A_62_17 (PART II)_EC
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A/62/17 (PART II) V0850096.doc (english)A/62/17 (PART II) V0850095.doc (chinese)
D;@VIE@In^#^20080108110924REVELO-E.TXTD;@VIE@In^#^20080108110924REVELO-C.TXT
Sixty-second session第六十二届会议
Report of the United Nations Commission on International Trade Law on the work of its resumed fortieth session*联合国国际贸易法委员会第四十届会议续会工作报告*
Vienna, 10-14 December 20072007年12月10日至14日,维也纳
Contents目录
Chapter章次
Paragraphs段次
Page页次
Introduction导言
1-21-2
23
Organization of the session会议的组织
3-133-13
23
Opening of the session会议开幕
33
23
Membership and attendance成员和出席情况
4-84-8
23
Election of officers选举主席团成员
9-119-11
34
Agenda议程
1212
44
Adoption of the report通过报告
1313
45
Draft UNCITRAL Legislative Guide on Secured Transactions贸易法委员会担保交易立法指南草案
14-10014-100
45
General considerations总的审议情况
14-1514-15
45
Consideration of the draft Guide审议指南草案
16-9816-98
56
Adoption of the UNCITRAL Legislative Guide on Secured Transactions通过贸易法委员会担保交易立法指南
99-10099-100
2321
Working methods of UNCITRAL贸易法委员会的工作方法
101-107101-107
2522
Dates of future meetings今后会议的日期
108-110108-110
2724
Other business其他事务
111-113111-113
2724
Annex附件
List of documents before the Commission at its resumed fortieth session委员会第四十届会议续会收到的文件一览表
2825
Introduction一. 导言
The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the resumed fortieth session of the Commission, held in Vienna from 10 to 14 December 2007.联合国国际贸易法委员会(贸易法委员会)的本篇报告概述委员会于2007年12月10日至14日在维也纳举行的第四十届会议续会的情况。
Pursuant to General Assembly resolution 2205 (XXI) of 17 December 1966, this report is submitted to the Assembly and is also submitted for comments to the United Nations Conference on Trade and Development.现根据大会1966年12月17日第2205 (XXI)号决议向大会提交本报告,同时一并提交联合国贸易和发展会议征求意见。
Organization of the session二. 会议的组织
Opening of the session会议开幕
The resumed fortieth session of the Commission was opened on 10 December 2007.委员会第四十届会议续会于2007年12月10日开幕。
Membership and attendance成员和出席情况
The General Assembly, in its resolution 2205 (XXI), established the Commission with a membership of 29 States, elected by the Assembly.大会在其第2205 (XXI)号决议中设立了由大会选出的29个国家组成的贸易法委员会。
By its resolution 3108 (XXVIII) of 12 December 1973, the Assembly increased the membership of the Commission from 29 to 36 States.大会在其1973年12月12日第3108 (XXVIII)号决议中将委员会的成员从29个国家增加到36个国家。
By its resolution 57/20 of 19 November 2002, the Assembly further increased the membership of the Commission from 36 to 60 States.大会在其2002年11月19日第57/20号决议中将委员会的成员从36个国家进一步增加到60个国家。
The current members of the Commission, elected on 17 November 2003 and on 22 May 2007, are the following States, whose term of office expires on the last day prior to the beginning of the annual session of the Commission in the year indicated:下列国家是分别于2003年11月17日和2007年5月22日选出的委员会现任成员,任期于所示年份的委员会年度届会开始前的最后一天届满:
Algeria (2010), Armenia (2013), Australia (2010), Austria (2010), Bahrain (2013), Belarus (2010), Benin (2013), Bolivia (2013), Bulgaria (2013), Cameroon (2013), Canada (2013), Chile (2013), China (2013), Colombia (2010), Czech Republic (2010), Ecuador (2010), Egypt (2013), El Salvador (2013), Fiji (2010), France (2013), Gabon (2010), Germany (2013), Greece (2013), Guatemala (2010), Honduras (2013), India (2010), Iran (Islamic Republic of) (2010), Israel (2010), Italy (2010), Japan (2013), Kenya (2010), Latvia (2013), Lebanon (2010), Madagascar (2010), Malaysia (2013), Malta (2013), Mexico (2013), Mongolia (2010), Morocco (2013), Namibia (2013), Nigeria (2010), Norway (2013), Pakistan (2010), Paraguay (2010), Poland (2010), Republic of Korea (2013), Russian Federation (2013), Senegal (2013), Serbia (2010), Singapore (2013), South Africa (2013), Spain (2010), Sri Lanka (2013), Switzerland (2010), Thailand (2010), Uganda (2010), United Kingdom of Great Britain and Northern Ireland (2013), United States of America (2010), Venezuela (Bolivarian Republic of) (2010) and Zimbabwe (2010).阿尔及利亚(2010年)、亚美尼亚(2013年)、澳大利亚(2010年)、奥地利(2010年)、巴林(2013年)、白俄罗斯(2010年)、贝宁(2013年)、玻利维亚(2013年)、保加利亚(2013年)、喀麦隆(2013年)、加拿大(2013年)、智利(2013年)、中国(2013年)、哥伦比亚(2010年)、捷克共和国(2010年)、厄瓜多尔(2010年)、埃及(2013年)、萨尔瓦多(2013年)、斐济(2010年)、法国(2013年)、加蓬(2010年)、德国(2013年)、希腊(2013年)、危地马拉(2010年)、洪都拉斯(2013年)、印度(2010年)、伊朗伊斯兰共和国(2010年)、以色列(2010年)、意大利(2010年)、日本(2013年)、肯尼亚(2010年)、拉脱维亚(2013年)、黎巴嫩(2010年)、马达加斯加(2010年)、马来西亚(2013年)、马耳他(2013年)、墨西哥(2013年)、蒙古(2010年)、摩洛哥(2013年)、纳米比亚(2013年)、尼日利亚(2010年)、挪威(2013年)、巴基斯坦(2010年)、巴拉圭(2010年)、波兰(2010年)、大韩民国(2013年)、俄罗斯联邦(2013年)、塞内加尔(2013年)、塞尔维亚(2010年)、新加坡(2013年)、南非(2013年)、西班牙(2010年)、斯里兰卡(2013年)、瑞士(2010年)、泰国(2010年)、乌干达(2010年)、大不列颠及北爱尔兰联合王国(2013年)、美利坚合众国(2010年)、委内瑞拉玻利瓦尔共和国(2010年)和津巴布韦(2010年)。
With the exception of Armenia, Bahrain, Benin, China, Colombia, Ecuador, Fiji, Gabon, Honduras, Israel, Kenya, Madagascar, Malta, Mongolia, Morocco, Nigeria and Singapore, all the members of the Commission were represented at the resumed fortieth session.除亚美尼亚、巴林、贝宁、中国、哥伦比亚、厄瓜多尔、斐济、加蓬、洪都拉斯、以色列、肯尼亚、马达加斯加、马耳他、蒙古、摩洛哥、尼日利亚和新加坡之外,委员会所有其他成员都派代表出席了第四十届会议续会。
The resumed fortieth session was attended by observers from the following States:派观察员出席第四十届会议续会的有下列国家:
Argentina, Belgium, Brazil, Burundi, Croatia, Democratic Republic of the Congo, Dominican Republic, Indonesia, Libyan Arab Jamahiriya, Panama, Peru, Philippines, Portugal, Romania, Slovakia, Slovenia, Tunisia, Turkey and Zambia.阿根廷、比利时、巴西、布隆迪、克罗地亚、刚果民主共和国、多米尼加共和国、印度尼西亚、阿拉伯利比亚民众国、巴拿马、秘鲁、菲律宾、葡萄牙、罗马尼亚、斯洛伐克、斯洛文尼亚、突尼斯、土耳其和赞比亚。
The resumed fortieth session was also attended by observers from the following organizations:下列组织也派观察员出席了第四十届会议续会:
United Nations system:联合国系统:
World Bank and International Monetary Fund;世界银行和国际货币基金组织;
Intergovernmental organizations:政府间组织:
Commission of the African Union, East African Community, European Community and International Institute for the Unification of Private Law;非洲联盟委员会、东非共同体、欧盟委员会和国际统一私法协会;
Non-governmental organizations invited by the Commission:委员会邀请的非政府组织:
American Bar Association, Association française des entreprises privées, Commercial Finance Association, European Centre for Peace and Development, European Law Students’ Association, Forum for International Commercial Arbitration, International Bar Association, International Insolvency Institute, International Swaps and Derivatives Association, International Union of Marine Insurance and Union internationale des avocats.美国律师协会、法国私营企业协会、商业金融协会、欧洲和平与发展中心、欧洲法学学生协会、国际商事仲裁论坛、国际律师协会、美国国际破产研究院、国际掉期及衍生工具协会、国际海事保险联盟和国际律师联盟。
The Commission welcomed the participation of international non-governmental organizations with expertise in the major items on the agenda.委员会欢迎在本届会议主要议程项目方面拥有专门知识的国际非政府组织的参加。
Their participation was crucial for the quality of texts formulated by the Commission, and the Commission requested the Secretariat to continue to invite such organizations to its sessions.它们的参加对于提高委员会拟定的案文的质量至关重要,委员会请秘书处继续邀请这类组织参加其届会。
Election of officers选举主席团成员
The following officers, elected during the first part of the fortieth session, continued in their offices:委员会第四十届会议第一部分会议选出的下列主席团成员继续任职:
Chairperson:主席:
Dobrosav Mitrović (Serbia)Dobrosav Mitrović(塞尔维亚)
Vice-Chairpersons:副主席:
Biu Adamu Audu (Nigeria)Biu Adamu Audu(尼日利亚)
Horacio Bazoberry (Bolivia)Horacio Bazoberry(玻利维亚)
Kathryn Sabo (Canada)Kathryn Sabo(加拿大)
In the absence of the Chairperson, the Commission, at its 855th meeting, on 10 December 2007, decided that Kathryn Sabo (Canada) would be the acting Chairperson at the resumed fortieth session.由于主席缺席,委员会于2007年12月10日第855次会议上决定,由Kathryn Sabo(加拿大)在第四十届会议续会上担任代理主席。
At its 859th meeting, on 12 December, the Commission elected M. R. Umarji (India) Rapporteur of its resumed fortieth session.委员会于12月12日第859次会议上选出M. R. Umarji(印度)担任第四十届会议续会报告员。
Agenda议程
The agenda of the resumed fortieth session, as adopted by the Commission at its 855th meeting, on 10 December 2007, was as follows:委员会在2007年12月10日第855次会议上通过的第四十届会议续会议程如下:
Opening of the resumed fortieth session.第四十届会议续会开幕。
Adoption of the agenda.通过议程。
Adoption of a draft UNCITRAL legislative guide on secured transactions and possible future work.通过贸易法委员会担保交易立法指南草案和今后可能进行的工作。
Working methods of UNCITRAL.贸易法委员会工作方法。
Dates of future meetings.今后会议的日期。
Adoption of the report.通过报告。
Adoption of the report通过报告
At its 863rd and 864th meetings, on 14 December 2007, the Commission adopted the present report by consensus.委员会在其2007年12月14日第863和第864次会议上以协商一致方式通过了本报告。
Draft UNCITRAL Legislative Guide on Secured Transactions三. 贸易法委员会担保交易立法指南草案
General considerations总的审议情况
The Commission had before it a complete set of revised recommendations and revised commentaries on the draft UNCITRAL Legislative Guide on Secured Transactions (A/CN.9/637 and Add.1-8 and A/CN.9/631/Add.1-3) and the reports of Working Group VI (Security Interests) on its eleventh session (A/CN.9/617), held in Vienna from 4 to 8 December 2006, and its twelfth session (A/CN.9/620), held in New York from 12 to 16 February 2007.委员会收到了关于《贸易法委员会担保交易立法指南》草案的一整套修订建议和修订评注(A/CN.9/637和Add.1-8及A/CN.9/631/Add.1-3),以及第六工作组(担保权益)2006年12月4日至8日在维也纳举行的第十一届会议和2007年2月12日至16日在纽约举行的第十二届会议的报告(分别见A/CN.9/617和A/CN.9/620)。
The Commission expressed its appreciation to the Secretariat for the preparation of an extremely large number of complex documents (about 300 pages) in a short period of time (between the first part of the fortieth session and the resumed fortieth session).委员会对秘书处在短时间内(在第四十届会议第一部分会议和第四十届会议续会之间)编写出大量内容复杂的文件(约300页)表示赞赏。
The Commission recalled that, during the first part of its fortieth session (A/62/17 (Part I), para. 158), it had adopted recommendation 4, subparagraphs (b) and (c), on the scope of the draft Guide as to intellectual property, securities and financial contracts (A/CN.9/631, chapter II), and recommendations 74-230 (A/CN.9/631, chapters VII-XIV); and had approved the substance of the commentaries to chapters VII-XIV (A/CN.9/631/Add.4-11) and on intellectual property (A/CN.9/631/Add.1) and the substance of the terminology (A/CN.9/631/Add.1, paras. 13-19).委员会回顾,其第四十届会议第一部分会议(A/62/17 (Part I),第158段)已经通过了建议4(b)项和(c)项(关于指南草案在知识产权、证券和金融合同问题上的范围)(A/CN.9/631,第二章)、建议74-230(A/CN.9/631,第七至第十四章),并核准了关于第七至第十四章的评注(A/CN.9/631/Add.4-11)和关于知识产权的评注(A/CN.9/631/Add.1)的实质内容,以及术语表(A/CN.9/631,第13-19段)的实质内容。
The Commission also recalled that, as decided during the first part of its fortieth session (A/62/17 (Part I), para. 159), the following materials would be reviewed by the Commission at its resumed session:委员会还回顾,如委员会第四十届会议第一部分会议所决定的(A/62/17 (Part I),第159段),本届续会将审查下列材料:
recommendations 1-73 (A/CN.9/631, as revised in document A/CN.9/637); the commentaries to chapters I-VI (A/CN.9/631/Add.1-3); recommendations on the extension of a retention-of-title right or a financial lease right to proceeds (non-unitary approach), if necessary; and the commentary on the alternatives to the recommendations on the third-party effectiveness of a retention-of-title right or a financial lease right to proceeds (unitary and non-unitary approaches), if necessary.建议1-73(A/CN.9/631,经A/CN.9/637号文件修订);对第一至第六章的评注(A/CN.9/631/Add.1-3);关于必要时保留所有权权利或融资租赁权延及收益的建议(非统一处理法);以及关于必要时收益上的保留所有权权利或融资租赁权的第三方效力的建议(统一处理法和非统一处理法)的备选案文的评注。
Moreover, the Commission recalled that the question of whether the terminology and the recommendations of the draft Guide should be reproduced not only at the end of each chapter but also in a separate annex to the draft Guide had been referred to its resumed fortieth session (A/62/17 (Part I), para. 159).此外,委员会还回顾,指南草案的术语表和建议除了在每章结尾转载外,是否还应当单独作为指南草案的附件予以转载,这一问题还留待第四十届会议续会处理(A/62/17 (Part I),第159段)。
Consideration of the draft Guide审议指南草案
Introduction, chapter I (Key objectives) and section C of chapter II (Scope of application and other general rules)导言、第一章(关键目标)和第二章(适用范围和其他一般规则)C节
It was noted that the material in the introduction, in chapter I and in chapter II, section C, of the draft Guide (A/CN.9/631/Add.1) could be revised and reorganized into a new introduction as follows:有与会者指出,指南草案的导言、第一章和第二章C节(A/CN.9/631/ Add.1)中的材料可在修订后按如下所述调整次序,构成新的导言:
Section A (Purpose of the Guide) should include the material contained in document A/CN.9/631/Add.1, paragraphs 1-12;A节(指南的目的)应当包含A/CN.9/631/Add.1号文件第1-12段所载的材料;
Section B (Examples of financing practices covered in the Guide) should include the material contained in document A/CN.9/631/Add.1, paragraphs 57-77;B节(指南所涵盖的融资做法实例)应当包含A/CN.9/631/Add.1号文件第55-77段所载的材料;
Section C with a new heading (Key objectives and fundamental principles of an effective and efficient secured transactions regime) should include the material contained in document A/CN.9/631/Add.1, paragraphs 20-31, and additional material discussing some fundamental principles of the draft Guide that would link the general key objectives of the draft Guide to the specific recommendations;C节改新标题(有效和高效担保交易制度的关键目标和基本原则),其中应当包含A/CN.9/631/Add.1号文件第20-31段所载的材料,并增加讨论指南草案某些基本原则的内容,将指南草案的一般关键目标同具体建议联系起来;
A new section D (Implementing a new secured transactions law) should be added to provide guidance to national legislators on the different ways in which the recommendations in the draft Guide could be implemented, taking into account existing legislation, legislative methods and drafting techniques and the need for dissemination of information to all those who would implement the law (judges, arbitrators and practitioners) in order to ensure a cohesive regime;应当添加新的D节(实施新的担保交易法),以便就实施指南草案中各项建议的各种方式向国家立法人员提供指导,同时考虑到现有的法律、立法方法和起草办法,并考虑到有必要向实施法律的所有人员(法官、仲裁员和从业人员)传播信息,以确保制度协调一致;
