Itinera Fiduciae. - Trust and Treuhand in Historical Perspective.

Table of Contents

Richard Helmholz and Reinhard Zimmermann: Views of Trust and Treuhand: An Introduction

I. Adoption of the Trust in Civil Law Countries

II. The Inquiry

III. Prior Scholarship

1. England

2. Germany

3. The Contemporary Situation

IV. The Problem of Definition

V. The Contributions

1. The Slow Emergence of the Concept of the Trust

2. Mining the Civilian Tradition

3. Circumventing Legal Restrictions

4. Trust Purposes

VI. A Final Word

David Johnston: Trusts and Trust-like Devices in Roman Law

I. Introduction

II. Trust-like Devices

1. Fideicommissum

(a) Structure

(b) Content

(c) Duration

(d) Remedies and Third Parties

2. Fiducia

3. Usufruct and usus

III. Trustees

1. Executors and the familiae emptor

2. Tutor

IV. Conclusions

Harald Siems: Von den piae causae zu den Xenodochien

I. Einleitung

II. Das Nachwirken römischer Rechtstexte im Frühmittelalter

III. Die Briefe Gregors des Großen

IV. Merowingische Formulare und Testamente

V. Merowingische Konzilien, Leges und Kapitularien

VI. Zusammenfassung

Shael Herman: The Canonical Conception of the Trust

I. Prelude: The Medieval Church’s Dilemma

1. The Trust: A Solution to the Church’s Dilemma

2. The Pope as Trustee; the Church as Primary Beneficiary of the Papal Trust

II. Possible Objections to the Proposed Canonical Trust Conception

III. Clerical Efforts to Legitimate Church Wealth

1. Apostolic collegium

2. The Metaphoric Hostelry: Use the World, But Do Not Use it Up

3. Clerical Innkeeper as usuarius

IV. Clerical usus, Feoffments ad usus, and the Franciscan Friars

1. Clerical usus and the Franciscan Friars

2. The Feoffment to Uses: A "Completely English Institution"

V. Influence of Roman Law upon the Concept of Trust

VI. Forms of Trusteeship in the Early Christian Church

1. Christian Custodians

2. Cemetery Custodian

3. Custodian of Holy Places

4. Corpus Christianorum

5. Bishops as Earthly Dwellers and Spiritual Guides to Life Everlasting

VII. Church Doctrines and Practices Assist Consolidation of Church Patrimony

1. Wills

2. Chantry Foundations

3. Monastic Finances and Feoffments to Uses

4. Feoffments to Uses Applied to Specific Spiritual Needs

VIII. Conclusion

Joseph .iancalana: Medieval Uses

I. The Invention of Uses

1. Precursors

2. Origins

II. The Increased Employment of Uses

1. The Debtor Feoffor

(a) Pursuing the Heir

(b) Pursuing the Feoffees

2. Daughters

III. Uses and Wardship

1. Establishing a Baseline

2. Social Practice

3. The Cases: Seignorial Opportunism

IV. Uses and Chancery

1. In Search of a Forum

2. Uses at Common Law

3. Uses in Chancery

Richard Helmholz: Trusts in the English Ecclesiastical Courts 1300 - 1640

I. Introduction

II. The Jurisdictional Setting

III. Uses and Land

1. The Rise of the Feoffment to Uses in England

2. The Ecclesiastical Courts and Enforcement

IV. Uses and Chattels

1. The Subject Matter

2. The Trustees

3. Objects of the Trusts

4. Remedies and Basis for Liability

V. Was the Trust Transplanted?

1. The Negative Side

2. The Positive Side

VI. Conclusion

Neil Jones: Trusts in England after the Statute of Uses: A View from the 16th Century

I. Introduction

II. The Difficulty of Definition

III. Trust Property

1. The Operation of the Statute of Uses

2. Chattels Personal

3. Copyhold Land

4. Leases

5. Freehold Land

IV. The Purposes of Trusts

1. Evasion of the Royal Feudal Revenue

2. Charitable Trusts

3. Private Trusts for the Vulnerable

4. Trusts and Persecution

5. Trusts for Married Women

6. The Attendancy of Satisfied Terms

V. The Interest of the Beneficiar

1. The "Engrafting Principle"

2. Trust and Promise

3. Privity and the Doctrine of Notice

VI. Trusts in Context

1. Trusts and Conditions

2. Trusts and Bailment

VII. Conclusion

Michael Macnair: The Conceptual Basis of Trusts in the Later 17th and Early 18th Centuries

