A_62_17 (PART I)_EC
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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 fortieth session联合国国际贸易法委员会第四十届会议工作报告
Vienna, 25 June-12 July 20072007年6月25日至7月12日,维也纳
[Original: English][原件:英文]
[23 July 2007][2007年7月23日]
Contents目录
Paragraphs段次
Page页次
1. Introduction1. 导言
1-21-2
44
2. Organization of the session2. 会议的组织
3-133-13
44
A. Opening of the sessionA. 会议开幕
33
44
B. Membership and attendanceB. 成员和出席情况
4-84-8
44
C. Election of officersC. 选举主席团成员
99
65
D. AgendaD. 议程
10-1110-11
66
E. Establishment of the Committee of the WholeE. 设立全体委员会
1212
77
F. Adoption of the reportF. 通过报告
1313
77
1. Adoption of the draft UNCITRAL Legislative Guide on Secured Transactions and possible future work3. 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
14-16214-162
77
A. Adoption of the draft UNCITRAL Legislative Guide on Secured TransactionsA. 通过贸易法委员会担保交易立法指南草案
14-15414-154
77
B. Possible future work on security rights in intellectual propertyB. 今后在知识产权上担保权方面可以开展的工作
155-157155-157
3833
C. Decisions by the Commission with respect to agenda item 4C. 贸委会有关议程项目4的决定
158-162158-162
3934
1. Procurement: progress report of Working Group I4. 采购:第一工作组进度报告
163-170163-170
4035
2. Arbitration and conciliation: progress report of Working Group II5. 仲裁和调解:第二工作组的进度报告
171-178171-178
4136
3. Transport law: progress report of Working Group III6. 运输法:第三工作组进度报告
179-184179-184
4337
4. Insolvency law7. 破产法
185-191185-191
4539
A. Progress report of Working Group VA. 第五工作组进度报告
185-189185-189
4539
B. Facilitation of cooperation and coordination in cross-border insolvency proceedingsB. 促进跨国界破产程序中的合作和协调
190-191190-191
4640
1. Possible future work in the area of electronic commerce8. 今后可能在电子商务领域开展的工作
192-195192-195
4640
2. Possible future work in the area of commercial fraud9. 今后在商业欺诈领域可能开展的工作
196-203196-203
4741
A. BackgroundA. 背景情况
196-198196-198
4741
B. Work on indicators of commercial fraudB. 商业欺诈指标的工作
199-200199-200
4942
C. Collaboration with the United Nations Office on Drugs and Crime with respect to commercial and economic fraudC. 在商业和经济欺诈问题上与毒品和犯罪问题办公室的合作
201-203201-203
5043
1. Monitoring implementation of the New York Convention10. 监测《纽约公约》的执行情况
204-208204-208
5144
2. Endorsement of texts of other organizations: Unidroit Principles of International Commercial Contracts 200411. 核可其他组织的文本:统法协会2004年《国际商事合同通则》
209-218209-218
5245
3. Technical assistance to law reform12. 对法律改革的技术援助
214-222214-222
5446
A. Technical cooperation and assistance activitiesA. 技术合作与援助活动
214-217214-217
5446
B. Technical assistance resourcesB. 技术援助资源
218-222218-222
5547
1.13. 贸易法委员会法规的现状和促进
Status and promotion of UNCITRAL legal texts
223-225223-225
5547
2. Coordination and cooperation14. 协调与合作
226-228226-228
5749
A. GeneralA. 概论
226-227226-227
5749
B. Reports of other international organizationsB. 其他国际组织的报告
228228
57 1.49
Willem C. Vis International Commercial Arbitration Moot competition15. Willem C. Vis国际商事仲裁模拟辩论赛
229229
5850
2. Relevant General Assembly resolutions16. 大会有关决议
230-233230-233
5951
3.17. 其他事项
Other business
234-244234-244
6051
A. Observations and proposals by France on the methods of work of the CommissionA. 法国有关贸委会工作方法的意见和提议
234-241234-241
6051
B. Internship programmeB. 实习方案
242242
6253
C. Evaluation of the role of the Secretariat in facilitating the work of the CommissionC. 评价秘书处在促进贸委会工作上所发挥的作用
243243
6353
D. BibliographyD. 文献目录
244244
6354
1. Congress 200718. 2007年大会
245-246245-246
6354
2. Date and place of future meetings19. 今后会议的日期和地点
247-252247-252
6454
A. Dates of the resumed fortieth sessionA. 第四十届会议续会的日期
247247
6454
B. Forty-first session of the CommissionB. 贸委会第四十一届会议
248248
6454
C. Sessions of working groups up to the forty-first session of the CommissionC. 各工作组在贸委会第四十一届会议之前的届会
249-251249-251
6454
D. Sessions of working groups in 2008 after the forty-first session of the CommissionD. 各工作组2008年在贸委会第四十一届会议之后的届会
252252
6555
Annex附件
List of documents before the Commission at its fortieth session贸委会第四十届会议收到的文件一览表
6657
I. Introduction一. 导言
1.
The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the first part of the fortieth session of the Commission, held in Vienna from 25 June to 12 July 2007 (see para. 3 below for the decision of the Commission to hold its fortieth session in two parts).1. 联合国国际贸易法委员会(贸易法委员会)的本篇报告概述贸委会于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情况。 (有关贸委会分两部分举行第四十届会议的决定,见下文第3段)。
2. 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.2. 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。
II. Organization of the session二. 会议的组织
A. Opening of the sessionA. 会议开幕
3. The fortieth session of the Commission was opened on 25 June 2007.3. 贸委会第四十届会议于2007年6月25日开幕。
At its 837th meeting, on 25 June, the Commission agreed that its fortieth session would be held in two parts.贸委会在其6月25日第837次会议上商定,其第四十届会议将分两部分会议举行。
For the agenda and dates of the resumed session, see paragraphs 11 and 247 below.关于该届会议第一部分会议的议程和会期,见下文第11段和第247段。
B. Membership and attendanceB. 成员和出席情况
4. The General Assembly, in its resolution 2205 (XXI), established the Commission with a membership of 29 States, elected by the Assembly.4. 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)号决议中将贸委会的成员从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号决议中将贸委会的成员从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: 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).下列国家是分别于2003年11月17日和2007年5月22日选出的贸委会现任成员,任期于所示年份的贸委会年度届会开始前的最后一天届满: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)。
5. With the exception of Benin, Chile, Ecuador, Fiji, Gabon, Guatemala, Israel, Madagascar, Malta, Mongolia, Namibia, Senegal, Sri Lanka and Zimbabwe, all the members of the Commission were represented at the first part of the session.5. 除贝宁、智利、厄瓜多尔、斐济、加蓬、危地马拉、以色列、马达加斯加、马耳他、蒙古、纳米比亚、塞内加尔、斯里兰卡和津巴布韦之外,贸委会所有成员都派代表出席了本届会议的第一期会议。
6.
The first part of the session was attended by observers from the following States: Argentina, Azerbaijan, Belgium, Brazil, Cuba, Democratic Republic of the Congo, Dominican Republic, Finland, Hungary, Indonesia, Iraq, Jordan, Kuwait, Libyan Arab Jamahiriya, Panama, Peru, Philippines, Portugal, Qatar, Romania, Slovakia, Tunisia, Turkey, United Republic of Tanzania and Yemen.6. 派观察员出席本届会议第一期会议的有下列国家:阿根廷、阿塞拜疆、比利时、巴西、古巴、刚果民主共和国、多米尼加共和国、芬兰、匈牙利、印度尼西亚、伊拉克、约旦、科威特、阿拉伯利比亚民众国、巴拿马、秘鲁、菲律宾、葡萄牙、卡塔尔、罗马尼亚、斯洛伐克、突尼斯、土耳其、坦桑尼亚联合共和国和也门。
7. The first part of the session was also attended by observers from the following international organizations:7. 下列国际组织也派观察员出席了本届会议的第一期会议:
(a) United Nations system: Economic and Social Commission for Western Asia and World Intellectual Property Organization;(a) 联合国系统:西亚经济及社会委员会和世界知识产权组织;
(b) Intergovernmental organizations: European Community and International Institute for the Unification of Private Law;(b) 政府间组织:欧盟委员会和国际统一私法协会;
(c) Non-governmental organizations invited by the Commission: American Bar Association, American Intellectual Property Law Association, Association française des entreprises privées, Association of Commercial Television in Europe, Association of European Trade Mark Owners, Commercial Finance Association, European Association of Insurance Companies, European Law Students’ Association, Federation of European Factoring Associations, Independent Film and Television Alliance, International Bar Association, International Chamber of Commerce, International Swaps and Derivatives Association and International Trademark Association.(c) 贸委会邀请的非政府组织:美国律师协会、美国知识产权法律协会、法国私营企业协会、欧洲商业电视协会、欧洲商标所有人协会、商业金融协会、欧洲保理协会、欧洲保险公司协会、欧洲法学学生协会、独立电影和电视联盟、国际律师协会、国际商会、国际掉期及衍生工具协会和国际商标协会。
8. The Commission welcomed the participation of international non-governmental organizations with expertise in the major items on the agenda.8. 贸委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贸委会拟定的案文的质量至关重要,贸委会请秘书处继续邀请这类组织参加其届会。
C. Election of officersC. 选举主席团成员
9. The Commission elected the following officers:9. 贸委会选出了下列主席团成员:
Chairperson: Dobrosav Mitrović (Serbia)主席: Dobrosav Mitrović(塞尔维亚)
Vice-Chairpersons: Biu Adamu Audu (Nigeria)副主席:Biu Adamu Audu(尼日利亚)
Horacio Bazoberry (Bolivia)Horacio Bazoberry(玻利维亚)
Kathryn Sabo (Canada)Kathryn Sabo(加拿大)
Rapporteur: T. K. Viswanathan (India)报告员:T. K. Viswanathan(印度)
D. AgendaD. 议程
10. The agenda of the first part of the session, as adopted by the Commission at its 837th meeting, on 25 June 2007, was as follows:10. 贸委会于2007年6月25日在第837次会议上通过的会议议程如下:
1. Opening of the session.1. 会议开幕。
2. Election of officers.2. 选举主席团成员。
3. Adoption of the agenda.3. 通过议程。
4. Adoption of a draft UNCITRAL legislative guide on secured transactions and possible future work.4. 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。
5. Procurement: progress report of Working Group I.5. 采购:第一工作组进度报告。
6. Arbitration and conciliation: progress report of Working Group II.6. 仲裁和调解:第二工作组进度报告。
7. Transport law: progress report of Working Group III.7. 运输法:第三工作组进度报告。
8. Insolvency law: progress report of Working Group V.8. 破产法:第五工作组进度报告。
9. Possible future work in the area of electronic commerce.9. 今后可能在电子商务领域进行的工作。
10. Possible future work in the area of commercial fraud.10. 今后可能在商业欺诈问题上进行的工作。
11. Monitoring implementation of the 1958 New York Convention.11. 监测1958年《纽约公约》的执行情况。
12. Endorsement of texts of other organizations: Unidroit Principles of International Commercial Contracts 2004.12. 核可其他组织的案文:统法协会2004年国际商事合同通则。
13. Technical assistance to law reform.13. 法律改革技术援助。
14. Status and promotion of UNCITRAL legal texts.14. 贸易法委员会各项法规的现状和推广。
15. Coordination and cooperation:15. 协调与合作:
(a) General;(a) 一般情况;
(b) Reports of other international organizations.(b) 其他国际组织的报告。
16. Willem C. Vis International Commercial Arbitration Moot competition.16. Willem C. Vis国际商事仲裁模拟案件辩论赛。
17. Relevant General Assembly resolutions.17. 大会的有关决议。
18. Other business.18. 其他事项。
19. Date and place of future meetings.19. 今后会议的日期和地点。
20. Adoption of the report of the Commission.20. 通过贸委会的报告。
21. Congress 2007.21. 2007年大会
11. At its 852nd meeting, on 4 July, the Commission agreed that the agenda of the resumed fortieth session would include agenda item 4 and a separate agenda item entitled “Working methods of UNCITRAL”.11. 在其7月4日第852次会议上,贸委会商定,第四十届会议续会的议程将列入议程项目4和题为“贸易法委员会工作方法”的单独议程项目。
During the resumed session, the Commission would also adjust dates of future meetings, as appropriate.在该届会议续会期间,贸委会还将酌情调整未来会议的会期。
(For the dates of future meetings considered by the Commission at the first part of its fortieth session, see paras. 247-252 below.)(关于贸委会第四十届会议第一部分会议所审议的未来会议的会期,见下文第247-252段。 )
E. Establishment of the Committee of the WholeE. 设立全体委员会
12. The Commission established a Committee of the Whole and referred to it for consideration agenda item 4.12. 贸委会设立了一个全体委员会,由其负责审议议程项目4。
The Commission elected Kathryn Sabo (Canada) Chairperson of the Committee.贸委会选出Kathryn Sabo(加拿大)任全委会主席。
The Committee met from 25 June to 2 July 2007 and held 12 meetings.全委会于2007年6月25日至7月2日举行了会议,共举行了12次会议。
At its 849th meeting, on 3 July, the Commission considered the report of the Committee of the Whole and agreed to include it in the present report.在其2007年7月3日第849次会议上,贸委会审议了全体委员会的报告并商定将其列入本报告。
(The report of the Committee of the Whole is reproduced in paragraphs 14‑157 below.)(全体委员会的报告转载于下文第14-157段。 )
F. Adoption of the reportF. 通过报告
13. At its 853rd and 854th meetings, on 6 July 2007, the Commission adopted the present report by consensus.13. 贸委会在其2007年7月6日第853和854次会议上以协商一致方式通过了本报告。
III. Adoption of the draft UNCITRAL Legislative Guide on Secured Transactions and possible future work三. 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
A. Adoption of the draft UNCITRAL Legislative Guide on Secured TransactionsA. 通过贸易法委员会担保交易立法指南草案
14.14. 全委会(见上文第12段)收到了一整套贸易法委员会担保交易立法指南草案(经修订的建议和评注。
The Committee (see para. 12 above) had before it a complete set of revised recommendations and revised commentaries on the draft UNCITRAL Legislative Guide on Secured Transactions (A/CN.9/631 and Add.1-11) and the reports of the eleventh (Vienna, 4‑8 December 2006) and twelfth (New York, 12‑16 February 2007) sessions of Working Group VI (Security Interests) (A/CN.9/617 and A/CN.9/620, respectively). It also had before it a note by the Secretariat transmitting comments of the European Community and its member States on the draft Guide (A/CN.9/633).(A/CN.9/631和Add.1-11)以及第六工作组(担保权益)第十一届会议(2006年12月4日至8日,维也纳)和第十二届会议(2007年2月12日至16日,纽约)的报告(分别为A/CN.9/617和A/CN.9/ 620),——全委会还收到了秘书处转递欧洲共同体及其会员国有关指南草案的意见的说明(A/CN.9/633)。
The Committee established a drafting group and referred to it the terminology of the draft Guide (A/CN.9/631/Add.1, para. 19).全委会设立了一个起草组,由其负责指南草案的术语部分(A/CN.9/631/Add.1,第19段)。
The Committee expressed its great appreciation to the Secretariat for its work in preparing the documents for the session.全委会高度赞赏秘书处有关本届会议文件的起草工作。
15.
The Committee noted that, in view of the need to conclude consultations and make subsequent amendments in the revised commentaries following the conclusion of the twelfth session of the Working Group, some documents had been submitted late and were not available in all language versions at the beginning of the session (specifically A/CN.9/631/Add.1-3, dealing with chapters I-VI).15. 全委会注意到,由于需要在工作组第十二届会议结束后完成协商并对经修订的评注作出相应的修改,导致有些文件迟交,因此无法在本届会议开始之初提供这些文件所有语文文本(特别是第一至六章的A/CN.9/631/Add.1至3)。
The Committee therefore decided to begin its consideration of the draft Guide with chapter VII, which dealt with the priority of a security right as against the rights of competing claimants.因此,全委会决定从述及担保权相对于竞合求偿人权利的优先权的第七章开始审议指南草案。
1. Chapter VII. Priority of a security right as against the rights of competing claimants1. 第七章. 担保权相对于竞合求偿人权利的优先权
(a) Recommendations (A/CN.9/631, recommendations 74-107)(a) 建议(A/CN.631,建议74-107)
16. With regard to recommendation 84, the Committee noted that it was intended to address the question whether a transferee of an encumbered asset took the asset free of a security right that had been made effective against third parties by registration in a specialized registry or by notation on a title certificate.16. 关于建议84,全委会注意到该建议是为了处理下述问题:担保资产受让人是否取得资产而不附带已通过在专门登记处登记或在产权证上加注而取得对抗第三方效力的担保权。
While some doubt was expressed as to whether that question should be addressed in recommendation 85 or not at all in the draft Guide, there was sufficient support for the retention of recommendation 84.虽然有与会者对是应在建议85中处理这一问题,还是根本不应在指南草案中对其加以处理表示怀疑,但保留建议84的意见获得了充分支持。
However, the concern was expressed that it failed to address the transfer of rights other than security rights.不过,有与会者对该建议没有涉及担保权以外其他权利的转让表示关切。
In order to address that concern, it was suggested that, following the formulation of recommendation 85 or 93, reference should be made to the transfer of a “right in an encumbered asset” (not of “a security right”) and to “a security right” in that asset (not “the security right”).为了消除这种关切,有与会者建议,应当根据建议85或93的措词,提及“担保资产上权利”(而不是“担保权”)的转让,并提及该资产上的“担保权”(而不是“该担保权”)。
That suggestion received sufficient support.
17. Noting that a security right registered before it was created was not effective against third parties and that, as a result, no issue of priority arose, the Committee decided to delete recommendation 86, subparagraph (b) (ii).17. 全委会注意到在设定之前登记的担保权不具有对抗第三方的效力并因而不会产生优先权问题,因此决定删除建议86 (b) (ii)项。
18. With respect to recommendation 87, subparagraph (a), the concern was expressed that the reference to “inventory or consumer goods” might be confusing, since the same tangible assets could be inventory for the seller and consumer goods for the buyer.18. 关于建议87 (a)项,有与会者对“库存品或消费品”的提法可能会产生混淆表示关切,因为同一有形资产对出卖人而言可能是库存品,对买受人而言则可能是消费品。
In order to address that concern, it was suggested that the reference to consumer goods should be deleted.为了消除这种关切,有与会者建议,应当删除提及消费品的提法。
While the view was expressed that, in a sale from a consumer to a consumer of assets encumbered by a security right created by the seller, the buyer should take the assets free of the security right, there was sufficient support for the suggestion to delete the reference to “consumer goods”.虽然有与会者认为,在一名消费者向另一名消费者出售以出卖人设定的担保权作保的资产时,买受人应取得资产而不附带该担保权,但关于删除“消费品”的建议获得了充分支持。
It was stated that a rule providing that a consumer buying an encumbered asset outside the ordinary course of business of the seller would take the asset free of an existing security right could interfere with existing financing transactions involving assets of high value.据指出,规定在出售人的正常经营范围之外购买担保资产的消费者将取得该资产而不附带现有的担保权,这样一项规则会妨碍涉及价值较高的资产的现有融资交易。
19.
In addition, with respect to recommendation 87, subparagraphs (a) and (b), it was observed that, as long as reference was made to sales and leases in the ordinary course of business, a reference to the type of asset involved was not necessary and, thus, reference to “tangible property other than negotiable instruments and negotiable documents” (as “tangible property” was defined to include negotiable instruments and negotiable documents (A/CN.9/631/Add.1, para. 19)) would be sufficient.19. 此外,关于建议87 (a)和(b)项,有与会者指出,只要提及了正常经营过程中的出售和租赁,则没有必要再提及所涉的资产类型,“可转让票据和可转让单证以外的有形财产”这种提法(因为按照其定义,“有形财产”包括可转让票据和可转让单证,(A/CN.631/Add.1,第19段))即已足够。
20. With respect to recommendation 99, the view was expressed that it was ambiguous in its application to securities.20. 关于建议99,有与会者认为,该建议在是否适用于证券方面模糊不清。
In addition, the view was expressed that the fact that the draft Guide addressed security rights in letters of credit and rights to payment of funds credited to a bank account but not in derivatives raised some concern with respect to the rules applying to financial contracts.此外,还有与会者认为,指南草案述及了信用证和银行账户贷记款受付权上的担保权,却没有述及衍生工具上的担保权,这引起了对适用于金融合同的各项规则的关切。
The Committee decided to defer discussion of those issues until it had had the opportunity to consider the application of the draft Guide as a whole to securities and financial contracts (see paras. 145-151 below).全委会决定将这些问题的讨论推迟到有机会审议整个指南草案对证券和金融合同的适用问题时进行。
21. With respect to recommendations 101 and 102, the concern was expressed that they did not sufficiently clarify that priority could be modified by agreement between competing claimants.21. 关于建议101和102,有与会者对这两项建议没有充分说明可通过竞合债权人之间的约定修改优先顺序表示关切。
In order to address that concern, it was suggested that wording along the lines of “unless otherwise agreed” should be added to those recommendations.为了消除这种关切,有与会者建议应在这些建议中增加内容大致如“除非另有约定”的措词。
That suggestion was objected to.这一建议遭到了反对。
It was stated that recommendation 77 was sufficient to clarify that priority could be modified by agreement between competing claimants.据指出,建议77已足以说明可通过竞合债权人之间的约定修改优先顺序。
It was also observed that the addition of the suggested wording could cast doubt as to whether other priority rules were subject to a contrary agreement between competing claimants.另据指出,增加所建议的措词可能会在其他优先权规则是否需服从竞合债权人之间的相反约定方面产生疑问。
22. Some doubt was expressed as to whether recommendation 107 was necessary.22. 有与会者对建议107是否必要表示怀疑。
It was stated that recommendation 106 was sufficient to give priority to rights acquired through due negotiation of a negotiable document under the law governing negotiable documents.据指出,建议106已足以赋予通过根据管辖可转让单证的法律正当转让可转让单证而取得的权利以优先权。
However, the Committee agreed that recommendation 107 was necessary in that it went further and dealt with rights acquired without due negotiation of a negotiable document.但全委会一致认为建议107是有必要的,因为该建议进一步述及了未经正当转让可转让单证而取得的权利。
23. With respect to the formulation of recommendation 107, general support was expressed in favour of an alternative formulation. Under that formulation the right of a secured creditor, buyer or other transferee of a negotiable document that took possession of the negotiable document would have priority over a security right in the goods covered by the negotiable document, as long as the goods were covered by the document and the secured creditor, buyer or other transferee gave value in good faith and without knowledge that the transfer was in violation of the security right in the goods.23. 关于建议107的措词,与会者普遍支持采用替代措词,根据该措词,占有可转让单证的该单证有担保债权人、买受人或其他受让人的权利优先于可转让单证所涵盖货物上的担保权,条件是货物为该单证所涵盖,并且有担保债权人、买受人或其他受让人善意地付出了对价,并且不知悉该项转让行为侵害了货物上的担保权。
24. However, at the same time, several concerns were expressed with respect to that alternative formulation of recommendation 107.24. 但是,与此同时,有与会者对建议107的替代措词表达了一些关切。
One concern was that it might inadvertently result in defeating a security right in a situation where a grantor, having created a security right in inventory in favour of secured creditor A, placed the inventory in a warehouse, had a warehouse receipt issued and obtained new financing by transferring possession of the warehouse receipt to secured creditor B. In order to address that concern, the suggestion was made that reference should be made to a secured creditor, buyer or other transferee of a negotiable document taking possession of the document in the grantor’s, seller’s or other transferor’s ordinary course of business.一项关切是,该措词可能无意造成在下述情况下损害了一项担保权:设保人设置了有担保债权人A在库存品上的担保权之后,将库存品存放在仓库,得到仓单,又通过将仓单转让给有担保债权人B而获得新的融资。 为了消除这项关切,建议应当提及在设保人、出卖人或其他转让人正常经营过程中占有可转让单证的该单证有担保债权人、买受人或其他转让人。
Another concern was that the alternative formulation failed to address a conflict between the right of a secured creditor that took possession of the negotiable document and the right of a secured creditor in a negotiable document that was made effective against third parties other than by transfer of possession.另一项关切是,替代措词没有处理占有可转让单证的有担保债权人的权利与非通过占有权转移而取得对抗第三方效力的可转让单证上有担保债权人的权利之间的冲突。
In order to address that concern, the suggestion was made that the alternative text should be revised to address that priority conflict.为了消除该关切,建议应当对替代案文加以修订以处理该优先权冲突。
A further concern was that the reference to both good faith and the absence of knowledge that the transfer was in violation of an existing security right was superfluous, as those two notions had the same meaning.还有一项关切是同时提及善意和提及不知悉转让行为侵害了一项现有担保权显得多余,因为这两个概念具有相同的含义。
In order to address that concern, the suggestion was made that the reference to good faith or the absence of such knowledge should be deleted.为了消除该关切,建议删除对善意的提法或不知悉的提法。
Yet another concern was that, unlike other recommendations, recommendation 107 was formulated in a negative way (a right was subordinate to another right instead of having priority over another right).还有一项关切是,建议107与其他建议不同,是以负面句式拟订的(一项权利排序次于另一项权利,而不是排序优于另一项权利)。
25. The Committee deferred adoption of recommendation 107, pending its consideration of a revised formulation (see paras. 130-133 below).25. 全委会推迟通过建议107,视对经修订的措词进行审议之后(见下文第130-133段)再作决定。
26. Subject to the changes mentioned above, the Committee adopted recommendations 74-106.26. 在进行上述修改的前提下,全委会通过了建议74-106。
(b) Commentary (A/CN.9/631/Add.4)(b) 评注(A/CN.9/631/Add.4)
27. The Committee approved the substance of the commentary to chapter VII subject to the following changes:27. 全委会核准了第七章评注的实质内容,但须作下列修改:
(a) Paragraph 1, second sentence, should make clear that, for the priority rules to apply, at least one of the competing claimants had to be a secured creditor;(a) 第1段第一句话应当说明,要适用优先权规则,至少一名竞合求偿人必须是有担保债权人;
(b) Paragraph 4, first sentence, should refer to security rights that were effective against third parties, and explain with examples the concept of “third-party effectiveness” and its relationship to the concept of “priority”;(b) 第4段第一句话应当提及具有对抗第三方效力的担保权,并举例说明对抗第三方效力的概念及其与优先权概念的关系;
(c) Paragraph 5, second sentence, should clarify that no issue of priority could arise between security rights that were not effective against third parties;(c) 第5段第二句话应当澄清在不具有对抗第三方效力的担保权之间不可能产生优先权问题;
(d) Before paragraph 6, the heading “Importance of the priority concept” should be added;(d) 在第6段之前,应当加上“优先权概念的重要性”这样的标题;
(e) Paragraph 8 should refer to the two ways by which a secured creditor could take priority with respect to the residual value of an asset, namely by stating in the registered notice the maximum amount secured by the first-priority ranking security right or by a subordination agreement;(e) 第8段应当提及有担保债权人对一项资产的剩余价值具有优先权的两种方式,即在所登记的通知中说明第一优先顺序的担保权所担保的最高数额,或采用一项排序居次协议;
(f) Paragraph 9 should be reconsidered as it appeared to repeat points made in paragraphs 6-8;(f) 第9段应当重新考虑,因为该段似乎重复第6-8段所述观点;
(g) Paragraph 10 should be completed;(g) 第10段应当补充完整;
(h) Paragraph 11 should be deleted;(h) 第11段应予删除;
(i) Paragraphs 15-18 appeared to address third-party effectiveness issues and should be limited to priority issues;(i) 第15-18段似乎述及对抗第三方效力问题,应当仅述及优先权问题;
(j) Paragraph 17, the second part of the second sentence should be deleted;(j) 第17段第二句话第二部分应予删除;
(k) Paragraphs 21-22 and 24-25 should be limited to issues of priority and avoid addressing third-party effectiveness issues;(k) 第21-22和24-25段应当仅述及优先权问题,避免述及对抗第三方效力问题;
(l) Paragraph 23 should clarify that the concept of “control” did not flow from the concept of “possession” and should focus on the rule that control gave a superior priority right;(l) 第23段应澄清“控制”的概念并不源于“占有”的概念,并应重点说明有关控制的规则赋予超级优先权;
(m) Paragraphs 24 and 25 should be recast in a more objective way;(m) 第24和25段应当更加客观地重新拟订;
(n) Paragraphs 26-33 should refer back to the chapter on creation with respect to the creation of a security right in future advances and clarify that priority extended to future advances as of the time the security right became effective against third parties;(n) 第26-33段应当参考设定一章中关于设定未来分批贷款上担保权的内容,并澄清优先权扩展至截至担保权取得对抗第三方效力之时的未来分批贷款;
(o) Paragraph 31 should be recast to clarify that it addressed an issue that was distinct from the issue of priority in future advances and to refer to a statement of the maximum amount and subordination;(o) 第31段应当重新拟订,澄清本段涉及一个与未来分批贷款上优先权问题不同的问题,并提及最高数额和排序居次;
(p) In paragraph 75, in the phrase “the lease is entered into”, the word “lease” should be replaced with the word “licence”;(p) 第75段第三行中的“租约”一词应改为“许可”;
(q) In paragraph 110, the last sentence should be deleted, to reflect the fact that there was no obligation to disclose the existence of a control agreement, by contrast with the publicity regime inherent in the operation of a specialized registry;(q) 第110段最后一句应当删去,以表明实际上没有义务披露存在控制权协议,与专门登记处所固有的公示制度有区别;
(r) In paragraph 112, the word “present” should be inserted before the phrase “right of set-off”, and the words “unless it has disapplied such right” should be inserted after the words “non-secured transactions law”; and the last sentence should be deleted.(r) 第112段:应在“在非担保交易法下享有的抵销权”前添加“目前”二字,在“稳操胜券,”后添加“除非该法律已取消此种权利”;最后一句应当删去。
2. Chapter VIII. Rights and obligations of the parties2. 第八章. 当事人的权利和义务
(a) Recommendations (A/CN.9/631, recommendations 108-113)(a) 建议(A/CN.9/631,建议108-113)
28. The Committee adopted recommendations 108-113.28. 全委会通过了建议108-113。
(b) Commentary (A/CN.9/631/Add.5)(b) 评注(A/CN.9/631/Add.5)
29. The Committee approved the substance of the commentary to chapter VIII.29. 全委会核准了第八章评注的实质内容。
3. Chapter IX. Rights and obligations of third-party obligors3. 第九章. 第三方承付人的权利和义务
(a) Recommendations (A/CN.9/631, recommendations 114-127)(a) 建议(A/CN.9/631,建议114-127)
30. The Committee adopted recommendations 114-127.30. 全委会通过了建议114-127。
(b) Commentary (A/CN.9/631/Add.6)(b) 评注(A/CN.9/631/Add.6)
31. The Committee approved the substance of the commentary to chapter IX, subject to the addition in paragraph 22 of a reference to another approach, under which depositary banks were treated in the same way as debtors of receivables and their consent was not required for a security right to be created in a right to payment of funds credited to a bank account.31.全委会核准了第九章评注的实质内容,但须在第22段提及另一种办法,根据这种办法,对待开户银行的方式与对待应收款债务人的方式相同,在银行账户贷记款受付权上设定担保权无须经开户银行同意。
4. Chapter X. Post-default rights4. 第十章. 违约后权利
(a) Recommendations (A/CN.9/631, recommendations 128-172)(a) 建议(A/CN.9/631,建议128-172)
32. With respect to recommendation 128, some doubt was expressed as to whether reference should be made to commercially reasonable standards of conduct.32. 对于建议128,有与会者对是否应当提及商业上合理的行为规范持有一定的怀疑。
It was stated that reference to good faith was sufficient.有与会者说,提及诚信即可。
It was also observed that commercially reasonable standards were not universally understood in the same way.还有与会者说,对商业上合理的规范并没有普遍相同的理解。
In response, it was noted that the draft Guide was designed to strike a balance between the need to allow the secured creditor some flexibility in the enforcement of its rights and the need to protect the rights of the grantor and its other creditors.对此,有与会者指出,一方面有必要允许有担保债权人在强制执行其权利时有某些灵活性,另一方面有必要保护设保人及其其他债权人的权利,指南草案的意图是在这两方面取得平衡。
