Right of intervention

Two different types of intervention rights are recognised under commercial law.

[1] The right to determine the economic effect of a transaction by deeming a transaction performed by a manager or agent under a non-competition obligation for himself or a third party in violation of that obligation to have been performed by the business owner, principal, company, etc. to have been performed for himself or herself, and to presume the amount of profit the manager or agent or a third party gained from the transaction to be the amount of damage suffered by the business owner, principal, or company. This right was recognized in order to avoid the difficulty of proving damages due to the loss of profits that should have been obtained. It has been recognized in the case of violations of non-competition obligations by managers (Commercial Code, Article 23, Paragraph 2; Companies Act, Article 12, Paragraph 2) and agents (Commercial Code, Article 28, Paragraph 2; Companies Act, Article 17, Paragraph 2).

[2] The right of a wholesaler or forwarding agent entrusted with an intermediary transaction to become the counterparty of the transaction as one of the methods of handling the entrusted business (Commercial Code, Article 555, Paragraph 1, Article 565, Paragraph 1). Since a wholesaler is essentially an intermediary for the sale or purchase of goods for the client, in theory it should not be permitted for the wholesaler to be in a position of conflict of interest as a seller or buyer with respect to the client. However, if the goods entrusted for sale have a market price, there is no risk of harming the client's interests, and the client can not only achieve the purpose of the entrustment quickly, but also benefit from the elimination of unnecessary procedures and expenses. The requirement that there be a market price on the exchange is to clarify the price on which the wholesaler should rely and to enable the fair exercise of the right of intervention. Members of a securities exchange and brokers of a commodity exchange are prohibited from exercising the right of intervention (only) in order to protect the client. Unless there is a special agreement to the contrary, forwarding agents can also exercise the right of intervention and transport the goods themselves. In addition, when a freight forwarder prepares a freight bill himself, he is also considered to have exercised the right of intervention. In this case, since the freight charges and means of transportation are standardized, there is no harm in recognizing the right of intervention, and so the right of intervention was also recognized for freight forwarders. By exercising the right of intervention, wholesalers and freight forwarders have the same rights and obligations as sellers, buyers, or carriers toward the consignor, but since this is merely one method of handling the consignment business, they naturally have the right to claim remuneration and expenses as wholesalers or freight forwarders.

[Toda Shuzo]

Source: Shogakukan Encyclopedia Nipponica About Encyclopedia Nipponica Information | Legend

性質が異なる二つの種類の介入権が商法上認められている。

〔1〕競業避止義務を負う支配人・代理商が、その義務に違反して自己または第三者のために行った取引行為につき、営業主、本人、会社等が自己のためになしたものとみなして、当該行為によって支配人・代理商または第三者が得た利益の額を、営業主、本人、会社に生じた損害の額と推定することにより、取引の経済的効果を図った権利。この権利を認めたのは、とくに、得べかりし利益の喪失による損害の証明が困難であるので、それを避けるためである。支配人（商法23条2項、会社法12条2項）、代理商（商法28条2項、会社法17条2項）の競業避止義務違反について認められている。

〔2〕取次ぎの委託を受けた問屋(といや)または運送取扱人が、委託事務の処理方法の一つとして、自ら取引の相手方となる権利（商法555条1項、565条1項）。もともと問屋は、委託者のために物品の販売または買入れの取次ぎをなすものであるから、問屋が委託者に対し自ら売り主や買い主として利害が対立する立場にたつことは理論上許されないはずであるが、売買の委託を受けた物品に取引所の相場がある場合には、委託者の利益を害するおそれがないし、委託者にとっても委託の目的が迅速に達成されるばかりでなく、無用な手続や費用を省く利益もある。取引所の相場があることを要件としているのは、問屋が依拠すべき価格を明確にし、公平な介入権の行使ができるようにするためである。なお、証券取引所の会員や商品取引所の仲買人には、委託者保護のために、介入権の行使（のみ行為）が禁止されている。運送取扱人も反対の特約がない限り、介入権を行使して自ら運送することができる。また運送取扱人が自ら貨物引換証を作成したときも、介入権を行使したものとみなされる。この場合、運送賃や運送手段が定型化しているので、介入権を認めてもなんら弊害がないために、運送取扱人についても介入権を認めた。介入権の行使により問屋や運送取扱人は、委託者に対し、売り主、買い主または運送人と同一の権利義務を有するが、それは委託事務の処理方法の一つにすぎないから、当然に問屋または運送取扱人としての報酬・費用の請求権を有する。

［戸田修三］

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