I. Introductory

II. Explaining Equity, Explaining Trusts

1. Background

2. Fideicommissum

3. Usufruct

4. Depositum

II. Analytic Organisation of the Material

1. Nottingham

2. Gilbert

3. Ballow

4. Equity Cases Abridged

III. Trust as Property or Contract? Some Details

1. The Beneficiary’s Rights

2. The Liabilities of Trustees

IV. The Importance of Trusts

1. Express Trusts are more Important in Concept than in Practice

2. Implied Trusts are Pervasive: Common Law Trusts

V. Conclusions

Karl Otto Scherner: Formen der Treuhand im alten deutschen Recht

I. Definitionsfragen, Forschungsschwerpunkte, Strategie

II. Die einzelnen Fallgruppen

1. Lehnrecht

(a) Die Veräußerung von Lehngut unter Umgehung der Heerschildordnung

(aa) Behalten zu treuer Hand

(bb) Treuleihe

(b) Umgehung der Lehnsunfähigkeit

(aa) Frauen

(bb) Minderjährige

(cc) Geistliche, Klöster, Ritterorden und Spitäler

(dd) Städte, Gemeinden und Stiftungen

(ee) Juden, Bürger und Bauern

(c) Überwindung der Unteilbarkeit des Lehens

(d) Erwerbssicherung

2. Früh- und hochmittelalterliches Stadt- und Landrecht

(a) Letztwillenstreuhand

(b) Einschaltung eines Treuhänders zur Überwindung der Erwerbsunfähigkeit im mittelalterlichen Stadtrecht

(aa) Geistliche, Klöster und Kirchen

(bb) Spitäler

(cc) Auswärtige

(dd) Juristische Personen

(ee) Eingesessene Nichtbürger

(ff) Juden

(gg) Frauen und Minderjährige

(c) Treuhänder im bäuerlichen Recht

(d) Einschaltung eines Mittelsmanns zur Erwerbssicherung

III. Auswertung

1. Die verschiedenen Funktionen der Treuhand

(a) Die Umgehungsfälle

(b) Die Erwerbssicherung

(c) Das zeitliche Auftreten der Gruppen

2. Definitionsfragen

3. Die Vorstellungen der Beteiligten: Treuhand als Institut des mittelalterlichen Rechts

IV. Ergebnis

V. Trust und Treuhand

1. Vergleich der Fallgruppen

(a) Übertragung eines Lehnsgutes durch den Lehnsmann

(b) Einsatz eines Treuhänders bei „unmöglichen" Geschäften

(c) Letztwillenstreuhand

(d) Grunderwerb durch Kleriker

(e) Grunderwerb durch „Juristische Personen"

(f) Lehnsvormundschaft

2. Unmittelbare Beeinflussung und die gemeinsame mittelalterliche Welt

3. Vestigia fiduciae?

Reinhard Zimmermann: Heres fiduciarius? Rise and Fall of the Testamentary Executor

I. Introduction

II. Roman Law

1. Early and Classical Roman Law

2. Developments in Legal Practice and Surrogate Devices

3. Greek and Byzantine Law

III. Medieval Law

1. The "Nature" of Medieval Germanic Law

2. Succession in the Germanic Laws

3. The Influence of the Church

(a) Dispositions ad pias causas

(b) Executor ultimae voluntatis

4. The executor in the Learned Literature

IV. Usus Modernus in Germany and in the Netherlands

V. Austrian Law

VI. French Law

1. Medieval Customary Law

2. Dumoulin, Pothier and the code civil

VII. Developments in 19th Century German Law

1. Bringing Clarity into an Obscure Institution?

2. The Long-term Administrator/ Executor

VIII. English Common Law

Robert Feenstra: Foundations in Continental Law since the 12th Century: The Legal Person Concept and Trust-like Devices

