as the w r i t t e n o b l i g a t i o n a n d r u l e d out the c o m p u r g a t i o n as w e l l . O n the continent w e m a y f i n d comparable p r o v i sions, for instance i n the Netherlands, where the t a l l y equalled the m e r chant's book i n the p r o b a t i v e v a l u e 1 6 . B u t i n the D u t c h courts as t h r o u g h o u t the c o n t i n e n t these libri mercatorum were more i n use t h a n the t a l l y . They h e l d a p r o m i n e n t place i n the system of p r o o f 1 7 . T h e i r value was emphasized by the statutes a n d the court practice against some r e l u c t a n t voices of the ius commune. There are stat14

I s a m b e r t X I V 153. B a n d o n ' s alias Comberton's Case (under E d w a r d II), Select Cases C o n c e r n i n g the L a w M e r c h a n t , ed. H. Hall, vol. I I (S.S.46), p. L X X X I s s . O t h e r cases l i s t e d i n Baker, n. 23. 16 Bosch, p. 479. 17 Cf. W. Endemann, Z e i t s c h r i f t f ü r das gesamte H a n d e l s r e c h t ( Z H R ) 2 (1859), p. 329 ss.; Lattes, p. 283 ss.; Goldschmidt, Universalgeschichte, p. 246 ss.; Paul Rehme, Geschichte des Handelsrechts ( H a n d b u c h des gesamten Handelsrechts, hg. v. V i c t o r Ehrenberg, I), 1913, p. 159, 215s.; J. Kohler / F. Hecht, Niederländisches H a n d e l s r e c h t i n der B l ü t e z e i t des Freistaates, Z H R 59 (1907), p. 262ss.; Wilhelm Ebel, F o r s c h u n g e n z u r Geschichte des l ü b i s c h e n Rechts, I. T e i l , 13 S t ü c k e z u m Prozeß- u n d P r i v a t r e c h t , 1950, p. 122ss.; Bosch, p. 478s.; Lammel, p. 598s., a n d passim. 15

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utes w h i c h ascribed f u l l proof to the merchant's book even pro scribente. Other statutes confined t h i s r u l e to a certain sum of money or r e q u i r e d a d d i t i o n a l conclusive circumstances. B u t the p r e d o m i n a n t r u l e on the c o n t i n e n t said t h a t the merchant's book constitutes h a l f proof a n d m a y be supplemented b y o a t h 1 8 . The effect was i n d i v i s i b l e t h a t is a p a r t y w h o produces the b o o k to his favour has to accept i t also to his d e t r i m e n t , a controversial p r i n ciple, however. The merchant's book h a d to meet certain requirements for its e x t e r i o r arrangements as w e l l as for the contents of the entries. The libro maestro was able to f u r n i s h proof, n o t the giornale, b u t the l a t t e r c o u l d destroy the credit of the f o r m e r 1 9 . There were m a n y more details of a n d discussions on this evidence, and statutes a n d legal l i t e r a t u r e were a b u n d a n t t h r o u g h the centuries. I n E n g l a n d , however, the sources are scarce. A single custom, i t seems 2 0 , has survived f r o m the late m i d d l e ages t h a t tells about the j u d i c i a l use of "books of e n t r i e s " 2 1 . They are, once more, equated w i t h obligations a n d debar the defendant f r o m compurgation. We hear again of "shopbooks" i n a statute of James I, where for reasons of abuse t h e i r p r o b a t i v e force was l i m i t e d to one year except between merchants or tradesmen 2 2 . Malynes (1622) inserted a chapter " O f merchants accompts k e p t b y debtor a n d c r e d i t o r " and m e n t i o n e d the liedger ( w h i c h corresponds to the libro maestro) a n d the j o u r n a l ; m u c h credit h a d been given to t h e m i n l a w , i f orderly kept, b u t Malynes does n o t specify the p r o b a t i v e effect of the ledger or the j o u r n a l i n legal p r a c t i c e 2 3 . The higher courts rejected the book of the p a r t y himself as evidence pro se b u t accepted the b o o k of his clerk or servant i f the keeper was deceased or i f he w o u l d take a suppletory o a t h 2 4 . L a t e r the topic was discussed under the h e a d i n g of a hearsay e x c e p t i o n 2 5 . 4. There was n o t h i n g more desirable for the merchants t h a n a p r o m p t execution w h e n they h a d w o n t h e i r case. The regular course of the execution usually was insufficient; therefore exceptions f r o m the n o r m a l course were granted. The I t a l i a n statutes, for instance, conceded t h a t the execution begins w i t h the attachment of the debtor, against the rule t h a t first his p r o p 18 See for instance the p r a c t i c e of the Reichskammerg ericht a c c o r d i n g to Andreas G a i l l , Pract. Observ. l i b . I I , ed. Venetiis 1613, obs. 20, nr. 2. 19 Rotae Genuensis dec. 2, nr. 26, 27; dec. 173, nr. 11, 12. 20 S t a t u t e 38 E d w a r d I I I , stat. 1, c. 5 (Statutes of t h e R e a l m I, 384), speaks p l a i n l y of " p a p e r s " of L o n d o n merchants a n d does n o t have i n m i n d the f o r m a l m e r c h a n t ' s books. B u t see Plucknett , p. 116. 21 L i n c o l n 1481, c. 14, B o r o u g h Customs, ed. M. Bateson, vol. I (S.S. 18), p. 204. 22 7 James I, c. 12 (Statutes of t h e R e a l m IV.2, 1169). 23 G e r a r d Malynes, Consuetudo v e l L e x M e r c a t o r i a , Second Part, ch. 20, ed. 1685,1 p. 250. 24 Price v. Lord Torrington , 2 L d . Raym. 873 = E . R . vol. 92, p. 84 (1703); Lefebure v. Worden , 2 Ves. sen. 55 = E . R . vol. 28, p. 36 (1750). 25 See f u r t h e r John Henry Wigmore, A Treatise o n the A n g l o - A m e r i c a n System of Evidence, § 1518, 3. ed. 1940, V p. 347ss.