Section E (Terminology) should include the material contained in document A/CN.9/637, paragraphs 1-6;E节(术语表)应当包含A/CN.9/637号文件第1-6段所载的材料;
Section F (Recommendations) should contain recommendation 1 from chapter I (Key objectives) of document A/CN.9/637, appropriately aligned with section C of the new introduction (see subparagraph (c) above).F节(建议)应当包含A/CN.9/637号文件第一章(关键目标)建议1,并应适当与新的导言C节(见上文(c)项)一致。
The Commission considered drafting suggestions on those new sections.委员会审议了关于这些新章节的起草建议。
With regard to the key objective of balancing the interests of affected persons, it was suggested that the commentary should make an express reference to the efforts of the Commission to harmonize secured transactions and insolvency laws.关于平衡各方受影响人的利益这一关键目标,有与会者建议,评注应当明确提及委员会为协调担保交易法和破产法所作的努力。
With regard to the fundamental principle of an integrated and functional approach, it was suggested that, to properly reflect both the unitary and the non-unitary approaches to acquisition financing, the commentary should include a provision that, to the maximum extent possible, all transactions that create a right in all types of asset meant to secure the performance of an obligation (i.e. fulfil security functions) should be considered as security rights and regulated by the same rules or, at least, by the same principles.关于统一的功能处理法的基本原则,有与会者建议,为了适当反映购置款融资的统一处理法和非统一处理法,评注应当包含一条规定,即对于在用以保证偿付债务(即履行担保功能)的所有类型的资产上设定权利的所有交易,应当尽可能在最大程度上视之为担保权,并以相同的规则进行规范,或者至少按相同的原则进行规范。
With regard to the fundamental principle of priority among multiple security rights, it was suggested that the commentary should discuss separately the significance of the availability of multiple security rights and the importance of a clear priority rule governing multiple security rights granted by the same grantor in the same assets.关于多个担保权的优先权排序这一基本原则,有与会者建议,评注应当分别讨论具有多个担保权的意义和订立明确的优先权规则用以管辖由同一设保人在同一资产上设定多个担保权的重要性。
With regard to the fundamental principle of equality of treatment of all creditors that provided credit to enable grantors to acquire tangible assets, it was suggested to remove the earlier reference whereby retention-of-title sellers would be able to benefit from the complete range of rights given to secured creditors, which in some ways exceeded the rights available to retention-of-title sellers under existing law in most States.关于平等对待提供信贷以便使设保人获取有形资产的所有债权人这一基本原则,有与会者建议,早先提及的保留所有权的出卖人得以从赋予有担保债权人的所有权利中获益,而这些权利在某些方面超过了多数国家中保留所有权的出卖人根据现行法律所可享有的权利这一内容应当删去。
There was sufficient support for all those suggestions.上述所有建议都得到了足够的支持。
With regard to the terminology contained in document A/CN.9/637, the following changes were agreed upon:关于A/CN.9/637号文件所载的术语表,商定改动如下:
In subparagraph (n)(ii), the definition of the term “control” with respect to a right to payment of funds credited to a bank account, the text commencing with the word “evidenced” to the end of the subparagraph should be deleted, and a new definition – of the term “control agreement” – should be added along the following lines:在(n)㈡ 项,对银行账户贷记款受付权的“控制权”这一术语的定义中,从“并以书面签署为凭证”开始直到结尾的语句应当删去,并添加新的“控制权协议”术语的定义,行文如下:
“‘Control agreement’ means an agreement between the depositary bank, the grantor and the secured creditor, evidenced by a signed writing, according to which the depositary bank has agreed to follow instructions from the secured creditor with respect to the payment of funds credited to the bank account without further consent from the grantor;”“‘控制权协议’系指开户银行、设保人和有担保债权人之间的协议,以书面签署为凭证,根据该协议,开户银行同意在银行账户贷记款的支付方面遵循有担保债权人的指示而无需设保人另行同意”;
The definition of an “issuer” of a negotiable document should be revised to read as follows:可转让单证的“签发人”的定义应当修订如下:
“‘Issuer’ of a negotiable document means the person that is obligated to deliver the tangible assets covered by the document under the law governing negotiable documents, whether or not that person has agreed to perform all obligations arising from the document;”“可转让单证的‘签发人’系指根据规范可转让单证的法律有义务交付单证中所列有形资产的人,而不论该人是否同意履行该单证所产生的所有义务”;
To align it with the note to the definition in document A/CN.9/637, the note following the definition of “Right to receive the proceeds under an independent undertaking” should be revised as follows:为了与A/CN.9/637中定义的说明保持一致: “独立保证下收益的受付权”之后的说明应当修订如下:
“… Thus, what is received upon honour of (i.e. as a result of a complying presentation under) an independent undertaking constitutes the ‘proceeds’ of the right to receive the proceeds under an independent undertaking.”“…因此,在独立保证兑付时(即通过独立保证下相符提示)收到的一切所得构成独立保证下收益受付权的‘所得收益’”。
The Secretariat was also requested to consider deleting the subparagraph indications before the definitions, if that would not be inconsistent with the editorial rules of the United Nations.另外,如果不违反联合国的编辑规则,请秘书处考虑删去各定义前的分项符号。
Subject to the above-mentioned changes and any consequential editorial amendments, the Commission:除须作上述修订和随之相应的编辑改动外,委员会:
approved the reorganizing of the material in the introduction, chapter I and chapter II, section C, of the draft Guide into a new introduction, as set out in paragraph 16 above; (b) approved the substance of the commentary on the new introduction; (c) adopted recommendation 1; and (d) agreed that the terminology should be included not only in section E of the new introduction but also, together with the recommendations (that would also be reproduced at the end of each chapter), in a separate annex to the draft Guide.(a)核准将指南草案的导言、第一章和第二章C节的内容按上文第16段所述调整次序,构成新的导言;(b)核准新导言的评注的实质内容;(c)通过建议1;(d)商定术语表不仅应当列入导言E节,还应当和(也转载于每章结尾的)建议一同列入指南草案的一个单独的附件。
Chapter II (Scope of application and other general rules) and chapter III (Basic approaches to security)第二章(适用范围和其他一般规则)和第三章(担保的基本做法)
Recommendations (A/CN.9/637, recommendations 2-12)建议(A/CN.9/637,建议2-12)
With regard to recommendation 3, the Commission noted that the commentary would explain the reasons why recommendations in the draft Guide (with the exception of certain recommendations on enforcement) applied to all assignments of receivables, without transforming outright transfers into security rights.关于建议3,委员会注意到,就指南草案中的建议(关于强制执行的某些建议除外)对应收款的所有转让都将适用而不必将彻底转让转化为担保权的理由,评注将作出解释。
With regard to recommendation 5, it was agreed that reference should also be made to the recommendations dealing with security rights in attachments to immovable property along the following lines:关于建议5,与会者一致认为,应当提及关于不动产附加物上担保权的各项建议,行文如下:
“The law should not apply to immovable property.“本法不适用于不动产。
However, recommendations 21, 25 (chapter on the creation of a security right), 34, 43, 48 (chapter on the effectiveness of a security right against third parties), 84, 85 (chapter on the priority of a security right), 161, 162 (chapter on the enforcement of a security right), 180 and 192 (chapter on acquisition financing) may affect rights in immovable property.”但建议21、25(关于担保权的设定的一章)、34、43、48(关于担保权的第三方效力的一章)、84、85(关于担保权的优先权的一章)、161、162(关于担保权的强制执行的一章)、180和192(关于购置款融资的一章)可能影响到不动产上的权利。
After discussion, the Commission adopted recommendations 2-12, reordered in accordance with the order of the revised commentary (see para. 24 (d) below).” 23. 委员会经过讨论通过了建议2-12,次序按修订后评注的次序调整(见下文第24(d)段)。
Commentary (A/CN.9/631/Add.1, paras. 32-56 and 78-141)评注(A/CN.9/631/Add.1,第32-56段和第78-141段)
It was noted that the material in chapters II and III of the draft Guide contained in document A/CN.9/631/Add.1 could be revised and reorganized into a new chapter I (Scope of application and basic approaches to secured transactions) as follows:有与会者注意到,A/CN.9/631/Add.1号文件所载指南草案第二和第三章的材料可在修订后按如下所述调整次序,构成新的第一章(适用范围和担保交易的基本做法):
Section A (Scope of application) should include the material contained in document A/CN.9/631/Add.1, paragraphs 32-54, appropriately updated to reflect the decisions of the Commission during the first part of its fortieth session (A/62/17 (Part I), para. 158);A节(适用范围)应当包含A/CN.9/631/Add.1号文件第32-54段所载材料,并加以适当修订,以落实委员会第四十届会议第一部分会议所作决定(A/62/17 (Part I),第158段);
Section B (Basic approaches to security) should include the material contained in document A/CN.9/631/Add.1, paragraphs 78-141, appropriately updated to reflect the decisions of the Commission during the first part of its fortieth session (A/62/17 (Part I), para. 158);B节(担保的基本做法)应当包含A/CN.9/631/Add.1号文件第78-141段所载材料,并加以适当修订,以落实委员会第四十届会议第一部分会议所作决定(A/62/17 (Part I),第158段);
Section C (Two key themes common to all chapters of the Guide) should include the material contained in document A/CN.9/631/Add.1, paragraphs 55 and 56, appropriately updated to reflect the decisions of the Commission during the first part of its fortieth session (A/62/17 (Part I), para. 158);C节(指南各章所共有的两个关键主题)应当包含A/CN.9/631/Add.1号文件第55和第56段所载材料,并加以适当修订,以落实委员会第四十届会议第一部分会议所作决定(A/62/17 (Part I),第158段);
Section D should include recommendations 2-12 from document A/CN.9/637, ordered in accordance with subparagraphs (a)-(c) above.D节应当包含A/CN.9/637号文件中的建议2-12,并按上文(a)至(c)项排序。
The Commission considered drafting suggestions with regard to those new sections.委员会审议了对这几个新的章节在行文上所作的修订。
With regard to new chapter I, section B (Basic approaches to security), it was suggested that the draft Guide should further explain the rationale for all the different approaches taken with respect to security rights and their historical evolution.关于新的第一章B节(担保的基本做法),有与会者建议,指南草案应当对担保权各种做法所持依据及其历史沿革作进一步的解释。
There was sufficient support for that suggestion.该建议获得充分支持。
It was also suggested that security rights in payment rights arising under or from a financial contract should be excluded from the draft Guide, whether the financial contract was governed by a netting agreement or not.还有与会者建议,应当把根据金融合同而产生的或缘于金融合同的受付权上的担保权排除在指南草案的范围以外,而不论金融合同是否受净额结算协议的管辖。
The Commission recalled that it had already adopted recommendation 4, subparagraph (c), in document A/CN.9/631, excluding only payment rights arising under or from financial contracts governed by netting agreements, during the first part of its fortieth session (in document A/CN.9/637, the issues are addressed in recommendation 4, subparagraphs (c) and (d)) (A/62/17 (Part I), paras. 148-151 and 158).委员会回顾,其第四十届会议第一部分会议已经通过了A/CN.9/631号文件中的建议4(c)项,仅仅将受净额结算协议管辖的根据金融合同而产生的或缘于金融合同的受付权排除在外(在A/CN.9/637号文件中,这些问题在建议4的(c)和(d)项述及)(A/62/17 (Part I),第148-151和第158段)。
Subject to the above-mentioned changes and any consequential editorial amendments, the Commission approved:除须作上述修订和随之相应的编辑改动外,委员会核准:
the reorganizing of the material in chapters II and III of the draft Guide into a new chapter I, as set out in paragraph 24 above; and (b) the substance of the commentary on the new chapter I.(a)将指南草案第二和第三章的内容按上文第24段所述调整次序,构成新的第一章;(b)新的第一章评注的实质内容。
Chapter IV (Creation of a security right (effectiveness as between the parties))第四章(担保权的设定(在当事人之间的效力))
Recommendations (A/CN.9/637, recommendations 13-28)建议(A/CN.9/637,建议13-28)
With regard to recommendation 14, the Commission confirmed that it was necessary that the secured creditor (and not just its representative) be identified in the security agreement, because:关于建议14,委员会确认,有必要在担保协议中指明有担保债权人(而不仅仅是其代表)的身份,因为:
the agreement would be the basis for the enforcement of the security right; and (b) no confidentiality concerns arose as, unlike a notice, the agreement would not be publicly available.(a)该协议将是强制执行担保权的依据;而且(b)不会发生保密的问题,因为协议不同于通知,不会供公开查阅。
It was also agreed that recommendation 14 would need to include language along the lines of recommendation 57, subparagraph (d), in order to provide a basis for the inclusion in the registered notice of the maximum amount for which the security right might be enforced.与会者还一致认为,建议14有必要包含与建议57(d)项的行文相同的措词,以便为在登记的通知中列入强制执行担保权的最高数额提供依据。
In that connection, it was agreed that the commentary should explain that the requirement for a maximum amount could be satisfied even if it was mentioned in a series of documents that referred to each other rather than in a single document.在这方面,与会者一致认为,评注应当解释,即使是在一系列相互参照的文件中而不是在一份文件中提及最高数额,也可满足对最高数额的要求。
With regard to recommendation 15, it was agreed that the text should be revised to provide that writing was sufficient by itself or in conjunction with a course of conduct.关于建议15,与会者一致认为案文应当进行修改,以规定书面形式本身或结合系列行为便足够。
Subject to the changes mentioned above, the Commission adopted recommendations 13-28.除须作上述改动外,委员会通过了建议13-28。
Commentary (A/CN.9/631/Add.1, paras. 142-247)评注(A/CN.9/631/Add.1,第142-247段)
The Commission approved the substance of the commentary to chapter IV subject to the following changes and any consequential editorial amendments:委员会核准了对第四章的评注的实质内容,但须作如下修订和随之相应的编辑改动:
Paragraph 167 should explain that, if the grantor relinquished possession of an encumbered asset and a written agreement did not already exist, a written agreement would be necessary for a security right to continue to exist after the grantor relinquished possession of the asset;第167段应当解释,如果设保人放弃对担保资产的占有,但未曾有书面协议,则必须要有一份书面协议以便在设保人放弃对担保资产的占有后延续担保权;
Paragraphs 174-176 should be revised to provide a more balanced presentation of the two approaches with respect to a maximum amount to be set out in the security agreement and to separate that issue from the issue of security rights securing future obligations;第174-176段应作修改,以便使针对担保协议所列最高数额采取的两种办法在表述上更为平衡,并将这一问题同担保未来债务的担保权的问题分别开来;