It was also stated that that standard of conduct would require, for example, a secured creditor to obtain possession of the encumbered assets in a way that would be acceptable under local market conditions and to sell the assets in the relevant market with a view to obtaining the best possible price.还有与会者说,这种行为规范会要求有担保债权人按照当地市场条件下可接受的方式取得对担保资产的占有权,并在有关市场上出售该资产以尽可能获取最好的售价。
In that connection, it was pointed out that the standard did not focus on the result (for example, that the creditor should obtain the best price) but on the enforcement procedure (for example, best price reasonably obtainable).在这方面,有与会者指出,该准则的重点不是结果(例如,债权人应当获得最好的售价),而是强制执行程序(例如,可合理获得的最好售价)。
It was agreed that the commentary should explain the term “commercially reasonable standards” giving examples.与会者一致认为,应举例对“商业上合理的规范”一语进行解释。
33. With respect to recommendation 132, it was agreed that the phrase “does not affect” should be replaced with the phrase “may not adversely affect”, since only an adverse effect would be objectionable.33. 对于建议132,与会者一致认为“并不影响”一语应改为“可能不会对……造成不利影响”,因为只有不利影响才会引起反对。
34. With respect to recommendation 141, it was agreed that the last sentence should be removed from the recommendation and included in the commentary to the chapter.34. 对于建议141,与会者一致认为,该建议的最后一句应当挪到本章的评注中。
35. With respect to the reference in recommendations 147, subparagraph (a), 149 and 150 to “receiving” or “sending” a notice, differing views were expressed.35. 对于建议147 (a)项、建议149和150提及“收到”或“发出”,与会者表达了不同的意见。
One view was that, in order to effectively protect the interests of the grantor and its other creditors, receipt of the notice should be required.一种意见是,为了有效保护设保人及其其他债权人的利益,应当要求收到通知。
Another view was that the matter should be left to other law, since it was well developed and should not be interfered with.另一种意见是,该事项应当留给其他法律处理,因为其他法律已经完善,而且不应受到干扰。
However, the prevailing view was that it would be sufficient to require that the secured creditor should give notice to the grantor and its other creditors.但与会者普遍认为,要求有担保债权人向设保人及其其他债权人发出通知便已足够。
It was stated that requiring receipt of the notice could create uncertainty, as there were different theories as to what constituted receipt (for instance, entry into a mailbox versus actual reading of the notice).有与会者说,要求收到通知可能会造成不确定性,因为对于什么是收到有不同的理论(例如,究竟是投入邮箱还是实际阅读通知)。
In addition, it was observed that requiring that notice be received would increase the evidentiary burden of the secured creditor and thus have an adverse impact on the cost of credit.此外,有与会者说,要求收到通知会加重有担保债权人的举证责任,因而会对信贷成本产生不利影响。
Moreover, it was said that leaving the matter to other law could result in failing to address sufficiently the potential impact of notice requirements on the cost of credit.而且还有与会者说,若将该事项留给其他法律处理,可能便无法充分解决通知要求对信贷成本的潜在影响问题。
It was also pointed out that the requirement that the secured creditor act in good faith and in a commercially reasonable manner, in conjunction with the general requirements regarding notice set out in recommendation 146, were sufficient to protect the interests of the grantor and its other creditors.还有与会者指出,要求有担保债权人以诚信和商业上合理的方式行事,再加上建议146中规定的关于通知的一般要求,便足以保护设保人及其其他债权人的利益。
36. The Committee agreed that reference should be made in recommendations 147, subparagraph (a), 149 and 150 to the notice being “given to” the grantor and its other creditors.36. 全委会一致认为,应当在建议147 (a)项、建议149和150中提及将通知“交给”设保人及设保人的其他债权人。
It was further agreed that the commentary (A/CN.9/631/Add.7, paras. 30-32) should address that matter in greater detail.与会者还一致认为,评注(A/CN.9/ 631/Add.7,第30-32段)应当更为详细地讨论这一事项。
37. With respect to recommendation 150, it was agreed that the square brackets around the last sentence should be deleted, so that the recommendation would require the positive consent of the grantor to any proposal of the secured creditor to accept an encumbered asset in partial satisfaction of the grantor’s obligation.37. 对于建议150,与会者一致认为,应当去掉最后一句的方括号,使该建议要求,有担保债权人所提出的接受以担保资产作为对设保人债务的部分清偿的任何提议,必须得到设保人的明确同意。
It was widely felt that, unlike the situation where the secured obligation was fully paid and the grantor was fully discharged, in situations where the secured obligation was only partially discharged, positive consent of the grantor should be required so that the grantor would have actual knowledge of the extent of the unsatisfied portion of the obligation, for which the grantor would remain liable.与会者普遍认为,与附担保债务得到全部清偿和完全解除设保人义务的情况不同的是,在只偿付了部分附担保债务的情况下,应当要求取得设保人的明确同意,使设保人对其仍有偿付责任的未偿付债务的数额有实际的了解。
38. With respect to recommendation 154, it was observed that it did not fit under the heading “Distribution of proceeds of extrajudicial disposition of an encumbered asset” as it referred to distribution of profits realized by a judicial disposition.38. 对于建议154,有与会者说,该建议与标题“担保资产非司法处分后所得收益的分配”不相符,因为该建议是指经司法处分而实现的所得的分配。
It was agreed that either the heading should be changed or recommendation 154 should be placed elsewhere in the text.与会者一致认为,要么改换标题,要么把建议154挪到案文的其他位置。
39. With respect to recommendation 169, some doubt was expressed as to whether the consent of the depositary bank should be required for out-of-court enforcement by a secured creditor that had no control with respect to a right to payment of funds credited to a bank account.39. 对于建议169,有与会者有些怀疑对银行账户贷记款受付权没有控制权的有担保债权人是否须经开户银行同意才能在法庭外强制执行。
In response, it was explained that the reason for that approach was that the bank-client relationship should not be interfered with.对此,有与会者解释说,这种办法的理由是,不应当干扰银行和客户之间的关系。
It was also stated that, unlike debtors of trade receivables, depositary banks were involved in different kinds of practices subject to regulatory law that justified different treatment.还有与会者说,与贸易应收款债务人不同的是,开户银行所参与的不同类型的业务受监管法的约束,理应区别对待。
40. Subject to the above-mentioned changes and consequential amendments to the commentary to the chapter, the Committee adopted recommendations 128-172.40. 在须作上述改动并随之对本章的评注进行修正的前提下,全委会通过了建议128-172。
(b) Commentary (A/CN.9/631/Add.7)(b) 评注(A/CN.9/631/Add.7)
41. The Committee approved the substance of the commentary to chapter X subject to the changes referred to above and to the following changes:41. 全委会核准了第十章评注的实质内容,但须作上文所提的改动和以下改动:
(a) In paragraphs 38-39, it should be explained that the right of the grantor to cure the default and reinstate the secured obligation was a matter for the agreement of the parties and the law of obligations;(a) 在第38-39段,应当解释,设保人补救违约行为并恢复附担保债务的权利是当事人协议和债法处理的事项;
(b) In paragraphs 57-58, it should be clarified that the right of the secured creditor to take over the management of the grantor’s business and to sell it as a going concern could raise difficult issues, including the liability of the secured creditor for management acts and the protection of rights of other creditors;(b) 在第57-58段,应当澄清,有担保债权人接管设保人的企业并将其作为正在经营中的企业出售的权利,有可能产生棘手的问题,包括有担保债权人对管理行为的赔偿责任问题和保护其他债权人权利的问题;
(c) In paragraph 92, it should be clarified that, if the proceeds took the form of a type of asset, such as receivables, with respect to which special enforcement rules applied, enforcement should follow the rules applicable to that type of asset.(c) 在第92段,应当澄清,如果收益的形式为某种类型的资产,如应收款,而对这种类型的资产适用特别的强制执行规则,则强制执行应当遵守适用于这种类型资产的规则。
5. Chapter XI. Insolvency5. 第十一章. 破产
(a) Definitions and recommendations (A/CN.9/631, recommendations 173‑183)(a) 定义和建议(A/CN.9/631,建议173-183)
42. The Committee noted that the definitions and the recommendations contained in part A of chapter XI of the draft Guide were taken from the UNCITRAL Legislative Guide on Insolvency Law, while the recommendations in part B of that chapter expressed specific principles relating to security rights in a manner that was consistent with the Insolvency Guide.42. 全委会注意到指南草案第十一章A部分中所载定义和建议取自《贸易法委员会破产法立法指南》,而该章B部分中的建议则表述了与担保权有关的具体原则,表述方式与《破产指南》是一致的。
General support was expressed for that approach.会上对这种做法普遍表示支持。
43. It was also noted that the presentation of the insolvency chapter differed from the presentation of other chapters of the draft Guide in order to accommodate selected recommendations and material from the commentary of the Insolvency Guide.43. 会上还指出,破产一章的表述方式之所以与指南草案其他各章的表述方式不同,是为了顾及《破产指南》中的某些建议和评注中的材料。
In addition, it was noted that those recommendations and explanatory material were included to ensure that readers and users of the draft Guide were provided with sufficient background information to understand the intersection of secured transactions law and insolvency law, and to ensure consistency between the two guides.另外还指出,收入这些建议和解释性材料,是为了给指南草案的读者和使用者提供足够的背景情况,使其了解担保交易法与破产法之间的重叠处并确保这两个指南之间的一致性。
44. In order to facilitate a clearer understanding of the relationship between the commentary and the two sets of recommendations, it was suggested that the recommendations in part A and part B should be presented with separate commentary.44. 为了便于更清晰地了解评注与这两套建议之间的关系,与会者提出把A部分和B部分中的建议放在单独的评注中表述。
In response, it was noted that that presentation might inadvertently give the wrong impression that the matters addressed in the recommendations in part B had not been discussed in the Insolvency Guide, and might result in duplication and inconsistencies.对此有与会者指出,这样的表述方式可能无意中造成一种错误的印象,以为B部分中的建议所涉及的事项并未在《破产指南》中论及,从而造成重复和不一致。
It was also suggested that the insolvency chapter should be placed at the end of the draft Guide on the basis that it addressed what should be included in the insolvency law, rather than in the secured transactions law.与会者还建议把破产一章放在指南草案的结尾处,其根据是,它所涉及的事项应当列入破产法,而不应列入担保交易法。
There was sufficient support for that suggestion.这项建议得到充分支持。
45. With respect to the definition of the term “financial contract” taken from the Insolvency Guide, it was stated that it might need to be reviewed depending on the decision of the Committee on the treatment of financial contracts in the draft Guide.45. 关于取自《破产指南》的“金融合同”一词,与会者指出,可能有必要根据全委会对指南草案如何处理金融合同的问题作出的决定对该词进行审查。
In response, it was noted that the definition was based on article 5, subparagraph (k), of the United Nations Convention on the Assignment of Receivables in International Trade (2001).对此有与会者指出,这条定义依据的是《联合国国际贸易应收款转让公约》(2001年)第5条(k)项。
It was also noted that, if the Committee agreed on a different definition for the purpose of the draft Guide, the interrelationship between the two definitions would need to be explained, but the definition of the Insolvency Guide could not be changed (see paras. 137-142 below).还指出,假如全委会决定在指南草案中使用一个不同的定义,就必须对这两个定义之间的关系作出解释,但《破产指南》中的定义已经无法更改了(见下文第137-142段)。
46. Other proposals for clarification included: adding recommendation 63 from the Insolvency Guide, which would serve as additional background to the recommendations on post-commencement finance; and, if necessary in order to clarify the commentary, including additional recommendations from the Insolvency Guide.46. 其他澄清性的建议包括:添加《破产指南》中的建议63,以便为关于启动后融资的建议提供额外背景情况;并为了在必要时对评注加以澄清,补充加上《破产指南》中的建议。
There was sufficient support for those suggestions.这些提议得到充分支持。
47. With respect to recommendation 174 (non-unitary approach), it was agreed that it should be revised to reflect the decision of the Committee to refer to “retention-of-title right” and “financial lease right” in the context of the non-unitary approach to acquisition financing (see paras. 69-75 below).47. 关于建议174(非统一处理法),会议同意对其作出修订以反映全委会作出的决定,即在购置款融资非统一处理法的情况下应当使用“保留所有权权利”和“融资租赁权”的提法(见下文第69-75段)。
48. With respect to recommendation 181, it was agreed that it should be revised to clarify that a subordination agreement would only be binding in insolvency to the extent that it was effective under law other than insolvency law.48. 关于建议181,会上同意对其作出修订,以便澄清,从属协议只在破产情况下具有约束力,但根据破产法以外的法律从属协议必须具有效力。
49. Subject to the above-mentioned changes, the Committee confirmed the appropriateness of the presentation of the definitions and recommendations and adopted recommendations 173-183.49. 在作出上述修改的前提下,全委会确认了这些定义和建议的表述方式的适当性并通过了建议173-183。
(b) Commentary (A/CN.9/631/Add.8)(b) 评注(A/CN.9/631/Add.8)
50. Noting that the commentary to chapter XI was consistent with the Insolvency Guide, the Committee approved the substance of the commentary subject to the following changes:50. 全委会注意到第十一章的评注与《破产指南》一致,在作出下列修改的前提下核准了评注的实质内容:
(a) The discussion in the commentary should refer more clearly to the relevant recommendations and discuss additional recommendations of the Insolvency Guide;㈠ 评注中的论述应当更加明确地提及有关建议并论及《破产指南》中的补充建议;
(b) The origin of material from the Insolvency Guide should be clearly explained for the reader;㈡ 为方便读者应当清楚地说明有关材料取自《破产指南》;
(c) The discussion of applicable law should be further developed and placed at the end of the commentary.㈢ 关于适用法律应当进一步展开论述并放在评注结尾处。
6. Chapter XII. Acquisition financing rights6. 第十二章. 购置款融资权
(a) Recommendations (A/CN.9/631, recommendations 184-201)(a) 建议(A/CN.9/631,建议184-201)
51. The concern was expressed that requiring a notice in the general security rights registry for a retention-of-title sale or financial lease to be effective against third parties might inappropriately interfere with useful practices and undermine the notion of “ownership”.51. 有与会者担心,保留所有权的出售安排和融资租赁要具有对抗第三方的效力,就必须在担保权统一登记处办理通知登记的要求,可能会不适当地妨碍有益做法,损害所有权的概念。
It was stated that recharacterization of ownership as a security device could create significant problems not only in retention-of-title sales and financial leases but also in repurchase transactions and other financial contracts.据指出,将所有权重新定性为担保做法可能会造成许多严重问题,深受影响的将不仅是保留所有权的出售安排和融资租赁,而且还包括回购交易和其他金融合同。
It was also observed that the notion of “grantor” was not appropriate in a retention-of-title sale or financial lease, and, in any case, registration of ownership should not be required.还有与会者指出,“设保人”这一概念不适用于保留所有权的出售安排或融资租赁,而且,无论如何,都不应要求对所有权办理登记。
Furthermore, it was mentioned that lack of flexibility might undermine the acceptability of the draft Guide, as flexibility would be one important criterion in determining the value of the draft Guide.此外,据指出,由于灵活性为确定指南草案是否有益的一个重要标准,因此,缺乏灵活性会对指南草案能否被认可产生消极影响。
It was emphasized that there were significant concerns that needed to be addressed for consensus on that matter to be reached.有与会者强调指出,为了就该事项达成协商一致意见,有些严重关切无论如何都必须加以解决。
In order to address those concerns, it was suggested that retention-of-title sales and financial leases should not be recharacterized as security devices or be made subject to registration of a notice in the general security rights registry.有与会者建议,为消除这些关切,不应把保留所有权的出售安排和融资租赁重新定性为担保做法,也不应要求在担保权统一登记处办理通知登记。
52. That suggestion was objected to.52. 该建议遭到了反对。
It was stated that the draft Guide did not recharacterize retention-of-title sales or financial leases. It was simply drawing the consequences from the fact that ownership in a retention-of-title sale or financial lease was diminished to the extent of the value of the amount of the purchase price or rent outstanding.有与会者指出,指南草案并未对保留所有权的出售安排或融资租赁重新定性,而只是推定,保留所有权的出售安排或融资租赁中的所有权减损至购置价款或未结清租金的事实将会产生一些后果。
It was also stated that retention-of-title related to tangible property other than negotiable instruments and negotiable documents and was not relevant to securities and financial contracts, which still remained to be discussed.另据指出,保留所有权所涉及的是有形财产,而不是可转让票据和可转让单证,并且与证券和金融合同无关,对于后者还要进行讨论。
It was also said that what was registered was a notice about a transaction that functioned as a warning to third parties that the person in possession of the assets might not be the owner.另据指出,所登记的是交易通知,这种通知对第三方起警示作用,资产的占有人不一定就是其所有人。
Furthermore, it was pointed out that, as the work of many international organizations and international financial institutions indicated, a modern law on secured transactions could not achieve its objective of increasing access to secured credit, which was a matter of high priority in particular for developing countries and countries with economies in transition, if it were not comprehensive in coverage and did not provide for registration of all transactions that performed security functions.此外,据指出,许多国际组织和国际金融机构的工作表明,如果涵盖范围不全面,对行使担保职能的各种交易的登记不作规定,现代担保交易法就无法实现为担保信贷提供更多方便的目的,而后者又是发展中国家和转型经济国家尤为高度重视的问题。
It was also emphasized that the draft Guide was not a binding treaty or model law and it was up to States to enact or reject its recommendations in whole or in part.还有与会者强调,指南草案并不是一个具有约束力的条约或示范法,对于指南中所载的建议,究竟是全部或部分颁布还是全部或部分拒斥,都将由各国自行决定。
The Committee, recalling that the Commission, at its thirty-ninth session, had adopted the substance of the recommendations, including on acquisition financing devices, noted the policy decisions of the Commission with respect to the chapter on acquisition financing rights.回顾贸委会第三十九届会议通过了建议的实质内容,包括有关购置款融资做法的内容,全委会注意到贸委会有关购置款融资权一章的政策性决定。
(i) Section A. Unitary approach to acquisition financing rights(i) A部分:有关购置款融资权的统一处理法
53. With respect to recommendation 192 (unitary approach), the concern was expressed that the different treatment of inventory (for instance, the fact that no grace period was provided and notification of inventory financiers on record was required) could undermine inventory financing.53. 关于建议192(统一处理法),有与会者担心,采用不同方法处理库存品问题(例如对宽限期不作规定,并且不要求通知记录中的库存品融资提供人的事实)可能会损害对库存品的融资。
In order to address that concern, it was suggested that recommendation 189 should apply to inventory as well.为消除该关切,有与会者主张,建议189也应当适用于库存品。
54. That suggestion was objected to.54. 该建议遭到了反对。
It was observed that paragraphs 114-118 of the commentary to chapter XII (A/CN.9/631/Add.9) sufficiently explained the need for a different treatment of acquisition security rights in inventory.据指出,第十二章评述意见中的第114-118段(A/CN.9/631/Add.9)对使用不同方式处理库存品购置款担保权的必要性已经作了充分的解释。
55. With respect to recommendation 199 (unitary approach), the suggestion was made that, for the same reasons for which the super-priority for security rights in inventory did not extend to receivables, it should not extend to other payment rights, such as negotiable instruments, rights to the payment of funds credited to a bank account and rights to payment under independent undertakings.55. 关于建议199(统一处理法),有与会者主张,既然库存品上担保权的超级优先权不延及应收款,那么出于同样的理由,这一超级优先权也不应延及其他受付权,例如可转让票据、银行账户贷记款的受付权和独立保证下的提款权。
That suggestion received sufficient support.该建议得到充分支持。
The Committee decided that the text in square brackets in recommendation 199 should be retained without the square brackets.全委会决定,建议199中置于方括号内的案文应当予以保留,并删除其前后的方括号。
56. Subject to the above-mentioned changes, the Committee adopted recommendations 184-201 in section A (unitary approach) of chapter XII of the draft Guide.56. 在作上述修改的前提下,全委会通过了指南草案第十二章A部分中的建议184-201(统一处理法)。
(ii) Section B. Non-unitary approach to acquisition financing rights(ii) B部分:有关购置款融资权的非统一处理法
57. With respect to recommendation 191 (non-unitary approach), the concern was expressed that, to the extent that it referred to the notion of priority, which was not appropriate for ownership devices, it did not really constitute an alternative approach and was thus not useful.57. 关于建议191(非统一处理法),有与会者关切地指出,鉴于该建议所涉优先权概念不适用于所有权做法,该建议其实不能成为一种备选做法,因此并无益处。
58. In order to address that concern, the suggestion was made that recommendation 191 and other recommendations in section B (non-unitary approach) of chapter XII of the draft Guide should be revised to refer to terminology that would be compatible with ownership devices.58. 为了解决这一担忧,有与会者建议,应当修改建议191和指南草案第十二章B部分(非统一处理法)中的其他建议,以提及与所有权手段相一致的术语。
There was sufficient support for that suggestion.该建议获得了充分支持。
The Committee agreed that the recommendations in section B should be reformulated with that objective in mind.全委会一致认为,应当本着这一目标改写B部分中的建议。
It was also agreed that recommendation 191 (non-unitary approach) should be revised to provide that a lender could obtain an acquisition security right directly from the grantor or an acquisition financing right through an assignment of the secured obligation from the supplier (see paras. 77-79 and 89 below).与会者还一致认为应当修改建议191(非统一处理法),规定出贷人可直接从设保人处取得购置款担保权,或通过供应商转让附担保债务取得购置款融资权(见下文第77-79段和第89段)。
59. With respect to recommendation 192 (non-unitary approach), a number of concerns were expressed.59. 对于建议192(非统一处理法),与会者表达了一些关切。
One concern was that it might not be easy to determine whether recommendation 189 or recommendation 192 should apply, as inventory in the hands of the seller could be equipment in the hands of the buyer, and the draft Guide did not make it clear in whose hands the assets had to constitute inventory.一种关切是,可能难以确定应当适用建议189还是建议192,因为出卖人手中的库存品可能是买受人手中的设备,而指南草案没有清楚说明资产在谁的手中才属于库存品。
Another concern was that third-party financiers would have no way of ascertaining whether inventory or tangible property other than inventory was involved in a particular transaction.另一种关切是,第三方融资提供人将无法确定某一特定交易所涉及的是库存品还是库存品以外的有形财产。
Yet another concern was that the requirement for registration of a notice in the general security rights registry and notification of inventory financiers on record before delivery of the goods could delay and complicate transactions, in particular cross-border transactions, involving different registries and languages.还有一种关切是,要求交付货物之前在担保权统一登记处登记通知并通知已登记在案的库存品融资提供人,这可能会延迟交易或使交易复杂化,特别是在涉及不同登记处和不同语言的跨国界交易中。
Yet another concern was that the requirements of registration and notification resulted in favouring the general inventory financier over the supplier of goods on credit.还有一种关切是,要求登记和通知的结果是有利于库存品的一般融资提供人,而不利于赊销货物的供应商。
In order to address those concerns, the suggestion was made that recommendations 189 and 192 should be merged so that one rule along the lines of recommendation 189 would apply to the priority of security rights in both inventory and tangible property other than inventory.为了解决这些问题,有与会者建议合并建议189和192,以便对库存品和库存品以外的有形财产都适用一种按建议189的思路制定的规则。
60. That suggestion was objected to.60. 这一建议受到了反对。
It was stated that the term “inventory” was widely used in most legal systems and was defined and referred to in the draft Guide in several recommendations.有与会者说,“库存品”这一术语在大多数法律系统中广泛应用,指南对其作了定义,并在若干建议中有所提及。
It was also observed that whether tangible property constituted inventory depended on whether it was held as inventory by the grantor (for example, the buyer in an acquisition financing transaction).还有与会者说,有形财产是否属于库存品取决于其是否由设保人(例如购置款融资交易中的买受人)作为库存品持有。
In addition, it was said that a modern registry system and the use of one registration and one notice covering one or more acquisition financing transactions between the same parties over a long period of time (for instance, five years; see recommendation 196) would not create costs or delays to trade.此外,有与会者说,现代登记制度,以及利用涵盖相同当事人之间在很长一段时间内(例如五年;见建议196)进行的一项或多项购置款融资交易的一份登记和一次通知,都不会产生费用或延迟交易。
Moreover, it was pointed out that the difficulty of cross-border transactions was not a problem that arose only in the context of acquisition financing transactions.而且,有与会者指出,跨国境交易方面的难题并不仅仅出现在购置款融资交易中。
It was also said that recommendation 192 achieved a balance among the various interests in that a supplier’s right would be given priority subject to normal due diligence (including on whether the goods constituted inventory), an inventory financier’s right would be sufficiently protected through the requirements for registration and notification and the buyer would benefit from competitive credit terms.还有与会者说,建议192在各种利益之间达成了一种平衡,首先是以通常应有的谨慎(包括在货物是否属于库存品这一问题上)为前提将供应商的权利放在优先位置,其次是要求登记和通知使库存品融资提供人的权利得到充分保护,再其次是买受人将受益于有竞争力的信贷条款。
Finally, it was mentioned that the regime contemplated by the draft Guide would be an improvement over the current situation in many legal systems, in which retention of title was lost if the assets concerned were exported to or through a State that did not recognize retention of title.最后,有与会者提到,许多法律制度中目前的状况是,如果有关资产出口到不承认保留所有权的国家或经由这些国家出口,保留所有权安排便随之丧失,而指南草案所设想的制度将改进这种状况。
Under the draft Guide, instead of losing its security entirely, the retention-of-title supplier would in such circumstances retain a security right.根据指南草案,保留所有权安排的供应商在这种情形下不会完全丧失其担保,而是仍然保留担保权。
61. In response, it was stated that a more flexible approach should be taken, as the conditions for trade and financing would not be the same in all countries.61. 对此,有与会者答复说,应当采取更为灵活的办法,因为贸易和融资的条件并非在每个国家都是相同的。
It was also observed that such flexibility was inherent in a guide that, by definition, was designed to provide non-binding guidance to States.还有与会者说,顾名思义,指南的目的是向各国提供不具约束力的指导,因而原本便具有这种灵活性。
Therefore, the suggestion was made that two alternatives should be presented on that matter, one treating differently inventory and tangible property other than inventory (along the lines set out in recommendations 189 and 192) and another treating both in the same way (along the lines set out in recommendation 189).所以,有与会者建议,对该事项应当提供两种可供选择的办法,一种办法是(按照建议189和192的规定)将库存品和库存品以外的有形财产区别对待,另一种办法是(按照建议189的规定)对两者采用相同的处理办法。
62. Diverging views were expressed as to the economic consequences of such an approach.62. 与会者对于这种办法的经济后果表达了不同的意见。
One view was that it would have a negative impact on inventory financing, which might in turn result in a general contraction of credit.一种意见是,这会对库存品融资造成负面影响,继而可能造成普遍的信贷紧缩。
Another view was that the usefulness of the draft Guide might be diminished if it offered alternatives on important issues such as the issue of priority.另一种意见是,指南草案如果在优先权问题等重要问题上提供可供选择的办法,便可能削弱其效用。
Yet another view was that that approach struck an appropriate balance among all interests concerned and should be adopted.还有一种意见是,这种办法在所有的有关利益之间达成了适当的平衡,应当予以采用。
63. The Committee agreed that, in order to ensure the flexibility of the draft Guide to meet the needs of States with differing needs, an alternative approach to recommendations 189 and 192 should be offered in both sections A and B of chapter XII (the unitary and the non-unitary approaches).63. 全委会商定,为了确保指南草案的灵活性以满足各国的不同需要,应当在统一处理法和非统一处理法中除建议189和192之外提供另一种办法。
Under this alternative approach, a new recommendation along the lines of recommendation 189 would address the priority position applicable to an acquisition security right or an acquisition financing right in tangible property.根据这种办法,与建议189的思路一致的新建议将处理适用于有形财产上的购置款担保权或购置款融资权的优先地位问题。
It was also agreed that the commentary should draw the attention of legislators to the economic and other consequences of each option (see paras. 88-90 below).与会者还一致认为,评注应当提醒立法者注意每种选择办法的经济后果和其他后果(见下文第88-90段)。
64. With respect to recommendation 194, it was suggested that it might be usefully clarified, as it seemed to refer to a judgement obtained after a security right was created but before it was made effective against third parties (see para. 92 below).64. 对于建议194,有与会者建议,可以对其作有益的澄清,因为其中似乎提及了在担保权设定之后和取得对抗第三方效力之前获得的判决(见下文第92段)。
65. With respect to recommendations 198 and 199, it was agreed that their formulation should be adjusted to fit the alternative approach to recommendations 189 and 192 without, however, changing their underlying policy.65. 对于建议198和199,与会者一致认为,应当调整其表述方式,以符合建议189和192之外的另一种可选办法,但不改变其中的基本政策。
Accordingly, the priority provided in the new recommendation should extend to proceeds of tangible property other than inventory (for example, equipment), as well as to proceeds of inventory except proceeds in the form of receivables or other payment rights.因此,新建议中规定的优先权应当延及有形财产的收益而不延及库存品(例如设备),并延及库存品收益,但不延及形式为应收款或其他受付权的收益。
66. It was widely felt that an extension of the priority given to an acquisition financing right to such proceeds of inventory could have an adverse impact on receivables financing.66. 与会者广泛认为,将给予购置款融资权的优先权延及此类库存品收益可能对应收款融资造成不利影响。
It was also generally considered that such a result would mean an unnecessary departure from current law in most States, under which such priority was limited to the assets subject to the acquisition financing right and did not extend to their proceeds.与会者还普遍认为,这种结果可能意味着毫无必要地背离大多数国家的现行法律,根据这些法律,这种优先权仅限于受购置款融资权约束的资产,而不及于其收益。
It was also observed that, in the few jurisdictions in which such priority extended to proceeds of inventory, priority was lost if the assets were commingled with other assets of the same type and lost their separate identity (see para. 98 below).还有与会者说,在少数几个法域中,这种优先权延及库存品的收益,但如果资产与同类型的其他资产混合并失去其独立特性,优先权便随之丧失(见下文第98段)。
67. Recalling its decision that the recommendations in section B (non-unitary approach) of chapter XII of the draft Guide should use terminology based on the notion of “ownership” (see para. 58 above), the Committee considered a proposal with respect to certain definitions and the recommendations dealing with the non-unitary approach to acquisition financing.67. 回顾其有关指南草案第十二章B部分(非统一处理法)中的建议应当使用以“所有权”这一概念为依据的术语(见上文第58段)的决定,全委会审议了一项关于涉及购置款融资非统一处理法的某些定义和建议的提议。