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erty h a d to be levied (it was a good device also for the reason t h a t merchants are w o n t to move fast). I n case of appeal the execution shall n o t be stayed, a rule w h i c h w e f i n d i n several c o n t i n e n t a l laws a n d statutes 2 6 . B u t more significant t h a n these a n d other measures were certain legal facilities w h i c h a l l o w e d an i m m e d i a t e access to the execution a n d w h i c h were, therefore, preferred b y the merchants. One of the means was the i n s t r u m e n t i n w h i c h the debtor pledged his goods on the u n d e r s t a n d i n g t h a t the creditor i n case of non-performance m a y take possession of the goods w i t h o u t any i n t e r v e n t i o n of the p u b l i c authorities. T h i s k i n d of a contract u a l and private r i g h t of execution is to be found i n the registers of the notar y G i o v a n n i Scriba f r o m Genova i n the 12th c e n t u r y 2 7 . A n o t h e r device was the i n s t r u m e n t u m g u a r e n t i g i a t u m or confessionatum 2 8 . This document enab l e d the c r e d i t o r to d e m a n d the execution i m m e d i a t e l y , w i t h o u t u n d e r g o i n g the tiresome l a w s u i t ; exceptions h a d to be advanced a n d proved w i t h o u t delay, and a s w i f t execution was p r o v i d e d for. A t the b e g i n n i n g these documents h a d to be d r a f t e d b y notaries, too; b u t i n the later m i d d l e ages the p r i vate w r i t i n g of a merchant was s u f f i c i e n t 2 9 . Our m o d e r n c i v i l procedure s t i l l ensures remedies w h i c h derive f r o m these early n o t a r i a l a n d m e r c a n t i l e models. S i m i l a r needs resulted i n s i m i l a r measures also outside I t a l y 3 0 . The merchants t o o k advantage above a l l of the recognitions, a w i d e spread device of ensuring debts. They were an evidence a n d an executory i n s t r u m e n t at the same time, a n d they represented indeed a c o m m o n l a w t h r o u g h out Europe though, of course, i n different settings. Thus, to m e n t i o n o n l y one c o n t i n e n t a l instance, the recognitions were the p i v o t of the transactions i n the famous fairs of C h a m p a g n e 3 1 . They were f o l l o w e d i n case of the f u g i t i v e debtor b y the lettres de foire w h i c h opened the spectacular process of i n t e r n a t i o n a l execution. I n E n g l a n d 3 2 the S t a t u t e of Merchants (mentioned above) also p r o v i d e d an efficient k i n d of recognisances; they were t a k e n before the m a y o r a n d a clerk of the t o w n , w h o enrolled the debt; u p o n default the execution started i m m e d i a t e l y w i t h the i m p r i s o n m e n t of the debtor, a n d i n the end the merchant, assisted b y the Chancery, got h o l d even 26