Paragraph 182, fourth sentence, should be modified along the following lines: “Subject to rules …, … the agreement must identify that asset as the grantor’s right as a lessee under the lease;”第182段第四句应改为“根据…规则,…协议必须指明该资产为设保人作为租约下的承租人所享有的权利”;
Paragraph 184, second sentence, should be modified to clearly identify future assets as assets acquired by the grantor or coming into existence after the conclusion of the security agreement, while referring to the creation of a security right rather than to a disposition;第184段第二句应作修改,以清楚地指明未来资产是在担保协议订立后设保人取得的资产或产生的资产,同时提及担保权的设定而非处分;
Paragraph 190, last sentence, should refer to assets in general and not just to inventory;第190段最后一句应当提及一般的资产而不仅仅是库存品;
Paragraph 196 should be revised to indicate that a floating charge was indeed a security right (and accordingly the words “so called” and “merely” should be deleted) and should briefly discuss the difference between a floating charge and a fixed charge;第196段应作修改,以便表明浮动抵押确实是一种担保权(因而应删除“所谓的”和“只是”字样),并应简扼讨论浮动抵押与固定抵押的区别;
Paragraphs 191-199 should refer to limitations with respect to security rights in all assets based on consumer-protection law or, alternatively, that discussion should be merged with the discussion on identification of assets;第191-199段应当提及依据消费者保护法对所有资产担保权的限制,或者也可将这一讨论并入关于资产确定问题的讨论;
Paragraph 222 should elaborate on the limitation of a security right in tangible assets to the value of those assets before they were commingled in a mass or processed into a product;第222段应当详细阐述有形资产担保权的额度限于在混入混集物或加工成制成品之前的价值;
Paragraphs 229-232 should explain the reasons why anti-assignment clauses were invalidated with respect to the assignment of certain types of receivables but not with respect to the assignment of other types of receivables;第229-232段应当解释禁止转让条款之所以对某些类型的应收款转让无效而对另外一些类型的应收款转让有效的原因;
Paragraph 247, second sentence, should be revised along the following lines: “As a result, … , provided that the security right in the document is created while the goods are covered by the document of title.”第247段第二句应作修改,规定“因此,…,条件是在该单证上设定担保权时,该货物为该所有权单证所涵盖。 ”
Chapter V (Effectiveness of a security right against third parties)第五章(担保权对抗第三方的效力)
Recommendations (A/CN.9/637, recommendations 29-53)建议(A/CN.9/637,建议29-53)
With regard to recommendation 40, it was agreed that, to align it with the formulation of recommendation 45, the text should be revised along the following lines:关于建议40,与会者一致认为,为了与建议45的表述形式保持一致,应当对其进行修订,行文如下:
“The law should provide that, if the proceeds are not described in the registered notice as provided by recommendation 39 and do not consist of money, receivables, negotiable instruments or rights to payment of funds credited to a bank account, the security right in the proceeds continues to be effective against third parties for [a short period of time to be specified] days after the proceeds arise.“法律应当规定,收益未按照建议39的规定在所登记的通知中加以描述且不包含金钱、应收款、可转让票据或银行账户贷记款受付权的,该收益上的担保权在收益产生后[指明一段短暂期限]天内继续具有对抗第三方的效力。
If the security right in such proceeds is made effective against third parties by one of the methods referred to in recommendation 32 or 34 before the expiry of that time period, the security right in the proceeds continues to be effective against third parties thereafter.”这类收益上的担保权在上述期限结束之前通过建议32或34提及的办法之一取得对抗第三方效力的,该收益上的担保权此后继续具有对抗第三方的效力。
Subject to the above-mentioned change, the Commission adopted recommendations 29-53.” 32. 除须作出上述修改外,委员会通过了建议29-53。
Commentary (A/CN.9/631/Add.2)评注(A/CN.9/631/Add.2)
The Commission approved the substance of the commentary to chapter V subject to the following changes and any consequential editorial amendments:委员会核准了第五章评注的实质内容,但须作如下修订和随之相应的编辑改动:
Paragraph 17 should discuss “specialized control” as a concept existing in some jurisdictions only;第17段应当将“专用控制权”作为仅在某些法域存在的概念来讨论;
Paragraph 20 should further explain that the approach addressed was the approach recommended in the draft Guide;第20段应当进一步解释所讨论的办法是指南草案所建议的办法;
Paragraph 42 should explain that the approach, under which judgement creditors were given a kind of a property right in an encumbered asset, should be compatible with insolvency law;第42段应当解释,给予胜诉债权人对担保资产的一种财产权所依据的办法应当符合破产法;
Paragraphs 95-98 should clearly state that the issue was a change in the location of the asset or the grantor where that was the connecting factor for the application of the conflict-of-law rules;第95-98段应当明确说明,如果资产或设保人的所在地是适用法律冲突规则的关联要素,其变更才是重要的;
Paragraph 115 should refer to “some States” rather than to “other States” and should discuss the various approaches in a balanced way.第115段应当提及“某些国家”而非“其他国家”,并应当对各种办法作均衡的讨论。
Chapter VI (The registry system)第六章(登记制度)
Recommendations (A/CN.9/637, recommendations 54-72)建议(A/CN.9/637,建议54-72)
With regard to recommendation 54, subparagraph (h), and recommendations 57-59, it was agreed that reference to the term “identifier” should be made in a consistent way.关于建议54(h)项和建议57-59,与会者一致认为提及“身份识别特征”这一术语的方式应当保持一致。
In response to a question, it was noted that recommendation 57 required only the information necessary for third parties in order:针对一个问题会上有人指出,建议57只要求提供第三人必需的信息,以便:
to avoid unnecessary information that could confuse third parties or lead to errors that might invalidate notices; (b) to standardize the information required; and (c) to send the message that, unlike immovable property title registries, movable property security right registries required minimal information.(a)避免提供不必要信息使第三人感到困惑或产生导致通知失效的错误;(b)使所要求的信息标准化;(c)并且表明一点,即动产担保权登记处与不动产所有权登记处不同,要求提供最低限度信息。
The Commission considered the following new recommendations in document A/CN.9/637 (contained in the note after recommendation 57):委员会审议了A/CN.9/637号文件中的以下新建议(建议57后面的说明):
“X. The law should provide that an error in the identifier or address of the secured creditor or its representative does not render a registered notice ineffective as long as it has not seriously misled a reasonable searcher.“X. 法律应当规定,有担保债权人或其代表的身份识别特征或住址有误,只要不严重误导合理的查询人,并不导致所登记的通知无效。
“Y. The law should provide that an error in the description of certain encumbered assets does not render a registered notice ineffective with respect to other assets sufficiently described.“Y. 法律应当规定,某些担保资产的描述有误,并不导致作了充分描述的其他资产的登记通知无效。
“Z. The law should provide that an error in the information provided in the notice with respect to the duration of registration and the maximum amount secured, if applicable, does not render a registered notice ineffective.”“Z. 法律应当规定,通知中就登记期限和最高担保金额(如果适用的话)所提供的信息有误,并不导致所登记的通知无效。 ”
It was noted that the suggested new recommendations were intended to deal with errors with respect to information in the notice other than the grantor’s identifier (which was dealt with in recommendation 58).据指出,提出这些新建议目的在于处理有关通知而不是设保人身份识别特征的信息方面的错误(关于设保人身份识别特征问题在建议58中论述)。
While some doubt was initially expressed as to whether those recommendations were necessary, the Commission decided after discussion that they should be retained, as they struck an appropriate balance between the interests of registrants and the interests of searchers by preserving the effectiveness of a registered notice in cases in which a reasonable searcher would not be seriously misled by an erroneous statement in the notice.虽然最初有与会者对这些建议是否有必要表示有些怀疑,但委员会在讨论后决定保留这些建议,这些建议在登记人的利益与查询人的利益之间保持适当平衡,因为即使通知中的陈述有误,亦不致严重误导合理查询人,所登记的通知也因此而保持效力。
However, several suggestions were made as to the formulation of the suggested new recommendations.不过,与会者就这些新建议的措辞提出了一些建议。
One suggestion was that recommendation X should be recast in a positive way to provide that a notice containing an incorrect statement of the identifier or the address of the secured creditor or its representative would not be ineffective unless it would seriously mislead a reasonable searcher.其中一项建议是,应当以一种积极的方式来改拟建议X,规定通知中关于有担保债权人或其代表的身份识别特征或住址的说明不正确的,通知不会无效,除非它将严重误导合理的查询人。
Another suggestion was that the same rule should apply to notices with erroneous descriptions of the encumbered assets, a matter addressed in recommendation Y. Another suggestion was that recommendation Y could refer to descriptions of encumbered assets that did not meet the requirements of recommendation 63.另一项建议是,该规则应同样适用于对担保资产的描述有误的通知,建议Y中论述了担保资产问题。 还有另一项建议是,建议Y可提及对不符合建议63的要求的担保资产的描述。
Another suggestion was that recommendation Z should include a provision whereby protection would be afforded to third parties that suffered damage after reasonably relying on notices with an erroneous statement of the maximum amount of the secured obligation or the duration of the registration.还有另一项建议是,应对建议Z加以补充,规定第三人合理信赖在最高担保金额或登记的期限方面描述有误的通知并因此蒙受损害,应当受到保护。
Yet another suggestion was that reference should be made not to “errors” (which included both a subjective and an objective criterion) but to “incorrect statements” (i.e. the factual result of a subjective error) by a registrant.还有另一项建议是,不应用“有误”(“error”)这样的词(该词包括主观和客观标准),而应提及登记人“不正确的说明”(即主观错误的客观结果)。
There was sufficient support for all those suggestions.所有这些建议都获得了充分支持。
It was agreed that recommendation X could address incorrect statements with respect to the description of the encumbered assets as well, while recommendation Y could be retained as it was, as it addressed a separate matter (i.e. whether an incorrect statement as to the description of certain assets invalidated the notice with respect to other assets covered in the notice although they were sufficiently described).与会者一致同意建议X也可述及担保资产描述上的不正确说明,而建议Y可保持原样,因为它论述的是另一个问题(即某些资产描述上的不正确说明是否会使通知中所涵盖的其他充分描述的资产的有关通知无效)。
In addition, the suggestion was made that reference should be made to the fact of registration rather than to the registered notice, as the objective of those recommendations was to preserve registration as a mode of achieving third-party effectiveness.此外,有与会者提出应当提及登记的事实而不是所登记的通知,因为这些建议的目的是保持登记作为实现第三方效力的一种方式。
That suggestion was opposed on the grounds that registration should be effective, as, in any case, something was registered and the question was whether the particular registered notice was effective.该建议遭到反对,理由是,登记当然是有效的,因为不管怎么说,作了某项登记,问题是所登记的具体通知是否有效。
In response to a question, it was noted that the notion of “reasonable searcher” did not mean that, in order to be reasonable, a searcher would have to search for matters outside the registry to determine, for example, whether an error had been made in the notice.针对一个问题会上有人指出,“合理的查询人”概念并不意味着为了合理,查询人将必须在登记处范围以外进行查询以确定通知中是否有误。
In response to another question, it was noted that, if the law prescribed a limited duration of registration (see recommendation 66), an erroneous statement would not affect the duration of the registration to the extent permitted by the law.针对另一个问题有人指出,如果法律规定了登记的期限(见建议66),错误的说明不会对登记期限产生影响,只要法律允许。
It was also noted that whether or not the registry would reject an erroneous statement in that regard was a matter of the technical design of the registry that would not affect the duration of registration under the law.还据指出,登记处是否拒绝这方面的错误说明,是登记处技术设计的问题,不会对法律规定的登记期限产生影响。
In addition, it was noted that, if the law allowed parties to determine the duration of registration (see recommendation 66), erroneous statements of the duration of registration would be corrected by the system, as, if the registrant paid for 5 years but stated 10 years on the notice, the notice would be cancelled after the expiry of 5 years, while, if the registrant paid for 10 years but wrote 5 years on the notice, the registrant could amend the notice at any time (see recommendation 70).此外还指出,如果法律允许由当事人确定登记的期限(见建议66),那么关于登记期限的错误说明将由该系统予以纠正,因为,如果登记人支付了5年的费用,而通知上注明10年,那么5年到期后,通知将予以取消,如果登记人支付了10年的费用,而通知上注明5年,则登记者可在任何时候修正该通知(见建议70)。
With respect to the maximum amount addressed in the suggested new recommendation Z, it was noted that, if the notice referred to a higher amount than the amount mentioned in the security agreement, the registrant could only enforce its security right with priority up to the amount mentioned in the security agreement.关于新建议Z中所述的最高金额,据指出,如果通知中提及的数额比担保协议中所列金额高,登记人强制执行优先担保权,最高额不能超出担保协议中提及的数额。
It was also noted that, if the notice referred to a lower amount than the amount mentioned in the security agreement, the registrant could enforce its security right against the grantor up to the outstanding amount of the secured obligation, but would have priority over other competing claimants only up to the lower amount mentioned in the notice.还据指出,如果通知中提及的数额比担保协议中所列金额低,登记人对抗设保人强制执行担保权的数额,最多不能超出附担保债务的未偿额,但相对于其他竞合求偿人享有优先权,数额至多为通知中提及的较低额。
That discussion confirmed that a reference should be made to the maximum amount in the security agreement in order for recommendation 57, subparagraph (d), and new recommendation Z to operate (see para. 27 above).经讨论后确认,为了便于建议57(d)项和新建议Z的操作,应当提及担保协议中的最高额(见上文第27段)。
With regard to recommendation 61, it was agreed that the words “after the change in the grantor’s identifier but” should be inserted before the words “before registration of the amendment” in subparagraphs (a) and (b).关于建议61,与会者一致认为,应当在(a)项和(b)项中“此种修订的登记前”字样前添加“在设保人的身份识别特征变更后但在”一语。
With regard to recommendation 62, it was noted that the main policy consideration at issue was how to balance the rights of two innocent parties subsequent to a transfer of an encumbered asset (i.e. the original secured creditor of the grantor and a subsequent secured creditor of the transferee of the encumbered asset).关于建议62,有与会者指出,所争论的主要政策问题是在担保资产转让之后如何平衡两个无辜当事人(即设保人的原始有担保债权人和担保资产受让人的后继有担保债权人)的权利。
Diverging views were expressed.与会者表达了各种不同的观点。