It was stated that the proposed revisions were intended to: deploy terminology relating to ownership rather than security rights, which was the essence of the non-unitary approach; track the order and the structure of the recommendations of the unitary approach; implement the principle of the functional equivalence of security rights and uses of ownership for security purposes; and implement the principle of equal treatment of all acquisition financing providers.据指出,拟议的修订意见着眼于以下几个方面:建立有关所有权而不是担保权的术语,后者是非统一处理法的核心;沿用统一处理法的建议的顺序和结构;采用担保权和所有权用于担保目的这两者功能等同的原则;采用一切购置款融资提供人待遇平等原则。
It was noted that, as a result of those two principles, not only sellers and financial lessors but also lenders could obtain an acquisition financing right that enjoyed super-priority (in other words, priority as of the time of the delivery of tangible property other than inventory, provided that a notice was registered in the general security rights registry within the applicable grace period).据指出,由于采用这两项原则,取得享有超级优先权的购置款融资权的人,不仅有出卖人和融资租赁出租人,而且还有出贷人(换言之超级优先权是指截至交付库存品以外的有形财产之时的优先权,条件是在所适用的宽限期内已经在担保权统一登记处登记通知)。
It was also noted that, if sellers or financial lessors failed to register a notice in the general security rights registry within the relevant grace period, they would obtain a normal security right to which the general priority rules would apply (that is to say, priority of a security right in tangible property other than inventory would be achieved as of the time of registration of a notice with respect to the security right, which would be after the expiry of the grace period).另据指出,假如出卖人或融资租赁出租人未能在有关的宽限期内在担保权统一登记处登记通知,他们将取得普通担保权,对其适用的将是一般优先权规则(也就是截至登记担保权通知时所取得的在库存品以外有形财产上的优先权,但将在宽限期届满之后)。
68. While it was widely felt that the proposal formed a good basis for discussion, it was stated that no final decision could be made.68. 虽然普遍认为这项提议构成了讨论的良好基础,但有与会者指出无法就此作出最后决定。
In that connection, it was observed that the proposal constituted a reformulation of recommendations the substance of which (in other words, the underlying policies) had already been approved by the Commission at its thirty-ninth session and by Working Group VI (Security Interests) at its twelfth session (A/CN.9/620, paras. 84-90).关于这一点,有与会者指出,这项提议相当于改写了各项建议,而这些建议的实质内容(也就是这些建议所依据的政策)已经由贸委会在其第三十九届会议以及第六工作组在其第十二届会议(A/CN.9/620,第84-90段)上核准。
It was also said that, for the Commission to be able to adopt the draft Guide at the resumed fortieth session, it was essential to finalize considerations with respect to the matters covered during the first part of the session.另据指出,为了使贸委会能够在其第四十届会议续会期间通过指南草案,关键是要最后完成对在其第一部分会议期间所涉及的事项进行的审议。
The Committee, therefore, agreed to proceed with its consideration of the proposal with a view to adopting the relevant definitions and recommendations.全委会商定着手审议此项提议,以便通过有关的定义和建议。
69. With respect to the definitions, it was suggested that the draft Guide should use the terms “retention-of-title right” and “financial lessor’s right” rather than the term “acquisition financing right” (A/CN.9/631/Add.1, para. 19).69. 关于定义,有与会者提出,指南草案应当使用“保留所有权权利”和“融资租赁出租人权利”这样的术语,而不是“购置款融资权”这样的术语(A/ CN.9/631/Add.1,第19段)。
It was widely felt that use of those terms would be more consistent with terminology relating to ownership devices.普遍看法是,使用这些术语将与有关所有权办法的术语更趋一致。
70. With respect to the term “retention-of-title right”, the following text was proposed:70. 关于“保留所有权权利”这一术语,会上提出以下案文:
“‘Retention-of-title right’, a term used only in the context of a non-unitary approach, means a seller’s right in tangible property, other than negotiable instruments or negotiable documents, pursuant to an agreement with the buyer by which ownership of the tangible property that is the object of the sale is not transferred from the seller to the buyer until the purchase price is paid, and includes any arrangement by which a creditor that has provided credit to enable a person to acquire possession or use of tangible property, other than negotiable instruments or negotiable documents, reserves the right to become the irrevocable owner of the tangible property in satisfaction of the repayment obligation.”“‘保留所有权权利’这一术语仅在非统一处理法的情况下使用,系指出卖人根据与买受人订立的协议对可转让票据或可转让单证以外的有形财产享有的权利,根据这种协议,出卖所涉及的有形财产的所有权直到价款付清方从出卖人转移给买受人,这一术语还包括任何这样的安排:债权人提供信贷使一人能够取得对可转让票据或可转让单证以外的有形财产的占有权或使用权,从而保留了在偿清还款义务的情况下成为该有形财产的不可撤销的所有人人的权利。”
71. It was noted that the first part of the proposed text was based on the definition of the term “retention-of-title right”, while the second part (“and includes … repayment obligation”) was based on part (iv) of the definition of the term “acquisition financing right” (A/CN.9/631/Add.1, para. 19).71. 会议指出,拟议案文的前一部分依据的是“保留所有权权利”这一术语的定义,而第二部分(“这一术语还包括……偿还义务”)则是基于“购置款融资权”这一术语定义的第㈣部分(见A/CN.9/631/Add.1,第19段)。
It was also noted that the second part was intended to address situations in which a seller transferred ownership to a buyer but retained the right to recover ownership if the purchase price was not paid in full within the time period agreed upon.另据指出,该术语第二部分着眼于这样的情形:出卖人向买受人转移所有权,但保留在价款未在商定期限内付清的情况下收回所有权的权利。
However, it was stated that the second part could be read as also referring to a lender being able to retain ownership in goods, the acquisition of which the lender had financed.但有与会者指出,第二部分也可以被理解为是指出贷人能够保留对其提供购置款融资的货物的所有权。
It was also observed that such an understanding of the term “retention-of-title right” would be inconsistent with the meaning given to that term in most jurisdictions.还有与会者认为,对“保留所有权权利”一词作这样的理解,与大多数法域赋予该词的含义不一致。
In addition, it was said that it was not necessary to complicate the notion of “retention-of-title right”, as long as the recommendations made it clear that a lender could obtain a retention-of-title or financial lease right.此外,据指出没有必要把“保留所有权权利”这一概念复杂化,而只需在建议中明确,出贷人可以保留所有权或融资租赁权。
It was widely felt that that result was necessary to ensure the economic equivalence of ownership and security devices and to treat equally all acquisition financing providers.普遍认为,为了确保所有权和担保手段在经济上的等同作用并平等对待一切购置款融资提供人,这样的结果是必要的。
72. Subject to consideration in the context of recommendation 184 (see paras. 77‑79 below) of the issue of whether a lender could obtain a retention-of-title or financial lease right, the Committee agreed that the second part of the definition could be deleted.72. 在结合建议184(见下文第77-79段)审议出贷人究竟可以取得保留所有权权利还是融资租赁权的问题的前提下,全委会同意删除该定义的第二部分。
It was also agreed that words along the lines “or irrevocably transferred” might be added to the first part of the definition.全委会还商定可以考虑在该定义第一部分中添加“或不可撤销地转移给”这样的措词。
73. With respect to the definition of the term “financial lessor’s right”, the following text was proposed:73. 关于“融资租赁出租人权利”这一术语的定义,提出了以下案文:
“‘Financial lessor’s right’, a term used only in the context of the non-unitary approach, means a lessor’s right in tangible property, other than negotiable instruments or negotiable documents, that is the object of a lease agreement under which, at the end of the term of the lease:“‘融资租赁出租人权利’这一术语仅在非统一处理法的情况下使用,系指出租人对租赁协议所涉及的可转让票据或可转让单证以外的有形财产的权利,根据该协议,在租期届满时:
“(i) The lessee automatically becomes the owner of the tangible property that is the object of the lease;“㈠ 承租人自动成为所租赁的有形财产的所有人;
“(ii) The lessee may acquire ownership by paying no more than a nominal price;“㈡ 承租人在支付不超过名义价款的款项后即可获得所有权;或
or
“(iii) The tangible property has no more than a nominal residual value.“㈢ 有形财产的价值不超出名义剩余价值。
“The term includes a hire-purchase agreement.”“该术语包括租购协议。”
74. The Committee noted that the proposed text was based on the definition of the term “financial lease” (A/CN.9/631/Add.1, para. 19), and agreed that, for the sake of consistency with the term “retention-of-title right”, it should be revised to refer to “financial lease right”.74. 全委会注意到,拟议的案文是基于“融资租赁”一词的定义(见A/CN.9/ 31/Add.1,第19段),一致认为,为了与“保留所有权权利”一词保持一致,应将该词改为“融资租赁权”。
75. The Committee adopted the above-mentioned definitions, subject to minor editorial changes made by the Drafting Group.75. 全委会通过了上述各项定义,但需由起草小组在措词上略作调整。
It was agreed that the meaning of the definitions should be explained in the commentary.全委会商定,关于这些术语的含义应当放在评注中加以解释。
76. The Committee adopted the “Purpose” subsection of the recommendations in section B (non-unitary approach) of chapter XII of the draft Guide.76. 全委会通过了指南草案第十二章B部分(非统一处理法)建议中的目的一节。
77. The Committee considered the following proposal for a new recommendation 184:77. 全委会审议了关于新建议184的下述提议:
“Alternative methods of acquisition financing“购置款融资的替代办法
“184. The law should provide for a regime of acquisition security rights identical to that adopted in the unitary system.“184. 法律应当就等同于统一处理法所采用的购置款担保权制度的一项制度作出规定。
All creditors, both suppliers and lenders, may acquire an acquisition security right in conformity with that regime.所有债权人,不管是供应商还是出贷人,均可按照该制度取得购置款担保权。
In addition, the law should provide for a regime of acquisition financing based on retention-of-title sales and financial leases.此外,法律还应当就基于保留所有权的出卖和融资租赁的购置款融资制度作出规定。
The law should further provide that a lender may acquire the benefit of a retention-of-title right and a financial lessor’s right through an assignment of the obligations owing to the seller or lessor.”法律应当进一步规定,出贷人可以通过出卖人或出租人被欠债务的转让而取得保留所有权权利和融资租赁出租人权利”。
78. It was agreed that the first three sentences were sufficient in reflecting the principle of functional equivalence of retention-of-title sales (and financial leases) with secured transactions and the principle of equal treatment of all acquisition financing providers.78. 会议一致认为,前三句话足以反映保留所有权的出卖(和融资租赁)与担保交易功能等同的原则以及平等对待所有购置款融资提供人的原则。
However, with respect to the last sentence, the concern was expressed that, if a lender could obtain a retention-of-title right or a financial lease right only by way of an assignment of the obligation owed to the seller or the financial lessor, the consent of the seller or the financial lessor would be required.不过,关于最后一句话,有与会者表示关切,如果出贷人只能通过出卖人或融资租赁人出租被欠债务的转让而取得保留所有权权利或融资租赁权,那么需要征得出卖人或融资租赁出租人同意。
It was explained that, as a result, the lender would have to give value in return, a result that could eliminate any benefits that buyers or lessees could obtain as a result of the competition of acquisition financing providers.该与会者解释说,其结果是,出贷人不得不支付对价,这样,买受人或承租人因为购置款融资提供人之间的竞争而可以获得的任何好处可能会消失殆尽。
In order to address that concern, it was suggested that reference should be made in recommendation 184 to the possibility of a lender acquiring a retention-of-title or financial lease right by paying the seller or financial lessor and being subrogated in the latter’s rights towards the buyer or lessee.为处理该关切,有与会者提出建议184应当提及下述可能性:出贷人通过向出卖人或融资租赁出租人付款并代为享有对于买受人或承租人的后一种权利而取得保留所有权权利或融资租赁权。
There was sufficient support for that suggestion.该建议获得了充分支持。
79. Subject to the addition at the end of words along the lines “or subrogation”, the Committee adopted the proposed new recommendation 184.79. 全委会通过了拟议的新建议184,但须在结尾处添加类似于“或代位权”的措词。
It was also agreed that a summary explanation of subrogation and the manner in which retention‑of‑title or financial lease rights could be acquired by lenders through subrogation would be included in the commentary.与会者还一致认为应在评注中列入对代位权的概要解释和出贷人通过代位权取得保留所有权权利或融资租赁权利的方式。
80. The Committee considered the following proposal for a new recommendation 185:80. 全委会审议了关于新建议185的下述提议:
“Equivalence of a retention-of-title and a financial lessor’s right to an acquisition security right“保留所有权权利和融资租赁出租人权利等同于购置款担保权
“185. The rules governing acquisition financing should produce functionally equivalent economic results regardless of whether the creditor’s right is a retention-of-title right, a financial lessor’s right or an acquisition security right.”“185. 关于购置款融资的规则应当产生彼此间功能等同的经济结果,而不管债权人的权利是保留所有权权利、融资租赁出租人权利还是购置款担保权。
81. It was noted that the proposed text was based on the original text of recommendation 184 in document A/CN.9/631.81. 全委会注意到拟议案文以A/CN.9/631号文件中建议184的原始案文为基础。
The Committee adopted the proposed new recommendation 185.全委会通过了拟议的新建议185。
82. The Committee considered the following proposal for a new recommendation 186:82. 全委会审议了关于新建议186的下述提议:
“Evidentiary requirement for retention-of-title and financial lessor’s rights“保留所有权权利和融资租赁出租人权利的证据要求
“186. The law should provide that a retention-of-title right and a financial lessor’s right must be evidenced in writing before the buyer or lessee obtains possession of the tangible property that is the object of the right.”“186. 法律应当规定,在买受人或承租人取得作为权利标的的有形财产的占有权之前,必须有书面证据证明保留所有权权利和融资租赁出租人权利的存在。
83. It was noted that, unlike the original text of recommendation 185 in document A/CN.9/631, on which the proposed new recommendation 186 was based and which referred to “creation”, the proposed new recommendation referred to evidentiary requirements.83. 全委会注意到拟议的新建议186以原建议185的案文(载于A/CN.9/631号文件)为基础,但新建议与原建议不同,新建议提及的是证据要求,原建议提及的是“设定”。
It was explained that a retention-of-title sale established a kind of an expectancy of ownership on the part of the buyer, the value of which was equal to the amount of the paid portion of the purchase price, but did not “create” ownership as such.有与会者解释说,保留所有权的出卖确立了买受人拥有所有权的预期,其价值等于已支付购买价款部分的数额,但并未“设定”这样的所有权。
The Committee adopted the proposed new recommendation 186.全委会通过了拟议的新建议186。
84. The Committee considered the following proposal for a new recommendation 187:84. 全委会审议了关于新建议187的下述提议:
“Right of buyer or lessee to create a security right in residual value of sold or leased property“买受人或承租人在出卖或租赁资产的剩余价值上设定担保权的权利
“187. The law should provide that a buyer or lessee may create a security right in tangible property that is the object of a retention-of-title right or a financial lessor’s right.“187. 法律应当规定,买受人或承租人可在作为保留所有权权利或融资租赁出租人权利标的的有形财产上设定担保权。
The security right is enforceable only to the extent of the value remaining in the tangible property after the obligation owing to the seller or financial lessor is satisfied.”该担保权的可执行额以偿还所欠出卖人或融资租赁出租人的债务之后有形财产上所剩余的价值为限。
85. It was noted that the first sentence of the proposed text was based on the original text of recommendation 185 bis in document A/CN.9/631.85. 全委会注意到拟议案文的第一句话以A/CN.9/631号文件中建议185之二的原始案文为基础。
However, it was widely felt that the second sentence went beyond its intended meaning to limit the security right created by the buyer in the tangible assets to the paid portion of their purchase price.不过,与会者广泛认为第二句话超出了其预期含义,即把买受人在有形资产上设定的担保权限于已支付购买价款的部分。
It was stated that the text was not intended to deal with enforcement but rather to set out a priority rule, according to which the retention-of-title seller or financial lessor would be paid ahead of a secured creditor that obtained a right in the goods from the buyer or lessee.有与会者指出案文无意处理执行问题,而是规定一项优先权规则,据此保留所有权的出卖人或融资租赁出租人将先于从买受人或承租人处取得货物上权利的有担保债权人而获得偿付。
It was agreed that the second sentence should be revised to read along the following lines: “The security right is limited to the value remaining in the tangible asset in excess of the obligation owing to the seller or financial lessor.”与会者一致认为,第二句话应改为内容大致如下的措词:“担保权以超出所欠出卖人或融资租赁出租人债务的有形资产上所剩余的价值为限。
Subject to that change, the Committee adopted the proposed new recommendation 187.”全委会通过了拟议的新建议187,但须进行上述修改。
86. The Committee considered the following proposal for a new recommendation 188:86. 全委会审议了关于新建议188的下述提议:
“Effectiveness of a retention-of-title or financial lessor’s right in consumer goods against third parties“消费品上保留所有权权利或融资租赁出租人权利对抗第三方的效力
“188. The law should provide that a retention-of-title and a financial lessor’s right in consumer goods is effective against third parties upon conclusion of the sale or lease provided that the right is evidenced by a writing in accordance with recommendation 186.”“188. 法律应当规定,消费品上保留所有权权利和融资租赁出租人权利在出卖或租赁完成之后取得对抗第三方的效力,条件是有建议186所规定的书面证据证明该权利的存在。
87. It was noted that the proposed text was based on the original text of recommendation 190 in document A/CN.9/631.87. 全委会注意到拟议的案文以A/CN.9/631号文件中建议190的原始案文为基础。
It was also noted that: the substance of the original text of recommendation 186 was covered in the proposed new recommendations 188-190 (see para. 86 above as regards new recommendation 188 and para. 88 below as regards new recommendations 189-190); the original text of recommendations 187 and 193 was not necessary as a retention-of-title or financial lease right in consumer goods would normally not be subject to registration in a title registry; the original text of recommendation 188 was not necessary, as the issue addressed therein would normally be framed as one of effectiveness against third parties rather than priority.还注意到原建议186案文的实质内容已为拟议的新建议188-190所涵盖(关于新建议188见上文第86段,关于新建议189-190,见下文第88段);原建议187和193的案文并无必要,因为消费品上保留所有权权利或融资租赁权通常并不需要在所有权登记处登记;原建议188的案文也无必要,因为其中所处理的问题通常属于对抗第三方效力问题而非优先权问题。
The Committee adopted the proposed new recommendation 188.全委会通过了拟议的新建议188。
88. The Committee considered the following proposal for new recommendations 189 and 190 (alternative A) and a new recommendation 189 (alternative B): “Alternative A88. 全委会审议了关于新建议189和190(备选案文A)和关于新建议189(备选案文B)的下述提议:
“备选案文A
“Effectiveness of a retention-of-title or financial lessor’s right in tangible property other than inventory or consumer goods against third parties“非库存品或非消费品有形财产上保留所有权权利或融资租赁出租人权利对抗第三方的效力
“189. The law should provide that a retention-of-title or financial lessor’s right in tangible property other than inventory or consumer goods is effective against third parties only if:“189. 法律应当规定,非库存品或非消费品有形财产上保留所有权权利或融资租赁出租人权利只有在下述情况下才具备对抗第三方的效力:
“(a) The seller or lessor retains possession of the tangible property that is the object of the sale or lease;“(a) 出卖人或出租人保留被销售或租赁的有形财产的占有权;或者
or
“(b) A notice relating to the right is registered not later than [specify a short time period, such as 20 or 30 days] days after delivery of possession of the tangible property to the buyer or lessee.“(b) 不迟于向买受人或承租人交付有形财产的占有权之后[指定一个较短的期限,如20天或30天],将有关该权利的通知登记备案。
“Effectiveness of a retention-of-title or financial lessor’s right in inventory against third parties“库存品上的保留所有权权利或融资租赁出租人权利对抗第三方的效力
“190. The law should provide that a retention-of-title or financial lessor’s right in inventory is effective against third parties only if:“190. 法律应当规定,库存品上的保留所有权权利或融资租赁出租人权利只有在以下条件下才具有对抗第三方的效力:
“(a) The seller or lessor retains possession of the inventory;“(a) 出卖人或出租人保留对该库存品的占有;或
or
“(b) Before delivery of the inventory to the buyer or lessee:“(b) 在向买受人或承租人交付该库存品之前:
“(i) A notice relating to the right is registered in the general security rights registry;“㈠ 与该权利有关的通知在一般担保权登记处作了登记;以及
and
“(ii) A secured creditor with an earlier registered non-acquisition security right created by the buyer or lessee in tangible property of the same kind as the inventory is notified in writing that the seller or lessor intends to claim a retention-of-title or financial lessor’s right. The notification should describe the inventory sufficiently to enable the secured creditor to determine the nature of the inventory subject to the retention-of-title or financial lessor’s right.“㈡ 对于享有先前已登记的由买受人或承租人在与库存品相同的一类有形财产上设定的非购置款担保权的有担保债权人,以书面形式向其作了通知,告知说出卖人或出租人有意主张保留所有权权利或融资租赁出租人权利。该通知应当对库存品作充分的描述,以使有担保债权人得以确定须享有保留所有权权利或融资租赁出租人权利的库存品的性质。
“Alternative B“备选案文B
“Effectiveness of a retention-of-title or financial lessor’s right in tangible property other than consumer goods against third parties“消费品以外有形财产上的保留所有权权利或融资租赁出租人权利对抗第三方的效力
“189. The law should provide that a retention-of-title or financial lessor’s right in tangible property other than consumer goods is effective against third parties only if:“189. 法律应当规定,消费品以外有形财产上的保留所有权权利或融资租赁出租人权利只有在以下条件下才具有对抗第三方的效力:
“(a) The seller or lessor retains possession of the tangible property;“(a) 出卖人或出租人保留对该有形财产的占有;或
or
“(b) A notice relating to the right is registered not later than [specify a short time period, such as 20 or 30 days] days after delivery of the tangible property to the buyer or lessee.”“(b) 与该权利有关的通告在不晚于向买受人或承租人交付该有形财产之后[指明一个短期,例如20天或30天]内作了登记。”
89. The Committee noted that alternative A was based on the original text of recommendations 189 and 192 in document A/CN.9/631, while alternative B implemented the agreement of the Committee that no distinction should be drawn between inventory and tangible property other than inventory (see para. 63 above).89. 全委会指出,备选案文A是基于A/CN.9/631号文件中建议189和192的原始案文,而备选案文B贯彻的是全委会达成的一致意见,即不应在库存品与非库存品的有形财产之间作任何区分(见上文第63段)。
It was also noted that the original text of recommendation 190 in document A/CN.9/631 was not necessary, since the matter was addressed in the proposed new recommendation 188, under which a retention-of-title sale of consumer goods was effective against third parties upon the conclusion of the sales contract.另据指出,A/CN.9/631号文件中建议190的原始案文是不必要的,因为在拟议的新建议188中已论述了这一事项,根据该建议,销售合同一经订立,消费品上的保留所有权即具有对抗第三方的效力。
It was also noted that the original text of recommendation 191 in document A/CN.9/631 was not necessary, as its substance was addressed in the proposed new recommendation 184 (see paras. 77-79 above).还据指出,A/CN.9/631号文件中建议191的原始案文是不必要的,因为在拟议的新建议184(见上文第77-79段)中已论述了其实质内容。
90. It was stated that reference should be made in both alternative A and alternative B to registration of a notice in the general security rights registry for both retention-of-title and financial lease rights so as to ensure that the registry would cover all the various rights in a comprehensive way, a result that would promote efficiency and transparency.90. 有与会者指出,应在备选案文A和备选案文B中提及在担保权统一登记处办理保留所有权和融资租赁权的通知登记,以确保该登记处全面地涵盖所有各项权利,结果将会提高效率和透明度。
The Committee adopted the proposed new recommendations 189 and 190 (alternative A) and the proposed new recommendation 189 (alternative B).全委会通过了拟议的新建议189和190(备选案文A)以及拟议的新建议189(备选案文B)。
91. The Committee considered the following proposal for a new recommendation 191:91. 全委会审议了有关新建议191的以下提案:
“Effectiveness of a retention-of-title or financial lessor’s right in an attachment to immovable property as against earlier competing rights registered in the immovable property“不动产附加物上的保留所有权权利和融资租赁出租人权利相对于在不动产上已经登记在先的竞合权利的有效性
“191. The law should provide that a retention-of-title or financial lessor’s right in tangible property that is to become an attachment to immovable property is effective against existing rights in the immovable property that are registered in the immovable property registry (other than an existing right that secures a loan financing the construction of the immovable property) only if it is registered in the immovable property registry no later than [specify a short time period, such as 20-30 days] days after the tangible property becomes an attachment.”“191. 法律应当规定,在将成为不动产附加物的有形财产上保留所有权权利或融资租赁出租人权利,只有在该有形财产成为附加物后[指明一段较短的时限,例如20-30天]若干天内在不动产登记处登记的,才具有对抗在不动产登记处登记的不动产既有权利(为不动产建设融资贷款作保的既有权利除外)的效力。
92. It was noted that the substance of the original text of recommendation 193 in document A/CN.9/631 was covered in the proposed new recommendation 188, under which the retention-of-title seller or financial lessor did not need to register in any title registry.92. 有与会者注意到,拟议新建议188涵盖了A/CN.9/631号文件中建议193原始案文的实质内容,根据建议188,保留所有权安排的出卖人或融资租赁出租人不必在任何所有权登记处办理登记。
It was also noted that the original text of recommendation 194 in document A/CN.9/631 was no longer necessary, as the retention-of-title seller or financial lessor as an owner would always prevail over a judgement creditor of the buyer or lessor.还有与会者注意到,A/CN.9/631号文件中建议194的原始案文已不再需要,因为保留所有权安排的出卖人或作为所有人的融资租赁出租人将始终优先于买受人或承租人的判决胜诉债权人。
In addition, it was noted that the proposed new recommendation 191 was an appropriate reformulation of the original text of recommendation 195.全委会通过了拟议新建议191。
The Committee adopted the proposed new recommendation 191. 93. The Committee considered the following proposal for a new recommendation 192:93. 全委会审议了有关拟议新建议192的以下提案:
“一次或一项通知即可
“One notification or notice sufficient “192. The law should provide that a single notification to secured creditors with earlier registered non-acquisition security rights pursuant to recommendation 190 may cover retention-of-title and financial lessor’s rights under one or more than one retention-of-title sales or financial leases between the same parties without the need to specifically identify each transaction.“192. 法律应当规定,根据建议190向早先登记的非购置款担保权的有担保债权人发出一次通知,可以涵盖保留所有权安排和融资租赁出租人根据相同当事人之间一项或数项保留所有权的出卖安排或融资租赁所享有的权利,而不必在通知中分别指明每项交易。
However, the notification is effective only for rights in tangible property that is delivered into the possession of the buyer or lessee within a period of [specify time, such as five years] years after the notification is given.”但是,该通知只应对在发出通知后一段为期[指明时限,例如五年]的时期内交给买受人或承租人占有的有形财产上设置的权利有效。
94. It was noted that the proposed text was based on the original text of recommendation 196 in document A/CN.9/631.94. 有与会者注意到,拟议案文A/CN.9/631号文件中建议196的原始案文为依据。
It was agreed that, as notification of inventory financiers on record was required only in the context of alternative A in recommendation 190 (non-unitary approach), the new proposed recommendation 192 should follow the new proposed recommendation 190 in alternative A (see para. 88 above).工作组一致认为,考虑到只有建议190中的备选案文A才要求通知已有记录的库存品融资提供人,拟议新建议192应当遵行备选案文A中的拟议新建议190(见上文第88段)。
It was also agreed that reference should be made to “notice” rather than to “notification” since, in some languages, the two terms had the same meaning, and the draft Guide used the term “notification” only with the qualifying words “of the assignment”.工作组还一致认为,应当采用“一项通知(notice)”,而不是“(一次通知)notification”的提法,其原因是:在某些语文中,这两个术语的含义相同;并且《指南》草案对一次通知(notification)的使用仅限于带有“转让”这一限定词的情况。
Subject to those changes, the Committee adopted the proposed new recommendation 192.在须作这些改动的前提下,全委会通过了拟议新建议192。
95. The Committee considered the following proposal for a new recommendation 193:95. 全委会审议了有关新建议193的以下提案:
“One registration or notice sufficient“一次登记或通知即可
“193. The law should provide that registration of a single notice is sufficient to ensure the third-party effectiveness of retention-of-title and financial lessor’s rights under multiple transactions entered into between the same parties, whether concluded before or after the registration, to the extent they cover tangible property that falls within the description contained in the notice.”“193. 法律应当规定,为确保由相同当事人之间达成的多个交易所设定的保留所有权权利和融资租赁出租人权利具有第三方效力,不论这些交易究竟是在登记之前还是在登记之后订立,只要属于通知所述的有形财产,则仅登记一项通知即可。
96. It was noted that the proposed text was based on the original text of recommendation 197 in document A/CN.9/631.96. 有与会者注意到,拟议的案文以A/CN.9/631号文件中建议197的原始案文为依据。
Subject to referring only to registration in the heading, the Committee adopted the proposed new recommendation 193.全委会通过了拟议新建议193,但以只需在标题中提及登记为前提。
97. The Committee considered the following proposal for new recommendations 194-197:97. 全委会审议了有关新建议194-197的以下提案:
“Extension of a retention-of-title or financial lessor’s right in proceeds of tangible property other than inventory or consumer goods“在非库存品或非消费品有形财产收益上的保留所有权权利或融资租赁出租人权利的延及适用
“194. The law should provide that a retention-of-title or financial lessor’s right in tangible property other than inventory or consumer goods extends to the proceeds of such property (including proceeds of proceeds).“194. 法律应当规定,保留所有权安排或融资租赁出租人在非库存品或非消费品有形财产上的权利延及适用于这类财产的收益(包括收益的所得)。
“Third-party effectiveness of a retention-of-title or financial lessor’s right in proceeds of tangible property other than inventory or consumer goods“在非库存品或非消费品有形财产收益上的保留所有权权利或融资租赁出租人权利的第三方效力
“195. The law should provide that a retention-of-title or a financial lessor’s right in proceeds is effective against third parties only if the proceeds are described in a generic way in the registered notice by which the seller’s or lessor’s rights were made effective against third parties or the proceeds consist of money, receivables, negotiable instruments or rights to payment of funds credited to a bank account.“195. 法律应当规定,在收益上的保留所有权权利或融资租赁出租人权利具有对抗第三方的效力,但其必要条件是,在出卖人或出租人的权利据以具有对抗第三方效力的已登记通知中,对收益作笼统地介绍,或收益由金钱、应收款、可转让票据或银行账户贷记款受付权组成。
“196. If recommendation 195 does not apply, the right in the proceeds is effective against third parties for [to be specified] days after the proceeds arise and continuously thereafter, provided a notice of the right in the proceeds is registered in the general security rights registry before the expiry of that period.“196. 如果建议195无法适用的话,在收益产生之后的若干天[有待指明]和此后不间断的若干天[有待指明]内,收益上的权利具有对抗第三方的效力,但先决条件是,该期限期满以前,在担保权统一登记处办理在收益上的权利的通知登记。
“Extension of a retention-of-title or financial lessor’s right in proceeds of inventory“保留所有权权利或融资租赁出租人权利延及适用于库存品的收益
“197.