Lammel, p. 612 n. 3. A s i m i l a r c o n t r a c t u a l e x p e d i e n t was i n m e d i e v a l G e r m a n y the Pfändungsklausel v. Guido Kisch, Z R G Germ. A b t . 35 (1914), p. 41 ss. 28 Hans Karl Briegleb, Ü b e r executorische U r k u n d e n u n d E x e c u t i v - P r o z e ß , 2. A u f l . 1845; Lattes, p. 294ss.; Giuseppe Salvioli, S t o r i a della p r o c e d u r a c i v i l e e c r i m i n a l e I I , 1927, p. 658ss.; Adriana Campitelli, Precetto d i g u a r e n t i g i a e f o r m u l e d i esecuzione p a r a t a n e i d o c u m e n t i i t a l i a n i d e l sec. X I I I , 1970. 29 E x e c u t o r y force of m e r c h a n t ' s books: Lattes, p. 297 n. 13; Goldschmidt, Universalgeschichte, p. 248 n. 42. 30 Cf. W. Mitchell, Essay o n the E a r l y H i s t o r y of t h e L a w M e r c h a n t , 1904, p. HOss. 31 H. Laurent, Revue h i s t o r i q u e de d r o i t fr. et étr. 1932, p. 660ss. 32 K. Güterbock, Z H R 4 (1861), p. 20ss.; H. Hall, I n t r o d u c t i o n , Select Cases Conc e r n i n g the L a w M e r c h a n t , vol. I I I (S. S. 49); Plucknett, L e g i s l a t i o n of E d w a r d 1,1949, p. 136ss. 27

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of the l a n d of his debtor u n t i l the debt was levied. Commerce makes an i n r o a d i n t o f e u d a l i t y , " t h e sacred freehold passes i n t o the profane hands of the m e r c h a n t s " (Plucknett). F o r centuries the " s t a t u t e m e r c h a n t " was a p o p u l a r means i n order to enforce debts. A related system was set u p i n favour of the traders i n the staple t o w n s 1353 b y the Statute of the Staple. Thus on the c o n t i n e n t a n d i n E n g l a n d the t r a d i t i o n a l legal forms were used, b u t to the same purpose, a n d the results were r e m a r k a b l y s i m i l a r , t a i l o r e d to the needs of the merchants, a n d directed b y p u b l i c interest i n a s w i f t a n d smooth t r a f f i c a n d trade.

Verzeichnis der Mitarbeiter Asser, D a a n , J. P. S w e e l i n c k l a a n 6, N L - 1 4 0 1 C D B u s s u m Frentz,

E v a - C h r i s t i n e , D r . , Kaiserallee 3, D - 2 4 0 0 T r a v e m ü n d e

Nörr, K n u t Wolfgang, Prof. D r . , U n i v e r s i t ä t T ü b i n g e n , Forschungsstelle f ü r i n t e r n a t i o n a l e Privatrechtsgeschichte, Neue A u l a , W i l h e l m s t r a ß e 7, D - 7 4 0 0 T ü b i n g e n Piergiovanni, V i t o , Prof. D r . , U n i v e r s i t é d i Genova, I s t i t u t o d i storia del d i r i t t o , V i a B a l b i 30,1-16126 Genova Rodgers, C h r i s t o p h e r P., L e c t u r e r i n L a w , U n i v e r s i t y College of Wales, D e p a r t m e n t of L a w , H u g h O w e n B u i l d i n g , P e n g l a i s , A b e r y s t w y t h , D y f e d SY23 3 D Z , G r o ß britannien Savelli, Rodolfo, Prof. D r . , U n i v e r s i t é d i Genova, I s t i t u t o d i storia d e l d i r i t t o , V i a B a l b i 30,1-16126 Genova