One view was that a secured creditor that held a security right in assets of a grantor but that was not aware of the transfer of an encumbered asset by the grantor should be protected in the sense that the third-party effectiveness of its security right should be preserved (even though the security right would extend to the proceeds received by the grantor).其中一种观点是,对于对设保人的资产拥有担保权但不知道设保人转让担保资产的有担保债权人应当给予保护,这是指应当维持其担保权的第三人效力(即使该担保权将扩大至设保人所得收益)。
It was stated that such an approach would be in line with the general rule in recommendation 31 (Continued third-party effectiveness after a transfer of the encumbered asset) and would provide an appropriate result.据说这种做法与建议 31(担保资产转让后继续保持对抗第三人的效力)中的一般规则一致并将提供一种适当结果。
It was also observed that, otherwise, a grantor could defeat the right of a secured creditor by transferring an encumbered asset, a result that could discourage the extension of secured credit.另据指出,否则,设保人可以通过转让担保资产使有担保债权人的权利失效,这一结果可能会阻碍发放担保信贷。
In addition, it was said that the secured creditor of the transferee would have to conduct due diligence and clarify the chain of title of the asset in any case, and could thus discover the existence of security rights granted by prior owners of the asset.此外,有与会者说受让人的有担保债权人在任何情况下都必须履行应尽职责和澄清资产的所有权链条,这样能够发现是否存在先前的资产所有人所设定的担保权。
In that connection, it was mentioned that the general security rights registry was not designed to replace due diligence or confirmation of the chain of title of assets.就此,有与会者提到一般担保权登记处的目的不是为了取代应尽职责和对资产所有权链条的确认。
Another view was that the secured creditor of the transferee of the asset, having searched the registry against the name of the transferee and having found no previously registered security right, should also be protected in the sense that the security right of the secured creditor of the grantor would not be effective as against the secured creditor of the transferee.另一种观点认为,资产受让人的有担保债权人如果按受让人的名称查询登记记录并且没有发现先前登记的担保权,也应受到保护,这是指设保人的有担保债权人的担保权将不会取得对抗受让人的有担保债权人的效力。
It was stated that, otherwise, the secured creditor of the transferee could not rely on the registry to ensure its priority, a result that could undermine the reliability of the registry and lead to the transferee being unable to obtain secured credit.有与会者说,否则,受让人的有担保债权人就不会依靠登记处来确保其优先权,这种结果会破坏登记处的可靠性并导致受让人无法获得担保信贷。
Several suggestions were made in an effort to bridge the gap between the above-mentioned views, including the following:与会者提出了一些建议以弥合上述观点之间的差距,这些建议包括:
imposing on the grantor or the transferee an obligation to inform the secured creditor of the grantor; and (b) providing that the right of the secured creditor of the transferor remained effective against third parties until a short period of time after the secured creditor acquired knowledge or was notified of the transfer, and then only if the secured creditor had registered a notice against the name of the transferee.(a)要求设保人或受让人承担通知设保人的有担保债权人的义务;(b)规定转让人的有担保债权人的权利在直至有担保债权人获悉或被通知转让事宜之后的一段不长的时间内仍具有对抗第三方的效力,这一期限过后,只有按受让人的姓名对一项通知进行登记后才能继续具有对抗第三方的效力。
Those proposals failed to attract sufficient support.这些建议未获得充分支持。
It was stated that the breach of the grantor’s obligation to inform the secured creditor would simply create another contractual cause of action, which would be of no use to the secured creditor in the case of the grantor’s insolvency.有与会者说,设保人违反通知有担保债权人的义务只会产生另一个合同规定的诉因,这在设保人破产的情况下对于有担保债权人是没有用的。
It was also observed that requiring knowledge on the part of the secured creditor would inadvertently lead to litigation with respect to matters such as whether the secured creditor had knowledge, what constituted knowledge and when knowledge was acquired.还有与会者说,要求有担保债权人了解情况将会无意中导致涉及诸如有担保债权人是否已知道、知道的内容以及何时获知等事项的诉讼。
In addition, it was said that requiring that written notice be given to the secured creditor would not assist secured creditors of the transferee, as they would be unaware of that notice.此外,有与会者说,关于给予有担保债权人书面通知的要求也仍无助于并不知道该通知的受让人的有担保债权人。
Recognizing that there was no fully satisfactory solution and that the various suggested solutions had both advantages and disadvantages, the Commission decided that recommendation 62 should be revised to state that the law should address the issue and that the commentary should discuss the various policy options and their advantages and disadvantages.考虑到没有完全令人满意的解决办法并且所建议的各种办法都各有利弊,委员会决定对建议62进行修订,以便说明应由法律来处理该问题,并在评注中讨论各种政策选择及其利弊。
In the discussion of recommendation 62, diverging views were also expressed as to the relationship between recommendations 61 and 62.在讨论建议62时,与会者还就建议61与62之间的关系表达了各种不同的观点。
One view was that those recommendations were closely linked and that, therefore, the same decision should be made for both.一种观点认为这两项建议是密切关联的,因此应对它们作出相同的决定。
It was stated that a change in the name of the grantor was in effect involved also in the case of the transfer of an encumbered asset.有与会者说,担保资产的转让还涉及设保人名称的变更。
Another view was that the issues addressed in those recommendations were slightly different and, therefore, could be addressed differently.另有观点认为,这两项建议中论述的问题略有不同,可以用不同的方法来处理。
It was stated that, while a secured creditor could find out with relative ease a name change of its grantor, that was not the case with a security right granted by a person that acquired the asset from the grantor.有与会者说,虽然有担保债权人能够比较容易地查明其设保人名称的变更,但一人从设保人处取得资产后在其上设定担保权,查起来就不太容易。
After deliberation, it was decided that recommendation 61 should remain unchanged and that the commentary should explain the rationale for the difference in the approaches followed in recommendations 61 and 62.经过审议后,决定建议61不作改动,而在评注中解释按照建议61和62采取不同做法的理由。
With regard to recommendation 64, it was agreed that the text should be revised to ensure that a notice could be registered before or after the creation of a security right or before or after the conclusion of a security agreement.关于建议64,与会者一致认为,应作修订以确保可在担保权设定之前或之后,或在担保协议订立之前或之后登记通知。
With regard to recommendation 66, it was agreed that the word “time” in the third sentence should be replaced with the word “duration”.关于建议66,与会者一致认为,第三句中的“time”应改为“duration”。
Subject to the changes mentioned above, the Commission adopted recommendations 54-72.除须作上述改动外,委员会通过了建议54-72。
Commentary (A/CN.9/631/Add.3)评注(A/CN.9/631/Add.3)
The Commission approved the substance of the commentary to chapter VI subject to the following changes and any consequential editorial amendments:委员会核准了第六章评注的实质内容,但须作如下修订和随之相应的编辑改动:
The introductory section to the commentary should include a more systematic explanation as to why the Guide contained a separate chapter addressing the registry system, the difference between property and personal rights and why a registry system was an important mechanism to indicate the potential existence of rights in assets;评述的导言部分应当更为系统地解释,指南为何有单独的一章讨论登记制度、财产权与人身权之间的区别,以及登记制度为何是表明资产上可能存在权利的一个重要机制;
Paragraph 8 should clarify that it was the very diversity of approaches that had led to the solution of a notice-based general rights registry;第8段应当澄清,正是因为方法上的多样性,才会产生一般权利的通知登记处这一解决办法;
Paragraph 18 should avoid implying that the issue of public access arose only in the context of notice-based registry systems;第18段应当避免暗示只在通知登记制度中才产生公众查询问题;
Paragraph 22 should make it clear that even in electronic systems equality of access was a point of general concern;第22段应当澄清,即使是在电子系统中,查询机会平等也是受到普遍关切的问题;
In paragraph 27, the last sentence should be moved to paragraph 28, and the latter paragraph should make it clear that the prohibition against searching against the creditor name was intended to prevent public searching but not searching for internal purposes;第27段最后一句应当挪到第28段,第28段应当澄清,不允许按债权人的名称进行查询,其用意是阻止公众查询,而不是阻止内部查询;
Paragraph 34, in which searching against certain classes of assets is discussed, should be expanded to address the criteria that would need to be satisfied to permit that type of search (for instance, using a unique identifier for the asset concerned, such as a serial number, and restricting searching to high-value assets for which there was a resale market);论述按资产的特定类别查询的第34段应当扩大范围,以论及进行这类查询所要满足的标准(例如使用有关资产的独特识别特征,如序号,而且将查询限制于有转售市场的高价值资产);
Paragraphs 57 and 58 should be revised to ensure a balanced discussion of the advantages and disadvantages of requiring a maximum amount of the secured obligation to be stated in the notice (discussing separately security rights in future obligations);第57和58段应作修订,以确保均衡地讨论在通知中说明附担保债务最高数额这一要求的利弊(单独讨论未来债务上的担保权);
In paragraph 66 all legal structures under which legal and natural persons could conduct business, including partnerships, should be discussed;第66段应当讨论法人和自然人开展业务所依据的所有法律制度,包括合伙关系;
Paragraphs 67-69 should be redrafted in the light of the decisions of the Commission regarding recommendations 61 and 62 (see paras. 44-50 above).第67-69段应当按照委员会关于建议61和62的决定(见上文第44-50段)进行改写。
Chapter VII (Priority of a security right)第七章(担保权的优先权)
Recommendations (A/CN.9/637, recommendations 73-106)建议(A/CN.9/637,建议73-106)
With regard to recommendation 73, it was agreed that the text should be revised to clarify that it did not apply to priority conflicts between secured creditors that took a security right in an asset from different grantors (see also para. 57 (a), below).关于建议73,与会者一致认为应当修订案文,以便澄清建议73不适用于从不同设保人手中取得一资产上的担保权的有担保债权人之间的冲突(另见下文第57(a)段)。
It was also agreed that the commentary to recommendations 73 and 76 should clarify that a secured creditor that took a security right in an encumbered asset from a buyer of the asset took the asset subject to a security right (that was granted in the asset by the seller of the asset and was effective against third parties) on the basis of the general principle that a person cannot give to another person more rights that it has (nemo dat quod non habet).与会者还一致认为,建议73和76的评注应澄清,从资产买受人手中取得担保资产上的担保权的有担保债权人取得该资产时连带(资产出卖人在该资产上设定的、有对抗第三人效力的)担保权,其依据是“谁亦不能以己所无予人”这一原则。
Recalling that it had adopted the recommendations of chapter VII during the first part of its fortieth session (A/62/17 (Part I), para. 158), and subject to the above-mentioned change, the Commission adopted revised recommendations 73-106.回顾其第四十届会议第一部分会议已通过第七章的建议(A/62/17 (Part I),第158段),委员会通过了修订后的建议73-106,但须作上述改动。
Commentary (A/CN.9/637/Add.1)评注(A/CN.9/637/Add.1)
Recalling that it had approved the substance of the commentary to chapter VII during the first part of its fortieth session (A/62/17 (Part I), para. 158), the Commission approved the substance of the revised commentary subject to the following changes and any consequential editorial amendments:回顾其第四十届会议第一部分会议已核准第七章评注的实质内容(A/62/17 (Part I),第158段),委员会核准了修订后的评注的实质内容,但须作以下修订和随之相应的编辑改动:
It should be clarified (in the definitions, in the recommendations and in the commentary) that rules on priority were designed to deal with competing rights of claimants that were granted a right from the same grantor;应当(在定义、建议和评注中)阐明,关于优先权的规则旨在处理从同一设保人那里取得一项权利的索偿人的竞合权利;
Third-party effectiveness issues should be clearly distinguished from priority issues and repetition should be avoided;对抗第三人效力问题应当明确区别于优先权问题,并应避免重复;
With regard to recommendation 79, the commentary should include discussion of a different approach, under which a transferee of an encumbered asset would take the asset free of the security right if the security right secured a credit extended after the expiry of a certain period of time.关于建议79,评注应讨论一种不同的做法,根据这一做法,担保资产的受让人将可取得该资产而不附带担保权,但其须为一段时间之后发放的信贷提供担保。
Chapter VIII (Rights and obligations of the parties to a security agreement)第八章(担保协议当事人的权利和义务)
Recommendations (A/CN.9/637, recommendations 107-113)建议(A/CN.9/637,建议107-113)
With regard to recommendation 109 and, by extension, recommendation 69, it was agreed that, to align the text with recommendation 137, recommendations 109 and 69 should refer to the termination of all commitments to extend credit.关于建议109并引申到建议69,与会者一致认为,为与建议137保持一致,建议109和69应提及终止发放信贷的所有承诺。
Accordingly, it was agreed that recommendation 109 should be revised along the following lines:与会者相应地一致认为,应当对建议109作大致如下的修订:
“The secured creditor must return an encumbered asset in its possession if, all commitments to extend credit having been terminated, the security right has been extinguished by full payment or otherwise.”“在发放信贷的所有承诺已经终止,并且担保权通过全额偿付或其他方式被消灭的情况下,有担保债权人必须返还其所占有的担保资产。
Recalling that it had adopted the recommendations of chapter VIII during the first part of its fortieth session (A/62/17 (Part I), para. 158), and subject to the above-mentioned change, the Commission adopted revised recommendations 107-113.” 59. 回顾其第四十届会议第一部分会议已通过第八章的建议(A/62/17 (Part I),第158段),委员会通过了修订后的建议107-113,但须作上述改动。
Commentary (A/CN.9/637/Add.2)评注(A/CN.9/637/Add.2)
Recalling that it had approved the substance of the commentary to chapter VIII during the first part of its fortieth session (A/62/17 (Part I), para. 158), the Commission approved the substance of the revised commentary subject to the following change and any consequential editorial amendments:回顾其第四十届会议第一部分会议已核准第八章评注的实质内容(A/62/17 (Part I),第158段),委员会核准了修订后的评注的实质内容,但须作以下修订和随之相应的编辑改动:
with regard to recommendation 108, the commentary should explain that it applied only to security rights in tangible assets subject to possession, with respect to which the secured creditor in possession should be obliged to preserve both the asset and its value.关于建议108,评注应说明该建议只适用于被占有的有形资产上的担保权,占有该资产的有担保债权人有义务保全该资产及其价值。
Chapter IX (Rights and obligations of third-party obligors)第九章(第三方债务人的权利和义务)