The law should provide that a retention-of-title or financial lessor’s right in inventory extends to its proceeds, other than proceeds in the form of receivables, negotiable instruments, funds credited in a bank account and the obligation to pay under an independent undertaking (including proceeds of proceeds), provided that the seller or lessor notifies earlier-registered secured creditors with security rights in tangible property of the same kind as the proceeds before the proceeds arise.”“197. 法律应当规定,保留所有权权利或融资租赁出租人在库存品上的权利延及适用于该库存品的收益,以应收款、可转让票据、银行账户贷记款和独立保证下应付债务(包括收益的收益)为形式的收益除外。 但是在收益产生之前,出卖人或出租人必须通知已先作登记而且在与收益同类的有形财产上享有担保权的有担保债权人。
98. It was noted that the proposed new recommendations 194 and 197 were based on the original text of recommendations 198 and 199 in document A/CN.9/631, while the proposed new recommendations 195 and 196 were based on the original text of recommendations 40 and 41 in document A/CN.9/631.98. 有与会者注意到,拟议的新建议194和197以原建议198和199的案文为依据(载于A/CN.9/631号文件),而拟议的新建议195和196以A/CN.9/631号文件中建议40和41的原始案文为依据。
99. It was stated that the proposed new recommendations 194 and 197 should be aligned with the approach taken in most jurisdictions in which retention-of-title and financial lease rights were known as devices separate from secured transactions; they did not extend to proceeds; and no distinction was drawn between proceeds of inventory and tangible property other than inventory.99. 有与会者指出,应当对拟议新建议194和197作出调整,以便与大多数法域采取的做法保持一致,在这些法域中,保留所有权安排和融资租赁权均被称作有别于担保交易的做法;不延及适用于收益;并且不对库存品的收益和非库存品的有形财产作出区分。
In response, it was observed that a solution that would avoid inconsistency with the regime applicable to ownership devices would be to provide that a retention-of-title or financial lease right would not extend to proceeds and that the retention-of-title seller or financial lessor would have instead a normal security right in proceeds, to which the general third-party effectiveness and priority rules would apply (pursuant to recommendations 40, 41 and 80).有与会者就此指出,为避免与所有权做法适用制度不相一致,应当规定,保留所有权安排或融资租赁权不应延及适用于收益,保留所有权安排的出卖人或融资租赁出租人而将享有在收益上的普通担保权,对于这种权利,一般第三方效力和优先权规则都将予以适用(依照建议40、41和80)。
In addition, it was said that, in order to ensure the same results in the unitary and the non-unitary approach, that security right should have super-priority in proceeds in the form of equipment but not in proceeds of inventory in the form of the payment rights described in the proposed new recommendation 197.此外,有与会者称,为了确保统一处理法和非统一处理法取得同样的结果,该担保权对于以设备为形式的收益享有超级优先权,但是对拟议新建议197中所述以受付权为形式的库存品收益将不享有超级优先权。
100. Subject to those changes, the Committee expressed initial approval for the substance of the proposed new recommendations 194 and 197 but agreed to recommend to the Commission that a revised text of the recommendations should be reviewed at the resumed fortieth session of the Commission.100. 在须作这些改动的前提下,全委会初步赞同拟议新建议194和197,但商定将建议贸委会在其第四十届会议续会上审查这些建议的修订案文。
101. The Committee considered the following proposal for new recommendation 198:101. 全委会审议了有关新建议198的以下提案:
“Effect of failure to obtain third-party effectiveness of a retention-of-title or financial lessor’s right“保留所有权权利或融资租赁出租人权利未获第三方效力所产生的影响
“198. The law should provide that if a seller or lessor fails to comply with the requirements for obtaining third-party effectiveness of a retention-of-title or financial lessor’s right, the seller or lessor has a security right in the tangible property subject to the sale or lease, and the general regime for security rights applies.”“198. 法律应当规定,如果出卖人或出租人未满足保留所有权权利或融资租赁出租人权利获得第三方效力的必需要求,出卖人或出租人享有在有待出卖或租赁的有形财产上的担保权,有关担保权的一般制度将予以适用。
102. The suggestion was made that the proposed new text should be revised to make it clear that, if a retention-of-title seller or a financial lessor failed to register a notice in the general security rights registry within the applicable grace period, such a seller or lessor would retain a security right as against third parties (provided that they registered a notice), but ownership would pass to the buyer.102. 有与会者建议,应当对拟议新案文加以修订,以明确指出,在可适用的宽限期内,保留所有权安排的出卖人或融资租赁出租人未在担保权统一登记处登记通知的,此类出卖人或出租人将保留相对于第三方的担保权(但必须办理通知登记),不过所有权将转给买受人。
In connection with that suggestion, the concern was expressed that, at least between the seller and the buyer (or the lessor and the lessee), ownership could not pass before full payment of the price.有与会者针对该建议关切地指出,至少在出卖人和买受人之间(或者在出租人和承租人之间),在没有付清价款以前不得转让所有权。
In order to address that concern, the suggestion was made that the proposed text should be revised to provide that ownership would pass to the buyer or lessee “as against third parties” and the seller or lessor would have a security right, provided that it registered a notice in the general security rights registry after the expiry of the grace period.为消除这种关切,有与会者建议,应当对拟议案文加以修订,以规定出卖人或出租人将享有“相对于第三方”的担保权,但必须在宽限期期满之后在担保权统一登记处办理通知登记。
That suggestion received sufficient support.该建议得到了充分的支持。
Subject to that change, the Committee adopted the proposed new recommendation 198.在须作这一改动的前提下,全委会通过了拟议新建议198。
It was also agreed that the new recommendation (as for all new or revised recommendations) should be explained in the commentary.工作组还一致认为,应当在评注中对该新建议(同样对所有新的或经过修订的建议)作出解释。
103. The Committee considered the following proposal for new recommendations 199-201:103. 全委会审议了就新建议199-201提出的下列提议:
“Post-default enforcement of retention-of-title and financial lessor’s rights“保留所有权权利和融资租赁出租人权利的违约后强制执行
“199. The law should provide a regime for the post-default enforcement of retention-of-title and financial lessor’s rights that deals with:“199. 法律应当从以下方面着眼,对保留所有权权利和融资租赁出租人权利的违约后强制执行规定一种制度;
“(a) The manner in which the seller or lessor may obtain possession of the tangible property subject to the sale or lease;“(a) 出卖人或出租人取得对于所出售或所租赁的有形财产的占有权的方式;
“(b) Whether the seller or lessor is required to dispose of the tangible property and, if so, how;“(b) 出卖人或出租人是否必须处分有形资产,如果是的话,处分的方式;
“(c) Whether the seller or lessor may retain any surplus;“(c) 出卖人或出租人是否可以保留任何余额;
and
“(d) Whether the seller or lessor has a claim for any deficiency against the buyer or lessee.“(d) 出卖人或出租人是否就任何差额对买受人或承租人提出主张。
“200. The law should provide that the regime that applies to the post-default enforcement of a security right applies to the post-default enforcement of a retention-of-title or financial lessor’s right except to the extent necessary to preserve the coherence of the regime applicable to sale and lease.“200. 法律应当规定,凡是适用于担保权违约后强制执行的制度,也适用于保留所有权权利和融资租赁出租人权利的违约后强制执行,但以必须维护适用于出售和租赁的制度的一致性为限。
“Law applicable to retention-of-title and financial lessor’s rights“保留所有权权利和融资租赁出租人权利的适用法律
“201. The law should provide that the provisions of this law on private international law apply to retention-of-title and financial lessor’s rights.”“201. 法律应当规定,本法关于国际私法的条款适用于保留所有权权利和融资租赁出租人权利。
104. It was noted that the proposed text was based on the original text of recommendations 200 and 201 in document A/CN.9/631.104. 有与会者指出,所提议的案文是基于A/CN.9/631号文件中建议200和201的原始案文。
Subject to referring to a “financial lease right” rather than to a “financial lessor’s right” (see para. 74 above), the Committee adopted the proposed new recommendations 199-201.在使用“融资租赁权”而不是“融资租赁出租人权利”的提法这一前提下(见上文第74段),全委会通过了拟议的新建议199-201。
105. Subject to the above-mentioned changes and consequential amendments to the commentary to the chapter, the Committee adopted recommendations 184-201 of section B (non-unitary approach) of chapter XII of the draft Guide.105. 在须作上述改动并随之对本章评注进行修正的前提下,全委会通过了指南草案第十二章B部分(非统一处理法)建议184-201。
(b) Commentary (A/CN.9/631/Add.9)(b) 评注(A/CN.9/631/Add.9)
106. Subject to any changes consequential upon the revisions to recommendations 184-201 (unitary and non-unitary approaches), the Committee approved the substance of the commentary to chapter XII.106. 在须根据对建议184-201(统一处理法和非统一处理法)的修改而进行改动的前提下,全委会核准了第十二章评注的实质内容。
7. Chapter XIII. Private international law7. 第十三章. 国际私法
(a) Recommendations (A/CN.9/631, recommendations 202-222)(a) 建议(A/CN.9/631,建议202-222)
107. The view was expressed that the title of the chapter should be adjusted to fit its contents (in other words, the law applicable to security rights).107. 有与会者认为,为了与其内容(也就是适用于担保权的法律)相符,应当对该章的标题作出调整。
It was widely felt that the term “private international law” was broader than the terms “conflict of laws” or “applicable law”, since it included issues of jurisdiction, recognition and enforcement of foreign judgements.普遍的看法认为,“国际私法”这一用语的范围大于“法律冲突”或“适用法律”这些用语,其原因是,该用语包括了管辖权、承认和执行外国判决等问题。
It was agreed that the title to the chapter should be changed to “conflicts of laws” or “applicable law” or any other title that may be suggested by United Nations terminology experts.工作组一致认为,应当把该章的标题改为“法律冲突”或“适用法律”或可以按照联合国术语问题专家的建议改用其他任何标题。
108. In response to a question with respect to the footnote to the chapter, it was noted that the footnote emphasized the contribution of the Permanent Bureau of the Hague Conference on Private International Law to the chapter.108. 有与会者就针对该章脚注的一个问题指出,该脚注强调了海牙国际私法会议常设局对本章作出的贡献。
Expressing its appreciation for that contribution, the Committee agreed that reference should be made to the Permanent Bureau rather than to the Conference.为了表示对这一贡献的赞赏,全委会一致认为,应当提及的是常设局,而不是海牙私法会议。
109. With respect to recommendation 202, it was agreed that the law of the State under which a specialized registration system was maintained should govern security rights in tangible property subject to a specialized registration system.109. 对于建议202,与会者一致认为,遵照专门登记制度的有形财产上的担保权,应当受据以维持专门登记制度的国家的法律管辖。
110. The suggestion was also made that, with respect to security rights in goods covered by a negotiable instrument, reference should be made to the law of the State in which the negotiable document was located.110. 还有与会者建议,对于可转让单证所涵盖的货物上的担保权,应当提及可转让单证所在国的法律。
The Committee agreed to defer consideration of that suggestion to a later time in the session after it had had an opportunity to discuss the revised version of recommendation 107 (priority of a security right in a negotiable document or goods covered by a negotiable document) (see paras. 130-134 below).全委会商定,将该建议推迟到在该届会议上有机会讨论建议107(可转让单证上或可转让单证所涵盖的货物上担保权的优先权)修订稿(见下文第130-134段)以后再行审议。
The suggestion was also made that the Committee should consider the law applicable to the transfer of a security right.还有与会者建议,全委会应当审议担保权转移的适用法律。
In that connection, the view was expressed that the approach taken in the United Nations Assignment Convention should be followed.有与会者就此认为,应当遵行《联合国转让公约》采取的做法。
The Committee decided to postpone consideration of that suggestion until it had had an opportunity to consider all the recommendations in chapter XIII (see para. 127 below).全委会决定将该建议推迟到有机会对第十三章中的所有建议(见下文第127段)进行审议后再行审议。
111. With respect to recommendation 204, a number of concerns were expressed.111. 对于建议204,有与会者表示了一些关切。
One concern was that, while the rule might be appropriate for assignments of future trade receivables or of trade receivables assigned in bulk, it would be inappropriate for receivables arising from financial contracts.一种关切是,虽然该规则可能适用于转让未来贸易应收款或大批转让的贸易应收款,但它并不适用于金融合同产生的应收款。
Another concern was that the rule might be inappropriate even for trade receivables.另一种关切是,该规则甚至有可能并不适用于贸易应收款。
In that connection, reference was made to the European Commission proposal for a regulation of the European Parliament and the Council on the law applicable to contractual obligations (the proposed Rome I regulation), in the context of which the law of the assignor’s location and the law governing the assigned receivable were discussed as the options for the law applicable to third-party effects of assignments.有与会者就此提及欧盟委员会针对欧洲议会和理事会有关合同义务适用法律的条例(拟议的Rome I条例)而提出的提案。 该项提案曾讨论把转让人所在地的法律和有关被转让应收款的法律视为在转让的第三方效力适用法律上的选择。
Yet another concern was that the rule in recommendation 204 would result in the application of two different laws in a situation where a person made an assignment in State X and then moved to State Y and made a second assignment of the same receivables.还有一种关切是,建议204中的规则将导致在以下情形下适用两种不同的法律,即某人在X国作出一次转让后移往Y国,又对一笔同样的应收款作出第二次转让。
It was added that the same problem would arise in a situation where A in State X assigned to B in State Y and B assigned to C in State Z. Yet another concern was that it would be difficult for debtors of receivables to determine which law applied to their discharge or to ensure that they would not have to deal with an inconvenient or unacceptable creditor.有与会者补充说,当X国的A对Y国的B转让,B又对Z国的C转让时将会出现同样的问题。 又有一种关切是,应收款债务人既难以确定对清偿债务究竟适用哪一种法律,也无法确保不必同令人为难的或无法接受的债权人打交道。
In view of the above-mentioned concerns, support was expressed in favour of the law governing the receivable.考虑到上述关切,有与会者更倾向于管辖应收款的法律。
112. In response, it was stated that the issue of financial contracts still remained to be discussed (see paras. 137-142 below).112. 有与会者就此指出,对金融合同问题还可以进行讨论(见下文第137-142段)。
As to trade receivables, it was observed that the draft Guide adopted the approach of the United Nations Assignment Convention.关于贸易应收款,据指出,指南草案采取了《联合国转让公约》的做法。
In that connection, the Committee recalled that the Commission at its thirty-ninth session, in 2006, “noted with appreciation that the European Commission shared the concerns expressed in the note by the Secretariat (see A/CN.9/598/Add.2, para. 34) and admitted that the adoption in a European Union binding instrument of an approach to the law applicable to third-party effects of assignments that would be different from the approach taken in the United Nations Assignment Convention would undermine the certainty reached at the international level and might have a negative impact on the availability and the cost of credit.全委会就此回顾,贸委会在2006年其第三十九届会议上,“赞赏地注意到,欧盟委员会赞同秘书处的说明所表示的关切(见A/CN.9/598/Add.2,第34段),承认一项具有约束力的欧洲联盟文书对转让的第三方效力适用法律采取一种有别于《联合国转让公约》的做法,将会造成在国际一级取得的确定性受损,并可能对信贷的供应和费用产生消极影响。
In addition, the Commission noted with appreciation that the European Commission had expressed its willingness to cooperate closely with the UNCITRAL secretariat to ensure, as far as possible, coherence between the two instruments and the facilitation of ratification of the United Nations Assignment Convention by European Union member States”.此外,全委会赞赏地注意到,欧盟委员会已表示愿意与贸委会秘书处密切合作,以便尽可能确保这两份文书保持统一,为欧洲联盟成员国批准《联合国转让公约》提供方便”。
113. In addition, it was observed that, under recommendation 216, the governing law would be that of the State in which the grantor was located at the time a priority conflict arose, rather than two governing laws.113. 此外,据指出,根据建议216,管辖法律应当是发生优先权冲突时设保人所在国的法律,而不应当有管辖两项法律。
It was also said that, under recommendation 46, an assignee in State X could preserve its third-party effectiveness and priority if it met the third-party effectiveness requirements in State Y within a certain period of time.另据称,根据建议46,如果X国的受让人在某一时期内满足了Y国对第三方效力的要求,即可保全其第三方效力和优先权。
It was further emphasized that, under the draft Guide, no issue of priority arose (to which recommendation 204 could apply) in a situation where two competing claimants took a right from different persons (as in an assignment from A to B and from B to C).还有与会者强调说,根据指南草案,在两个竞合债权人从不同的人(即从A至B,然后又从B至C的转让)获取权利的情形下,不会产生优先权问题(对此可适用建议204)。
Moreover, it was pointed out that, under recommendation 213, subparagraph (a), the debtor of a receivable could obtain a discharge if it paid in accordance with the law governing the receivable, without being concerned whether the person that received the payment was entitled to retain proceeds as against competing claimants.此外,据指出,根据建议213 (a)项,应收款债务人根据管辖该应收款的法律偿付债务,即可获得债务的解除,而不必担心收到付款的人是否有权保留相对于有竞合债权人的收益。
It was also mentioned that whether a receivable was assignable was, under recommendation 213, subparagraph (b), also a matter for the law governing the receivable.还有与会者指出,根据建议213 (b)项,应收款可否转让也属于由关于应收款的法律所处理的事项。
Finally, it was noted that, after six years of intergovernmental negotiations in UNCITRAL that had led to the preparation of the United Nations Assignment Convention and another six years of equally detailed negotiations that had led to the preparation of the draft Guide, it was clear that the law governing the receivable would inadvertently result in the application of several laws, in the typical case of a receivables financing transaction that involved the assignment of receivables in bulk, and in uncertainty as to the applicable law, in the equally typical case of a receivables financing transaction involving the assignment of future receivables.最后,有与会者指出,各国政府在贸易法委员会历经六年的谈判才制订了《联合国转让公约》,又经过六年同样详尽的谈判拟订了指南草案,显然,有关应收款的法律将会在涉及大批转让应收款的应收款融资典型案例中不经意地造成适用若干种法律,并在涉及未来应收款转让的同样典型的应收款融资交易中也会不经意地造成无法确定适用法律。
114. The Committee agreed that recommendation 204 provided the appropriate law and recalled the decision taken by the Commission at its thirty-ninth session to approve the substance of the recommendations of the draft Guide, including recommendation 204.114. 全委会商定,建议204指明了适当的法律,并回顾贸委会第三十九届会议所作的关于核准指南草案建议实质内容,包括建议204的决定。
It was also agreed that the commentary to the chapter should fully discuss the policy reasons justifying the approach taken in recommendation 204.全委会还商定,该章评注部分应当对建议204采取的做法所持的政策性依据展开充分讨论。
In addition, it was agreed that the concerns expressed with regard to the law applicable to financial contracts would be discussed at a later stage in the session.此外,全委会一致认为,将在本届会议稍后阶段讨论就金融合同所适用的法律表示的关切。
115. In the discussion, it was noted that recommendation 204 was one of the recommendations that might not be appropriate for security rights in intellectual property and would need to be reviewed in the context of any possible future work by the Commission on security rights in intellectual property (see paras. 155-157 below and A/CN.9/632, paras. 81-86).115. 有与会者在讨论中注意到,建议204可能并不适用于知识产权上的担保权,对该建议必须结合任何未来工作加以审查(见下文第155-157段和A/CN.9/ 632,第81-86段)。
116. With respect to recommendation 205, it was agreed that reference should be made, in this recommendation and in other relevant recommendations, to the law under which a specialized registration system was organized, but only if registration in such a system had priority consequences (and not tax or other consequences unrelated to priority).116. 对于建议205,全委会一致认为,该建议及其他建议均应提及据以组建专门登记制度的法律,不过除非在这类制度中办理登记会造成优先权后果(而不会造成征税或与优先权无关的其他后果)。
117. As to recommendation 206, it was agreed that, in view of the strongly held views in support of both alternatives A and B, both alternatives should be retained.117. 对于建议206,全委会一致认为,考虑到支持备选案文A和B的观点都很有力,应当保留这两份备选案文。
It was also agreed that the commentary should fully reflect the policy reasons underlying each alternative.全委会还一致认为,评注部分应充分反映其中每一种备选做法所持的政策性依据。
118. With respect to recommendation 214, the concern was expressed that reference to the law of the State where enforcement took place would create uncertainty, because: the place of enforcement could not be predicted at the time of conclusion of a transaction; in cases where the encumbered assets included both tangible and intangible assets, such an approach could result in the application of more than one law; and enforcement could involve several acts in several places, including places other than the place of the location of the encumbered assets.118. 关于建议214,有与会者担心,提及强制执行发生地国的法律将会造成不确定性,其原因是:在订立交易时无法预见强制执行的发生地;担保资产同时包括了有形资产和无形资产的,这种做法就会造成所适用的法律不止一个;而且强制执行可能涉及在若干地点采取若干行动,这些地点包括担保资产所在地以外的地点。
119. In order to address that concern, it was suggested that reference should be made – for the enforcement of security rights in both tangible and intangible assets – to the law governing priority.119. 为了消除这种担心,有与会者建议,有形资产和无形资产上担保权的强制执行应当参照管辖优先权的法律。
In support of that suggestion, it was observed that, under such an approach, the law applicable to the enforcement of a security right in a tangible asset would be the law of the location of the asset (except in the case of tangible assets subject to a specialized registration system; see the second sentence of recommendation 202).支持该建议的一种看法认为,根据这种做法,强制执行有形资产上担保权的适用法律即为资产所在地的法律(须按专门登记制度处理的有形资产除外;见建议202的第二句)。
It was also said that the law applicable to the enforcement of a security right in an intangible asset would be the law of the location of the grantor (except in the case of certain payment rights; see recommendations 206‑210).还有与会者指出,强制执行无形资产上担保权的适用法律即为设保人所在地的法律(某些受付权除外;见建议206-210)。
In response to a question, it was explained that that approach could apply even in States that did not use the term “priority”, since the term “priority”, interpreted broadly, would cover any situation in which there was a conflict between competing rights.有与会者针对某种质疑解释说,即便在未使用“优先权”这一术语的国家,这种做法也可适用,因为“优先权”这一术语,如作广义解释,即可涵盖相竞权利互有冲突的任何情形。
120. That suggestion was objected to.120. 该建议遭到了反对。
It was stated that the compromise reached in recommendation 214 after long and difficult negotiations was a better result.有与会者指出,经由长期艰难谈判形成的建议214中的妥协更为可取。
It was also observed that application of the rule in recommendation 214, subparagraph (a), would result in the application of the law of the State where enforcement takes place to both procedural and substantive matters, while the reference to the law of the location of the grantor was appropriate with respect to the enforcement of security rights in intangible property (except with respect to certain payment rights; see recommendations 206-210).还有与会者称,适用建议214 (a)项的规则就会造成对程序事项和实质事项均适用强制执行发生地国的法律,而无形财产上担保权的强制执行适宜以设保人所在地的法律为准(某些受付权除外;见建议206-210)。
121. In response, it was observed that, in the case of extrajudicial enforcement, no procedural matters arose and thus the certainty apparently offered by the rule in recommendation 214, subparagraph (a), could be said to be illusory.121. 有与会者就此指出,非司法强制执行不会产生任何程序问题,因此可以说,建议214 (a)项的规则表面上提供的确定性其实是不存在的。
It was also stated that recommendation 214, subparagraph (a), appeared to be based on the potentially wrong assumption that enforcement would always take place in the State in which the assets were located.另据指出,建议214 (a)项所依据的推定看来有可能是不对的,该推定认为,强制执行总是发生于资产所在国。
In addition, it was said that priority was so closely linked to enforcement that the same law should apply to both priority and enforcement.此外,有与会者指出,优先权与强制执行之间的联系极为密切,因此,同一项法律应当同时适用于优先权和强制执行。
122. Accordingly, it was proposed that both alternatives could be preserved.122. 因此,有与会者提议,这两种备选办法均可保留。
However, that suggestion did not attract sufficient support.但该建议未获得充分的支持。
It was widely felt that the importance of certainty with respect to the law applicable to the enforcement of a security right outweighed the benefits of the flexibility to be provided by alternative recommendations.普遍的看法是,担保权强制执行适用法律具有确定性的重要意义胜过备选建议所提供的灵活性带来的好处。
It was agreed that the recommendation should contain only the current text of recommendation 214 and that other approaches should be discussed in the commentary.工作组一致认为,建议只应载列建议214的既有案文,其他做法可在评注中讨论。
123. With respect to recommendation 215, the suggestion was made that it should refer to the location of the branch of the grantor, which was most closely connected to the security agreement.123. 关于建议215,有与会者主张,该建议应提及与担保协议联系最为密切的设保人分支机构所在地。
Noting that recommendation 215 reflected appropriately the correct approach of the United Nations Assignment Convention (article 5, subparagraph (h)), the Committee recalled the decision of the Commission at its thirty-ninth session to adopt the substance of recommendation 215.考虑到建议215适当体现了《联合国转让公约》所采取的正确做法(第5条(h)项),全委会回顾贸委会第三十九届会议所作的通过建议215实质内容的决定。
124. With respect to recommendation 216, subparagraph (a), it was widely felt that it should refer to the creation of a security right as a matter of fact rather than of law.124. 关于建议216 (a)项,普遍的看法认为,应当把设定担保权视为事实问题,而不是法律问题。
In order to reflect that understanding, it was suggested that reference should be made to “putative” or “purported” creation.为反映这种理解,有与会者建议,应当采用“推定的”或“所声称的”设定这种提法。
There was sufficient support for that suggestion.该建议得到了充分的支持。
125. With respect to recommendation 218, subparagraph (c), it was agreed that it should be revised along the following lines: “The rules in subparagraphs (a) and (b) of this recommendation do not permit the application of the provisions of the law of the forum on third-party effectiveness or the priority of a security right as against the rights of competing claimants.”125. 关于建议218 (c)项,工作组一致认为,应当对该项作大致如下的修订:“本建议(a)和(b)项的规则不允许将诉讼地法律的规定适用于担保权的第三方效力或相对于竞合求偿人权利的担保权的优先权”。
That formulation, it was said, would ensure that the forum could not use principles of public policy to apply its own substantive law rules on third-party effectiveness or priority.有与会者认为,这种行文措词可以确保,诉讼地无法利用公共政策的原则来适用其有关第三方效力或优先权的实体法规则。
On the other hand, it was observed, the forum could set aside the creation rules of the applicable law and apply instead its own substantive law rules on the creation of a security right. As a result, the forum could refuse to recognize that a security right had been effectively created, if that was not permitted under the substantive law of the forum (for instance, a security right in wages).另一方面,有与会者指出,诉讼地可以搁置适用法律的设定规则,另行适用其有关担保权设定的实体法规则,由此而造成的结果是,如果诉讼地的实体法不允许,诉讼地就可拒不承认一项担保权(例如工资上的担保权)已经有效的设定。
126. With respect to recommendation 219, subparagraph (b), it was agreed that it should be deleted, as recommendation 220 addressed the same point.126. 关于建议219 (b)项,工作组一致认为应当删除,因为建议220述及同样问题。
