经纪人 (brokers) 从本质上来说是一种代理人，其业务是撮合相关当事人达成协议。经纪人的报酬是佣金 (brokerage)。不同的行业有不同的经纪人。新建船经纪人 (newbuilding brokers) 是航运经纪人之一，专门从事船舶建造的经纪业务。新建船经纪人一般不会同时从事其他航运经纪业务，例如租船经纪业务、二手船买卖经纪业务、保险经纪业务等；而其他航运经纪人一般也不会涉足新建船经纪业务。

法律地位

普通法中，经纪人就是代理人，因此新建船经纪人在本质上也就是代理人。普通法中的经纪人往往是指货物等买卖的代理人。普通法关于经纪人的定义可以在Milford v Hughes一案中找到，在该案中，Alderson B法官说：

The Law Dictionary defines brokers to be “those that contrive, make, and conclude bargains and contracts between merchants and tradesmen, for which they have a fee or reward.”

在同案中，Rolf B法官也指出：

It seems to me, that to make it acase of brokerage, it must relate to goods and money, and not merely to personal contracts for work and labour.

Bowstead & Reynolds on Agency关于经纪人的定义是：

A broker is an agent whose ordinary course of business is to negotiate and make contracts for the sale and purchase of goods and other property, of which he is not entrusted with the possession or control.

我们可以从法院对经纪人以及代销商 (factor) 进行的比较中看出经纪人的基本特征及其法律地位。在Baring v Corrie一案中，Lord Ellenborough将经纪人与代销商进行了下列比较：

Now the distinction between a broker and factor is not merely nominal, for they differ in many important particulars. A factor is a person to whom goods are consigned for sale by a merchant, residing abroad, or at a distance from the place of sale, and he usually sells in his own name, without disclosing that of his principal; the latter, therefore, with full knowledge of these circumstances, trusts him with the actual possession of the goods, and gives him authority to sell in his own name. But the broker is in a different situation; he is not trusted with the possession of the goods, and he ought not to sell in his own name. The principal, therefore, who trusts a broker, has a right to expect that he will not sell in his own name.

商业代理人

英国法对代理人有分类，新建船经纪人应当属于“商业代理人”(commercial agent)。1993年《商业代理人（理事会命令）条例》 (The Commercial Agents (Council Directive) Regulations 1993) 关于商业代理人的定义是：

A commercial agent means a self-employed intermediary who has continuing authority to negotiate the sale or purchase of goods on behalf of another person (“the principal”) or to negotiate and conclude the sale or purchase of goods on behalf of and in the name of that principal.

在Bell Electric Ltd v Aweco Appliance Systems GmbH & Co KG一案中，高院的Elias法官认为商业代理人不仅可以是自然人，同时也可以是法人。他说：

In my judgment this argument is wholly unsustainable. The directive in terms in the preamble refers to the need to remove restrictions on the freedom of establishment and the freedom to provide services and it is clear that under European Union law, the rules relating to such principles apply both to legal as well as to natural persons: see e.g. EC Commission v UK [l991] ECR 1-4585. Moreover, there have been numerous other cases where legal persons have been commercial agents, and in none of them has the point apparently ever been taken that they do not fall under the terms of the regulations.

“商业代理人”是欧盟的产物，并不是普通法固有的概念，“商业代理人”在英国法中的适用依然是比较有限的，正如Chitty on Contracts所指出的：

The notion of a “commercial agent” is not known to the common law. It has fairly narrow limits. Apart from the specific exceptions, in the United Kingdom it only applies to agents acting in respect of sales of goods and does not cover agents acting in regard to land, nor to those arranging services; it does not cover distributors who purchase for resale; it only applies to self-employed agents, and only to those with continuing authority. It is uncertain to what extent markets in the United Kingdom are penetrated by agents of the sort referred to. It seems likely that when the Regulations do apply, it is sometimes by accident.