Recommendations (A/CN.9/637, recommendations 114-127)建议(A/CN.9/637,建议114-127)
With regard to recommendation 124, subparagraph (b), it was agreed that, to make it clear that reference was made to a security right created by a transferor of an independent undertaking, the text should be revised along the following lines:关于建议124(b)项,与会者一致认为,为了明确应提及独立保证的转让人所设定的担保权,应当对该建议作如下修订:
“The rights of a transferee of an independent undertaking are not affected by a security right in the right to receive the proceeds under the independent undertaking created by the transferor or any prior transferor.”“独立保证的受让人所享有的权利不受转让人或任何前手转让人所设定的独立保证下收益受付权上的担保权的影响。
Recalling that it had adopted the recommendations of chapter IX during the first part of its fortieth session (A/62/17 (Part I), para. 158), and subject to the above-mentioned change, the Commission adopted revised recommendations 114-127.” 62. 回顾其第四十届会议第一部分会议已通过第九章的建议(A/62/17 (Part I),第158段),委员会通过了修订后的建议114-127,但须作上述改动。
Commentary (A/CN.9/637/Add.3)评注(A/CN.9/637/Add.3)
Recalling that it had approved the substance of the commentary to chapter IX during the first part of its fortieth session (A/62/17 (Part I), para. 158), the Commission approved the substance of the revised commentary and requested the Secretariat to make any consequential changes to reflect the above-mentioned change in the recommendations.回顾其第四十届会议第一部分会议已核准第九章评注的实质内容(A/62/17 (Part I),第158段),委员会核准了修订后的评注的实质内容,并请秘书处考虑到上述对这些建议的改动。 随之作出相应的修改。
Chapter X (Enforcement of a security right)第十章(担保权的强制执行)
Recommendations (A/CN.9/637, recommendations 128-173)建议(A/CN.9/637,建议128-173)
Recalling that it had already adopted the recommendations of chapter X during the first part of its fortieth session (A/62/17 (Part I), para. 158), the Commission noted that some changes might be necessary in order to address issues that had arisen during the finalization of the commentaries after the close of the first part of the fortieth session.回顾其第四十届会议第一部分会议已经通过第十章的建议(A/62/17 (Part I),第158段),委员会指出,或许有必要作某些修订,以论及第四十届会议第一部分会议闭幕后审定评注期间出现的问题。
With regard to recommendation 137, it was agreed that the grantor should be entitled to exercise its right to pay the secured obligation not “until the disposition of the encumbered asset by the secured creditor” but until the earlier of either such disposition or the conclusion of an agreement of the secured creditor to dispose of the encumbered asset.关于建议137,与会者一致认为,设保人应当有权行使其偿付附担保债务的权利,但不是“在有担保债权人处分担保资产以前”行使,而是在处分担保资产之前或订立有担保债权人处分担保资产协议之前行使,以较先者为准。
It was also agreed that the same change should be made in recommendation 142.与会者还一致认为,应当对建议142作同样的修改。
With regard to recommendation 144, subparagraph (c), which addressed the secured creditor’s remedy of obtaining possession of an encumbered asset extrajudicially, the Commission agreed that reference should be made not only to the grantor but also to the person in possession of the asset, as the main purpose of the provision was to permit extrajudicial enforcement but without a breach of the peace or public order.关于建议144(c)项——论及有担保债权人以非司法手段取得担保资产占有权的救济办法,委员会一致认为,不仅应当提及设保人,而且还应提及占有该资产的人,因为这一条文的主要目的是允许非司法方式的强制执行,但不能破坏治安和公共秩序。
The suggestion was also made that a new subparagraph should be added to recommendation 144 to provide that the requirements of subparagraphs (a), (b) and (c) did not need to be met if the grantor affirmatively consented at the time the secured creditor sought to obtain possession of the encumbered asset extrajudicially.会上还提出在建议144中添加一个新项,规定: 如果在有担保债权人试图以非司法手段取得担保资产占有权时,设保人给予明确的同意,则无需满足(a)、(b)和(c)项的要求。
The Commission noted that, under recommendation 130, after default, the grantor and any other person owing performance of the secured obligation were entitled to waive their rights under the provisions on enforcement.委员会指出,根据建议130,在违约发生后,设保人和其他任何未履行附担保债务的人有权放弃关于强制执行的条文对其规定的权利。
It also noted that, if the suggested new subparagraph were added in recommendation 144, it could place in doubt the application of the rule contained in recommendation 130 in the case of other recommendations in which there was no explicit reference to waiver of rights and remedies.另外还指出,如果在建议144中添加所拟议的新项,那么在其他建议没有明确提及放弃权利和救济的情况下,就会对能否适用建议130中的规则产生疑问。
For those reasons, the Commission decided that a new subparagraph was not necessary, but that the matter could usefully be discussed in the commentary.出于这些考虑,委员会决定没有必要添加新项,而不如在评注中论述这一事项。
With regard to recommendation 148, subparagraph (c), it was agreed that, to ensure consistency with article 16, paragraph 1, of the United Nations Convention on the Assignment of Receivables in International Trade (2001), the text should be revised to ensure that it was sufficient if the notice to the grantor was in the language of the security agreement.关于建议148(c)项,委员会一致认为,为了确保与《联合国国际贸易中应收款转让公约》第16条第1款保持一致,该项应当加以修订,以确保用担保协议的语文向设保人发出通知即可完全满足要求。
With regard to the notice to other parties, it was widely felt that it should be in a language that was reasonably expected to be understood by its recipients.关于向其他当事人发出的通知,会上普遍认为,所使用的语文应当是按照合理的估计接受人能够看懂的语文。
With regard to recommendation 149, it was agreed that the bracketed text should be replaced with a new asset-specific recommendation along the following lines:关于建议149,委员会一致认为应将括号内的案文删除,然后按下面的写法加上一条关于特定资产的建议:
“The law should provide that, in the case of collection or other enforcement of a receivable, negotiable instrument or enforcement of a claim, the enforcing secured creditor must apply the net proceeds of its enforcement (after deducting costs of enforcement) to the secured obligation.“法律应当规定,如果收缴或以其他方式强制执行应收款或可转让票据,或者强制执行一项债权,作为强制执行方的有担保债权人必须将其(扣除强制执行费用之后的)强制执行净收益用于偿付附担保债务。
The enforcing secured creditor must pay any surplus remaining to the competing claimants that, prior to any distribution of the surplus, notified the enforcing secured creditor of the competing claimant’s claim, to the extent of that claim.作为强制执行方的有担保债权人必须按竞合求偿人债权的数额将余额付给竞合求偿人,后者则必须在分配余额之前将其债权要求通知给作为强制执行方的有担保债权人。
The balance remaining, if any, must be remitted to the grantor.”如果还有余额,则必须交还设保人。 ”
With regard to recommendation 152, it was agreed that the bracketed text should be deleted, because:关于建议152,委员会一致认为应删除括号内的案文,原因是:
it was superfluous in the light of recommendations 8 and 130, which provided for party autonomy; and (b) if that text were retained, a similar proviso would need to be added to all recommendations to which party autonomy would apply.(a)考虑到建议8和130对当事人意思自治已经作出规定,这段案文是多余的;(b)如果保留这段案文,还必须在适用当事人意思自治的各条建议中添加类似的附加条件。
With regard to recommendation 156, it was agreed that the commentary should explain that, once the grantor asked the secured creditor to make a proposal, the secured creditor had to notify all the parties listed in recommendation 154, including the grantor, who could object, as the grantor’s proposal did not need to be so specific as to make it impossible for the grantor to object to the specific terms of the secured creditor’s proposal.关于建议156,与会者一致认为,评注应当说明,一旦设保人请求有担保债权人提出建议,有担保债权人必须通知建议154中所列的所有当事人,包括设保人,这些人可以表示反对,因为设保人的提议无需很具体,从而使设保人不可能对有担保债权人的提议中的具体条件表示反对。
The Commission agreed that, to deal with the enforcement of a security right in an attachment to a movable asset, a new recommendation should be added along the following lines:委员会一致认为,为了处理动产附加物上担保权的强制执行问题,应当按下述写法添加一条新的建议:
“The law should provide that a secured creditor with a security right in an attachment to a movable asset is entitled to enforce its security right in the attachment.“法律应当规定,对动产附加物享有担保权的有担保债权人,有权强制执行其在附加物上的担保权。
A creditor with higher priority is entitled to take control of the enforcement process, as provided in recommendation 142.按照建议142的规定,排位较先的债权人有权控制强制执行过程。
A creditor with lower priority may pay off the obligation secured by the security right of the enforcing secured creditor in the attachment.排位较后的债权人可以偿清以强制执行方有担保债权人在附加物上的担保权作为担保的债务。
The enforcing secured creditor is liable for any damage to the movable asset caused by the act of removal other than any diminution in its value attributable solely to the absence of the attachment.”对于由于拆除附加物而给动产造成的任何损失,强制执行方有担保债权人负责赔偿,但完全由于附加物不复存在而造成的资产价值的任何减少除外。
With regard to recommendation 164, subparagraph (a), it was agreed that the text should refer not only to recommendation 128 (which provided the general standard of conduct in the context of enforcement) but also to recommendation 129 (which provided that that standard could not be waived unilaterally or varied by agreement).” 73. 关于建议164(a)项,委员会一致认为,该条建议不仅应提及建议128(规定了强制执行情况下的一般行为标准),而且还应提及建议129(规定这一标准既不能单方面放弃,也不能协议变更)。
With regard to recommendation 165, it was agreed that the recommendation should be revised to make it consistent with the definition of “assignment” in the terminology section and should refer to a receivable assigned “otherwise than by an outright transfer” rather than “by way of security”.关于建议165,与会者一致认为该建议应加以修订,使其与术语表部分“转让”的定义保持一致,并应提及将“以担保方式”转让应收款改为“以彻底转让方式以外的其他方式”转让应收款。
Recalling that it had adopted the recommendations of chapter X during the first part of its fortieth session (A/62/17 (Part I), para. 158), and subject to the changes mentioned above, the Commission adopted revised recommendations 128-173.回顾其第四十届会议第一部分会议已通过第十章的建议(A/62/17 (Part I),第158段),委员会通过了修订后的建议128-173,但须作上述改动。
Commentary (A/CN.9/637/Add.4)评注(A/CN.9/637/Add.4)
Recalling that it had approved the substance of the commentary to chapter X during the first part of its fortieth session (A/62/17 (Part I), para. 158), the Commission approved the substance of the revised commentary and requested the Secretariat to make any consequential changes in order to reflect the above-mentioned changes in the recommendations and the decisions taken by the Commission with respect to the commentary in the context of its discussion of the recommendations.回顾其第四十届会议第一部分会议已核准第十章评注的实质内容(A/62/17 (Part I),第158段),委员会核准了修订后的评注的实质内容,并请秘书处考虑到上述对这些建议的改动和委员会在讨论建议时就评注作出的各项决定,随之作出相应的修改。
Chapter XI (Acquisition financing)第十一章(购置款融资)
Recommendations (A/CN.9/637, recommendations 174-199)建议(A/CN.9/637,建议174-199)
Recalling that it had already adopted the recommendations of the chapter on acquisition financing rights (which was chapter XII in A/CN.9/631) during the first part of its fortieth session (A/62/17 (Part I), para. 158), the Commission noted that two alternatives were presented in recommendations 176 and 189 to implement the decision taken by the Commission during the first part of its fortieth session (A/62/17 (Part I), para. 63).回顾其第四十届会议第一部分会议已通过关于购置款融资权一章(在A/CN.9/631中为第十二章)的建议(A/62/17 (Part I),第158段),委员会指出,建议176和189载有落实委员会第四十届会议第一部分会议所作决定的两份备选案文(A/62/17 (Part I),第63段)。
It was also noted that, unlike alternative A, which drew a distinction between tangible assets other than inventory and inventory and provided different rules for those types of asset, alternative B did not draw such a distinction and provided the same rule for all tangible assets (namely that registration of a notice within a certain period of time after delivery of the tangible assets was sufficient).委员会还注意到,备选案文A对库存品以外的有形资产和库存品作了区分,并就这几类资产拟定了不同的规则,与此不同的是,备选案文B未作这类区分,对所有有形资产拟定了相同的规则(也就是说,在交付有形资产后的一段时期内办理通知登记即可)。
In addition, the Commission noted a suggestion by the Secretariat that the same approach might be followed with respect to acquisition security rights in proceeds, with the difference that the right in the proceeds would be a normal security right and not an acquisition security right.此外,委员会注意到,秘书处建议对收益上的购置款担保权不妨采取相同的做法,但区别在于,收益上的权利为普通担保权,而非购置款担保权。
Moreover, the Commission noted that recommendations 183 and 198 had been moved from the chapter on the impact of insolvency on a security right to the chapter on acquisition financing to avoid giving the impression that the characterization of acquisition financing transactions as security or ownership devices was a matter of insolvency law, a result that would run counter to the UNCITRAL Legislative Guide on Insolvency Law (see, for example, footnote 6 to recommendation 35 of that Guide, which is reproduced as footnote 41 of the draft UNCITRAL Legislative Guide on Secured Transactions contained in document A/CN.9/637).此外,委员会注意到,已将建议183和198从关于破产对担保权的影响的一章移至关于购置款融资的一章,以避免形成这样一种印象,即应当由破产法决定是否将购置款融资交易定性为担保或所有权手段,因为造成这种结果将会背离《贸易法委员会破产法立法指南》(例如见指南建议35脚注6,A/CN.9/637号文件所载《贸易法委员会担保交易指南》草案脚注41予以转载)。
It was also noted that a new recommendation should be added to provide that, if a seller failed to register within the prescribed time period a retention-of-title right in a tangible asset that became an attachment to immovable property, it should have a normal security right.委员会还称,应当补充一则新的建议,以规定,对成为不动产附加物的有形资产上的保留所有权权利,如果出卖人未在规定时期内办理登记,该权利只应享有普通担保权。
Furthermore, it was noted that the commentary would explain that it flowed from the concept of ownership that the right of a retention-of-title seller would have priority over an acquisition security right granted by the buyer.此外,委员会称,评注将解释,根据所有权的概念,保留所有权的出卖人所享有的权利将优先于买受人设定的购置款担保权。
With regard to recommendation 187, it was agreed that, to align it with recommendation 22, the text should be revised along the following lines:关于建议187,与会者一致认为,为使该建议与建议22保持一致,应当对该建议作如下修订:
“The law should provide that a buyer or lessee may create a security right in a tangible asset that is the object of a retention-of-title right or a financial lease right.“法律应当规定,买受人或承租人可以在已成为保留所有权权利或融资租赁权利标的的有形资产上设定担保权。
