Itinera Fiduciae

doi:10.3790/978-3-428-49614-3

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Helmholz, R., Zimmermann, R. (Eds.) (1998). Itinera Fiduciae. Trust and Treuhand in Historical Perspective. Duncker & Humblot. https://doi.org/10.3790/978-3-428-49614-3

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Itinera Fiduciae

Trust and Treuhand in Historical Perspective

Editors: Helmholz, Richard | Zimmermann, Reinhard

Comparative Studies in Continental and Anglo-American Legal History, Vol. 19

(1998)

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Book Details

Publisher Name: Duncker & Humblot
ISBN: 978-3-428-49614-3
978-3-428-09614-5 (print edition)
DOI: https://doi.org/10.3790/978-3-428-49614-3
Edition: 1
Language: English
Pages: 545
Collections: NBE HIST
NBE RECHT
NBE D&H
Subjects: Comparative law

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About The Author

Prof. Dr. Dr. h.c. mult. Reinhard Zimmermann, geb. 1952 in Hamburg, Jurastudium in Hamburg. Fachliche Interessen: Römisches Recht, Rechtsgeschichte, Rechtsvergleichung, Privatrecht. Lehrstühle an den Universitäten Kapstadt, Regensburg, Cambridge; Gastprofessuren in Edinburgh, Auckland, Chicago, Berkeley, Yale, Oxford u.a.; heute Direktor am Max-Planck-Institut für ausländisches und internationales Privatrecht und Professor an der Bucerius Law School. Leibniz-Preisträger (1996); Mitglied mehrerer Akademien der Wissenschaften im In- und Ausland; Präsident der Studienstiftung des deutschen Volkes; Vorsitzender der Zivilrechtslehrervereinigung.

Abstract

A person may hold property for a variety of purposes. The most common situation is that he wants to use and enjoy it for his own benefit. But he may also have agreed to administer the property either for the benefit of someone else or to further some particular purpose. Thus, in a broad and untechnical sense of the word, he may hold it "in trust". This kind of arrangement has been resorted to for many different reasons, both legitimate and illegitimate. From very early on, European legal systems have been faced with the need to establish rules and, eventually, institutions to deal with the resulting legal problems. $aFiducia, fideicommissum, Treuhand,$z foundation, executorship and, of course, the trust: they all provided, at some time or other and in some place or other, the legal framework that was required.

The present volume attempts to present a comparative historical analysis of these devices. It seeks to trace the paths of the idea of "holding for others" or of holding property in a fiduciary capacity: $aitinera fiduciae.$z And it comes to the conclusion that historical connections can be drawn between the English trust and the Continental legal tradition. The common features and the common sources evident on both sides of the Channel mean that no wall of incomprehension separated the English trust from analogous institutions on the Continent. On this account, Otto von Gierke's often quoted remark to F. W. Maitland ("I do not understand your law of trusts") gives a misleading impression. If, as seems to be happening today, modern European law incorporates the trust, there is much to suggest that it will be building upon historical foundations.