I. Different Foundation Concepts

II. Some Remarks on Developments before the 12th Century

III. Medieval Romanists and Canonists

IV. Customary Law in the Middle Ages and Early Modern Times

V. Special Developments in the Dutch Provinces

VI. Foundations in the 18th and 19th Centuries

VII. Epilogue

Michele Graziadei: The Development of Fiducia in Italian and French Law from the 14th Century to the End of the Ancien Régime

I. Introduction

II. Scope of Enquiry

III. The Place of the Roman Law of fiducia in the Age of the ius commune

IV. The Birth of the Doctrine of Testamentary fiducia

V. Bartolus, Baldus and the consiliatores on Testamentary fiducia

1. The Protection Granted to the Beneficiary of the Secret Testamentary Disposition According to Bartolus

2. Of Form and Substance: Baldus’ Approach to Testamentary fiducia

3. Bartolus’ and Baldus’ Legacy to the consiliatores

VI. Humanistic Scholarship and the Rediscovery of fiducia in the Ante-Justinianic Sources

VII. A Canon Law Detour: fiducia and the Canonical Prohibition of confidentia beneficialis

VIII. The 17th Century Elaboration of the Doctrine of Testamentary fiducia

IX. Testamentary fiducia in the Pays de droit écrit of Southern France

X. Towards the Civil Codes

XI. Conclusions

Klaus Luig: Philipp Knipschildt und das Familienfideikommiß im Zeitalter des Usus modernus

I. Grundsätze

1. Begriff und Funktion des Familienfideikommisses

2. Parallelen zum englischen Recht

3. Der Sonderfall Deutschland

4. Die anderen europäischen Länder

II. Philipp Knipschildt und die wissenschaftliche Grundlegung des Familienfideikommisses in Deutschland

III. Analyse von Knipschildts Traktat

1. Ursprung, Bezeichnung und Definition des Familienfideikommisses

2. Einteilung und Arten

3. Causa efficiens: Mögliche Begründer und Stifter

4. Mögliche Begünstigte

5. Einem Familienfideikommiß zugängliche Güter

6. Art und Weise nebst Form der Errichtung

7. Zweck

8. Wirkung der Familienfideikommisse, und zwar erstens in bezug auf die zur Nachfolge berechtigten Personen

9. Methode und Form der Nachfolge (als Fortsetzung der ersten Wirkung)

10. Zweite Wirkung: Rechte des jeweiligen Inhabers

11. Dritte Wirkung: Beschränkungen des jeweiligen Inhabers, insbesondere das Veräußerungsverbot

12. Vierte Wirkung: Auf dem Familienfideikommiß ruhende Lasten

13. Rechte und Klagen des Anwärters

14. Beweis des Familienfideikommisses

15. Verwandte Erscheinungen (Primogenitur und Majorat)

16. Auflösung

IV. Schluß

Sibylle Hofer: Treuhandtheorien in der deutschen Rechtswissenschaft des 19. Jahrhunderts - Zur Verwendung von historischen Rechtsinstituten in der Zivilrechtsdogmatik

I. Die romanistische Seite

1. Regelsbergers Theoriebildung

(a) „Fiduziarische Geschäfte"

(b) Regelsbergers Vorbilder

(aa) ROHG 1872

(bb) J. Kohler

(cc) Jhering

2. Rechtsgeschichte und Dogmatik

(a) Scheurl, Huschke

(b) Dernburg

(c) Regelsberger

II. Die germanistische Seite

1. Rechtsgeschichte und Dogmatik

(a) Schultze

(b) Beseler

2. Schultzes Theoriebildung

(a) Der Gegensatz zwischen fiducia und Treuhand

(b) Die Verbindung zwischen fiducia und Treuhand

III. Ergebnisse

Joachim Rückert: Kontinuität und Diskontinuität in der Treuhandforschung

I. Die Problemzugriffe der deutschen Treuhandforschung

II. Das Beispiel Alfred Schultze (1901 und 1895): Begriffsbetonung im Dienst des Gegenwartsrechts

III. Das Beispiel Franz Beyerle (1932): ewige Grundformen als bleibende Substanz, aktuelle Lehre und Fingerzeig für die Zukunft