The maximum amount realizable from the security right is the asset’s value in excess of the amount owing to the seller or financial lessor.”该担保权所能变现的最高数额,是偿还对出卖人或融资租赁出租人的欠款后剩余的资产价值。
The Commission adopted revised recommendations 174-199 subject to the above-mentioned changes.” 80. 除须作上述改动外,委员会通过了修订后的建议174-199。
Commentary (A/CN.9/637/Add.5)评注(A/CN.9/637/Add.5)
Recalling that it had approved the substance of the commentary to the chapter on acquisition financing rights during the first part of its fortieth session (A/62/17 (Part I), para. 158), the Commission approved the substance of the revised commentary and requested the Secretariat to make any consequential changes to reflect the above-mentioned changes in the recommendations.回顾其第四十届会议第一部分会议已核准关于购置款融资一章评注的实质内容(A/62/17 (Part I),第158段),委员会核准了修订后的评注的实质内容,并请秘书处考虑到上述对建议的改动,随之作出相应的修改。
Chapter XII (Conflict of laws)第十二章(法律冲突)
Recommendations (A/CN.9/637, recommendations 200-224)建议(A/CN.9/637,建议200-224)
With regard to recommendation 202, it was agreed that the commentary should explain that a possible effect of the recommendation might be that lenders could not confidently lend against existing tangible assets without investigating both the history of the location of the assets and whether they constituted assets subject to specialized registration under the law of any State in which they were previously located or whether they might be the subject of a specialized registration in any other State.关于建议202,与会者一致认为,评注应说明该建议可能产生的一种结果是,不首先调查现有有形资产曾经位于何处,根据其原先所在地国的法律是否构成必须办理专门登记的资产,或者是否有可能在其他任何国家成为必须办理专门登记的资产,出贷人就不可能有把握地以这些资产为抵押发放贷款。
It was mentioned that the same point applied to title certificates.据指出,这一点也适用于产权证书。
It was also mentioned that recommendation 202 gave no guidance in cases of assets being registered in specialized registries in more than one State.还有与会者说,建议202并没有对资产在不止一个国家的专门登记处登记的情况提供指导。
With regard to recommendation 204, it was agreed that the text should be revised along the following lines:关于建议204,与会者一致认为应当对该建议作大致如下的修订:
“The law should provide that a security right in a tangible asset (other than a negotiable instrument or a negotiable document) in transit or to be exported from the State in which it is located at the time of the creation of the security right may be created and made effective against third parties under the law of the State of the location of the asset at the time of creation as provided in recommendation 200 or, provided that the asset reaches the State of its ultimate destination within [a short period of time to be specified] days after the time of creation of the security right, under the law of the State of its ultimate destination.”“法律应当规定,对于在途的有形资产或拟从设定担保权时的所在国出口的有形资产(可转让票据或可转让单证除外),可以按建议200的规定,根据设定担保权时该资产所在地国的法律设定担保权并使之取得对抗第三方的效力,或者在该资产在担保权设定后[指明一段短暂的期限]天内运抵最终目的地国的情况下,可根据最终目的地国的法律设定担保权并使之取得对抗第三人的效力。
With regard to recommendation 205, the concern was expressed by some member States that it might not provide an appropriate applicable law rule for a number of important practices, such as receivables arising under or from financial contracts that were not governed by netting agreements (and were not excluded from the scope of the draft Guide), receivables arising from insurance contracts and receivables assigned in the context of securitization transactions.” 84. 关于建议205,有成员国表示关切说,其中可能没有为若干重要的做法规定适当的适用法规则,这些做法包括不受净结算协议管辖(且未排除在指南草案范围之外)的金融合同所规定或产生的应收款、保险合同所产生的应收款,以及在证券化交易中转让的应收款。
It was stated that recommendation 205 could create problems for those practices, as:有与会者说,建议205可能会对上述做法造成问题,因为:
the place of the grantor’s central administration was not always easy to determine; (b) the grantor could change the place of its central administration; and (c) the debtor of the receivable could not be protected through application of the law of the grantor’s location.(a)设保人的中央行政管理所在地并不总是易于确定的;(b)设保人可能会变更其中央行政管理所在地;(c)适用设保人所在地的法律可能无法保护应收款债务人。
It was observed that certainty could be achieved through a rule that would provide that the applicable law would be the law governing the receivable, as the parties to that contract would always be familiar with the law governing the receivable (or the contract from which the receivable arose) and that law would meet their expectations.还有与会者说,要实现确定性,可以适用一条规则,规定适用法律为管辖应收款的法律,因为合同的各方当事人往往熟悉管辖应收款(或产生应收款的合同)的法律,而且该法律也会符合他们的期望。
In order to address that concern, several suggestions were made.为了解决这一令人关切的问题,会上提出了一些建议。
One suggestion was that recommendation 205 should be revised to provide more flexibility, indicating that there were other possible approaches (by the addition, for example, of the word “ordinarily” after the words “the law should”).一个建议是对建议205进行修订,以提高灵活性,表明还有其他可行的办法(例如在“法律应当”字样之后添加“通常”一词)。
Another suggestion was that the commentary should further explain the merits of an approach based on the law governing the receivable.另一项建议是评注也应当进一步解释以管辖应收款的法律为依据的办法的优点。
The concern was also expressed that the interrelationship among recommendations 45, 205 and 217 was not clear.还有与会者表示关切说,建议45、205和217之间的相互关系并不明确。
It was stated that, in particular in cases where an assignor made an assignment, changed the place of its central administration and then made another assignment, the draft Guide did not provide a clear solution as to what the law applicable to those assignments would be.有与会者说,特别是,如果转让人进行转让后变更了其中央行政管理所在地,然后进行了另一项转让,对于这种情形,指南草案没有对这些转让适用何种法律提供明确的解决办法。
It was noted that, under recommendation 217:有与会者指出,根据建议217:
the creation of the security right (the proprietary effects as between the parties) would be subject to the law of the grantor’s central administration at the time of the creation of the security right (so both assignments would be effective as between the parties); and (b) the third-party effectiveness and priority of the security right would be subject to the law of the grantor’s central administration at the time the issue arose (which would mean that the law of the new location of the grantor-assignor would govern third-party effectiveness and priority).(a)担保权的设定(在当事人之间的所有权效力)服从于该担保权设定时设保人中央行政管理所在地的法律(这样两项转让均在当事人之间有效);(b)该担保权的对抗第三人效力和优先权服从于问题发生时设保人中央行政管理所在地的法律(也就是说,第三人效力和优先权将由设保人/转让人新所在地的法律管辖)。
However, it was also noted that, under recommendation 45, a secured creditor (assignee) that met the requirements for third-party effectiveness in the first location of the grantor (assignor in the case of a receivable) would have a short period of time to make its security right effective against parties under the law of the new location of the grantor in order to maintain its third-party effectiveness and priority (so the first grantor-assignor would be protected).但还有与会者指出,根据建议45,在设保人(在应收款情形下为转让人)第一个所在地的有担保债权人(受让人)会有一段短暂的时间按照设保人新所在地的法律使其担保权取得对抗第三人的效力,以保持其对抗第三人效力和优先权(因而第一个设保人/转让人将得到保护)。
While some doubt was expressed as to whether that analysis provided a fully satisfactory solution to the problem of the change of the grantor’s location, it was widely felt that the commentary should include that useful analysis to clarify the interaction among recommendations 45, 205 and 217.有与会者怀疑上述分析是否对设保人变更所在地的问题提供了令人完全满意的解决办法,但与会者普遍认为,评述应当包含这一有用的分析,以表明建议45、205和217之间的相互作用。
Broad support was expressed for further elaboration in the commentary on the approach based on the law governing the receivable (separately from the approach based on the “location” of the receivables (lex situs)).与会者还普遍赞成在评注中进一步详细阐述(有别于依据应收款“所在地”(物所在地法)办法的)以管辖应收款的法律为依据的办法。
It was suggested that a starting point in that direction might be a text along the following lines:有与会者建议,作为这一方向的一个起点,可以列入行文如下的案文:
“Some States have a conflict-of-laws rule for intangibles that differs from the rule in recommendation 205.“一些国家对无形资产采用的法律冲突规则不同于建议205中的规则。
Those States contemplate capital market or other transactions and seek perhaps to establish greater certainty by looking not to the law of the grantor’s location but rather to the law governing the intangible.这些国家设想的是资本市场或其他交易,其中或许力求通过依据管辖无形资产的法律而非设保人所在地法律来实现较大的确定性。
The rule that looks to the law governing the intangible has the advantages of avoiding the risk of a subsequent change of location of the grantor and a single, stable conflict-of-laws rule for transactions involving successive assignments of intangibles among assignors located in different countries.以管辖无形资产的法律为准的规则有利于避免设保人随后变更所在地的风险,而且位于不同国家的转让人之间连续转让无形资产的交易都由一个单一而稳定的法律冲突规则管辖。
It is not as advantageous for financing practices involving the assignment of intangibles in bulk, as those practices may be governed by laws of multiple countries.对于可能受多个国家的法律管辖的无形资产大批转让融资,这项规则就不那么有利。
Moreover, it shifts the risk of a change of location of the grantor to the risk of a change in the law governing the intangible.此外,它将设保人所在地发生变化的风险转化为管辖无形资产的法律发生变化的风险。
” While it was agreed that that text was a good starting point, some concern was expressed for the last two sentences.”与会者一致认为上述案文是一个很好的起点,但有与会者对最后两句表示关切。
To address that concern, it was suggested that the last two sentences should be deleted or, at least, replaced with more neutral language.为处理这种关切,有与会者建议应当删除最后两句,或者至少代之以较中性的文字。
In response, it was noted that, in the conflict-of-laws chapter, the same approach should be followed as in all the chapters of the draft Guide, and thus the commentary of the conflict-of-laws chapter should discuss the various approaches setting out their advantages and disadvantages in a way that would ultimately explain the rationale of the recommendation adopted by the Commission.对此,有与会者答复说,在法律冲突一章中,所遵循的办法应当与指南草案所有章节的办法相同,因此法律冲突一章的评注应当对各种办法加以讨论,指明其利弊,从而最终解释委员会所通过的建议的依据。
However, the suggestion to revise recommendation 205 was objected to.然而,关于修订建议205的提议遭到反对。
It was stated that recommendation 205 had already been adopted by the Commission during the first part of its fortieth session (A/62/17 (Part I), para. 158).有与会者说,委员会在第四十届会议第一部分会议上已经通过了建议205(A/62/17 (Part I),第158段)。
It was observed that recommendation 205 was in line with the United Nations Assignment Convention, adopted relatively recently, in 2001, on the basis of a draft convention prepared by UNCITRAL.还有与会者指出,建议205符合最近在2001年根据贸易法委员会拟订的一项公约草案通过的《联合国转让公约》。
It was also said that all the arguments mentioned in the discussion of recommendation 205 had been considered at length in the process that had led to the preparation of the United Nations Assignment Convention and had been reconsidered during the preparation of the draft Guide.另据指出,在讨论建议205过程中谈到的所有论点均已在拟订该公约过程中得到详细审议,并在编拟指南草案过程中再次审议。
In addition, it was mentioned that, while the law governing the receivable could apply well to practices that involved one existing receivable, it could not provide certainty in the typical case in receivables financing of present and future receivables assigned in bulk, because, at the time of the assignment, parties could not determine the law applicable to matters such as third-party effectiveness and priority with respect to future receivables.此外,有与会者指出,虽然管辖应收款问题的法律能够很好地适用于一种现有应收款的做法,但在大批转让现有应收款和未来应收款的应收款融资典型情况下,该法律可能无法提供确定性,因为在转让时,当事人无法确定法律是否适用于未来应收款情形中的对抗第三人效力和优先权等事项。
Moreover, it was said that the law governing the receivable could not provide certainty in the case of insolvency of the grantor (assignor), which was the main risk in receivables financing, unless the assignor, the assignee and the debtor were located in the same country.此外,有与会者说,管辖应收款问题的法律在设保人(转让人)破产的情况下无法提供确定性,这是应收款融资方面存在的主要风险,除非转让人、受让人和债务人都在同一国家。
By contrast, it was stated, the law of the grantor’s location:相反,有与会者说,设保人所在地法律:
could be easily determined in most cases (even if, in some exceptional cases, there could be some doubt as to the location of the central administration of the grantor-assignor); and (b) more importantly, was likely to be the place in which the main insolvency proceeding with respect to the grantor would be opened, thus ensuring that the law governing priority and the law governing the ranking of claims in insolvency proceedings would be the law of one and the same jurisdiction.(a)在多数情况下(即使是对设保人/转让人的中央行政管理所在地可能存有疑问的某些特殊情况下)都能易于确定;(b)特别重要的是,很可能是对设保人启动主要破产程序的当地法律,从而确保管辖优先权问题的法律和管辖破产程序中债权顺序的法律是同一法域的法律。
After discussion, the Commission decided that recommendation 205 should not be reopened, although the commentary could further elaborate on the approach based on the law governing the receivable (as an approach distinct from the lex situs approach).委员会经讨论后决定不重新开启对建议205的审议,但可在评注中进一步阐述以管辖应收款问题的法律为依据的做法(一种不同于物在地法做法的做法)。
It was widely felt that, as was done in all commentaries, the commentary on that issue should discuss the approaches taken in the various legal systems, setting out their advantages and disadvantages in a way that would explain the reasons why, on balance, the Commission recommended the rule contained in recommendation 205.与会者广泛认为,正如在所有评注中所做的,关于这一问题的评注应当讨论各种法律制度中所采取的做法,指出其各自的利与弊并解释为什么委员会在权衡之后建议采用建议205中的规则。
It was agreed that the commentary should explain the interaction among recommendations 45, 205 and 217, in particular with a view to explaining how the problem of a change of the grantor’s location would be addressed under the draft Guide.与会者还一致认为,评注应当解释建议45、205和217之间的相互作用,特别应解释根据指南草案如何处理设保人所在地的变更问题。