Section Title	Page	Action	Price
Table of Contents	9
Richard Helmholz and Reinhard Zimmermann: Views of Trust and Treuhand: An Introduction	27
I. Adoption of the Trust in Civil Law Countries	27
II. The Inquiry	30
III. Prior Scholarship	31
1. England	31
2. Germany	34
3. The Contemporary Situation	36
IV. The Problem of Definition	37
V. The Contributions	39
1. The Slow Emergence of the Concept of the Trust	40
2. Mining the Civilian Tradition	41
3. Circumventing Legal Restrictions	42
4. Trust Purposes	43
VI. A Final Word	44
David Johnston: Trusts and Trust-like Devices in Roman Law	45
I. Introduction	45
II. Trust-like Devices	45
1. Fideicommissum	45
(a) Structure	47
(b) Content	47
(c) Duration	48
(d) Remedies and Third Parties	50
2. Fiducia	52
3. Usufruct and usus	53
III. Trustees	53
1. Executors and the familiae emptor	54
2. Tutor	54
IV. Conclusions	55
Harald Siems: Von den piae causae zu den Xenodochien	57
I. Einleitung	57
II. Das Nachwirken römischer Rechtstexte im Frühmittelalter	60
III. Die Briefe Gregors des Großen	70
IV. Merowingische Formulare und Testamente	73
V. Merowingische Konzilien, Leges und Kapitularien	78
VI. Zusammenfassung	82
Shael Herman: The Canonical Conception of the Trust	85
I. Prelude: The Medieval Church’s Dilemma	85
1. The Trust: A Solution to the Church’s Dilemma	86
2. The Pope as Trustee; the Church as Primary Beneficiary of the Papal Trust	86
II. Possible Objections to the Proposed Canonical Trust Conception	87
III. Clerical Efforts to Legitimate Church Wealth	88
1. Apostolic collegium	89
2. The Metaphoric Hostelry: Use the World, But Do Not Use it Up	90
3. Clerical Innkeeper as usuarius	90
IV. Clerical usus, Feoffments ad usus, and the Franciscan Friars	92
1. Clerical usus and the Franciscan Friars	92
2. The Feoffment to Uses: A "Completely English Institution"	95
V. Influence of Roman Law upon the Concept of Trust	96
VI. Forms of Trusteeship in the Early Christian Church	98
1. Christian Custodians	98
2. Cemetery Custodian	98
3. Custodian of Holy Places	99
4. Corpus Christianorum	101
5. Bishops as Earthly Dwellers and Spiritual Guides to Life Everlasting	102
VII. Church Doctrines and Practices Assist Consolidation of Church Patrimony	102
1. Wills	102
2. Chantry Foundations	104
3. Monastic Finances and Feoffments to Uses	104
4. Feoffments to Uses Applied to Specific Spiritual Needs	106
VIII. Conclusion	109
Joseph Βiancalana: Medieval Uses	111
I. The Invention of Uses	113
1. Precursors	113
2. Origins	117
II. The Increased Employment of Uses	123
1. The Debtor Feoffor	124
(a) Pursuing the Heir	125
(b) Pursuing the Feoffees	126
2. Daughters	129
III. Uses and Wardship	131
1. Establishing a Baseline	132
2. Social Practice	133
3. The Cases: Seignorial Opportunism	137
IV. Uses and Chancery	141
1. In Search of a Forum	142
2. Uses at Common Law	145
3. Uses in Chancery	149
Richard Helmholz: Trusts in the English Ecclesiastical Courts 1300 - 1640	153
I. Introduction	153
II. The Jurisdictional Setting	154
III. Uses and Land	155
1. The Rise of the Feoffment to Uses in England	155
2. The Ecclesiastical Courts and Enforcement	157
IV. Uses and Chattels	160
1. The Subject Matter	161
2. The Trustees	162
3. Objects of the Trusts	163
4. Remedies and Basis for Liability	165
V. Was the Trust Transplanted?	166
1. The Negative Side	167
2. The Positive Side	169
VI. Conclusion	171
Neil Jones: Trusts in England after the Statute of Uses: A View from the 16th Century	173
I. Introduction	173
II. The Difficulty of Definition	174
III. Trust Property	177
1. The Operation of the Statute of Uses	178
2. Chattels Personal	179
3. Copyhold Land	180
4. Leases	180
5. Freehold Land	181
IV. The Purposes of Trusts	181
1. Evasion of the Royal Feudal Revenue	181
2. Charitable Trusts	183
3. Private Trusts for the Vulnerable	184
4. Trusts and Persecution	185
5. Trusts for Married Women	186
6. The Attendancy of Satisfied Terms	189
V. The Interest of the Beneficiar	190