除非有明确授权，新建船经纪人通常不能代表委托他的船东或船厂签署船舶建造合同。

唯一经纪人

船东的经纪人就是船东的代理人，船厂的经纪人也就是船厂的代理人。在船舶建造合同中有时船厂和船东各有代表自己的经纪人，有时船舶建造合同的洽谈中只有一名新建船经纪人。在这种情况下就需要对该唯一的经纪人的法律地位进行认定。唯一的经纪人可能是代表船东的，也可能是代表船厂的。这就需要对具体的事实有所了解，例如该唯一的经纪人是否接受了任何一方的委托。如果没有正式委托的，就要看该经纪人的具体言行来判断其法律地位。如果唯一的经纪人是同时代表船厂和船东的，就可能存在利益冲突的问题。作为一方代理人的经纪人对其委托人负有严格的诚信义务，正如上诉法院的Millett法官在Bristol and West Building Society v Mothew一案中所指出的：

The distinguishing obligation of a fiduciary is the obligation of loyalty. The principal is entitled to the single-minded loyalty of his fiduciary. This core liability has several facets. A fiduciary must act in good faith; he must not make a profit out his trust; he may not act for his own benefit or the benefit of a third person without the informed consent of his principal.

按照上述判决，经纪人并非绝对不可以同时代表双方进行交易，问题在于必须得到船厂和船东的同意。是否获得的船厂和船东的同意显然是一个事实问题，很难列出一个可以适用于各种情形的原则。但是委托人的同意应当是明确的，而不是推定的，主张自己已获得授权的经纪人负有举证之责。如果经纪人有利益的还应当明确告知自己的委托人。

业务素质及作用

新建船经纪人应当熟悉船舶建造业务及其具体程序、不同船舶的不同建造特征以及建造周期等；新建船经纪人不仅应当详细了解新建船市场，包括市场水平及走向、订单情况以及交船情况等，同时还应当了解其他航运市场，例如：二手船买卖市场和运费市场等；新建船经纪人应当具备较强的沟通能力和危机处理能力；新建船经纪人不仅应当了解船厂的情况，包括地理位置、管理特征、船位使用情况、建造能力以及手持订单等；同时还应当了解船东的情况，例如船东船队中船舶的特征及其船龄等情况、营运和管理特征以及发展目标等。

好的经纪人不仅能为船厂和船东牵线搭桥，而且还能起草船舶建造合同的条款或对合同条款及其影响和履行后果发表比较专业的意见。一个合格的新建船经纪人确实能够为船东带来有价值的服务。新建船经纪人的作用主要体现在如下三个方面：首先，新建船经纪人有助于船东和船厂相互了解对方。由于经纪人的专业知识和特殊地位，相信经纪人也是一种商业习惯。而且，不通过经纪人，船厂尤其是规模较小或历史较短的船厂想要了解市场，尤其是有建造新船意向的船东是比较困难的。同样，想要建造新船的船东要了解船厂也不容易。新建船经纪人一般会与船厂或船东保持长期的密切联系，随时会为船厂或船东提供情况和信息；其次，新建船经纪人能够协助船厂或船东进行船舶建造合同的谈判。在正式谈判之前，新建船经纪人可以给船东或船厂提供市场情况，包括：船舶的市场建造价、已成交的价格、同类船舶的订单情况、同类船舶交船情况，以及船厂的建造情况等等。有时新建船经纪人甚至可能为其委托人进行谈判；最后，新建船经纪人可以成为船厂和船东之间冲突的缓冲器。由于有经纪人的存在，船东和船厂之间的谈判一般不会出现让双方都觉得很被动、尴尬，甚至无法挽回的局面。此外，一些不方便当面提出的问题或建议可以通过经纪人来转达。经纪人还可以为双方试探对方对某一敏感问题的立场等。谈判或履约过程中的冲突和争议似乎很难避免，在这种情况下，经纪人就可以成为一种缓冲或润滑剂，避免矛盾的进一步加剧。