With regard to recommendation 214, subparagraph (a), it was agreed that the reference to the law applicable to the relationship between the issuer of a negotiable document and the holder of a security right in the document should be deleted, in order to avoid any inconsistency with the approaches currently taken in the transport laws of different States and a draft convention on the carriage of goods [wholly or partly] [by sea] being prepared by UNCITRAL.关于建议214(a)项,与会者一致认为,提及可转让单证的签发人与该单证担保权持有人之间的关系的适用法律的内容应当删去,以避免同各个国家的运输法和贸易法委员会正在拟定的[全部或部分途程][海上]货物运输公约草案目前采取的办法发生矛盾。
With regard to recommendation 220, it was noted that it had been moved from chapter XIV (on the impact of insolvency on a security right) and had been revised in order to avoid inconsistencies with the UNCITRAL Legislative Guide on Insolvency Law.关于建议220,有与会者指出,该建议已经挪到第十四章(破产对担保权的影响),并经过修订,以避免同《贸易法委员会破产法立法指南》相矛盾。
The latter text, it was noted, addressed the law applicable to the validity and effectiveness of rights and claims in insolvency, and not the law applicable to the general priority or the enforcement of a security right.有与会者指出,后者论及的是破产中各项权利和债权有效性的适用法律,而不是担保权的一般优先权或强制执行的适用法律。
It was also noted that the commentary would:还有与会者指出,评注将:
explain that the first sentence of the recommendation introduced a conflict-of-laws rule that was both generally acceptable and in line with the UNCITRAL Legislative Guide on Insolvency Law (in that its second sentence preserved the application of the lex fori concursus); and (b) would cross-refer to the commentary to chapter XIV addressing the impact of insolvency on a security right.(a)解释该建议的第一句介绍的法律冲突规则不仅是得到普遍承认的,也是与《贸易法委员会破产法立法指南》相符合的(因为其中第二句保留了诉讼地法的适用);(b)相互参照关于破产对担保权的影响的第十四章的评注。
Recalling that it had adopted the recommendations of the chapter on private international law (which was chapter XIII in document A/CN.9/631) during the first part of its fortieth session (A/62/17 (Part I), para. 158), and subject to the changes mentioned above, the Commission adopted revised recommendations 200-224.回顾其第四十届会议第一部分会议已通过国际私法一章(在A/CN.9/631号文件中为第十三章)的建议(A/62/17 (Part I),第158段),委员会通过了修订后的建议200-224,但须作上述改动。
Commentary (A/CN.9/637/Add.6)评注(A/CN.9/637/Add.6)
Recalling that it had approved the substance of the commentary to the chapter on private international law during the first part of its fortieth session (A/62/17 (Part I), para. 158), the Commission approved the substance of the revised commentary and requested the Secretariat to make any consequential changes to reflect the above-mentioned changes in the recommendations and the decisions taken by the Commission with respect to the commentary in the context of its discussion of the recommendations.回顾其第四十届会议第一部分会议已核准国际私法一章评注的实质内容(A/62/17 (Part I),第158段),委员会核准了修订后的评注的实质内容,并请秘书处考虑到上述对建议的改动和委员会在讨论建议时就评注所作的决定,随之作出相应的修改。
Chapter XIII (Transition)第十三章(过渡)
Recommendations (A/CN.9/637, recommendations 225-231)建议(A/CN.9/637,建议225-231)
With regard to recommendation 226, it was agreed that the recommendation should not be changed but that the commentary should explain that a secured creditor that had initiated enforcement proceedings under the law in force before the effective date of the new law should have the option of continuing those proceedings under the old law or abandoning those proceedings and initiating proceedings under the new law.关于建议226,与会者一致认为,建议不应作任何改动,但评注应当解释,在新法律的生效日期前根据现行法律启动强制执行程序的有担保债权人应当有权选择是根据旧法律将程序进行下去,还是停止这些程序并根据新法律启动程序。
With regard to recommendation 231, it was agreed that the reference to “status” should be changed to “priority status” in order to clarify that recommendation 231 simply explained the meaning of the term “priority status” used in recommendation 230.关于建议231,与会者一致认为,提及“状况”的内容应改为“优先权状况”,从而澄清,建议231仅仅是解释建议230中使用的“优先权状况”这一术语的含义。
Recalling that it had adopted the recommendations of the chapter on transition (which was chapter XIV in document A/CN.9/631) during the first part of its fortieth session (A/62/17 (Part I), para. 158), and subject to the changes mentioned above, the Commission adopted revised recommendations 225-231.回顾其第四十届会议第一部分会议已通过过渡一章(在A/CN.9/631号文件中为第十四章)的建议(A/62/17 (Part I),第158段),委员会通过了修订后的建议225-231,但须作上述改动。
Commentary (A/CN.9/637/Add.7)评注(A/CN.9/637/Add.7)
Recalling that it had approved the substance of the commentary to the chapter on transition during the first part of its fortieth session (A/62/17 (Part I), para. 158), the Commission approved the substance of the revised commentary and requested the Secretariat to make any consequential changes to reflect the decisions taken by the Commission with respect to the commentary in the context of its discussion of the recommendations.回顾其第四十届会议第一部分会议已核准过渡一章评注的实质内容(A/62/17 (Part I),第158段),委员会核准了修订后的评注的实质内容,并请秘书处考虑到委员会在讨论建议时就评注所作的决定,随之作出相应的修改。
Chapter XIV (The impact of insolvency on a security right)第十四章(破产对担保权的影响)
Recommendations (A/CN.9/637, recommendations 232-239)建议(A/CN.9/637,建议232-239)
Recalling that it had adopted the definitions and recommendations of the chapter on insolvency (which was chapter XI in document A/CN.9/631) during the first part of its fortieth session (A/62/17 (Part I), para. 158), the Commission adopted the revised recommendations 232-239.回顾其第四十届会议第一部分会议已通过破产一章(在A/CN.9/631号文件中为第十一章)中的定义和建议(A/62/17 (Part I),第158段),委员会通过了修订后的建议232-239。
Commentary (A/CN.9/637/Add.8)评注(A/CN.9/637/Add.8)
Recalling that it had adopted the commentary to the chapter on insolvency during the first part of its fortieth session (A/62/17 (Part I), para. 158), the Commission approved the substance of the revised commentary to chapter XIV on the impact of insolvency on a security right.回顾其第四十届会议第一部分会议已通过破产一章的评注(A/62/17 (Part I),第158段),委员会核准了关于破产对担保权影响的第十四章的修订后评注的实质内容。
It also agreed that the commentary should explain that the term “financial contract” was defined in both the draft UNCITRAL Legislative Guide on Secured Transactions and the UNCITRAL Legislative Guide on Insolvency Law in accordance with article 5, subparagraph (k), of the United Nations Assignment Convention and that the note to the definition of the term in the draft Guide merely explained the definition.委员会还一致认为,评注应当解释,《贸易法委员会担保交易立法指南》草案和《贸易法委员会破产法立法指南》对“金融合同”这一术语的定义均与《联合国转让公约》第5条(k)项一致,指南草案中该术语定义的说明仅仅对这一定义作了解释。
Adoption of the UNCITRAL Legislative Guide on Secured Transactions通过贸易法委员会担保交易立法指南
At the close of its deliberations on the draft Guide, the Commission agreed that the Secretariat should be given a mandate to make the changes approved by the Commission, as well as any consequential editorial amendments, avoiding making changes where it was not clear whether a change was editorial or substantive.委员会在结束对指南草案的审议时商定应授权秘书处作出经委员会核准的修订和随之相应的编辑改动,但如果不清楚所作的改动是编辑性的还是实质性的改动,则应避免作出改动。
The Commission also agreed that the Secretariat should review the entire draft Guide with a view to removing any redundant material.委员会还商定由秘书处审查指南草案全文,以删除任何多余的资料。
100. At its 864th meeting, on 14 December 2007, the Commission adopted the following resolution:100. 在2007年12月14日第864次会议上,委员会通过了以下决议:
The United Nations Commission on International Trade Law,联合国国际贸易法委员会,
Recognizing the importance to all countries of efficient secured transactions regimes promoting access to secured credit,承认促进提供担保信贷的高效担保交易制度对各国都很重要,
Recognizing also that access to secured credit is likely to assist all countries, in particular developing countries and countries with economies in transition, in their economic development and in fighting poverty,还承认提供担保信贷可能有助于各国特别是发展中国家和经济转型国家发展经济,战胜贫困,
Noting that increased access to secured credit on the basis of modern and harmonized secured transactions regimes will demonstrably promote the movement of goods and services across national borders,注意到在统一的现代担保交易制度的基础上增加提供担保信贷,显然将促进货物和服务的跨国界流动,
Noting also that the development of international trade on the basis of equality and mutual benefit is an important element in promoting friendly relations among States,还注意到在平等互利的基础上发展国际贸易是促进各国间友好关系的一项重要内容,
Noting further the importance of balancing the interests of all stakeholders, including grantors of security rights, secured and unsecured creditors, retention-of-title sellers and financial lessors, privileged creditors and the insolvency representative in the grantor’s insolvency,又注意到必须兼顾所有利益方的利益,其中包括担保权设保人、有担保债权人、无担保债权人、保留所有权的出卖人、融资租赁出租人、优先债权人和设保人破产情况下的破产管理人等的利益,
Taking into account the need for reform in the field of secured transactions laws at both the national and international levels as demonstrated by the numerous national law reform efforts under way and the work of international organizations, such as the Hague Conference on Private International Law, the International Institute for the Unification of Private Law (Unidroit) and the Organization of American States, and of international financial institutions, such as the Asian Development Bank, the European Bank for Reconstruction and Development, the Inter-American Development Bank, the International Monetary Fund and the World Bank,考虑到需要在国家和国际各级对担保交易法进行改革,许多国家正在努力进行的改革和海牙国际私法会议、国际统一私法协会(统法协会)、美洲国家组织等国际组织以及亚洲开发银行、欧洲复兴和开发银行、美洲开发银行、国际货币基金组织和世界银行等国际金融机构的工作体现了这种需要,
Expressing its appreciation to international intergovernmental and non-governmental organizations active in the field of secured transactions law reform for their participation in and support for the development of the draft UNCITRAL Legislative Guide on Secured Transactions,感谢积极推行担保交易法改革的国际政府间组织和非政府组织参与并支持拟订《贸易法委员会担保交易立法指南》草案,
Expressing also its appreciation to Kathryn Sabo, Chairperson of Working Group VI (Security Interests) and the acting Chairperson at the resumed fortieth session of the Commission, as well as to the Secretariat, for their special contribution to the development of the draft UNCITRAL Legislative Guide on Secured Transactions,还感谢第六工作组(担保权益)主席兼委员会第四十届会议续会代理主席Kathryn Sabo以及秘书处对拟订《贸易法委员会担保交易立法指南》草案所作的特别贡献,
Noting with satisfaction that the draft UNCITRAL Legislative Guide on Secured Transactions is consistent with the UNCITRAL Legislative Guide on Insolvency Law with regard to the treatment of security rights in insolvency proceedings,满意地注意到《贸易法委员会担保交易立法指南》草案在破产程序中如何处理担保权的问题上与《贸易法委员会破产法立法指南》保持一致,
Adopts the UNCITRAL Legislative Guide on Secured Transactions, consisting of the text contained in documents A/CN.9/631/Add.1-3 and A/CN.9/637 and Add.1-8, with the amendments adopted by the Commission at its fortieth session, and authorizes the Secretariat to edit and finalize the text of the Guide pursuant to the deliberations of the Commission at that session;通过《贸易法委员会担保交易立法指南》,其中包括A/CN.9/631/ Add. 1-3和A/CN.9/637/Add.1-8号文件所载的案文、委员会第四十届会议通过的修订案,并授权秘书处根据委员会该届会议的审议情况编辑并审定立法指南的文本;
Requests the Secretary-General to disseminate broadly the text of the UNCITRAL Legislative Guide on Secured Transactions, transmitting it to Governments and other interested bodies, such as national and international financial institutions and chambers of commerce;请秘书长将立法指南的文本广为散发,转交政府和其他相关机构,例如国家与国际一级的金融机构和商会;
Recommends that all States utilize the UNCITRAL Legislative Guide on Secured Transactions to assess the economic efficiency of their secured transactions regimes and give favourable consideration to the Guide when revising or adopting legislation relevant to secured transactions, and invites States that have used the Guide to advise the Commission accordingly.建议各国利用《贸易法委员会担保交易立法指南》评判其担保交易制度的经济效率,在修订或通过担保交易相关法规时给予立法指南积极的考虑,并请已经使用立法指南的国家相应告知委员会。
Working methods of UNCITRAL四. 贸易法委员会的工作方法
101. The Commission recalled that, during the first part of its fortieth session, it had had before it observations and proposals made by France on the working methods of the Commission (A/CN.9/635) and had engaged in a preliminary exchange of views on those observations and proposals.101. 委员会回顾,其第四十届会议第一部分会议收到了法国关于委员会工作方法的意见和提议(A/CN.9/635),并就这些意见和提议交换了初步看法。
The Commission also recalled that, at that session, it had been agreed that the issue of working methods would be placed as a specific item on the agenda of the Commission at its resumed fortieth session (A/62/17 (Part I), para. 11).委员会还回顾,委员会在该届会议上商定将工作方法问题作为一项特定项目列入委员会第四十届会议续会的议程(A/62/17 (Part I),第11段)。
The Commission further recalled that, in order to facilitate informal consultations among all interested States, the Secretariat had been requested to prepare a compilation of procedural rules and practices established by UNCITRAL or by the General Assembly in its resolutions regarding the work of the Commission.委员会进一步回顾,为了便利各有关国家进行非正式协商,曾请秘书处编写一份由贸易法委员会或者大会在其关于委员会工作的决议中确定的议事规则和做法的汇编。
It was further recalled that the Secretariat had been requested to make the necessary arrangements, as resources permitted, for representatives of all interested States to meet on the day prior to the opening of the resumed fortieth session of the Commission and, if possible, during the resumed session (A/62/17 (Part I), paras. 234-241).委员会还回顾,已经请秘书处在自愿许可范围内作出必要的安排,以便使各有关国家的代表能够在委员会第四十届会议续会开幕前一天以及可能的话在续会期间举行会议(A/62/17 (Part I),第234-241段)。
102. At its resumed session, the Commission had before it, in addition to the observations and proposals made by France on the working methods of the Commission (A/CN.9/635), observations made by the United States of America on the same topic (A/CN.9/639) and, as requested, a note by the Secretariat on the rules of procedure and methods of work of the Commission (A/CN.9/638 and Add.1-6).102. 委员会第四十届会议续会除了收到法国关于委员会工作方法的意见和提议(A/CN.9/635)外,还收到了美利坚合众国关于同一问题的意见(A/CN.9/639)以及秘书处按照要求编写的关于委员会议事规则和工作方法的说明(A/CN.9/638和Add.1-6)。