1. The "Engrafting Principle"	190
2. Trust and Promise	192
3. Privity and the Doctrine of Notice	196
VI. Trusts in Context	199
1. Trusts and Conditions	199
2. Trusts and Bailment	202
VII. Conclusion	203
Michael Macnair: The Conceptual Basis of Trusts in the Later 17th and Early 18th Centuries	207
I. Introductory	207
II. Explaining Equity, Explaining Trusts	208
1. Background	208
2. Fideicommissum	213
3. Usufruct	215
4. Depositum	216
II. Analytic Organisation of the Material	218
1. Nottingham	218
2. Gilbert	219
3. Ballow	220
4. Equity Cases Abridged	221
III. Trust as Property or Contract? Some Details	221
1. The Beneficiary’s Rights	221
2. The Liabilities of Trustees	224
IV. The Importance of Trusts	229
1. Express Trusts are more Important in Concept than in Practice	229
2. Implied Trusts are Pervasive: Common Law Trusts	232
V. Conclusions	234
Karl Otto Scherner: Formen der Treuhand im alten deutschen Recht	237
I. Definitionsfragen, Forschungsschwerpunkte, Strategie	237
II. Die einzelnen Fallgruppen	239
1. Lehnrecht	239
(a) Die Veräußerung von Lehngut unter Umgehung der Heerschildordnung	241
(aa) Behalten zu treuer Hand	241
(bb) Treuleihe	241
(b) Umgehung der Lehnsunfähigkeit	242
(aa) Frauen	243
(bb) Minderjährige	245
(cc) Geistliche, Klöster, Ritterorden und Spitäler	245
(dd) Städte, Gemeinden und Stiftungen	247
(ee) Juden, Bürger und Bauern	247
(c) Überwindung der Unteilbarkeit des Lehens	248
(d) Erwerbssicherung	249
2. Früh- und hochmittelalterliches Stadt- und Landrecht	249
(a) Letztwillenstreuhand	250
(b) Einschaltung eines Treuhänders zur Überwindung der Erwerbsunfähigkeit im mittelalterlichen Stadtrecht	251
(aa) Geistliche, Klöster und Kirchen	252
(bb) Spitäler	252
(cc) Auswärtige	253
(dd) Juristische Personen	253
(ee) Eingesessene Nichtbürger	253
(ff) Juden	253
(gg) Frauen und Minderjährige	254
(c) Treuhänder im bäuerlichen Recht	254
(d) Einschaltung eines Mittelsmanns zur Erwerbssicherung	255
III. Auswertung	257
1. Die verschiedenen Funktionen der Treuhand	257
(a) Die Umgehungsfälle	257
(b) Die Erwerbssicherung	258
(c) Das zeitliche Auftreten der Gruppen	259
2. Definitionsfragen	259
3. Die Vorstellungen der Beteiligten: Treuhand als Institut des mittelalterlichen Rechts	260
IV. Ergebnis	262
V. Trust und Treuhand	262
1. Vergleich der Fallgruppen	262
(a) Übertragung eines Lehnsgutes durch den Lehnsmann	263
(b) Einsatz eines Treuhänders bei „unmöglichen" Geschäften	263
(c) Letztwillenstreuhand	263
(d) Grunderwerb durch Kleriker	264
(e) Grunderwerb durch „Juristische Personen"	264
(f) Lehnsvormundschaft	265
2. Unmittelbare Beeinflussung und die gemeinsame mittelalterliche Welt	265
3. Vestigia fiduciae?	266
Reinhard Zimmermann: Heres fiduciarius? Rise and Fall of the Testamentary Executor	267
I. Introduction	267
II. Roman Law	268
1. Early and Classical Roman Law	268
2. Developments in Legal Practice and Surrogate Devices	271
3. Greek and Byzantine Law	273
III. Medieval Law	275
1. The "Nature" of Medieval Germanic Law	275
2. Succession in the Germanic Laws	277
3. The Influence of the Church	278
(a) Dispositions ad pias causas	278
(b) Executor ultimae voluntatis	280
4. The executor in the Learned Literature	282
IV. Usus Modernus in Germany and in the Netherlands	286
V. Austrian Law	289
VI. French Law	291
1. Medieval Customary Law	291
2. Dumoulin, Pothier and the code civil	294
VII. Developments in 19th Century German Law	296
1. Bringing Clarity into an Obscure Institution?	296
2. The Long-term Administrator/ Executor	299
VIII. English Common Law	301
Robert Feenstra: Foundations in Continental Law since the 12th Century: The Legal Person Concept and Trust-like Devices	305
I. Different Foundation Concepts	306
II. Some Remarks on Developments before the 12th Century	307
III. Medieval Romanists and Canonists	310
IV. Customary Law in the Middle Ages and Early Modern Times	318
V. Special Developments in the Dutch Provinces	319