佣 金

佣金是经纪人通过向其委托人提供经纪服务而获取的报酬。佣金数额通常为合同价格的一个百分比，例如：1.5%。当然，经纪人也可以和委托人约定一个确定的数额。佣金一般由船厂支付，支付方式可以通过协议规定。因此有时经纪人会和船厂另行订立佣金协议，约定佣金的数额以及支付方式。在可以约定的情况下，一个比较可取的方式是船厂按照船东支付的各期建造款向经纪人分期支付佣金。新建船经纪人在船厂收到船东支付的建造款后就有权获得约定的佣金数额。如果有几个经纪人参与船舶建造合同的洽谈，经纪人相互间还会约定各自的佣金数额及其支付方式。作为原则，新建船经纪人获得佣金的前提是船厂收到船东的付款。

获得佣金的权利

除非另有约定，否则经纪人收取佣金并不以佣金协议的签订为前提条件。只要经纪人的工作取得成效，他就可以获得佣金。即使委托人在最后阶段放弃使用经纪人，经纪人同样可以获得佣金，正如高院的Devlin法官在 Allan v Leo Lines Ltd所说的：[10]

One cannot look at the final end of the negotiations and see which was the more effective force in bringing about a particular figure. If it were otherwise it would make an agent’s position hopeless. It is well known that in these matters there is a term to be implied that a principal will not do anything which might prevent his agent from earning commission…. and I cannot believe it to be the law that if an agent works very hard at bringing the parties close together so that only a thousand pounds or two separates them, the principal is entitled to say, “I propose to deal with the matter myself because I think I should be more effective than you in clinching the final figure,” and when he has done that to say, “No, you never arranged a sale at this figure. The best you could do was £1000 less than I was willing to take.” All these points, in my judgment, therefore fail....

船厂的违约

船舶建造合同的履行并非始终一帆风顺，即使船东和船厂签署了船舶建造合同，也不等于合同最终会得到顺利的履行。市场的变化往往给船舶建造合同的履行带来各种不确定因素。船东或船厂在履行过程中解除合同的情况也很常见。当船舶建造合同最终未能得到履行时，经纪人是否依然可以获得佣金就会成为问题甚至是争议。除非另有约定，船厂有一项默示义务，即不能以自己的违约行为剥夺经纪人获得佣金的权利。上诉法院的Templeman法官在Alpha Trading Ltd v Dunnshaw-Patten Ltd一案中对此予以了明确的说明：[11]

In my judgment, it is necessary to imply a term which prevents a vendor, in these circumstances, from playing a dirty trick on the agent with impunity after making use of the services provided by that agent in order to secure the very position and safety of the vendor. It is necessary to imply a term which prevents the vendor from acting unreasonably to the possible gain of the vendor and the loss of the agent. In my judgment, the term proper to be implied in the present circumstance is that the vendors will not deprive the agents of their commission by committing a breach of the contract between the vendors and the purchaser which releases the purchaser from its obligation to pay the purchase price.

如果船东在支付了几期建造款后根据船舶建造合同的规定解除了合同并获得了建造款的全部还款，在这种情况下船厂显然已经没有任何收入了，船厂是否依然有义务支付新建船经纪人的佣金的问题可能会涉及到船东的解约是否合理。如果船东的解约是由于船厂违约引起的，经纪人应当可以获得其佣金，因为这是在船舶建造合同得到履行的情况下的结果。在 George Moundreas & Co SA v Navimpex Centrala Navala[12]一案中，经纪人为船厂争取到了16艘船的船舶建造合同的订立。合同订立以后，经纪人又与船厂订立了16份佣金协议。佣金协议约定船厂只有在收到船东付款后才需支付佣金。最终由于船厂违约，船东解除了16个合同中的14个合同。新建船经纪人要求船厂支付佣金。Saville法官认为，虽然佣金协议规定佣金应当在相关款项支付后才需支付，但是协议有一个默示条款，即船厂不违反船舶建造合同从而剥夺经纪人按照协议规定收取佣金的权利，因此船厂应当支付佣金。高院的Saville法官是这样说的：[13]

In my judgment the commission agreement contained an implied term that Navimpex would not break the shipbuilding contract so as to deprive the brokers of the commission due under the commission agreements…