127. Recalling its decision to consider the law applicable to the transfer of a security right once it had completed its discussion of the recommendations in chapter XIII (see para. 110 above), the Committee agreed that the commentary could discuss the effect of a transfer of a receivable on a right securing payment of the receivable and the law applicable thereto, describing approaches taken in various legal systems, without, however, making any recommendation, as that matter related to the law applicable to contractual obligations.127. 回顾其一旦完成对第十三章中建议的讨论即可审议担保权转让适用法律的决定(见上文第110段),全委会商定,评注可讨论应收款的转让对为偿付应收款作保的权利的影响和这方面的适用法律,介绍各个法律制度所采取的做法,而同时又不提出任何建议,因为该事项涉及合同义务的适用法律。
128. Subject to the above-mentioned changes and consequential amendments to the commentary to the chapter, the Committee adopted recommendations 202-222.128. 在须作上述改动并随之对本章评注加以修订的前提下,全委会通过了建议202-222。
(b) Commentary (A/CN.9/631/Add.10)(b) 评注(A/CN.9/631/Add.10)
129. The Committee approved the substance of the commentary to chapter XIII subject to the changes referred to above and the following changes:129. 全委会核准了第十三章评注的实质内容,但须作上文提及的改动和以下改动:
(a) In paragraph 2, as making the determination of the internationality of a case a condition precedent to the application of conflict-of-laws rules could undermine their application, the third and fourth sentences should be deleted;(a) 在第2段中,由于把确定案件的国际性设定为适用法律冲突规则的先决条件会损害这些规则的适用,因此,第三和四句应当予以删除;
(b) References to courts and, to the extent possible, to the forum in chapter XIII should be replaced by references to “authorities” and to the State in which a case “was examined” respectively;(b) 在第三章中,应当把提及法院并在可能的限度内提及诉讼地分别改为提及“主管机关”和案件“得到审查”的国家;
(c) In paragraph 14, the text should be reviewed to avoid any implication that all legal systems took an identical stance on the application of the law of the location of the asset to the creation of a security right as between the parties;(c) 在第14段中,应当对该案文进行审查,以避免造成以下任何推定,即认为所有法律制度在对当事人之间担保权的设定适用资产所在地的法律上立场相同;
(d) In paragraphs 35-40, any limitations that the Committee might introduce to the scope of recommendation 204 with respect to financial contracts (see paras. 137-142 below) should be discussed;(d) 在第35-40段中,应当讨论全委会对关于金融合同的建议204的范围可能作出的任何限制(见下文第137-142段);
(e) In paragraph 56, it should be clarified that recommendation 214 was not designed to apply to procedural enforcement matters and that, in some States, such matters could arise only in the context of judicial enforcement.(e) 在第56段中,应当澄清,建议214无意适用于强制执行的程序问题,并且只有在司法强制执行中才会出现这类问题。
8. Priority of a security right in a negotiable document or goods covered by a negotiable document/law applicable to the priority of a security right in a negotiable document or goods covered by a negotiable document8. 可转让单证上或可转让单证所涵盖货物上担保权的优先权/适用于可转让单证上或可转让单证所涵盖货物上担保权的优先权的法律
130. Recalling its decision to defer discussion of recommendation 107 to a later time in the session (see para. 25 above), the Committee considered the following proposal for a revised version of recommendation 107:130. 回顾其推迟到本届会议晚些时候再讨论建议107的决定(见上文第25段),全委会审议了就建议107修订案文提出的下列提议:
“107. The law should provide that a security right in tangible property made effective against third parties by possession of a negotiable document has priority over a competing security right made effective against third parties by another method.“107. 法规应当规定,有形财产上的担保权,通过占有可转让单证而取得对抗第三方效力的,对通过另一种方法取得对抗第三方效力的竞合担保权享有优先权。
This rule does not apply if (i) the tangible property is not inventory and (ii) the security right of the secured creditor not in possession of the negotiable document was made effective against third parties before the earlier of (x) the time that the tangible property became represented by the negotiable document, and (y) the time when an agreement was made between the grantor and a secured creditor in possession of the negotiable document providing for the tangible property to be represented by a negotiable document so long as the tangible property became so represented within [30] days from the date of the agreement.”本规则在下述情况下不适用:㈠有形财产不是库存品,㈡未占有可转让单证的有担保债权人的担保权在下述两个时间较先者之前已取得对抗第三方的效力:(x)有形财产变成可转让单证的时间,(y)设保人与占有可转让单证的有担保债权人之间订立协议的时间,该协议规定,只要有形财产在订立协议日期[30]天之内变成可转让单证,该有形财产必须成为可转让单证。
131. It was noted that, under the proposed reformulation, recommendation 107 would provide that a security right that was made effective against third parties through the transfer of possession of a negotiable document to the secured creditor would have priority over a security right that was made effective against third parties in any other way.131. 据指出,按提议改写后,建议107将作出这样的规定,凡是通过把可转让单证的占有权转移给有担保债权人而取得对抗第三方效力的担保权,对于通过任何其他方式取得对抗第三方效力的担保权享有优先权。
It was widely felt that that text would better reflect the policy of preserving the negotiability of negotiable documents and reflecting relevant commercial practices.普遍认为,改写后的案文更好地反映了既要维护可转让单证的可转让性,又要反映相关的商业实务的政策。
132. It was also generally considered that, in order to properly address the relevant commercial practices, the rule should be made subject to an exception, with respect to which the general priority recommendations would apply (in other words, priority should be determined as of the time of registration).132. 与会者还普遍认为,为了适当地考虑相关的商业实务,这条规则应当有一个例外,对这一例外将适用一般优先权建议(换言之,优先权应当在登记之时确定)。
It was stated that the exception referred to a security right in tangible property other than inventory (for instance, equipment).据指出,该例外是指担保权设在有形财产上、而不是设在库存品(如设备)上。
It was observed that, unlike inventory, equipment was not normally expected to be represented by a negotiable document and be made subject to a security right in the negotiable document.据认为,设备与库存品不同,通常并不认为会变成可转让单证并受可转让单证上的担保权的限制。
Therefore, a security right in equipment should be protected in the sense that the general priority rules should apply.因此,设备上的担保权应当受到保护,这是指应当适用一般优先权规则。
It was also observed that the exception involved a security right that was made effective against third parties before title to the tangible property became represented by the negotiable document or before conclusion of the agreement between the grantor and the secured creditor providing that title in the tangible property were represented by a negotiable document.还有与会者称,该例外所涉担保权在对有形财产的所有权须以可转让单证为凭证之前或者在设保人与有担保债权人之间订立协议规定对有形财产的所有权须以可转让单证为凭证之前即取得对抗第三方的效力。
It was stated that that exception was justified by the fact that a person taking possession of a negotiable document should first check the registry and determine whether the assets covered by the document were subject to a security right.据指出,后一种情形之所以也作为例外,是因为取得可转让单证占有权的人应当首先核对登记簿,确定该单证所涉及的资产上是否设有担保权。
133. The Committee adopted the proposed new recommendation 107.133. 全委会通过了拟议的新建议107。
134. The Committee recalled its decision to revert to the question of the law applicable to a priority conflict between a possessory security right in a negotiable document and a non-possessory security right in the tangible property covered by the document (see para. 110 above).134. 全委会回顾曾经决定重新讨论适用于可转让单证上占有式担保权与该单证所涵盖有形财产上非占有式担保权之间优先权冲突的法律问题(见上文第110段)。
The Committee agreed that such a priority conflict should be referred to the law of the State in which the negotiable document was located.全委会一致认为,这类优先权冲突应适用可转让单证所在国的法律。
It was widely felt that such an approach would be in line with applicable principles of negotiable document law.普遍的看法是,这种做法符合可转让单证法的适用原则。
9. Chapter XIV. Transition9. 第十四章. 过渡
(a) Recommendations (A/CN.9/631, recommendations 223-230)(a) 建议(A/CN.9/631,建议223-230)
135. The Committee adopted recommendations 223-230.135. 全委会通过了建议223-230。
(b) Commentary (A/CN.9/631/Add.11)(b) 评注(A/CN.9/631/Add.11)
136. The Committee approved the substance of the commentary to chapter XIV.136. 全委会核准了第十四章的评注的实质内容。
10. Financial contracts10. 金融合同
137. The Committee engaged in a preliminary discussion with respect to the application of the draft Guide to contingent payment rights arising under or from financial contracts.137. 全委会就指南草案对金融合同产生的或有受付权的适用问题进行了初步讨论。
At the outset, it was stated that the draft Guide applied to contingent payment rights arising under or from financial contracts as it applied to intangible assets in general.首先,有与会者指出指南草案如同适用于普通无形财产一样,也适用于金融合同产生的或有受付权。
It was also observed that, if all types of securities were excluded from the scope of the draft Guide, the draft Guide would still apply to certain types of payment rights arising under or from financial contracts (for instance, foreign exchange contracts).还有与会者指出,即使各类证券排除在指南草案的适用范围之外,指南草案仍将适用于某些类别的金融合同(例如外汇合同)。
In addition, it was said that those types of payment rights should either be excluded from the draft Guide or be made subject to certain asset-specific rules. Moreover, it was pointed out that such rules should deal with several issues, such as those mentioned below.还有与会者指出这些类别的金融合同或者应排除在指南草案范围之外,或者应服从某些特定财产规则。 也有与会者指出这类规则应处理类似下文所述的几个问题。
138. One such issue was the definition of the term “financial contract”.138. 其中一个问题是“金融合同”一词的定义。
In that connection, it was pointed out that the definition contained in the United Nations Assignment Convention (article 5, subparagraph (k)) was a good starting point but would need to be updated so as to take into account recent developments in practice.在这方面,指出《联合国转让公约》所载定义是一个很好的开端,但需要根据最近的实践发展情况加以修订。
Another issue was the law applicable to security rights in payment rights arising under or from financial contracts.另一个问题是金融合同产生的受付权上担保权的适用法律问题。
It was observed that the law of the grantor’s location, provided in recommendation 204, would not be appropriate with respect to such payment rights.有与会者指出,建议204所规定的设保人所在国的法律不适用于这类受付权。
Yet another issue was the way in which a security right in a payment right arising from or under a financial contract could be made effective against third parties and whether third-party effectiveness achieved by control would result in that security right having a superior priority ranking.还有一个问题是金融合同产生的受付权上的担保权取得对抗第三方效力的方式,以及通过控制取得的对抗第三方效力是否使该担保权在排序上属于超级优先权。
Yet another issue was that anti-assignment agreements contained in financial contracts should be respected, a result that would require an adjustment to the definition of the term “receivable” and recommendation 25.另一个问题是金融合同中所载的禁止转让协议应当受到尊重,其结果是“应收款”一词的定义和建议25需要调整。
Yet another issue was the recharacterization of the transfer of a financial contract as a secured transaction.还有一个问题是金融合同的转让重新定性为担保交易。
139. It was also noted that the above-mentioned considerations would apply even more if only some types of securities were excluded from the draft Guide (see paras. 145-147 below).139. 还有与会者指出,即使仅仅将某些类别的证券排除在指南草案之外,上述考虑仍将适用。
In any case, it was stated, further work would be required in order to prepare asset-specific rules to fully reflect financial contract practice.有与会者指出无论如何都需要就拟订充分反映金融合同惯例的特定资产规则开展进一步的工作。
140. In response, it was observed that any exclusion from or inclusion in the draft Guide of payment rights arising under or from financial contracts should be based on the definition of the term “financial contract” contained in the United Nations Assignment Convention, as the definition was sufficiently flexible to accommodate new practices.140. 对此,有与会者认为,究竟是把金融合同产生的受付权排除在指南草案之外还是列入在内,应当以《联合国转让公约》所载“金融合同”一词的定义为准,因为该定义非常灵活,可以照顾到新的惯例。
It was also pointed out that the Convention excluded only payment rights arising under or from financial contracts governed by netting agreements (article 4, subparagraph 2 (b), and article 5, subparagraphs (k) and (l), of the Convention).还有与会者指出,公约只排除净额结算协议所辖金融合同产生的受付权(公约第4条第2 (b)项和第5条(k)和(l)项)。
In addition, it was pointed out that the suggestion that different rules should apply to security rights in payment rights from or under financial contracts was based on the potentially wrong assumption that existing law was sufficiently developed and worked well.此外,有与会者指出,建议对金融合同产生的受付权上的担保权不应适用相同规则可能是建立在现行法律完备有效这样一个错误假设的基础之上的。
141. At the same time, it was emphasized that work on security rights in payment rights arising under or from financial contracts should be deferred to the future, since the relevant issues required significant additional work and, in any case, the draft Guide should not be made even more complex or delayed.141. 与此同时,有与会者强调,金融合同产生的受付权上的担保权问题应当留待以后处理,因为在相关的问题上还需要作大量工作,而指南草案无论如何不宜再复杂化或推迟了。
It was widely felt that such a result could adversely affect the acceptability or the usefulness of the draft Guide.广泛认为这样做将对指南草案的可接受性或可使用性产生不利影响。
As to any future work in this area, it was mentioned that it could take the form of another asset-specific part of the draft Guide.关于今后的工作,提到这部分内容可作为《指南》草案另一个特定财产部分。
As to the question of the provisional treatment of financial contracts in the draft Guide, the various approaches taken in recommendation 4 were mentioned.至于指南草案如何临时处理金融合同问题,提到了建议4所采取的各种做法。
142.
The Committee decided to postpone a final decision on the treatment of financial contracts in the draft Guide until it had had an opportunity to consider the treatment of securities and coordination with the work of the International Institute for the Unification of Private Law (Unidroit) on the draft Unidroit Convention on Substantive Rules regarding Intermediated Securities (see paras. 145-151 below).142. 全委会决定延后就指南草案中处理金融合同作出最后决定,直到有机会审议证券处理问题和与国际统一私法协会(统法协会)协调统法协会中介证券实体规则公约草案工作的情况(见下文第145-151段)。
11. Chapter II. Scope of application and other general rules11. 第二章. 适用范围和其他一般性规则
(a) Security rights in intellectual property (A/CN.9/631, recommendation 4, subparagraph (b), and related commentary)(a) 在知识产权上的担保权(A/CN.9/631,建议4,(b)项,和有关的评注)
143. The Committee noted that recommendation 4, subparagraph (b), deferred to intellectual property law if any inconsistency arose between the draft Guide and intellectual property law.143. 全委会注意到,凡指南草案与知识产权法有任何不一致之处,建议4 (b)项均以知识产权法为准。
While support was expressed for the substance of the recommendation, the concern was expressed that the bracketed text, adding the condition that intellectual property law should address matters relating to security rights in intellectual property, could complicate the application of intellectual property law.虽有与会者对该建议的实质内容表示支持,但也有人关切地指出,置于括号内的案文,增设了知识产权法应当述及知识产权上担保权相关事项这一条件,因此可能会使知识产权法的实施复杂化。
In order to address that concern, the suggestion was made that the bracketed text should be deleted.为了消除这一关切,有与会者建议,应当删除置于括号内的案文。
There was sufficient support for that suggestion.该建议得到充分支持。
Subject to that change, the Committee adopted recommendation 4, subparagraph (b).在须作这一改动的前提下,全委会通过了建议4 (b)项。
144. With respect to the commentary on intellectual property issues, it was widely felt that the revisions to the commentary agreed upon by Working Group VI (Security Interests) at its twelfth session (A/CN.9/620, paras. 111-120) should be included in the commentary.144. 关于知识产权问题的评注,与会者普遍认为,第六工作组(担保权益)第十二届会议商定的评注修订意见(A/CN.9/620,第111-120段)应当列入指南草案的评注,而不应交给今后的工作处理。
Subject to those changes, the Committee approved the substance of the commentary on intellectual property issues.在须作这些改动的前提下,全委会核准了有关知识产权问题的评注的实质内容。
(b) Securities (A/CN.9/631, recommendation 4, subparagraph (c))(b) 证券(A/CN.9/631,建议4,(c)项)
145. With respect to recommendation 4, subparagraph (c), the Committee considered the question of whether the draft Guide should exclude all types of securities or intermediated securities only.145. 关于建议4 (c)项,全委会审议了指南草案应当排除各类证券还是仅排除中介证券的问题。
The concern was expressed that an exclusion of intermediated securities only could result in overlap and conflict with the draft Unidroit Convention on Substantive Rules regarding Intermediated Securities and other regional and national texts.有与会者表示关切,若仅排除中介证券,可能造成与《统法协会中介证券实体规则公约》草案和其他区域和国家法规相互重叠和冲突。
It was stated that a distinction between intermediated and non-intermediated securities was not easy to draw.有与会者指出,区分中介证券和非中介证券并非易事。
It was also observed that, in some cases, the term “intermediated securities” might cover directly held securities in the so-called transparent holding systems, in which central securities depositories held securities for investors.还注意到,有时“中介证券”一词可能涵盖所谓透明持股系统中的直接持有证券,在透明持股系统中,中央证券托管机构代投资者持有证券。
In addition, it was said that securities raised different issues and should be subject to specific rules, the preparation of which would require careful study and discussion.还有与会者说证券涉及不同的问题,应当服从于特定规则,拟订这类规则时需要进行认真的研究和讨论。
146. In that connection, it was suggested that possible future work of UNCITRAL in the area of securities should focus on directly held and non-traded securities, which were often the main asset that many small and medium-sized companies could offer as security for credit.146. 在这方面,有与会者建议贸易法委员会今后在证券领域可能开展的工作应当专注于直接持有和非交易证券,这类证券经常是许多中小型公司可以用作信贷担保的主要资产。
On the other hand, it was also suggested that possible future work should: avoid drawing unnecessary distinctions between tradable and non-tradable securities and thus creating too many regimes; preserve title transfers; ensure that control was available as a method of third-party effectiveness and provided a security right with superior priority; and provide appropriate applicable law provisions.另一方面,也有与会者建议,今后工作应当:避免对可交易和不可交易证券进行不必要的区分,从而避免建立过多制度;维护所有权转移;确保控制权可作为取得对抗第三方效力的办法并提供具有超级优先权的担保权;提供适当的相关法律规定。
In addition, it was suggested that the rules on intermediated and non-intermediated securities should be integrated, as the distinction was not obvious.此外,有与会者建议应当合并关于中介证券和非中介证券的规则,因为两者区别并不明显。
It was also suggested that title transfers and security rights in receivables arising from securities should be subject to the same regime.还有与会者建议,所有权转移和证券所产生的应收款上担保权应服从相同的制度。
147. It was agreed that all types of securities should be excluded from the draft Guide.147. 全委会一致认为指南草案应当排除各类证券。
Subject to that change, the Committee adopted recommendation 4, subparagraph (c).在作出上述修改的前提下,全委会通过了建议4 (c)项。
The Committee recommended to the Commission that future work should be undertaken with a view to preparing an annex to the draft Guide on certain types of securities, taking into account work by other organizations, in particular Unidroit.全委会建议贸委会今后应当开展拟订指南草案关于某些类别证券的附件的工作,其中考虑到其他组织特别是统法协会所做的工作。
(c) Financial contracts(c) 金融合同
148.
Pursuant to its earlier decision to postpone a final decision on the treatment of payment rights arising under or from financial contracts in the draft Guide until it had had an opportunity to consider the treatment of securities and coordination with the work of Unidroit on the draft Unidroit Convention on Substantive Rules regarding Intermediated Securities (see para. 142 above), the Committee continued its discussion of whether security rights in payment rights arising under or from financial contracts and other similar contracts should also be excluded from the draft Guide.148. 根据其先前作出的决定,即延后就指南草案中有关如何处理金融合同产生的受付权问题作出最后决定,直到有机会审议证券处理问题和与统法协会协调统法协会中介证券实体规则公约草案工作的情况(见上文第142段)。 全委会继续讨论了金融合同和其他类似合同所产生的受付权上的担保权是否也应排除在指南草案之外的问题。
It was agreed that payment rights arising under or from financial contracts and foreign exchange contracts should be excluded.与会者一致认为金融合同和外汇合同所产生受付权应当排除在外。
It was widely felt that security rights in such payment rights raised different issues and required in some respects different treatment.与会者广泛认为这类受付权上的担保权涉及不同问题,需要在某些方面予以区别对待。
In addition, it was generally considered that in particular the recommendations dealing with anti-assignment agreements, set-off rights of the debtor of the receivable and applicable law were not appropriate with respect to such payment rights.此外,与会者还普遍认为,有关禁止转让协议、应收款债务人的抵销权和适用法律的建议尤其不适用于这类受付权。
149. As to the meaning of the term “financial contract” and thus as to the scope of the exclusion, differing views were expressed.149. 对于“金融合同”一词的含义和由此产生的排除范围与会者观点不一。
One view was that a broad definition of the term “financial contract” should be adopted to ensure that all contracts encompassed by present and future practice in financial markets would be excluded from the scope of the draft Guide.一种观点认为,应当采用“金融合同”一词的宽泛定义,确保金融市场当前和未来实务中包括的所有合同都排除在指南草案范围之外。
It was stated that payment rights arising under or from financial contracts should be excluded whether they were subject to a netting agreement or not.有与会者指出,金融合同不论是否服从净额结算协议都应排除在外。
It was also observed that a receivable payable upon termination of all outstanding transactions should also be excluded.还认为所有未结交易终结时应当支付的应收款也应排除在外。
In addition, it was pointed out that in particular the law applicable to a security right in such a receivable should be reviewed.此外,还有与会者指出,应当特别审查适用于这类应收款上担保权的法律。
150. However, the prevailing view was that the definition of the term “financial contract” and the approach taken in the United Nations Assignment Convention (article 4, subparagraph (2) (b), and article 5, subparagraphs (k) and (l)) should be adopted.150. 不过,占上风的观点认为,应当采用《联合国转让公约》所采用的“金融合同”这一用语的定义和做法。
It was stated that such an approach was appropriate and would also ensure consistency with the Convention.与会者指出,这种做法是适宜的,还可确保与公约保持一致。
It was also observed that, in line with the approach taken in article 4, subparagraph (2) (b), of the Convention, payment rights arising under or from financial contracts should be excluded only to the extent that they were subject to netting agreements (as a result, for example, a security right in a single receivable would not be excluded), and receivables payable upon termination of all outstanding obligations should not be excluded.与会者还指出,按照公约第4条(2) (b)项采取的做法,金融合同只有在服从净额结算交易的情况下才应当排除在外(因此,单笔应收款上担保权等将不排除在外),所有未结交易终结时应当支付的应收款不应排除在外。
In that connection, it was pointed out that the Commission, in its possible future work in that area, could examine the question of whether a special rule was required with respect to the third-party effectiveness and priority of a security right in such a receivable, as the United Nations Assignment Convention did not address that matter.在这方面,有与会者指出,鉴于《联合国转让公约》并未涉及此事,全委会今后在这方面有可能开展的工作中可以审查是否需要就这类应收款上担保权对抗第三方的效力和优先权制订特别规则。
However, it was added that the law applicable to a security right in such a receivable could not be reconsidered, as the United Nations Assignment Convention addressed it appropriately.不过,又有与会者补充说,不能重新审议适用于此类应收款上担保权的法律,因为《联合国转让公约》已适当处理此事。
While some doubt was expressed in that regard on the ground that there was a need for a new approach in view of new developments, it was widely felt that UNCITRAL could not and should not recommend an applicable law rule that would be inconsistent with the United Nations Assignment Convention.在这方面,有与会者表示疑虑,理由是新的事态发展要求采取新的做法,但是与会者广泛认为贸易法委员会不能也不应推荐一项与《联合国转让公约》不相符的相关法律规则。
151. The Committee agreed that security rights in payment rights arising under or from financial contracts and foreign exchange contracts should be excluded from the scope of the draft Guide based on the relevant exclusions of article 4, subparagraphs 2 (b) and (c), and the definitions of “financial contract” and “netting agreement” contained in article 5, subparagraphs (k) and (l), of the United Nations Assignment Convention.151. 全委会一致认为,金融合同和外汇合同所产生受付权上的担保权应当排除在指南草案的范围之外,依据是《联合国转让公约》第4条2 (b)和(c)项的相关排除条款以及第5条(k)和(l)项所载“金融合同”和“净额结算协议”的定义。
It was also agreed to recommend to the Commission that efforts should be made to consider at the resumed fortieth session of the Commission any proposals submitted in that regard.全委会还建议贸易法委员会力争在贸易法委员会第四十届会议第二部分会议上审议这方面所提交的任何提案。
In addition, it was agreed to recommend to the Commission that it should consider at a future session possible future work on financial contracts.全委会商定将建议贸委会在今后届会上审议未来可能就金融合同开展的工作。
12. Coordination with the draft Unidroit Model Law on Leasing12. 与统法协会租赁示范法草案的协调
152. The Committee noted with appreciation efforts undertaken by delegates and the secretariats of Unidroit and UNCITRAL to ensure effective coordination between the draft Unidroit Model Law on Leasing and the draft Guide.152. 全委会赞赏地注意到各位代表以及统法协会和贸委会的秘书处为确保《统法协会租赁示范法》草案和指南草案之间有效协调所做的工作。
It was also noted that those efforts had resulted in a proposal that the draft Model Law: defer to the draft Guide for financial leases that created a security right or an acquisition financing right; refer to the draft Guide for the definitions of those terms; and leave applicable law issues to the draft Guide.还注意到这项工作已提出一项建议,即示范法草案应当:就创设担保权或购置款融资权的融资租赁参照指南草案;就这些术语的定义参照指南草案;将适用法律问题留待指南草案处理。
It was also noted that, under the proposed approach, the draft Guide should cover only those financial leases that created a security right or an acquisition financing right.全委会还注意到,根据所提议的做法,指南草案应当仅包括创设担保权或购置款融资权的融资租赁。
153. Noting that reference should be made to the terms “retention-of-title right” and “financial lease right”, rather than to the term “acquisition financing right” (see para. 69 above), and that the term “financial lease right” was defined to ensure that only financial leases that created a security right would be covered by the draft Guide (see paras. 73-75 above), the Committee approved the proposed approach.153. 注意到应当用“保留所有权权利”和“融资租赁权”的提法,而不是“购置款融资权”的提法(见上文第69段),并注意到“融资租赁权”的定义着眼于确保只有创设担保权的融资租赁为指南草案所涵盖(见上文第73-75段),全委会核准了提议的做法。
13. Recommendations by the Committee of the Whole to the Commission with respect to future work on the draft UNCITRAL Legislative Guide on Secured Transactions13. 全体委员会就贸易法委员会今后有关担保交易立法指南草案的工作给贸委会的建议
154.