VI. Foundations in the 18th and 19th Centuries	322
VII. Epilogue	325
Michele Graziadei: The Development of Fiducia in Italian and French Law from the 14th Century to the End of the Ancien Régime	327
I. Introduction	327
II. Scope of Enquiry	328
III. The Place of the Roman Law of fiducia in the Age of the ius commune	331
IV. The Birth of the Doctrine of Testamentary fiducia	333
V. Bartolus, Baldus and the consiliatores on Testamentary fiducia	335
1. The Protection Granted to the Beneficiary of the Secret Testamentary Disposition According to Bartolus	335
2. Of Form and Substance: Baldus’ Approach to Testamentary fiducia	338
3. Bartolus’ and Baldus’ Legacy to the consiliatores	341
VI. Humanistic Scholarship and the Rediscovery of fiducia in the Ante-Justinianic Sources	343
VII. A Canon Law Detour: fiducia and the Canonical Prohibition of confidentia beneficialis	346
VIII. The 17th Century Elaboration of the Doctrine of Testamentary fiducia	350
IX. Testamentary fiducia in the Pays de droit écrit of Southern France	353
X. Towards the Civil Codes	355
XI. Conclusions	356
Klaus Luig: Philipp Knipschildt und das Familienfideikommiß im Zeitalter des Usus modernus	361
I. Grundsätze	361
1. Begriff und Funktion des Familienfideikommisses	361
2. Parallelen zum englischen Recht	362
3. Der Sonderfall Deutschland	365
4. Die anderen europäischen Länder	368
II. Philipp Knipschildt und die wissenschaftliche Grundlegung des Familienfideikommisses in Deutschland	369
III. Analyse von Knipschildts Traktat	370
1. Ursprung, Bezeichnung und Definition des Familienfideikommisses	370
2. Einteilung und Arten	371
3. Causa efficiens: Mögliche Begründer und Stifter	371
4. Mögliche Begünstigte	372
5. Einem Familienfideikommiß zugängliche Güter	373
6. Art und Weise nebst Form der Errichtung	373
7. Zweck	375
8. Wirkung der Familienfideikommisse, und zwar erstens in bezug auf die zur Nachfolge berechtigten Personen	376
9. Methode und Form der Nachfolge (als Fortsetzung der ersten Wirkung)	377
10. Zweite Wirkung: Rechte des jeweiligen Inhabers	378
11. Dritte Wirkung: Beschränkungen des jeweiligen Inhabers, insbesondere das Veräußerungsverbot	379
12. Vierte Wirkung: Auf dem Familienfideikommiß ruhende Lasten	382
13. Rechte und Klagen des Anwärters	382
14. Beweis des Familienfideikommisses	384
15. Verwandte Erscheinungen (Primogenitur und Majorat)	384
16. Auflösung	385
IV. Schluß	387
Sibylle Hofer: Treuhandtheorien in der deutschen Rechtswissenschaft des 19. Jahrhunderts - Zur Verwendung von historischen Rechtsinstituten in der Zivilrechtsdogmatik	389
I. Die romanistische Seite	390
1. Regelsbergers Theoriebildung	390
(a) „Fiduziarische Geschäfte"	391
(b) Regelsbergers Vorbilder	394
(aa) ROHG 1872	395
(bb) J. Kohler	396
(cc) Jhering	398
2. Rechtsgeschichte und Dogmatik	399
(a) Scheurl, Huschke	400
(b) Dernburg	401
(c) Regelsberger	403
II. Die germanistische Seite	406
1. Rechtsgeschichte und Dogmatik	406
(a) Schultze	406
(b) Beseler	408
2. Schultzes Theoriebildung	410
(a) Der Gegensatz zwischen fiducia und Treuhand	411
(b) Die Verbindung zwischen fiducia und Treuhand	412
III. Ergebnisse	413
Joachim Rückert: Kontinuität und Diskontinuität in der Treuhandforschung	417
I. Die Problemzugriffe der deutschen Treuhandforschung	417
II. Das Beispiel Alfred Schultze (1901 und 1895): Begriffsbetonung im Dienst des Gegenwartsrechts	418
III. Das Beispiel Franz Beyerle (1932): ewige Grundformen als bleibende Substanz, aktuelle Lehre und Fingerzeig für die Zukunft	421
IV. Das Beispiel Otto Stobbe (1868): Fälle und Funktionen gestern und heute	422
V. Bilanz: Kontinuitätsfeststellung, Gleichheitsbehauptung und ceteris paribus. Die Methode vergleichender Funktionsanalyse in Rechtsvergleichung (Hein Kötz 1963) und Rechtsgeschichte	423
Andreas Richter: German and American Law of Charity in the Early 19th Century	427
I. Introduction	427
II. Common European Roots of the Law of Charity	428