The Commission noted that, in accordance with its request made during the first part of its fortieth session (see para. 101 above), the Secretariat had made arrangements for representatives of all interested States to meet prior to the opening of the resumed fortieth session in order to hold informal consultations on the rules of procedure and methods of work of the Commission.委员会注意到,秘书处已经根据委员会第四十届会议第一部分会议提出的要求(见上文第101段)作出了安排,以便使所有有关国家的代表能够在第四十届会议续会开幕前开会,就委员会的议事规则和工作方法问题进行非正式协商。
It was reported that the informal consultations were held among all interested States on 7 December 2007.据报告,所有有关国家在2007年12月7日举行了非正式协商。
103. It was recalled that the Commission, during the first part of its fortieth session, had decided to engage in a comprehensive review of its rules of procedure and methods of work (A/62/17 (Part I), para. 236), and that the General Assembly, in its resolution 62/64 of 6 December 2007, had welcomed that decision.103. 据回顾,委员会第四十届会议第一部分会议曾决定对其议事规则和工作方法进行全面的审查(A/62/17 (Part I),第236段),而大会在其2007年12月6日第62/64号决议中欢迎这项决定。
Delegations welcomed the opportunity to review the rules of procedure and methods of work of the Commission and expressed appreciation for the documents submitted to facilitate such a review.各代表团欢迎有机会审查委员会的议事规则和工作方法,并对为便利这种审查而提交的文件表示赞赏。
104. Several speakers expressed the view that the elaboration of new rules of procedure for UNCITRAL would not be necessary and that the Commission should continue applying the relevant rules of procedure of the General Assembly with the necessary flexibility, as dictated by the specific nature of the work of the Commission.104. 一些发言者表示拟订新的贸易法委员会议事规则并无必要,委员会应当继续适用大会的有关议事规则,但应根据委员会工作的特定性质具有必要的灵活性。
They pointed out in this regard that the existing flexible approach to the application and interpretation of the relevant rules had proved its effectiveness and contributed to the productivity and success of the Commission.在这方面它们指出,现行的在适用和解释有关规则方面采取灵活做法证明是行之有效的,有助于委员会的工作效率和取得成果。
Nevertheless, support was expressed for introducing more clarity in respect of the few issues where uncertainty might exist as to which rules of procedure and methods of work were applicable or where such rules might be applied diversely by the subsidiary organs of the Commission.但是,有与会者表示支持提高对某些问题的清晰度,因为对这些问题人们不能确定可以适用什么议事规则和工作方法,或者对这些问题委员会各附属机构可以以不同方式适用这些规则。
The competence of the Commission to determine its rules of procedures and methods of work was acknowledged.会上承认委员会享有确定其议事规则和工作方法的权限。
However, the Commission was urged to exercise utmost caution before entering areas, such as a possible definition of consensus, where its decisions might impact other bodies of the General Assembly.但是,有与会者促请委员会在决定着手处理可能如何定义协商一致等问题前必须谨慎行事,因为它的决定可能会影响到大会的其他机构。
105. Some speakers expressed the view that it would be premature to decide that the Commission did not need any specific rules of procedure or to make any conclusion as to the form in which future work on the topic might be undertaken, for example through guidelines for chairmen and other officers of working groups or a manual compiling best practices.105. 一些发言者表示,此时断定委员会不需要任何特定的议事规则,或者就今后关于这个议题的工作可以采取的形式,例如对各工作组主席和主席团其他成员的准则或最佳做法汇编手册等得出结论还为时尚早。
It was concluded that only at the end of the review of its rules of procedure and working methods would the Commission be able to decide on its future course of action on the topic.会上最后认为,只有在审查了它的议事规则和工作方法之后,委员会才能够就关于这个议题的今后行动方针作出决定。
106. The point was made that, in the course of that review, the Commission should continue reflecting on practical ways to facilitate the participation of representatives of developing countries and non-governmental organizations from those countries in the work of UNCITRAL, including in any preparatory work, in order to ensure that the legislation and practices of these countries were adequately taken into account.106. 有与会者提出,在这一审查过程中,委员会应当继续思考可以采取什么切实措施促进发展中国家的代表和来自这些国家的非政府组织参与贸易法委员会的工作,包括参与任何筹备工作,以便确保这些国家的立法和做法得到充分的考虑。
107. The Commission agreed that:107. 委员会商定:
any future review should be based on the previous deliberations on the subject in the Commission, the observations made by France (A/CN.9/635) and the United States (A/CN.9/639) and the note by the Secretariat (A/CN.9/638 and Add.1-6), which was considered to provide a particularly important historical overview of the establishment and evolution of UNCITRAL rules of procedure and methods of work; (b) the Secretariat should be entrusted with the preparation of a working document describing current practices of the Commission with the application of rules of procedure and methods of work, in particular as regards decision-making and the participation of non-State entities in the work of UNCITRAL, distilling the relevant information from its previous note (A/CN.9/638 and Add.1-6); the working document would serve as a basis for future formal and informal deliberations of the Commission on the matter, it being understood that, where appropriate, the Secretariat should indicate its observations on rules of procedure and methods of work for consideration by the Commission; (c) the Secretariat should circulate the working document to all States for comment and should compile any comments it might receive; (d) informal consultations among all interested States might be held, if possible, before the forty-first session of the Commission; and (e) the working document might be discussed as early as at the forty-first session of the Commission, time permitting.(a)今后的任何审查应当基于委员会先前对这个问题的审议、法国提出的意见(A/CN.9/635)和美国提出的意见(A/CN.9/639)以及秘书处的说明(A/CN.9/638和Add.1-6),据认为,后者对贸易法委员会议事规则和工作方法的制定和演变做了特别重要的历史回顾;(b)应当委托秘书处编写一份工作文件,借助其先前说明(A/CN.9/638和Add.1-6)中的有关资料,介绍委员会在适用议事规则和工作方法,特别是在作出决定以及非国家实体参加贸易法委员会工作方面的现行做法;该工作文件将作为委员会就该事项进行正式和非正式协商的基础,但有一项谅解,即秘书处应酌情就议事规则和工作方法提出它的意见供委员会审议;(c)秘书处应当将该工作文件分发给所有国家征求意见并应当汇编它可能收到的任何意见;(d)如可能,所有有关国家可以在委员会第四十一届会议之前举行非正式协商;(e)如时间允许,最早可以在委员会第四十一届会议上讨论该工作文件。
Dates of future meetings五. 今后会议的日期
108. The Commission recalled that, during the first part of its fortieth session (A/62/17 (Part I), para. 248), it had approved the holding of its forty-first session in New York from 16 June to 11 July 2008, subject to confirmation or possible shortening of the session, to be decided during its resumed fortieth session, in particular in the light of the progress of work in Working Group II (Arbitration and Conciliation) and Working Group III (Transport Law).108. 委员会回顾,委员会在其第四十届会议第一部分会议期间(A/62/17 (Part I),第248段)批准于2008年6月16日至7月11日在纽约举行第四十一届会议,但需得到确认并有可能缩短该届会议的会期,委员会将在其第四十届会议续会期间特别根据第二工作组(仲裁和调解)和第三工作组(运输法)的工作进度就此作出决定。
The Commission also recalled that, at that session, it had approved the schedule of meetings for its working groups, subject to possible review at its resumed fortieth session (A/62/17 (Part I), para. 251).委员会还回顾,委员会在该届会议上还核准了其各工作组的会议时间安排,但可能需在其第四十届会议续会上就此进行审查(A/62/17 (Part I),第251段)。
109. At its resumed fortieth session, the Commission decided to shorten the duration of its forty-first session by one week, the new dates of the session thus being from 16 June to 3 July 2008 (United Nations Headquarters in New York would be closed on Friday, 4 July 2008), and to reserve the first nine days of the session, from 16 to 26 June, for the finalization and adoption of a draft convention on the carriage of goods [wholly or partly] [by sea].109. 委员会在第四十届会议续会上决定将第四十一届会议的会期缩短一周,因此该届会议新的日期改为2008年6月16日至7月3日(2008年7月4日星期五,纽约联合国总部不办公),并预留该届会议的前九天(6月16日至26日)最后审定和通过[全程和部分途程][海上]货物运输公约草案。
The Commission confirmed the schedule of meetings for its working groups approved during the first part of its fortieth session (A/62/17 (Part I), para. 251).委员会还确认了在其第四十届会议第一部分会议期间批准的各工作组会议时间安排(A/62/17 (Part I),第251段)。
110. It was noted that decisions of the Commission regarding the duration of its sessions were to be made bearing in mind the amount of time needed for the completion of work on its agenda and the fact that lengthy sessions imposed a burden on some States.110. 据指出,委员会在就其各届会议的会期作出决定时将考虑到完成议程上的工作所需要的时间和会期过长将给某些国家造成的负担。
Other business六. 其他事务
111. The attention of the Commission was brought to General Assembly resolution 62/64 on the report of the United Nations Commission on International Trade Law on the work of its fortieth session, Assembly resolution 62/65 of 6 December 2007 on the fiftieth anniversary of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done at New York on 10 June 1958, and Assembly resolution 62/70 of 6 December 2007 on the rule of law at the national and international levels.111. 会议提请委员会注意大会关于联合国国际贸易法委员会第四十届会议工作报告的第62/64号决议、大会2007年12月6日关于1958年6月10日在纽约订立的《承认和执行外国仲裁裁决公约》五十周年的第62/65号决议以及大会2007年12月6日关于国家和国际各级法治问题的第62/70号决议。
112. The Commission took note of the resolutions and deferred their consideration to its forty-first session.112. 委员会注意到这些决议并把对这些决议的审议放到下一届会议。
The Commission noted that, by paragraph 3 of General Assembly resolution 62/70, the Assembly invited the Commission to comment, in its report to the Assembly, on the current role of the Commission in promoting the rule of law.委员会注意到,大会在第62/70号决议第3段中请委员会在其提交大会的报告中就委员会目前在促进法治问题上发挥的作用提出意见。
113. The Commission decided to include the item “Role of UNCITRAL in promoting the rule of law” in the agenda of its forty-first session and invited all States members of UNCITRAL and observers to exchange their views on the item at that session.113. 委员会决定将“贸易法委员会在促进法治方面的作用”这一项目列入其第四十一届会议议程,并请贸易法委员会所有成员国和观察员在该届会议上就这一议程项目交换看法。
Annex附件
List of documents before the Commission at its resumed fortieth session委员会第四十届会议续会收到的文件一览表
Symbol文号
Title or description标题或说明
A/62/17 (Part I)A/62/17 (Part I)
Report of the United Nations Commission on International Trade Law on the work of its fortieth session (Vienna, 25 June-12 July 2007)联合国国际贸易法委员会第四十届会议工作报告(2007年6月25日至7月12日,维也纳)
A/CN.9/617A/CN.9/617
Report of Working Group VI (Security Interests) on the work of its eleventh session (Vienna, 4-8 December 2006)第六工作组(担保权益)第十一届会议工作报告(2006年12月4至8日,维也纳)
A/CN.9/620A/CN.9/620
Report of Working Group VI (Security Interests) on the work of its twelfth session (New York, 12-16 February 2007)第六工作组(担保权益)第十二届会议工作报告(2007年2月12日至16日,纽约)
A/CN.9/631/Add.1-3A/CN.9/631/Add.1-3
Note by the Secretariat on the recommendations of the UNCITRAL draft Legislative Guide on Secured Transactions秘书处关于贸易法委员会担保交易立法指南草案的建议的说明
A/CN.9/635A/CN.9/635
Note by the Secretariat transmitting observations by France on the working methods of UNCITRAL秘书处转递法国关于贸易法委员会工作方法的意见的说明
A/CN.9/636A/CN.9/636
Provisional agenda, annotations thereto and scheduling of meetings of the resumed fortieth session第四十届会议续会临时议程、临时议程说明和会议日程安排
A/CN.9/637A/CN.9/637
Note by the Secretariat on the terminology and recommendations of the UNCITRAL draft Legislative Guide on Secured Transactions秘书处关于贸易法委员会担保交易立法指南草案的术语和建议的说明
A/CN.9/637/Add.1-8A/CN.9/637/Add.1-8
Note by the Secretariat on the draft legislative guide on secured transactions秘书处关于担保交易立法指南草案的说明
A/CN.9/638 and Add.1-6A/CN.9/638和Add.1-6
Note by the Secretariat on UNCITRAL rules of procedure and methods of work秘书处关于贸易法委员会议事规则和工作方法的说明
A/CN.9/639A/CN.9/639
Note by the Secretariat transmitting observations by the United States on UNCITRAL rules of procedure and methods of work秘书处转递美国关于贸易法委员会议事规则和工作方法的意见的说明
The present document is an advance version of the report of the United Nations Commission on International Trade Law on the work of its resumed fortieth session, held in Vienna from 10 to 14 December 2007.本文件是2007年12月10日至14日在维也纳举行的联合国国际贸易法委员会第四十届会议续会工作报告的预发稿。
It will appear in final form, together with the report on the work of the first part of the fortieth session, held in Vienna from 25 June to 12 July 2007, as Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17).本文件最后将与2007年6月25日至7月12日在维也纳举行的第四十届会议第一部分会议的工作报告一并作为《大会正式记录,第六十二届会议,补编第17号》(A/62/17)印发。
1 Pursuant to General Assembly resolution 2205 (XXI), the members of the Commission are elected for a term of six years.1 根据大会第2205 (XXI)号决议,委员会成员经选举产生,任期六年。
Of the current membership, 30 were elected by the Assembly at its fifty-eighth session, on 17 November 2003 (decision 58/407), and 30 were elected by the Assembly at its sixty-first session, on 22 May 2007 (decision 61/417).在现任成员中,30国由大会第五十八届会议于2003年11月17日选出(第58/407号决定),30国由大会第六十一届会议于2007年5月22日选出(第61/417号决定)。
By its resolution 31/99, the Assembly altered the dates of commencement and termination of membership by deciding that members would take office at the beginning of the first day of the regular annual session of the Commission immediately following their election and that their terms of office would expire on the last day prior to the opening of the seventh regular annual session following their election.大会在其第31/99号决议中改变了成员资格的开始和终止日期,决定所有当选的成员国应从它们当选后紧接着召开的委员会年度常会开始的第一天起就职,其任期应于它们当选后委员会第七届年度常会开幕前的最后一天届满。
2 General Assembly resolution 56/81, annex.2 大会第56/81号决议,附件。
3 See in A/CN.9/637, the notes in recommendations 182 and 196.3 见A/CN.9/637,建议182和196之后的说明。
4 United Nations publication, Sales No.4 联合国出版物,出售品编号:
E.05.V.10.E.05.V.10。
5 See in A/CN.9/637/Add.5, the note in para. 182.5 见A/CN.9/637/Add.5,第182段说明。
6 See in A/CN.9/637/Add.5, the note in para. 178.6 见A/CN.9/637/Add.5,第178段说明。
7 See A/CN.9/637, para. 6, note to the definition of “financial contract”.7 见A/CN.9/637,第6段,“金融合同”定义的脚注。
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A/62/17 (Part II)A/62/17 (Part II)
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