Expressing once again its appreciation to the Secretariat for the preparation of an extremely large number of complex documents in a very short period of time, the Committee noted that it had adopted recommendations 4 (b) and (c) (on the scope of the draft Guide as to intellectual property, securities and financial contracts) and 74‑230 (chapters VII-XIV) and approved the substance of the commentaries on chapters VII-XIV and on intellectual property, subject to the changes agreed upon by the Committee.
The Committee also noted that, subject to the changes agreed upon by the Committee, it had approved the substance of the terminology of the draft Guide on the understanding that the terminology would be reviewed at the resumed fortieth session of the Commission.
The Committee recommended that the Commission approve the decisions of the Committee.
The Committee also recommended to the Commission that, at its resumed fortieth session, the Commission should consider recommendations 1-73 and the commentaries of chapters I-VI.
In addition, the Committee recommended to the Commission that it would not need to review at its resumed fortieth session the recommendations and commentaries considered at the first part of the session, with the exception of the following materials, if necessary: recommendations on the extension of a retention‑of-title right or a financial lease right to proceeds (non-unitary approach); 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). A suggestion to include in the matters to be further reviewed the recommendation dealing with the law applicable to security rights in intangible property did not attract sufficient support. The Committee also recommended to the Commission that the question of whether the definitions and recommendations of the draft Guide should be reproduced, in addition to the relevant chapter of the commentaries, in a separate annex to the draft Guide, should be deferred to the resumed fortieth session.154.全委会再次感谢秘书处在很短的时间内编写了多份复杂的文件,并且指出,全委会已经通过建议4 (b)和(c)(指南草案有关知识产权、证券和金融合同的范围)和建议74-230(第七章至十四章),核准了指南草案第七至十四章以及有关知识产权的评注的实质内容,但必须作全委会商定的修改。全委会还注意到,在须作全委会商定的修改的前提下,其本着将在贸委会第四十届会议续会上审查术语的谅解核准的指南草案术语的实质内容。全委会建议贸委会核准全委会的决定。全委会还建议贸委会在其第四十届会议续会上审议建议1-73和第一至六章的评注。此外,全委会建议贸委会在其第四十届会议续会上不必审查第一部分会议业已审议的建议和评注,但如有必要的话可作为例外审查以下材料:有关保留所有权权利或融资租赁权延及适用于收益的建议(非统一处理法);对有关收益上保留所有权权利或融资租赁权的第三方效力的建议备选案文的评注(统一处理法和非统一处理法)。把有关无形财产上担保权适用法律的建议列入拟进一步审查的事项的该建议未获得充分的支持。对于除了评注一章是否还应当把指南草案的定义和建议单独作为其附件予以转载的问题,全委会也建议贸委会交给该届会议的续会处理。
B. Possible future work on security rights in intellectual propertyB. 今后在知识产权上担保权方面可以开展的工作
155. The Committee considered a note by the Secretariat entitled “Possible future work on security rights in intellectual property” (A/CN.9/632).155. 全委会审议了秘书处题为“今后可能在知识产权上的担保权方面开展的工作”的一份说明(A/CN.9/632)。
The Committee expressed its appreciation to the Secretariat for preparing the note and for organizing in cooperation with the World Intellectual Property Organization (WIPO) a colloquium on security rights in intellectual property, as requested by the Commission at its thirty-ninth session.全委会感谢秘书处按照贸委会第三十九届会议的要求编写该说明,并与世界知识产权组织(知识产权组织)合作,组办有关知识产权上的担保权的专题讨论会。
It was noted that the colloquium, attended by representatives of Governments and of international and national governmental and non-governmental organizations with expertise in intellectual property law, had indicated the importance of intellectual property as security for credit and the need for adjustments to the draft Guide that would ensure the appropriate coordination between secured transactions and intellectual property law.与会者注意到,出席2007年1月18日至19日在维也纳举行的该专题讨论会的有各国政府的代表、在知识产权法方面有其专长的国际和国家政府间组织和非政府组织。 这表明把知识产权当作信贷担保具有重要意义,必须对指南草案作出调整以确保适当协调担保交易和知识产权法。
It was further noted that the commentary of the draft Guide (A/CN.9/631/Add.1, para. 47) drew the attention of States to the need to consider adjusting their laws to avoid any inconsistencies between secured transactions and intellectual property law without, however, providing any specific guidance in that regard.与会者还注意到,评注提请各国注意必须考虑对本国法律作出调整,以避免出现任何此类不一致之处,但同时不在这方面提供任何具体的指导。
156. Broad support was expressed in favour of future work by the Commission on security rights in intellectual property.156. 与会者普遍赞成贸易法委员会今后在知识产权上的担保权方面开展工作。
It was stated that a significant part of corporate wealth was embodied in intellectual property assets.有与会者指出,公司财富中有相当一部分体现为知识产权方面的资产。
It was also observed that the coordination between secured transactions law and intellectual property law under the regimes existing in many countries was not sufficiently developed to accommodate financing practices in the context of which credit was extended with intellectual property being used as security.还有与会者指出,许多国家根据其既有制度而对担保交易法和知识产权法所作的协调不够完备,无法照顾到将知识产权用作信贷担保的融资做法。
In addition, it was said that the draft Guide did not provide sufficient guidance to States as to the adjustments that would need to be made to address the needs of financing practices relating to intellectual property.此外,有与会者指出,对于为满足知识产权相关融资做法的需求而必须作出的调整,指南草案没有向各国提供充分的指导。
Moreover, it was emphasized that work should be undertaken as expeditiously as possible to ensure that the draft Guide gave a complete and comprehensive guidance in that regard.而且,有与会者强调说,为确保指南草案在这方面提供完备详尽的指导,应当尽快开展这项工作。
It was also suggested that, subject to the decision by the Commission, States might be alerted, by reference in the draft Guide, to upcoming work by the Commission on the preparation of an annex to the Guide specific to intellectual property that would modify the general considerations of the draft Guide in the same way that existing asset-specific parts of the draft Guide did so.还有与会者建议,在不违反贸易法委员会决定的前提下,指南草案应当提及今后的工作,提醒各国编写专门针对知识产权的一份附件,与指南草案有关特定资产的现行部分一样,对指南草案中值得考虑的一般性问题作出限定。
It was finally pointed out that intellectual property law experts from Governments and from international governmental and non-governmental organizations should be invited to participate in future work in that area.有与会者最后指出,今后该领域的工作应当邀请各国政府、国际政府间组织和非政府组织在知识产权法方面的专家参加。
There was general support for those statements and suggestions.这些意见和建议得到了普遍支持。
157. The Committee decided to recommend to the Commission that Working Group VI (Security Interests) should be entrusted with the preparation of an annex to the draft Guide specific to security rights in intellectual property. It was widely felt that the preparation of such an annex would usefully supplement the work of the Commission on the draft Guide by providing specific guidance to States as to the appropriate coordination between secured transactions and intellectual property law.157. 全委会决定建议贸易法委员会委托第六工作组(担保权益)编写一份指南草案中专门针对知识产权上担保权的附件,就担保交易和知识产权法之间的适当协调向各国提供具体指导,从而对贸易法委员会有关指南草案的工作作出有益的补充。
The Committee was of the view that inviting international organizations with expertise in the area of intellectual property, such as WIPO, and international governmental and non-governmental organizations with expertise in secured transactions and intellectual property law to participate actively in the preparation of such an annex would help ensure the successful completion of this work within a reasonable period of time.会议普遍认为,邀请知识产权组织等在知识产权领域拥有专长的国际组织以及在担保交易和知识产权法方面拥有专长的国际政府间组织和非政府组织积极参加本工作,将有助于确保在合理的时期内顺利完成这项工作。
C. Decisions by the Commission with respect to agenda item 4C. 贸委会有关议程项目4的决定
158. Upon recommendation of the Committee of the Whole (see para. 154 above), the Commission approved the decisions of the Committee and, subject to the changes agreed upon by the Committee, adopted recommendations 4 (b) and (c) (on the scope of the draft Guide as to intellectual property, securities and financial contracts) and 74-230 (chapters VII-XIV) and approved the substance of the commentaries on chapters VII-XIV and on intellectual property.158. 根据全体委员会的建议(见上文第154段),贸委会核准了全委会的决定,并在必须作全委会商定的修改的前提下,通过了建议4 (b)和(c)项(指南草案有关知识产权、证券和金融合同的范围)和建议74-230(第七至十四章)并核准了第七至十四章及有关知识产权的评注的实质内容。
In addition, the Commission, subject to the changes agreed upon by the Committee, approved the substance of the terminology of the draft Guide on the understanding that the terminology would be reviewed at its resumed fortieth session.此外,在必须作全委会商定的修改的前提下,贸委会本着将在其第四十届会议续会上审查术语的谅解核准了指南草案术语的实质内容。
159. Upon recommendation of the Committee of the Whole (see para. 154 above), the Commission, in addition, decided that, at its resumed fortieth session, it would consider recommendations 1-73 and the commentaries of chapters I-VI.159. 根据全体委员会的建议(见上文第154段),贸委会还决定,其第四十届会议续会将审议建议1-73和第一至六章的评注。
The Commission agreed that it would not need to review at that time the recommendations and commentaries considered at the first part of the session, with the exception of the following materials, if necessary: recommendations on the extension of a retention-of-title right or a financial lease right to proceeds (non‑unitary approach); 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).贸委会一致认为,届时不必审查该届会议第一部分会议业已审议的建议和评注,但有必要的话可作为例外审查以下材料:有关保留所有权权利或融资租赁权延及适用于收益的建议(非统一处理法);对有关收益上保留所有权权利或融资租赁权的第三方效力的建议备选案文的评注(统一处理法和非统一处理法)。
把有关无形财产上担保权适用法律的建议列入拟进一步审查的事项的该建议未获得充分的支持。
The Commission agreed to defer to its resumed fortieth session the question of whether the definitions and recommendations of the draft Guide should be reproduced, in addition to the relevant chapter of the commentaries, in a separate annex to the draft Guide.对于除了评注一章是否还应当把指南草案的定义和建议单独作为其附件予以转载的问题,全委会也建议贸委会交给该届会议续会处理。
160. With respect to securities, on the recommendation of the Committee of the Whole (see para. 147 above), the Commission decided that future work should be undertaken with a view to preparing an annex to the draft Guide on certain types of securities, taking into account work by other organizations, in particular Unidroit.160. 关于证券,根据全体委员会的建议(见上文第147段),贸委会决定今后应当开展拟订指南草案关于某些类别证券的附件的工作,其中考虑到其他组织特别是统法协会所做的工作。
161. With respect to financial contracts, on the recommendation of the Committee of the Whole (see para. 151 above), the Commission decided that efforts should be made to consider at its resumed fortieth session any proposals submitted in that regard.161. 关于金融合同,根据全体委员会的建议(见上文第151段),贸委会决定应当力争在其第四十届会议续会上审议这方面所提交的任何提案。
In addition, it decided to consider at a future session possible future work on financial contracts.此外,贸委会决定在今后的届会上审议未来可能就金融合同开展的工作。
162. With respect to future work on security rights in intellectual property, on the recommendation of the Committee of the Whole (see para. 157 above), the Commission decided to entrust Working Group VI (Security Interests) with the preparation of an annex to the draft Guide specific to security rights in intellectual property.162. 关于今后在知识产权上担保权方面的工作,根据全体委员会的建议(见上文第157段),贸委会决定委托第六工作组(担保权益)编拟指南草案中具体针对知识产权上担保权的附件。
(For the next session of the Working Group, see para. 251 (f) below.)(关于工作组的下一届会议,见下文第251 (f)段。
IV.
Procurement: progress report of Working Group I 163.四. 采购:第一工作组进度报告
At its thirty-sixth and thirty-seventh sessions, in 2003 and 2004, respectively, the Commission considered the possible updating of the UNCITRAL Model Law on Procurement of Goods, Construction and Services and its Guide to Enactment on the basis of the notes by the Secretariat (A/CN.9/539 and Add.1 and A/CN.9/553).,  At its thirty-seventh session, the Commission agreed that the Model Law would benefit from being updated to reflect new practices, in particular those that resulted from the use of electronic communications in public procurement, and the experience gained in the use of the Model Law as a basis for law reform in public procurement as well as possible additional issues.163. 贸委会在其分别于2003和2004年举行的第三十六和第三十七届会议上根据秘书处的说明(A/CN.9/539和Add.1以及A/CN.9/553),审议了对《贸易法委员会货物、工程和服务采购示范法》的及其颁布指南(A/CN.9/403)可能增补问题。 贸委会第三十七届会议一致认为,增订《示范法》大有好处,可反映新的惯例,特别是由于在公共采购中使用电子通信而形成的惯例、在利用《示范法》作为公共采购法律改革的基础方面所取得的经验以及其他可能的问题。
The Commission decided to entrust the preparation of proposals for the revision of the Model Law to its Working Group I (Procurement) and gave the Working Group a flexible mandate to identify the issues to be addressed in its considerations.贸委会决定将起草《示范法》修订建议的工作交给其第一工作组(采购)进行,并请工作组在履行任务时灵活从事,以便确定拟在其审议中予以处理的问题。
The Commission noted that, in updating the Model Law, care should be taken not to depart from the basic principles of the Model Law and not to modify the provisions whose usefulness had been proven.贸委会指出,在增订《示范法》时应当谨慎从事,以免悖离《示范法》的基本原则,而且也不要对一些已证明有益的条款加以修改。
164. The Working Group commenced its work pursuant to that mandate at its sixth session (Vienna, 30 August-3 September 2004).164. 工作组在其第六届会议(2004年8月30日至9月3日,维也纳)上依照上述任务授权开始了其工作。
At that session, it decided to proceed with the in-depth consideration of the topics suggested in the notes by the Secretariat (A/CN.9/WG.I/WP.31 and A/CN.9/WG.I/WP.32) in sequence at its future sessions (A/CN.9/568, para. 10).工作组在该届会议上决定在其今后的届会上按顺序继续深入审议秘书处的说明(A/CN.9/WG.I/WP.31和A/CN.9/WG.I/WP.32)中建议的各项议题(A/CN.9/568,第10段)。
165. At its thirty-eighth and thirty-ninth sessions, in 2005 and 2006, respectively, the Commission took note of the reports of the sixth (Vienna, 30 August‑3 September 2004), seventh (New York, 4-8 April 2005), eighth (Vienna, 70‑11 November 2005) and ninth (New York, 24-28 April 2006) sessions of the Working Group (A/CN.9/568, A/CN.9/575, A/CN.9/590 and A/CN.9/595, respectively).,165. 贸委会在其分别于2005和2006年举行的第三十八和第三十九届会议上注意到工作组第六届会议(2004年8月30日至9月3日,维也纳)、第七届会议(2005年4月4日至8日,纽约)、第八届会议(2005年11月7日至11日,维也纳)和第九届会议(2006年4月24日至28日,纽约)的报告(分别见A/ CN.9/568、A/CN.9/575、A/CN.9/590和A/CN.9/595),。
166. At its current session, the Commission took note of the reports of the tenth (Vienna, 25-29 September 2006) and eleventh (New York, 21-25 May 2007) sessions of the Working Group (A/CN.9/615 and A/CN.9/623, respectively).166. 贸委会本届会议注意到工作组第十届会议(2006年9月25日至29日,维也纳)和第11届会议(2007年5月21日至25日,纽约)的报告(分别见A/CN.9/615和A/CN.9/623)。
167. The Commission was informed that the Working Group, at its tenth and eleventh sessions, had continued its work on the elaboration of proposals for the revision of the Model Law and in this regard had considered the following topics: (i) the use of electronic means of communication in the procurement process; (ii) aspects of the publication of procurement-related information, including revisions to article 5 of the Model Law and the publication of forthcoming procurement opportunities; (iii) the procurement technique known as the electronic reverse auction;167. 贸委会获悉,工作组第十届和第十一届会议继续对《示范法》修订建议加以详细说明,为此审议了以下议题:㈠在采购过程中使用电子通信手段;㈡采购相关信息公布方面的问题,包括对《示范法》第5条的修订和近期采购机会的公布;㈢称作电子逆向拍卖的采购手段;㈣异常低价竞标;以及㈤称作框架协议的订约方法。
(iv) abnormally low tenders;
and (v) the method of contracting known as the framework agreement.
It used the notes by the Secretariat (A/CN.9/WG.I/WP.43 and Add.1, A/CN.9/WG.I/WP.44 and Add.1, A/CN.9/WG.I/WP.47, A/CN.9/WG.I/WP.48, A/CN.9/WG.I/WP.50 and A/CN.9/WG.I/WP.51) as a basis for its deliberations (A/CN.9/615, paras. 10 and 11, and A/CN.9/623, paras. 12 and 13).委员会将秘书处的说明(A/CN.9/WG.I/WP.43和Add.1,A/ CN.9/WG.I/WP.44和Add.1,A/CN.9/WG.I/WP.47,A/CN.9/WG.I/WP.48,A/CN.9/ WG.I/WP.50和A/CN.9/WG.I/WP.51)用作其审议工作的基础(A/CN.9/615,第10和11段和A/CN.9/623,第12和13段)。
168. The Commission was further informed that the Working Group, at its eleventh session, had held a preliminary exchange of views on document A/CN.9/WG.I/WP.52 and the drafting materials regarding framework agreements contained therein, and had decided to consider the document in depth at its next session.168. 贸委会还获悉,工作组第十一届会议就A/CN.9/WG.I/WP.52号文件以及该文件所载的有关框架协议的起草材料初步交换了意见,并决定在其下届会议上深入审议该文件。
The Commission noted that the Working Group had deferred consideration of documents A/CN.9/WG.I/WP.45 and Add.1 and A/CN.9/WG.I/WP.52/Add.1 to a future session (A/CN.9/623, para. 12).贸委会注意到,工作组已将A/CN.9/WG.I/WP.45和Add.1及A/CN.9/WG.I/WP.52/Add.1号文件推迟到下一届会议审议(A/CN.9/623,第12段)。
169. The Commission recalled that, at its thirty-ninth session, it had recommended that the Working Group, in updating the Model Law and the Guide, should take into account the question of conflicts of interest and should consider whether any specific provisions addressing that question in the Model Law would be warranted.169. 贸委会回顾其第三十九届会议曾建议工作组在修订《示范法》和《指南》时应当考虑到利益冲突问题并且应当审议在《示范法》中是否需要有述及该问题的任何具体条文。
The Commission took note of the decision of the Working Group at its tenth session to add the issue of conflicts of interest to the list of topics to be considered in the revision of the Model Law and the Guide (A/CN.9/615, para. 11), and that the Working Group, at its eleventh session, had noted that any time frame to be agreed for the completion of the revisions to the Model Law and the Guide should take into account the time necessary to consider and address this question (A/CN.9/623, para.  13).贸委会注意到工作组第十届会议决定把利益冲突问题添入修订《示范法》和《指南》拟审议的议题清单(A/CN.9/615,第11段),工作组第十一届会议注意到,就完成对《示范法》和《指南》修订工作而商定的任何时限都应当考虑到审议和解决该问题所必需的时间(A/CN.9/623,第13段)。
170. The Commission commended the Working Group for the progress made in its work, and reaffirmed its support for the review being undertaken and for the inclusion of novel procurement practices and techniques in the Model Law.170. 贸委会赞扬工作组在其工作中取得的进展,重申支持正在进行的审查并支持在《示范法》中列入新的采购做法和手段。
It recommended that the Working Group should adopt a concrete agenda for its forthcoming sessions in order to expedite progress in its work.贸委会建议工作组通过有关其今后几届会议的具体议程,以推动其工作快速取得进展。
(For the next two sessions of the Working Group, see para. 251 (a) below.)(关于工作组今后两届会议的情况,见下文第251 (a)段。
V. Arbitration and conciliation: progress report of Working Group II五. 仲裁和调解:第二工作组的进度报告
171. The Commission recalled that at its thirty-ninth session, in 2006, it had agreed that Working Group II (Arbitration and Conciliation) should undertake a revision of the UNCITRAL Arbitration Rules.171. 贸委会回顾,其2006年第三十九届会议商定第二工作组(仲裁和调解)应当负责对《贸易法委员会仲裁规则》进行修订。
172. At that session, the Commission noted that, as one of the early instruments developed by UNCITRAL in the field of arbitration, the UNCITRAL Arbitration Rules were widely recognized as a very successful text, having been adopted by many arbitration centres and used in many different instances, for example, in investor-State disputes.172. 贸委会该届会议注意到,作为贸易法委员会在仲裁领域拟定的一份早期文书,《贸易法委员会仲裁规则》被广泛公认为一份十分成功的文本,获得许多仲裁中心的采纳,被用于多种情况,例如投资人与国家的纠纷。
In recognition of the success and status of the UNCITRAL Arbitration Rules, the Commission was generally of the view that any revision of the Rules should not alter the structure of the text, its spirit or its drafting style, and should respect the flexibility of the text rather than make it more complex.考虑到《贸易法委员会仲裁规则》已取得的成功和地位,贸委会普遍认为,对《规则》所作的任何修订都不应改变该文本的行文结构、其精神和文体,并且应尊重该文本的灵活性,而不是令其更为复杂。
It was suggested that the Working Group should undertake to define carefully the list of topics that might need to be addressed in a revised version of the UNCITRAL Arbitration Rules.有与会者建议,工作组应当认真确定《贸易法委员会仲裁规则》修订稿需要论及的议题清单。
173. At its current session, the Commission commended the Working Group for the progress made regarding the revision of the UNCITRAL Arbitration Rules, as reflected in the reports of the forty-fifth (Vienna, 11-15 September 2006) and forty-sixth (New York, 5-9 February 2007) sessions of the Working Group (A/CN.9/614 and A/CN.9/619, respectively).173. 贸委会本届会议称赞工作组在修订《贸易法委员会仲裁规则》上取得的进展,这种进展已反映在工作组第四十五届会议(2006年9月11日至15日,维也纳)和第四十六届会议(2007年2月5日至9日,纽约)的报告(分别见A/ CN.9/614和A/CN.9/619)之中。
The Commission also had before it a note by the Secretariat transmitting the report of the Secretary-General of the Permanent Court of Arbitration on its activities under the UNCITRAL Arbitration Rules since 1976 (A/CN.9/634).贸委会还收到了秘书处的一份说明,其中转递了常设仲裁法庭秘书长有关该常设仲裁庭根据贸易法委员会仲裁规则自1976年以来开展的活动情况报告(A/CN.9/634)。
174. The Commission noted that the UNCITRAL Arbitration Rules had not been amended since their adoption in 1976 and that the review should seek to modernize the Rules and to promote greater efficiency in arbitral proceedings.174. 贸委会注意到,《贸易法委员会仲裁规则》自1976年通过以来从未进行过修订,审查工作应力求使《规则》符合时代的要求,提高仲裁工作的效率。
The Commission generally agreed that the mandate of the Working Group to maintain the original structure and spirit of the UNCITRAL Arbitration Rules had provided useful guidance to the Working Group in its deliberations to date and should continue to be a guiding principle for its work.贸委会一致认为,工作组以保持《贸易法委员会仲裁规则》原有行文结构和精神不变为己任给工作组迄今的审议工作提供了有益的指导,并应当继续成为工作组工作的指导原则。
175. The Commission noted that broad support had been expressed in the Working Group for a generic approach that sought to identify common denominators that applied to all types of arbitration irrespective of the subject matter of the dispute, in preference to dealing with specific situations.175. 贸委会注意到,工作组普遍认为,力求寻找适用于各类仲裁共同标准而不论纠纷标的的通用做法优于按具体情况分别处理的做法。
However, the Commission noted that the extent to which the revised UNCITRAL Arbitration Rules should take account of investor-State dispute settlement or administered arbitration remained to be considered by the Working Group at future sessions.但贸委会也注意到,经修订的《贸易法委员会仲裁规则》究竟应当在多大程度上顾及投资人与国家之间的纠纷解决或常设机构仲裁问题仍有待工作组在今后的届会上审议。
176. The Commission noted with satisfaction that the Working Group was progressing rapidly with the preparation of the revised UNCITRAL Arbitration Rules.176. 贸委会满意地注意到,工作组在编拟经修订的《贸易法委员会仲裁规则》上进展很快。
The Working Group was expected to complete its work so that the final review and adoption of the revised Rules would take place at the latest at the forty-second session of the Commission, in 2009.预计工作组能及时完成修订工作,从而最早可在2009年贸委会第四十二届会议上最后审查并通过经修订的《规则》。
It was agreed that, should the Working Group complete its proposals early enough for them to be considered by the Commission at its forty-first session, in 2008, that option would also be acceptable.贸委会一致认为,如果工作组能够尽快完成修订稿编拟工作,确保贸委会2008年第四十一届会议对其进行审议,那么该选择也可接受。
177. With respect to future work in the field of settlement of commercial disputes, the Commission recalled that, at its thirty-ninth session, it had agreed that the issue of arbitrability was a topic that the Working Group should also consider.177. 关于今后在解决商业纠纷领域的工作,贸委会回顾,其第39届会议商定,可否仲裁问题也是工作组应加以审议的一个议题。
As to the issue of online dispute resolution, it was agreed that the Working Group should maintain the topic on its agenda but, at least in an initial phase, should consider the implications of electronic communications in the context of the revision of the UNCITRAL Arbitration Rules.关于网上解决纠纷问题,贸委会一致认为工作组应将该议题列入其议程,不过在最初阶段至少应结合对《贸易法委员会仲裁规则》的修订来审议电子通信所涉问题。
178. The Commission was informed that 2008 would mark the fiftieth anniversary of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done at New York on 10 June 1958 (the “New York Convention”) and that conferences to celebrate that anniversary were being planned in different regions, which would provide opportunities to exchange information on how the New York Convention had been implemented around the world.178. 贸委会获悉,2008年为1958年6月10日在纽约完成的《关于承认和执行外国仲裁裁决公约》(“纽约公约”)50周年,各地区正在筹划举行庆祝50周年的会议,届时将有机会交换世界各地执行纽约公约的具体情况。
The Secretariat was requested to monitor the conferences and make full use of events associated with that anniversary to encourage further treaty actions in respect of the New York Convention and promote a greater understanding of that instrument.贸委会请秘书处跟踪会议情况,充分利用与50周年有关的活动鼓励就《纽约公约》采取进一步的条约行动,促进加深对该文书的了解。
The Commission was informed that a one-day conference organized jointly by the United Nations and the International Bar Association was scheduled to be held in New York on 1 February 2008.贸委会获悉,定于2008年2月1日在纽约举行由联合国和国际律师协会联合组织举办的为期一天的会议。
(For the next two sessions of the Working Group, see para. 251 (b) below.)(关于工作组今后两届会议的情况,见下文第251 (b)段)。
VI. Transport law: progress report of Working Group III六. 运输法:第三工作组进度报告
179. At its thirty-fourth session, in 2001, the Commission established Working Group III (Transport Law) to prepare, in close cooperation with interested international organizations, a legislative instrument on issues relating to the international carriage of goods by sea, such as the scope of application, the period of responsibility of the carrier, the obligations of the carrier, the liability of the carrier, the obligations of the shipper and transport documents.179. 贸委会在其2001年第三十四届会议上设立了第三工作组(运输法),以便与有关国际组织密切合作,拟定一项国际海上货物运输方面关于下列问题的法律文书:适用范围、承运人的责任期、承运人的义务、承运人的赔偿责任、托运人的义务以及运输单证,等等。
At its thirty-fifth session, in 2002, the Commission approved the working assumption that the draft convention on transport law should cover door-to-door transport operations.贸委会在其2002年第三十五届会议上核准了关于运输法文书草案应当包括门到门运输业务的暂定假设。
At its thirty-sixth to thirty-ninth sessions, in 2003-2006, respectively, the Commission noted the complexities involved in the preparation of the draft Convention on the Carriage of Goods [Wholly or Partly] [by Sea] and authorized the Working Group, on an exceptional basis, to hold its sessions on the basis of two-week sessions., , ,在其2003年第三十六届会议至2006年第三十九届会议上,贸委会分别注意到拟定[全程或部分途程][海上]货物运输公约草案工作的复杂性,批准第三工作组作为例外将其届会的会期定为两周。
,,,
180. At its current session, the Commission took note with appreciation of the progress made by the Working Group at its eighteenth (Vienna, 6-17 November 2006) and nineteenth (New York, 16-27 April 2007) sessions (for the reports of the sessions, see A/CN.9/616 and A/CN.9/621, respectively).180. 贸委会本届会议赞赏地注意到该工作组第十八届会议(2006年11月6日至17日,维也纳)和第十九届会议(2007年4月16日至27日,纽约)所取得的进展(关于这两届会议的报告,分别见A/CN.9/616和A/CN.9/621)。
181. The Commission was informed that the Working Group, at its eighteenth session, had continued and largely completed its second reading of the draft Convention, and had made significant progress with respect to a number of difficult issues, including those regarding transport documents and electronic transport records, shipper’s liability for delay, time for suit, limitation of the carrier’s liability, the relationship of the draft Convention with other conventions, general average, jurisdiction and arbitration.181. 贸委会获悉,工作组第十八届会议继续进行并大体完成了公约草案的二读,并在一些棘手问题上取得了重大进展,其中包括运输单证和电子运输记录、托运人迟延赔偿责任、诉讼时效、承运人的赔偿责任限制、公约与其他公约的关系、共同海损、管辖权和仲裁等问题。
Also considered by the Working Group was the issue of rights of suit pursuant to the draft Convention and it was decided that, while an attempt to offer uniform solutions for rights of suit was a laudatory goal, the chapter should be deleted from the draft Convention in the light of its complexity and of the Working Group’s goal for completion of the text.工作组还审议了公约草案所规定的诉权问题,并做出决定:虽然力图就诉权问题提供统一的解决办法是一项值得称许的目标,但考虑到这项工作的复杂性以及工作组完成案文的目标,应将这一章从公约草案中删除。
The Commission was also informed that the Secretariat had facilitated consultations between experts from Working Group III (Transport Law) and experts from Working Group II (Arbitration and Conciliation) and that a common understanding had been reached that accommodated the needs and general approach of both working groups regarding the provisions on arbitration in the draft Convention.工作组还获悉,秘书处协助推动第三工作组(运输法)和第二工作组(仲裁和调解)的专家进行协商,并已就公约草案中有关仲裁的规定达成了同时顾及两个工作组的需要和总体做法的共识。
182. The Commission was further informed that the Working Group, at its nineteenth session, had commenced its third reading of the draft Convention and that significant progress had been made in that regard.182. 贸委会还获悉,工作组第十九届会议开始对公约草案进行三读,并已在这方面取得重大进展。
The third reading of a number of chapters of the draft Convention had been completed, including of related definitions, regarding the scope of application, electronic transport records, the period of responsibility of the carrier, the obligations of the carrier, the liability of the carrier, additional provisions relating to particular stages of carriage, the validity of contractual terms, liability for delay in the delivery of goods, the relationship of the draft Convention with other conventions and the obligations of the shipper.已经完成对公约草案的一些章节包括有关定义的三读,如适用范围、电子运输记录、承运人责任期间、承运人的义务、承运人的赔偿责任、有关运输特定阶段的补充条款、合同条款的有效性、对迟延交付货物的赔偿责任、公约草案与其他公约的关系以及托运人的义务各章。
The Commission was further informed that the third reading had also largely been completed of the chapter regarding transport documents and electronic transport records.贸委会还获悉,关于运输单证和电子运输记录一章的三读也已经大体完成。
183. The Commission commended the Working Group for the progress made in its work, particularly in the light of its goal of presenting the draft Convention to the Commission for its consideration in 2008.183. 贸委会赞扬第三工作组在工作中取得的进展,特别是考虑到其将在2008年提交公约草案供贸委会审议的目标。
Nevertheless, some serious concerns were raised regarding the treatment of certain substantive issues in the draft Convention, such as freedom of contract in volume contracts, and it was suggested that those issues should receive further examination prior to finalization of the draft Convention.但有些与会者对公约草案对某些实质性问题的处理提出关切,如批量合同中的合同自由问题,并建议在公约草案最后定稿之前进一步审查这些问题。
One delegation indicated that the treatment of the issue of freedom of contract in volume contracts would determine its position with regard to the adoption of a final convention.一国代表团称,其对通过最后公约持何种立场将视批量合同如何处理合同自由问题而定。
184. With respect to the time frame for completion of the draft Convention, the Commission was informed that the Working Group planned to complete its third and final reading at the end of 2007, with a view to presenting the draft Convention for finalization by the Commission in 2008.184. 关于完成公约草案的时间框架,贸委会获悉,工作组计划在2007年底完成三读即最后一读,以便在2008年将公约草案提交贸委会最后审定。
In order to accommodate that goal and to allow for the possibility that the Working Group might need additional time beyond the end of its twentieth session to complete the final reading, the Commission agreed to schedule the twenty-first session of the Working Group for 14 to 25 January 2008, so as to provide sufficient time to complete the final reading of the draft Convention and circulate it for comments to Governments prior to the forty-first session of the Commission, in 2008.为了顾及该目标,并考虑到在第二十届会议结束之后工作组可能需要更多时间以完成最后一读,贸委会同意将工作组第二十一届会议定于2008年1月14日至25日,以便为完成公约草案的最后一读并在2008年贸委会第四十一届会议之前将公约草案分发给各国政府征求意见留出足够时间。
Further, the Commission agreed to move the twenty-first session of the Working Group from New York to Vienna, given that, if the final reading were completed at that session, it would require the participation of a formal drafting group, including translators and editors, which was possible only in Vienna.贸委会还同意将工作组第二十一届会议的地点从纽约移至维也纳,因为如果该届会议完成最后一读,将需要一个包括笔译员和编辑在内的正式起草小组参与,而只有在维也纳才有这种可能。
The Commission further noted that the Working Group could decide at the conclusion of its twentieth session whether it required a one‑week or a two-week session in January 2008, but that, generally, noting the complexities and magnitude of the work involved in the preparation of the draft Convention, the Commission authorized the Working Group to hold its sessions on the basis of two-week sessions. (For the next two sessions of the Working Group, see para. 251 (c) below.)贸委会还指出,工作组可以在其第二十届会议结束时决定2008年1月需要召开会期为一周还是两周的会议,但是,一般而言,注意到拟定公约草案的相关工作复杂而繁重,贸委会批准工作组在会期为两周的基础上举行其届会(关于工作组下两届会议,见下文第251 (c)段)。
VII. Insolvency law七. 破产法
A. Progress report of Working Group VA. 第五工作组进度报告
185. The Commission recalled that, at its thirty-ninth session, in 2006, it had agreed that: (a) the topic of the treatment of corporate groups in insolvency was sufficiently developed for referral to Working Group V (Insolvency Law) for consideration in 2006 and that the Working Group should be given the flexibility to make appropriate recommendations to the Commission regarding the scope of its future work and the form it should take, depending upon the substance of the proposed solutions to the problems that the Working Group would identify under that topic; and (b) post-commencement finance should initially be considered as a component of work to be undertaken on insolvency of corporate groups, with the Working Group being given sufficient flexibility to consider any proposals for work on additional aspects of the topic.185. 贸委会回顾到,在其2006年第三十九届会议上,贸委会一致认为:(a)在对待破产集团公司的问题上已取得充分进展,完全可以交给第五工作组(破产法)2006年审议,应使该工作组在就其今后工作范围和应采取的形式向贸委会提出适当的建议方面具有灵活性,但将视对工作组就在该议题下查明的问题提出的解决办法的实质内容而定;(b)启动后融资应一开始就被视为将在集团公司破产方面开展的工作的一个组成部分,应给予工作组充分的灵活性,使之能审议关于该议题其他方面工作的任何建议。
186.