III. The German Development	429
1. The Medieval and Early Modern Period	429
2. The Städel Case	430
3. The Role of Friedrich Carl von Savigny	431
4. Savigny’s Theory of Legal Personality	433
(a) Natural Persons (natürliche Personen)	434
(b) Legal Persons (juristische Personen)	434
5. The Foundation as a Legal Person	435
(a) Advantages of a Foundation with Legal Personality	435
(b) A Comparison with Mühlenbruch	436
(c) The Foundation as a Legal Institution (Rechtsinstitut)	438
6. The Memberless Foundation and the Corporation	439
(a) The Foundation - An Invisible Legal Person	439
(b) The Impact of the German Anstaltsstaat	440
(c) Savigny’s Treatment of the Sources	442
7. Private Associations, the Stock Corporation and the Private Foundation	443
(a) Savigny’s Rejection of Freedom of Association	443
(b) "Privileges" of Private Foundations and the Business Corporation	444
IV. English Law of Charity	445
1. The Reformation	446
2. The Elizabethan Statute of Charitable Uses 1601	447
V. The American Development	448
1. The "Checkered Career" of the Charitable Trust	448
2. The Advantages of Incorporation	451
3. The Charitable Corporation as an Incorporated Trust	452
(a) Corporate Charters	452
(b) Membership and Trusteeship	454
(c) Trust Investment	455
4. The Law of Charity as a Branch of Private Law	456
(a) The Transformation of the Visitorial System	457
(b) The Distinction between Public and Private Corporations	459
(c) A Declaration of Philanthropic Independence	459
5. Constitutional Protection of Charities	460
VI. Conclusion	463
Stefan Grundmann: The Evolution of Trust and Treuhand in the 20th Century	469
I. The Third Party Relationship as Starting Point	470
1. Characterization and Key Problems	470
2. Effects of the Anglo-American Trust against Third Parties	471
3. Lesser Effects of the Treuhand against Third Parties	471
(a) The Victory in Theory of a Purely Contractual Concept	471
(b) Some Traces of a Property Right Concept	473
4. Differences in Concept	477
II. The Fiduciary Relationship	478
1. The Crucial Importance of the Fiduciary Relationship and Key Problem Areas	478
2. The Distribution-of-Assets Question	481
3. The Decision-Making-Process Question	487
III. Trust, Corporation and the so-called Quasitreuhand	488
1. Trust v. Personality or Flexibility v. Registration?	489
2. Unity or Pluralism of Interests on the Side of the Settlor and Beneficiary	490
IV. Trust and Treuhand Irreconcilable?	492
Maurizio Lupoi: Trusts and Civilian Categories (Problems Spurred by Italian Domestic Trusts)	495
I. "Domestic" Trusts	495
II. The Comparative Law Issue	497
III. Trust Instrument and Transfer of Assets to Trustees	498
1. From Agreement to Unilateral Disposition	498
2. The Unilaterality of the Conveyance	500
3. Trusts of Personality	501
4. The Creation of a Trust, from a Civilian Perspective	502
IV. Contracts, Gifts and Trusts	504
George Gretton: Scotland: The Evolution of the Trust in a Semi-Civilian System	507
I. Introduction	507
1. Defining the Trust	507
2. The Influence of English Law	511
II. Origins	512
1. 19th and 20th Century Ideas as to Origins	512
2. The 17th Century and Before	513
3. Pre-17th Century Private Arrangements	513
4. Fideicommissum and Roman Law	517
5. The 17th Century	518
6. Proof of Trust	522
III. History since the 17th Century	522
1. Some Uses of the Trust	522
2. Proof of Trust	524
3. Immunity to Creditors	525
4. Powers	527
5. English Influence after 1700	528
6. Doing the Watson Wobble	533
7. Mortification, Charities, Public Trusts and Foundations	533
8. Constructive Trusts	537
9. Frog’s Creditors v. His Children	538
10. Resulting Trusts and the Doctrine of the Radical Right	538
11. Executry	539
IV. Current Law	541
List of Contributors	543

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Itinera Fiduciae

Trust and Treuhand in Historical Perspective

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