IV. Das Beispiel Otto Stobbe (1868): Fälle und Funktionen gestern und heute

V. Bilanz: Kontinuitätsfeststellung, Gleichheitsbehauptung und ceteris paribus. Die Methode vergleichender Funktionsanalyse in Rechtsvergleichung (Hein Kötz 1963) und Rechtsgeschichte

Andreas Richter: German and American Law of Charity in the Early 19th Century

I. Introduction

II. Common European Roots of the Law of Charity

III. The German Development

1. The Medieval and Early Modern Period

2. The Städel Case

3. The Role of Friedrich Carl von Savigny

4. Savigny’s Theory of Legal Personality

(a) Natural Persons (natürliche Personen)

(b) Legal Persons (juristische Personen)

5. The Foundation as a Legal Person

(a) Advantages of a Foundation with Legal Personality

(b) A Comparison with Mühlenbruch

(c) The Foundation as a Legal Institution (Rechtsinstitut)

6. The Memberless Foundation and the Corporation

(a) The Foundation - An Invisible Legal Person

(b) The Impact of the German Anstaltsstaat

(c) Savigny’s Treatment of the Sources

7. Private Associations, the Stock Corporation and the Private Foundation

(a) Savigny’s Rejection of Freedom of Association

(b) "Privileges" of Private Foundations and the Business Corporation

IV. English Law of Charity

1. The Reformation

2. The Elizabethan Statute of Charitable Uses 1601

V. The American Development

1. The "Checkered Career" of the Charitable Trust

2. The Advantages of Incorporation

3. The Charitable Corporation as an Incorporated Trust

(a) Corporate Charters

(b) Membership and Trusteeship

(c) Trust Investment

4. The Law of Charity as a Branch of Private Law

(a) The Transformation of the Visitorial System

(b) The Distinction between Public and Private Corporations

(c) A Declaration of Philanthropic Independence

5. Constitutional Protection of Charities

VI. Conclusion

Stefan Grundmann: The Evolution of Trust and Treuhand in the 20th Century

I. The Third Party Relationship as Starting Point

1. Characterization and Key Problems

2. Effects of the Anglo-American Trust against Third Parties

3. Lesser Effects of the Treuhand against Third Parties

(a) The Victory in Theory of a Purely Contractual Concept

(b) Some Traces of a Property Right Concept

4. Differences in Concept

II. The Fiduciary Relationship

1. The Crucial Importance of the Fiduciary Relationship and Key Problem Areas

2. The Distribution-of-Assets Question

3. The Decision-Making-Process Question

III. Trust, Corporation and the so-called Quasitreuhand

1. Trust v. Personality or Flexibility v. Registration?

2. Unity or Pluralism of Interests on the Side of the Settlor and Beneficiary

IV. Trust and Treuhand Irreconcilable?

Maurizio Lupoi: Trusts and Civilian Categories (Problems Spurred by Italian Domestic Trusts)

I. "Domestic" Trusts

II. The Comparative Law Issue

III. Trust Instrument and Transfer of Assets to Trustees

1. From Agreement to Unilateral Disposition

2. The Unilaterality of the Conveyance

3. Trusts of Personality

4. The Creation of a Trust, from a Civilian Perspective

IV. Contracts, Gifts and Trusts

George Gretton: Scotland: The Evolution of the Trust in a Semi-Civilian System

I. Introduction

1. Defining the Trust

2. The Influence of English Law

II. Origins

1. 19th and 20th Century Ideas as to Origins

2. The 17th Century and Before

3. Pre-17th Century Private Arrangements

4. Fideicommissum and Roman Law

5. The 17th Century

6. Proof of Trust

III. History since the 17th Century

1. Some Uses of the Trust

2. Proof of Trust

3. Immunity to Creditors

4. Powers

5. English Influence after 1700

6. Doing the Watson Wobble

7. Mortification, Charities, Public Trusts and Foundations

8. Constructive Trusts

9. Frog’s Creditors v. His Children

10. Resulting Trusts and the Doctrine of the Radical Right

11. Executry

IV. Current Law

List of Contributors