The Commission noted with appreciation the progress of the Working Group regarding consideration of the treatment of corporate groups in insolvency as reflected in the reports of its thirty-first (Vienna, 11-15 December 2006) and thirty‑second (New York, 14-18 May 2007) sessions (A/CN.9/618 and A/CN.9/622, respectively) and commended the Secretariat for the working papers and reports prepared for those sessions.186. 贸委会赞赏地注意到,工作组第三十一届会议(2006年12月11日至15日,维也纳)和第三十二届会议(2007年5月14日至18日,纽约)的报告(分别为A/CN.9/618和A/CN.9/622号文件)中反映了其在审议破产集团公司的对待问题上所取得的进展,并称赞秘书处为这些会议编写的工作文件和报告。
187. The Commission reaffirmed that the mandate of the Working Group was to consider the treatment of corporate groups in insolvency, with post-commencement finance to be included as a component of that work (see para. 185 above).187. 贸委会重申,该工作组的任务是审议对待破产集团公司的问题,启动后融资将被列为这项工作的一个组成部分(见上文第185段)。
188. The Commission took note of the agreement of the Working Group, at its thirty-first session, that the Insolvency Guide and the UNCITRAL Model Law on Cross-Border Insolvency provided a sound basis for the unification of insolvency law and that the current work on corporate groups was intended to complement those texts, not to replace them (A/CN.9/618, para. 69).188. 贸委会注意到,工作组在其第三十一届会议上一致认为,《破产法指南》和《贸易法委员会跨国界破产示范法》为破产法的统一提供了坚实的基础,目前关于集团公司的工作是为了补充而非取代这些案文(A/CN.9/618第69段)。
The Commission also took note of the suggestion made at that session of the Working Group that a possible method of work would be to consider the provisions contained in those existing texts that might be relevant in the context of corporate groups and identify those issues that required additional discussion and the preparation of additional recommendations.贸委会还注意到工作组该届会议建议,可行的工作办法是,审议现有案文所载可能与集团公司有关的条文,找出需要另外进行讨论的问题,并拟订补充建议。
The Commission further took note that other issues, although relevant to corporate groups, could be treated in the same manner as in the Insolvency Guide and the UNCITRAL Model Law on Cross-Border Insolvency (A/CN.9/618, para. 70).贸委会又注意到,其他问题虽然与集团公司有关,但可以用破产法指南和《贸易法委员会跨国界破产示范法》中所采用的同样方式进行处理(A/CN.9/ 618,第70段)。
189. Concerns were expressed in the Commission with respect to some components of that work, in particular substantive consolidation and its effect on the separate identity of individual members of a corporate group. In addition, the possibility of submitting a solvent member of a corporate group to collective procedures was seriously questioned.189. 对于这项工作的某些组成部分,特别是就实质合并及其对集团公司个别成员单独特性的影响,有与会者向贸委会表示关切。
The Commission noted those concerns and requested the Working Group to bear them in mind in its deliberations. (For the next two sessions of the Working Group, see para. 251 (e) below.)贸委会注意到这些关切,并请工作组在审议时考虑到这些问题(关于工作组今后两届会议的情况,见下文第251 (e)段)。
B. Facilitation of cooperation and coordination in cross-border insolvency proceedingsB. 促进跨国界破产程序中的合作和协调
190. The Commission recalled that at its thirty-ninth session, in 2006, it had agreed that initial work to compile practical experience with negotiating and using cross-border insolvency protocols should be facilitated informally through consultation with judges and insolvency practitioners and that a preliminary progress report on that work should be presented to the Commission for further consideration at its fortieth session, in 2007.190. 贸委会回顾到,在其2006年第三十九届会议上,贸委会一致认为应当与法官和破产从业人员进行协商,以非正式方式推动初步开展将商定和使用跨国界破产协议实际经验汇编成册的工作,并将这项工作的初步进度报告提交贸委会2007年第四十届会议进一步审议。
191. The Commission had before it a note by the Secretariat on facilitation of cooperation, direct communication and coordination in cross-border insolvency proceedings (A/CN.9/629).191. 贸委会收到了秘书处有关促进跨国界破产程序中的合作、直接通信和协调的说明(A/CN.9/629)。
The Commission emphasized the practical importance of facilitating cross-border cooperation in insolvency cases. It expressed its satisfaction with respect to the progress made on the work of compiling practical experience with negotiating and using cross-border insolvency protocols based on the draft outline of contents in document A/CN.9/629.贸委会强调了促进在跨国界破产案件方面合作的切实重要性,并对A/CN.9/629号文件中有关在实际经验汇编工作方面的进展表示满意。
It reaffirmed that that work should continue to be developed informally by the Secretariat in consultation with judges, practitioners and other experts.贸委会重申,秘书处应通过同法官、从业人员和其他专家进行协商,继续非正式地开展这项工作。
VIII. Possible future work in the area of electronic commerce 192.八. 今后可能在电子商务领域开展的工作
The Commission recalled that Working Group IV (Electronic Commerce), after it had completed its work on the draft Convention on the Use of Electronic Communications in International Contracts, in 2004, requested the Secretariat to continue monitoring various issues related to electronic commerce, including issues related to cross-border recognition of electronic signatures, and to publish the results of its research with a view to making recommendations to the Commission as to whether future work in those areas would be possible (A/CN.9/571, para. 12).192. 贸委会回顾,其在2004年完成了其有关《国际合同使用电子通信公约》的工作以后,第四工作组(电子商务)请秘书处继续跟踪与电子商务有关的各种问题,包括与电子签名的跨国界承认有关的问题,并发表其研究结果,以便就今后有否可能在这些领域开展工作向贸委会提出建议(A/CN.9/571,第12段)。
193. The Commission further recalled that, at its thirty-eighth session, in 2005, it took note of the work undertaken by other organizations in various areas related to electronic commerce, summarized in a note by the Secretariat (A/CN.9/579).193. 贸委会还回顾,2005年,贸委会注意到秘书处的一份说明(A/CN.9/579)概要介绍的其他组织在电子商务相关领域内开展的工作。
At that session, the Commission requested the Secretariat to prepare a more detailed study, which should include proposals as to the form and nature of a comprehensive reference document discussing the various elements required to establish a favourable legal framework for electronic commerce, which the Commission might in the future consider preparing with a view to assisting legislators and policymakers around the world.在该届会议上,贸委会请秘书处编写一份更为详细的研究报告,其中应列入就综合参考文件的形式和性质提出的各种建议,综合参考文件讨论的是确定有利于电子商务的法律框架所需各个要件,因此贸委会今后似宜考虑编写一份综合参考文件,以便向世界各国的立法机关和决策机关提供帮助。
194. It was also recalled that at its thirty-ninth session, in 2006, the Commission had considered a note by the Secretariat prepared pursuant to that request (A/CN.9/604).194. 另据回顾,2006年,贸委会审议了秘书处依照该请求编写的一份说明(A/ CN.9/604)。
The note identified the following areas as possible components of a comprehensive reference document: (a) authentication and cross-border recognition of electronic signatures; (b) liability and standards of conduct for information service providers; (c) electronic invoicing and legal issues related to supply chains in electronic commerce; (d) transfer of rights in tangible goods and other rights through electronic communications;该说明将以下方面列作综合参考文件可能包括的内容:(a)对电子签名的认证和跨国界承认;(b)信息服务提供者的赔偿责任和行为准则;(c)电子发票和与电子商务供应链有关的法律问题;(d)通过电子通信进行的有形货物权利和其他权利的转让;(e)电子商务中的不公平竞争和欺骗性贸易做法;及(f)电子商务中的隐私和数据保护。
(e) unfair competition and deceptive trade practices in electronic commerce;
and (f) privacy and data protection in electronic commerce.
The note also identified other issues that could be included, although in a more summary fashion, in such a document: (a) protection of intellectual property rights; (b) unsolicited electronic communications (spam); and (c) cybercrime.该说明还列举了其他问题,也可采取摘要的形式将这些问题列入该文件:(a)知识产权保护;(b)未经请求的电子通信(垃圾邮件);及(c)网络犯罪。
At that session, there had been support for the view that the task of legislators and policymakers, in particular in developing countries, might be greatly facilitated if the Commission were to formulate a comprehensive reference document dealing with the topics identified by the Secretariat.在该届会议上,有与会者支持这样一种观点,即认为贸委会拟定一份综合参考文件,论及秘书处列举的各项专题,将会给各国,尤其是给发展中国家立法机关和决策机关的工作提供极大的便利。
It had been also said at that session that such a document might also assist the Commission in identifying areas in which it might itself undertake future harmonization work.在该届会议上,还有与会者称,这份文件还将有助于贸委会确定,今后究竟可以在哪些方面开展协调统一的工作。
However, concerns had also been expressed that the range of issues identified was too wide and that the scope of the comprehensive reference document might need to be reduced.但也有人担心,所列举的问题数目过多,可能需要缩小综合参考文件的范围。
At that session, the Commission had requested the Secretariat to prepare a sample portion of the comprehensive reference document dealing specifically with issues related to authentication and cross-border recognition of electronic signatures, for review at the Commission’s fortieth session, in 2007.在该届会议上,贸委会商定,请其秘书处编拟综合参考文件的样本部分,专门论及与对电子签名的认证和跨国界承认有关的问题,供贸委会2007年第四十届会议审查。
195. At its current session, the Commission considered the sample chapter that had been prepared by the Secretariat pursuant to that request (A/CN.9/630 and Add.1-5).195. 在本届会议上,贸委会审议了秘书处根据上述请求编写的样章(A/CN.9/ 630和Add.1-5)。
The Commission reviewed the structure, level of detail, nature of discussion and type of advice provided in the sample chapter.贸委会审查了样章的结构、详略程度、讨论性质和意见类型。
The Commission commended the Secretariat for the preparation of the sample chapter, which the Commission regarded as very informative and useful.贸委会赞扬秘书处编写了这一样章,认为该样章提供的信息非常丰富,很有用。
It was suggested that it would be desirable for the Secretariat to prepare other chapters following the same model, to deal with other issues that the Commission might wish to select from among those proposed earlier, in particular the transfer of rights in tangible goods and other rights through electronic communications.据建议,秘书处应遵照相同模式编写其他章节,论及贸委会似宜从先前提出的问题中选定的其他一些问题,特别是以电子通信手段转让有形货物上的权利和其他权利问题。
However, the Commission was not in favour of requesting the Secretariat to undertake similar work in other areas with a view to preparing a comprehensive reference document.不过,贸委会并不赞成请秘书处在其他领域进行与编写综合参考文件相类似的工作。
The Commission agreed to request the Secretariat to continue to follow closely legal developments in the relevant areas, with a view to making appropriate suggestions in due course.贸委会商定请秘书处继续密切跟踪相关领域的法律动向,以便在适当的时候提出相关建议。
In view of the valuable work that had already been done, the Commission requested the Secretariat to publish the sample chapter as a stand-alone publication.鉴于该项有价值的工作已经完成,贸委会请秘书处将样章作为独立出版物发表。
IX. Possible future work in the area of commercial fraud九. 今后在商业欺诈领域可能开展的工作
A. BackgroundA. 背景情况
196.
It was recalled that the Commission at its thirty-fifth to thirty-ninth sessions, from 2002 to 2006, had considered possible future work on commercial fraud., , , , It was in particular recalled that at its thirty-seventh session, in 2004, with a view towards education, training and prevention, the Commission had agreed that the preparation of lists of common features present in typical fraudulent schemes could be useful as educational material for participants in international trade and other potential targets of perpetrators of fraud to the extent that such lists would help potential targets protect themselves and avoid becoming victims of fraudulent schemes.196. 与会者回顾,贸委会在2002年第三十五届会议至2006年第三十九届会议上审议了今后在贸易欺诈方面可以开展的工作。 ,,,,有与会者尤其回顾,贸委会在2004年第三十七届会议上,一致认为可以从教育、培训和预防着眼,编拟一些关于典型欺诈做法共同特征的清单,作为参与国际贸易人员和有可能成为欺诈者的目标的其他人的有用教材,此类清单要有助于这些人自我保护,避免成为欺诈做法的受害人。
While it was not proposed that the Commission itself or its intergovernmental working groups should be directly involved in that activity, it was agreed that the Secretariat should consider preparing, in close consultation with experts, such materials listing common features present in typical fraudulent schemes and that the Secretariat would keep the Commission informed of progress in that regard.虽然并未建议贸委会或其各政府间工作组直接参与这项工作,但一致认为秘书处应考虑与专家密切协商,编拟列明典型欺诈做法共同特征的此类材料,并随时向贸委会通报这方面的进展情况。
197.
It was further recalled that the attention of the Commission had been drawn at its thirty-eighth session, in 2005, to Economic and Social Council resolution 2004/26 of 21 July 2004, pursuant to which the United Nations Office on Drugs and Crime (UNODC) had convened an intergovernmental expert group meeting in March 2005 to prepare a study on fraud and the criminal misuse and falsification of identity, and to develop on the basis of such a study relevant practices, guidelines or other materials, taking into account in particular the relevant work of UNCITRAL.197. 与会者还回顾,在贸委会2005年第三十八届会议上,有与会者提请贸委会注意经济及社会理事会2004年7月21日第2004/26号决议。 根据这项决议,2005年3月联合国毒品和犯罪问题办公室(毒品和犯罪问题办公室)召开了一次政府间专家组会议,以编写一份欺诈、非法滥用和伪造身份资料问题研究报告,并在此研究报告的基础上,同时特别考虑到贸易法委员会的有关工作,拟订相关的做法、指导方针或其他材料。
The results of that meeting were reported to the Commission on Crime Prevention and Criminal Justice (the “Crime Commission”) at its fourteenth session (Vienna, 23-27 May 2005) (E/CN.15/2005/11), where it was agreed that a study of the problem should be undertaken on the basis of the responses received to a questionnaire on fraud and the criminal misuse and falsification of identity.这次会议的成果已向预防犯罪和刑事司法委员会(预防犯罪委员会)第十四届会议作了报告(2005年5月23日至27日,维也纳)(E/CN.15/2005/11),专家组会议的与会者一致认为,应当根据收到的对欺诈、非法滥用和伪造身份资料问题调查表的答复,对这一问题开展研究。
The UNCITRAL secretariat had participated in the expert group meeting, the progress of which was reported to the Crime Commission at its fifteenth session (Vienna, 24‑28 April 2006) (E/CN.15/2006/11 and Corr.1).贸易法委员会秘书处参加了这次专家组会议,会议的进展情况已向预防犯罪委员会第十五届会议作了报告(2006年4月24日至28日,维也纳)(E/ CN.15/2006/11和Corr.1)。
As the UNCITRAL secretariat had worked with UNODC in the drafting and dissemination of the questionnaire in preparation for the study, the Commission expressed its support for the assistance of the UNCITRAL secretariat in the UNODC project.贸易法委员会秘书还与毒品和犯罪问题办公室合作,起草并分发用于为这项研究做准备的调查表,贸委会对其秘书处协助实施毒品和犯罪问题办公室的项目表示支持。
198. It was also recalled that, at its thirty-ninth session, in 2006, the Commission heard a progress report on work by the Secretariat on materials listing common features present in typical fraudulent schemes.198. 另据回顾,贸委会2006年第三十九届会议听取了秘书处关于编写列明典型欺诈做法共同特征的材料的工作进度报告。
At that session, the Commission took note of the suggested format for the materials as set out in document A/CN.9/600, paragraph 14, and that the materials could contain additional information, such as explanations regarding how to effectively perform due diligence (A/CN.9/600, para.  16).在该届会议上,贸委会注意到A/ CN.9/600号文件第14段就编写该材料提出的格式方面的建议,还注意到,该材料还可列出其他项目,如关于如何有效履行应尽职责的解释(A/CN.9/600,第16段)。
The Commission agreed with statements made at that session to the effect that commercial fraud deterred legitimate trade and undermined confidence in established contract practices and instruments and that the UNCITRAL transactional and private law perspective and expertise were necessary for a full understanding of the problem of commercial fraud and were most useful in the formulation of measures to fight it.贸委会同意该届会议上提出的下述说法,即商业欺诈妨碍了合法贸易,破坏了人们对既定合同惯例和文书的信任,而贸易法委员会在商业交易和私法方面的意见和专门知识对全面了解商业欺诈问题是必要的,对制定措施打击商业欺诈是极为有用的。
The Commission concluded that its secretariat should continue its work in conjunction with experts and other interested organizations with respect to identifying common features of fraudulent schemes, with a view to presenting interim or final materials for the consideration of the Commission at a future session; it should continue to cooperate with UNODC in its study on fraud, the criminal misuse and falsification of identity and related crimes; and it should keep the Commission informed of the progress of that work.贸委会得出结论说,秘书处应继续与专家和其他有关组织合作,查明欺诈做法的共同特征,以便提交临时或最后材料供贸委会今后一届会议审议;秘书处还应继续与毒品和犯罪问题办公室合作编写欺诈、非法滥用和伪造身份资料及相关犯罪问题研究报告,并随时向贸委会通报这项工作的进展情况。
B. Work on indicators of commercial fraudB. 商业欺诈指标的工作
199. At its current session, the Commission was informed that the Secretariat had, as requested, continued its work in conjunction with experts and other interested organizations with respect to identifying common features of fraudulent schemes in order to prepare materials of an educational nature for the purpose of preventing the success of fraudulent schemes.199. 贸委会获悉,秘书处按照要求继续在查明欺诈做法的共同特征方面与专家和其他有关组织合作,以编写具有教育性质的材料,目的是防止欺诈做法得逞。
The results of that work were reflected in a note by the Secretariat entitled “Indicators of commercial fraud” (A/CN.9/624 and Add.1 and 2).该工作的成果反映在题为“商业欺诈指标”的秘书处的一份说明(A/CN.9/ 624及Add.1和2)中。
It was explained that, as noted in the introduction to the materials before the Commission (A/CN.9/624, annex, chapter I), the intended audience was very broad and included individuals, professionals, businesspersons, regulators, law enforcement officers, litigants and, potentially, arbitration tribunals and courts in cases involving commercial fraud.据解释,如贸委会收到的材料的导言(A/CN.9/624,附件,第一章)中所述,预期对象范围很广,包括个人、专业人士、实业界人士、监管人员、执法官员和诉讼当事人,以及可能审理涉及商业欺诈的案件的仲裁法庭和法院。
It was further explained that the materials were intended to be instructive reference materials to provide guidance to the intended audience, regardless of their particular level of sophistication with respect to investments or commercial transactions.还解释说,这些材料意在作为有益的参考材料向预期对象提供指导,而无论他们在投资或商业交易方面有多么老练。
The presentation of each of the indicators was similar: first, the potential indicator of fraud was identified; this was followed by a more detailed description of the indicators; and, lastly, instances and examples of the particular indicator were given, as found in a commercial fraud in a variety of contexts.每项指标的列报方式均相似:首先,查明潜在的欺诈指标;然后对指标进行详细描述,最后给出在各种不同情境的商业欺诈中发现的特定指标的事例和实例。
Advice was then provided regarding what could be done to avoid or to counteract the effects of the behaviour identified in each indicator, as appropriate.随即酌情提出建议,说明可采取什么措施避免或消除每项指标所确定的行为的影响。
Finally, since it was not possible to identify discrete indicators with absolutely clear demarcations between them, it was explained that many of the indicators could or should overlap, and cross references to other related indicators were included, where relevant.最后,据解释,由于不可能查明具有绝对明确界限的互无联系的指标,因此许多指标可以或应该重叠,并且酌情列出与其他相关指标的相互参照。
However, the Commission was also informed that, as noted in the introduction to the materials, each of the indicators taken alone or in combination was not intended to indicate definitively the presence of commercial fraud; rather, the presence of a single warning sign was intended to send a signal that commercial fraud was a possibility, while the presence of several of the indicators was intended to heighten that concern.但是,贸委会还获悉,如材料的导言中所述,每一项指标不管单独出现还是与其他指标合并出现,并不确切表明商业欺诈的存在;但是,单个危险征兆的出现是发出可能存在商业欺诈行为的信号,而若干项指标同时出现则是加强这种关切。
The Commission was informed that the text of the indicators of commercial fraud that was before it was an interim text, and that it was proposed to the Commission that the indicators of commercial fraud should be circulated by the Secretariat to Governments, international organizations and interested bodies for comment, and for consideration by the Commission at its next session.贸委会还获悉,所收到的商业欺诈指标文本是一个临时文本,其中建议贸委会,秘书处应当向各国政府、国际组织和有关机构散发商业欺诈指标以征求评论意见,并供贸委会在下届会议上审议。
200. The Commission commended the Secretariat, the experts and the other interested organizations that had collaborated on the preparation of the indicators of commercial fraud for their work on the difficult task of identifying the issues and in drafting materials that could be of great educational and preventive benefit.200. 贸委会赞扬相互合作编拟商业欺诈指标的秘书处、各位专家和其他有关组织,赞扬他们就查明问题和编拟材料这项艰巨任务所做的工作,这些材料可能具有很大的教育和预防意义。
The Commission agreed with the proposal to circulate the materials on indicators of commercial fraud prior to the next session of the Commission for comment, and welcomed the opportunity to consider the document and related comments at its next session.贸委会同意应在贸委会下届会议之前散发有关“商业欺诈指标”的材料备供发表意见的提议,并欢迎有机会在其下一届会议上审议该文件并发表相关的意见。
At the same time, concern was expressed regarding future work in the area of commercial fraud, given that other international organizations, including UNODC, were working on the problem of commercial fraud and its impact.但有与会者同时对今后在商业欺诈领域的工作表示关切,因为其他国际组织包括毒品和犯罪问题办公室正在就商业欺诈问题及其影响开展工作。
It was suggested that commercial fraud was primarily a concern of criminal law and that any future work in the area by UNCITRAL should bear in mind the mandate of UNCITRAL and whether it was possible for it to make a contribution in the area.有与会者提出,商业欺诈主要是刑法问题,贸易法委员会今后在此领域开展任何工作时都应牢记贸易法委员会的任务,以及贸委会是否可能在此领域作出贡献。
Other views were expressed along the lines that broad cooperation and dialogue between criminal law authorities and commercial law interests with respect to commercial fraud had not been achieved until UNCITRAL had commenced its work on the indicators and its cooperation with UNODC and that that cooperation was critical to maintaining a constructive dialogue on commercial fraud and sharing information in an effective manner.还有与会者发表了看法,意思大致为在贸易法委员会就商业欺诈指标开展工作并与毒品和犯罪问题办公室进行合作之前,刑法当局和商法相关方一直未实现广泛合作与对话,而这种合作对于就商业欺诈进行建设性对话和有效分享信息至关重要。
It was suggested that UNCITRAL, in providing information and education on commercial fraud, had made a useful contribution to strengthening efforts to reduce the impact of fraud globally.有与会者提出,贸易法委员会提供有关商业欺诈的信息和教育对于在全球加强努力以减轻欺诈的影响非常重要。
C. Collaboration with the United Nations Office on Drugs and Crime with respect to commercial and economic fraudC. 在商业和经济欺诈问题上与毒品和犯罪问题办公室的合作
201.
The Commission had before it for information the report of the Secretary-General on the results of the second meeting of the Intergovernmental Expert Group to Prepare a Study on Fraud and the Criminal Misuse and Falsification of Identity (E/CN.15/2007/8 and Add.1-3), held in Vienna from 16 to 19 January 2007.201. 贸委会收到了供其参考的秘书长有关2007年1月16日至19日在维也纳举行的编写欺诈、非法滥用和伪造身份资料问题政府间专家组会议结果的报告(E/CN.15/2007/8和Add.1-3)。
202. The Commission was informed that the study confirmed the difficulty of measuring fraud, and that most Governments underestimated the seriousness of that rapidly expanding global problem, which was associated with the increasing use of information technology.202. 贸委会获悉,该研究报告确认,欺诈问题很难衡量,这个问题与越来越多地使用信息技术有关,大多数国家政府低估了这个迅速蔓延的全球性问题的严重性。
In addition, it was noted in the study that Governments were concerned about commercial entities sometimes being reluctant to report incidents of fraud and that the high proceeds and low risks involved had made fraud attractive to both organized criminal organizations and terrorist organizations.此外,研究报告指出,各国政府担心商业实体有时不大乐意报告欺诈事件,以及高收益和低风险使欺诈对有组织犯罪组织和恐怖主义组织很有吸引力。
The Commission was informed that the Crime Commission had considered the study at its sixteenth session.贸委会获悉,预防犯罪委员会第十六届会议审议了这份研究报告。
At that session, the Crime Commission proposed for adoption by the Economic and Social Council a draft resolution by which the Council would: (a) request the Secretary-General to disseminate its report containing the conclusions of the study as widely as possible; (b) encourage Member States to take a number of actions, including availing themselves of the recommendations of the report when developing effective strategies for responding to the problems addressed in the report and consulting and collaborating with appropriate commercial and other private-sector entities to the extent feasible, with a view to more fully understanding the problems of economic fraud and identity-related crime and cooperating more effectively in the prevention, investigation and prosecution of such crime; (c) encourage the promotion of mutual understanding and cooperation between public- and private-sector entities through initiatives aimed at bringing together various stakeholders and facilitating the exchange of views and information among them; and (d) request UNODC to facilitate such cooperation in consultation with the UNCITRAL secretariat, pursuant to Economic and Social Council resolution 2004/26 of 21 July 2004.在该届会议上,预防犯罪委员会建议经济及社会理事会通过一份决议草案,理事会据此:(a)请秘书长尽可能广泛地传播载有研究报告结论的该报告;(b)鼓励成员国采取一系列行动,包括在拟订有效战略应对报告所涉问题时利用报告的建议;在可行的范围内与适当的商业和其他私营部门实体磋商与协作,以便更充分地理解经济欺诈和与身份有关犯罪等问题,并在预防、侦查和起诉这类罪行方面进行更有效的合作;(c)采取举措,使各利益相关方汇聚在一起并促进他们交流观点和信息,从而促进公共部门和私营部门实体之间的相互理解与合作;(d)根据经济及社会理事会2004年7月21日第2004/26号决议请毒品和犯罪问题办公室秘书处与贸易法委员会秘书处协商促进这种合作。
203. The Commission noted with interest and appreciation the report of the Secretary-General and the draft resolution proposed by the Crime Commission for adoption by the Economic and Social Council.203. 贸委会感兴趣并赞赏地注意到秘书长的报告和预防犯罪委员会提议经济及社会理事会通过的决议草案。
The Commission requested the Secretariat to continue to cooperate with and to assist UNODC in its work with respect to commercial and economic fraud and to report to the Commission regarding any developments or efforts made in that respect.贸委会请秘书处继续向毒品和犯罪问题办公室提供合作与帮助,协助其商业和经济欺诈问题开展工作,并将促进实现这些目标的任何进展或努力向贸委会报告。
X. Monitoring implementation of the New York Convention十. 监测《纽约公约》的执行情况
204. The Commission recalled that, at its twenty-eighth session, in 1995, it had approved a project, undertaken jointly with Committee D (now known as the Arbitration Committee) of the International Bar Association, aimed at monitoring the legislative implementation of the New York Convention.204. 贸委会回顾,贸委会在其1995年第二十八届会议上核准了一个与国际律师协会D委员会(现为仲裁委员会)共同实施的旨在监测《纽约公约》立法执行情况的项目。
It was also recalled that the Secretariat had presented an interim report to the Commission at its thirty‑eighth session, in 2005 (A/CN.9/585), which set out the issues raised by the replies received in response to the questionnaire circulated in connection with the project.还据回顾,秘书处向贸委会2005年第三十八届会议呈交了一份临时报告(A/CN.9/585),其中阐述了在分发与该项目有关的调查问卷之后从各份答复中发现的问题。
205. It was further recalled that the Commission, at its thirty-eighth session, had welcomed the progress reflected in the interim report, noting that the general outline of replies received had served to facilitate discussions as to the next steps to be taken and highlighted areas of uncertainty where more information could be sought from States parties or further studies could be undertaken.205. 据进一步回顾,贸委会第三十八届会议欢迎临时报告中所反映的进展,指出对所收到答复的概括有助于促进就今后应采取的步骤进行讨论,而且突显了可以要求缔约国提供更多资料或者可以进行更深入研究的不确定方面。
It was suggested that one possible future step could be the development of a legislative guide to limit the risk that State practice would diverge from the spirit of the New York Convention.会上提出,今后可以采取的一个步骤是,制定一部立法指南,以限制各国的做法偏离《纽约公约》精神的风险。
206.
It was noted that, at its thirty-ninth session, in 2006, the Commission had taken note of an oral presentation by the Secretariat on additional questions it proposed to put to States (as noted in document A/CN.9/585, para. 73) in order to obtain more comprehensive information regarding various aspects of implementation of the New York Convention, including legislation, case law and practice.206. 据称,贸委会在其第三十九届会议上注意到秘书处就其拟向各国提出的补充问题(如A/CN.9/585号文件第73段中的说明)所作的口头说明,提出这些补充问题,是为了获得关于《纽约公约》各个方面执行情况的更为全面的资料,包括立法、判例法和惯例等。
The Commission had agreed at that session that the project should aim at the development of a legislative guide, with a view to promoting a uniform interpretation of the New York Convention.贸委会该届会议一致认为,这个项目应当着眼于制定一部立法指南,以便促进对《纽约公约》的统一解释。
At the same session, the Commission had reaffirmed the decisions made at its thirty-eighth session, in 2005, that a level of flexibility should be left to the Secretariat in determining the time frame for completion of the project and the level of detail that should be reflected in the report that the Secretariat would present for consideration by the Commission in due course.在同一届会议上,贸委会重申了在其2005年第三十八届会议上作出的一项决定,即应当给秘书处留有一定灵活余地,由秘书处来确定项目完成的时间框架以及秘书处将在适当时候提交贸委会审议的报告的详细程度。
207. At its current session, the Commission was informed that a written report was intended to be presented at its forty-first session, in 2008, which would coincide with the fiftieth anniversary of the New York Convention.207. 贸委会在其本届会议上获悉,有意在其2008年第四十一届会议上提交一份书面报告,而该年正值《纽约公约》五十周年。
The Commission commended the Secretariat for the work accomplished so far in respect of that project.贸委会赞扬秘书处迄今为止在该项目上所完成的工作。
The Commission was further informed that the Arbitration Committee of the International Bar Association had proposed to actively assist the Secretariat in gathering information required to complete the report.贸委会还获悉,国际律师协会仲裁委员会已提议积极协助秘书处收集为完成该报告所需的资料。
The Commission further noted that the Commission on Arbitration of the International Chamber of Commerce had created a task force to examine the national rules of procedure for recognition and enforcement of foreign arbitral awards on a country-by-country basis, with the aim of issuing in 2008 a report on national rules of procedure.贸委会还注意到,国际商会仲裁委员会设立了一个特别工作组,以逐国审查各国承认和执行外国仲裁裁决的议事规则,目的是于2008年发表一份关于各国议事规则的报告。
The Commission encouraged the Secretariat to seek possible cooperation with the International Chamber of Commerce in order to avoid duplication of work in that respect.贸委会鼓励秘书处寻求与国际商会进行可能的合作,以避免这方面的工作重复。
208. It was proposed that, in the context of monitoring implementation of the New York Convention, the recommendation adopted by the Commission at its thirty‑ninth session, in 2006, regarding the interpretation of article II, paragraph 2, and article VII, paragraph 1, of the New York Convention be circulated to States in order to seek comments as to the impact of that recommendation in their jurisdictions.208. 有与会者提议,应当结合监测《纽约公约》的执行情况,将关于贸委会第三十九届会议2006年通过的《纽约公约》第二条第2款和第七条第1款的解释的建议分发给各国,就该建议对其各自法域的影响征求其意见。
That proposal received support.这一提议获得了支持。
XI. Endorsement of texts of other organizations: Unidroit Principles of International Commercial Contracts 2004十一. 核可其他组织的文本:统法协会2004年《国际商事合同通则》
209. The Commission recalled its decision made at its thirty-ninth session, in 2006, that the 2004 edition of the Unidroit Principles of International Commercial Contracts be circulated to States with a view to possible endorsement by the Commission at its current session.209. 贸委会回顾其在2006年第三十九届会议上作出的决定,即2004年版统法协会《国际商事合同通则》应分发给各国,以供贸委会本届会议视可能核可。
The Commission noted that, pursuant to that decision, the Secretariat had circulated the text of the Principles to all States.贸委会注意到,根据这一决定,秘书处将《通则》的文本分发给了各国。
210. The Commission noted that the Principles, first published in 1994, provided a comprehensive set of rules for international commercial contracts.210. 贸委会注意到,《通则》首次发表于1994年,为国际商事合同提供了一套综合规则。
It further noted that the new edition, completed in 2004, contained five new chapters and revisions to take into account electronic contracting.贸委会还注意到,2004年完成的新的版本含有五个新的章节和修订案文,以顾及电子订约。
The Commission recognized that the Unidroit Principles 2004 complemented a number of international trade law instruments, including the United Nations Convention on Contracts for the International Sale of Goods (1980).贸委会承认,2004年统法协会通则是对一些国际贸易法文书的补充,其中包括《联合国国际货物销售合同公约》。
It was observed that unofficial translations of the Principles had been published in over 12 languages, including all official languages of the United Nations except Arabic.据注意到,已发表了《通则》的12种语文以上非正式译文,其中包括除阿拉伯文以外的所有联合国正式语文。
The observer for Unidroit indicated that a version in Arabic was expected to be published in the near future.统法协会观察员指出阿拉伯文版本将于近期发表。
211. General support was expressed for recognizing the value of the Unidroit Principles 2004.211. 与会者普遍表示支持承认2004年统法协会通则的价值。
It was noted that the Principles were widely recognized and had been applied in a variety of circumstances.有与会者指出《通则》得到广泛承认,已在各种情形下适用。
A question was raised as to the relationship between the United Nations Sales Convention and the Principles.有与会者就《联合国销售公约》与《通则》之间的关系提出了疑问。
It was observed that the United Nations Sales Convention contained comprehensive specialized rules governing contracts for the international sale of goods and applied in accordance with its scope-of-application provisions to the exclusion of the Principles.据指出,《销售公约》含有关于国际货物销售合同的综合专门规则,根据其适用范围的规定而不是根据《通则》加以适用。
Equally, questions concerning matters governed by the United Nations Sales Convention that were not expressly settled in it were to be settled, as provided in article 7 of the Convention, in conformity with the general principles on which the Convention was based or, in the absence of such principles, in conformity with the law applicable by virtue of the rules of private international law.同样,按照《联合国销售公约》第7条的规定,有关《公约》所管辖的但其中并未明确解决的事项的问题应依照《公约》所依据的一般原则加以解决,或者,如无此种原则,则依照以国际私法规则为依据的适用法律加以解决。
Thus, the optional use of the Principles was subordinate to the rules governing the applicability of the United Nations Sales Convention.因此,对《通则》的选择使用服从于关于《联合国销售公约》可适用性的规则。
212. It was noted that the preamble of the Principles referred to their application “when the parties have agreed that their contract be governed by general principles of law, the lex mercatoria or the like”.212. 据指出,《通则》的序言中提到,“当各方当事人商定其合同受法律一般原则、商法或类似法律的管辖时”,《通则》则予适用。
It was clarified that, depending on the circumstances, the Principles might be regarded as one possible expression of the lex mercatoria but that that issue ultimately depended on applicable law, existing contractual arrangements and the interpretation taken by users of the Principles.据澄清说,视情况而定,《通则》可能被视为商法的一种可能表达形式,但这一问题最终取决于适用法律、现行合同安排以及《通则》使用者所作的解释。
213. Bearing in mind the above considerations, the Commission, at its 851st meeting, on 4 July 2007, adopted the following decision regarding the Unidroit Principles 2004:213. 出于上述考虑,委员会在其2007年7月4日第851次会议上通过了关于2004年统法协会通则的以下决定:
“The United Nations Commission on International Trade Law,“联合国国际贸易法委员会,
“Expressing its appreciation to the International Institute for the Unification of Private Law (Unidroit) for transmitting to it the text of the 2004 edition of the Unidroit Principles of International Commercial Contracts,“表示赞赏国际统一私法协会(统法协会)向其转递2004年版统法协会《国际商事合同通则》的文本,
“Taking note that the Unidroit Principles 2004 complement a number of international trade law instruments, including the United Nations Convention on Contracts for the International Sale of Goods (1980),“注意到2004年统法协会通则是对一些国际贸易法文书的补充,其中包括《联合国国际货物销售合同公约》(1980年),
“Noting that the preamble of the Unidroit Principles 2004 states that the Unidroit Principles 2004 set forth general rules for international contracts and that:“注意到其中的序言指出2004年统法协会通则确立了国际合同一般规则,而且:
“They shall be applied when the parties have agreed that their contract be governed by them,“这些规则应在各方当事人商定其合同受这些规则管辖时即应予适用,
“They may be applied when parties have agreed that their contract be governed by general principles of law, the lex mercatoria or the like,“这些规则可在各方当事人商定其合同受法律一般原则、商法或类似法律的管辖时即可适用,
“They may be applied when the parties have not chosen any law to govern their contract,“这些规则可在各方当事人尚未选定管辖其合同的法律时即可适用,
“They may be used to interpret or supplement international uniform law instruments,“这些规则可用于解释或补充国际统一法律文书,
“They may be used to interpret or supplement domestic law,“这些规则可用于解释或补充国内法,
“They may serve as a model for national and international legislators,“这些规则可用作国家立法者和国际立法者使用的范本,
“Congratulating Unidroit on having made a further contribution to the facilitation of international trade by preparing general rules for international commercial contracts,“祝贺统法协会通过拟订国际商事合同一般规则为便利国际贸易作出了进一步贡献,
“Commends the use of the Unidroit Principles 2004, as appropriate, for their intended purposes.”“赞扬酌情为2004年统法协会通则的预期目的而使用该通则。”
XII. Technical assistance to law reform十二. 对法律改革的技术援助
A. Technical cooperation and assistance activitiesA. 技术合作与援助活动
214. The Commission had before it a note by the Secretariat (A/CN.9/627) describing the technical cooperation and assistance activities undertaken subsequent to the date of the note on that topic submitted to the Commission at its thirty-ninth session, in 2006 (A/CN.9/599).214. 贸委会收到了秘书处的一份说明(A/CN.9/627),其中介绍了在向贸委会2006年第三十九届会议提交有关这一议题的说明(A/CN.9/599)之日后开展的技术合作与援助活动。
The Commission emphasized the importance of such technical cooperation and expressed its appreciation for the activities undertaken by the Secretariat referred to in document A/CN.9/627, paragraphs 6-28.贸委会强调了此种技术合作的重要性并对A/CN.9/627号文件第6-28段中所述秘书处开展的活动表示赞赏。
215. The Commission noted that the continuing ability to participate in technical cooperation and assistance activities in response to specific requests of States was dependent upon the availability of funds to meet associated UNCITRAL costs.215. 贸委会注意到,能否继续根据各国的具体要求参加技术合作与援助活动取决于是否有资金负担贸易法委员会的相关费用。
The Commission in particular noted that, despite efforts by the Secretariat to solicit new donations, funds remaining in the UNCITRAL Trust Fund for Symposia would be sufficient only for technical cooperation and assistance activities already planned for 2007.贸委会尤其注意到,尽管秘书处努力争取新的捐款,贸易法委员会信托基金用于专题讨论会的所剩资金仅够已经计划2007年开展的技术合作和援助活动之用。
Beyond the end of 2007, requests for technical cooperation and assistance involving the expenditure of funds for travel or to meet other associated costs would have to be declined unless new donations to the Trust Fund were received or other alternative sources of funds could be found.在2007年底之后,有关开展技术合作和援助的请求,凡涉及旅费开支或其他相关费用的,不得不加以拒绝,除非信托基金得到新的捐款或找到其他替代资金来源。
216.
The Commission reiterated its appeal to all States, international organizations and other interested entities to consider making contributions to the UNCITRAL Trust Fund for Symposia, if possible in the form of multi-year contributions, or as specific-purpose contributions, so as to facilitate planning and enable the Secretariat to meet the increasing requests from developing countries and countries with economies in transition for technical assistance and cooperation activities.216. 贸委会再次吁请所有国家、国际组织和其他有关实体考虑为举办专题讨论会向贸易法委员会信托基金捐款,可能的话以多年捐款或专门用途捐款的形式捐款,以便利规划工作并使秘书处能够满足发展中国家和经济转型期国家在开展技术援助与合作活动上提出的日益增加的请求。
The Commission expressed its appreciation to Mexico and Singapore for contributing to the Trust Fund since the Commission’s thirty-ninth session and to organizations that had contributed to the programme by providing funds or by hosting seminars.贸委会对墨西哥和新加坡自贸委会第三十九届会议以来向该基金提供捐款以及一些组织通过提供经费或主办研讨会对该方案作出的贡献表示感谢。
The Commission also expressed its appreciation to France and the Republic of Korea, which had funded junior professional officers to work in the Secretariat.贸委会还感谢大韩民国为一些初级专业人员在秘书处工作提供了资金。
217.
The Commission also appealed to the relevant bodies of the United Nations system, organizations, institutions and individuals to make voluntary contributions to the trust fund established to provide travel assistance to developing countries that were members of the Commission, noting that no contributions to the trust fund for travel assistance had been received since the thirty-sixth session of the Commission.217. 贸委会还吁请联合国系统各有关机关、组织、机构和个人对为向属于贸委会成员国的发展中国家提供旅行资助而设立的信托基金提供自愿捐款。 贸委会注意到,自贸委会第三十六届会议以来没有收到对该信托基金提供的旅行资助方面的任何捐助。
B. Technical assistance resourcesB. 技术援助资源
218. The Commission noted with appreciation the continuing work under the system established for the collection and dissemination of case law on UNCITRAL texts (CLOUT).218. 贸委会赞赏地注意到在为搜集和传播贸易法委员会法规的判例法(法规判例法)而设立的系统下继续开展的工作。
As at 18 April 2007, 63 issues of compiled case-law abstracts from the CLOUT system had been prepared for publication, dealing with 686 cases relating mainly to the United Nations Sales Convention and the UNCITRAL Model Law on International Commercial Arbitration.截至2007年4月18日,根据法规判例法系统已经编写了63期判例法摘要以供发表,涉及686个案例,主要与《联合国销售公约》和《贸易法委员会国际商事仲裁示范法》有关。
219. It was widely agreed that the CLOUT system continued to be an important aspect of the overall technical assistance activities undertaken by UNCITRAL and that its broad dissemination in all six official languages of the United Nations promoted the uniform interpretation and application of UNCITRAL texts.219. 人们普遍认为,法规判例法系统仍然是贸易法委员会开展的全面技术援助活动的一个重要方面,而且以联合国全部六种正式语文广泛传播法规判例法推动了对贸易法委员会法规的统一解释和适用。
The Commission expressed its appreciation to the national correspondents and other contributors for their work in developing the CLOUT system.贸委会对国家通信员和其他撰稿者在发展法规判例法系统方面所做的工作表示感谢。
220. The Commission noted that the digest of case law on the United Nations Sales Convention, published in December 2004, had been reviewed and edited and that the revised draft would be presented to the CLOUT national correspondents meeting on 5 July 2007.220. 贸委会注意到已对2004年12月发表的《联合国销售公约》判例法摘要进行了审查和编辑,修订草案将提交2007年7月5日召开的法规判例法国家通信员会议。
221. The Commission also noted developments with respect to the UNCITRAL website (www.uncitral.org), emphasizing its importance as a component of the overall UNCITRAL programme of information and technical assistance activities.221. 贸委会还注意到贸易法委员会网站(www.uncitral.org)的开发情况,强调其作为贸易法委员会宣传和技术援助活动总体方案的组成部分所具有的重要性。
The Commission expressed its appreciation for the availability of the website in the six official languages of the United Nations and encouraged the Secretariat to maintain and further upgrade the website in accordance with existing guidelines.贸委会对于网站使用联合国六种正式语文表示赞赏,并鼓励秘书处根据现行准则对该网站加以维护并使其进一步升级换代。
It was noted that, since the holding of the thirty-ninth session of the Commission, the website had received on average more than 2,500 visitors per day.贸易会注意到,自从其第三十九届会议举行以来,该网站每天平均有2,500多名访客。
222. The Commission took note of developments with respect to the UNCITRAL Law Library and UNCITRAL publications. XIII. Status and promotion of UNCITRAL legal texts222. 贸委会注意到有关贸易法委员会法律图书馆和贸易法委员会出版物方面的动态。
十三. 贸易法委员会法规的现状和促进
223. The Commission considered the status of the conventions and model laws emanating from its work and the status of the New York Convention, on the basis of a note by the Secretariat (A/CN.9/626) and updated information available on the UNCITRAL website.223. 贸委会根据秘书处的一份说明(A/CN.9/626)和贸易法委员会网站上提供的最新资料审议了由贸委会的工作所产生的各项公约和示范法的现状以及《纽约公约》的现状。
The Commission noted with appreciation the new actions and enactments of States and jurisdictions since its thirty-ninth session regarding the following instruments:贸委会欣慰地注意到,自其第三十九届会议以来有些国家和法域就下列文书采取了新的行动和作了新的颁布:
(a) [Unamended] Convention on the Limitation Period in the International Sale of Goods, 1974 (New York): new action by Montenegro; 27 States parties;(a) [未经修订]《国际货物销售时效期限公约》,1974年,(纽约);实施新行动的国家是黑山;缔约国为:27国;
(b) United Nations Convention on the Carriage of Goods by Sea, 1978 (Hamburg): new action by Albania; 32 States parties;(b) 《联合国海上货物运输公约》1978年,(汉堡);实施新行动的国家是阿尔巴尼亚;缔约国为:32国;
(c) United Nations Convention on Contracts for the International Sale of Goods (1980): new actions by El Salvador, Montenegro and the former Yugoslav Republic of Macedonia; 70 States parties;(c) 《联合国国际货物销售合同公约》(1980年);实施新行动的国家是萨尔瓦多、黑山和前南斯拉夫的马其顿共和国;缔约国为:70国;
(d) United Nations Convention on the Use of Electronic Communications in International Contracts (2005): signatures by China, Madagascar, Paraguay, the Russian Federation, Sierra Leone, Singapore and Sri Lanka;(d) 《联合国国际合同使用电子通信公约》(2005年);签署国是中国、马达加斯加、巴拉圭、俄罗斯联邦、塞拉利昂、新加坡和斯里兰卡;
(e) Convention on the Recognition and Enforcement of Foreign Arbitral Awards (1958): new actions by the Bahamas, Gabon, the Marshall Islands, Montenegro and the United Arab Emirates; 142 States parties;(e) 《承认及执行外国仲裁裁决公约》(1958年);实施新行动的国家是巴哈马、加蓬、马绍尔群岛、黑山和阿拉伯联合酋长国;缔约国为:142国;
(f) UNCITRAL Model Law on International Commercial Arbitration (1985): legislation enacted by Cambodia (2006), Estonia (2006), Uganda (2000) and Venezuela (Bolivarian Republic of) (1998) based on the Model Law;(f) 《贸易法委员会国际商事仲裁示范法》(1985年);根据示范法颁布法规的国家为:柬埔寨(2006年)、爱沙尼亚(2006年)、乌干达(2000年)、委内瑞拉玻利瓦尔共和国(1998年);
(g) UNCITRAL Model Law on Procurement of Goods, Construction and Services (1994): legislation enacted by Afghanistan (2006) based on the Model Law;(g) 《贸易法委员会货物、工程和服务采购示范法》(1994年);根据示范法颁布法规的国家为:阿富汗(2006年);
(h) UNCITRAL Model Law on Electronic Commerce (1996): legislation enacted by the United Arab Emirates (2006) and Viet Nam (2005) based on the Model Law;(h) 《贸易法委员会电子商务示范法》(1996年);根据示范法颁布法规的国家为:阿拉伯联合酋长国(2006年)和越南(2005年);
(i) UNCITRAL Model Law on Cross-Border Insolvency (1997): legislation enacted by Colombia (2006) and New Zealand (2006) based on the Model Law;(i) 《贸易法委员会跨国界破产示范法》(1997年);根据示范法颁布法规的国家为:哥伦比亚(2006年)和新西兰(2006年);
(j) UNCITRAL Model Law on Electronic Signatures (2001): legislation enacted by the United Arab Emirates (2006) and Viet Nam (2005) based on the Model Law.(j) 《贸易法委员会电子签名示范法》(2001年);根据示范法颁布法规的国家为:阿拉伯联合酋长国(2006年)和越南(2005年)。
224. The Commission heard that, in the context of the treaty event to be held from 25 to 27 September and on 1 and 2 October 2007, the following three treaties related to the work of UNCITRAL would be highlighted: the New York Convention, the United Nations Sales Convention and the United Nations Convention on the Use of Electronic Communications in International Contracts.224. 贸委会获悉,将于2007年9月25日至27日及10月1日和2日举办2007年条约活动,重点介绍以下三项与贸易法委员会工作有关的条约:《纽约公约》、《联合国销售公约》、《联合国国际合同使用电子通信公约》。
225. States were invited to consider participating in the 2007 treaty event by undertaking appropriate treaty actions relating to those treaties.225. 请各国考虑通过采取与这些条约有关的适当条约行动,参加2007年条约活动。
In particular, it was recalled that the United Nations Convention on the Use of Electronic Communications in International Contracts would close for signature on 16 January 2008 and that therefore the 2007 treaty event might provide one of the last high‑level opportunities for signature of that text.尤其是回顾《联合国国际合同使用电子通信公约》将于2008年1月16日结束签署,因此2007年条约活动可能是为签署该公约提供的最后高级别机会之一。
XIV. Coordination and cooperation十四. 协调与合作
A. GeneralA. 概论
226. The Commission had before it a note by the Secretariat (A/CN.9/628 and Add.1) providing a brief survey of the work of international organizations related to the harmonization of international trade law, focusing upon substantive legislative work.226. 贸委会收到了秘书处的一份说明(A/CN.9/628和Add.1),其中提供了对国际组织特别侧重于实质性立法工作的国际贸易法统一工作的简要调查结果。
The Commission commended the Secretariat for the preparation of that document, recognizing its value to coordination of the activities of international organizations in the field of international trade law, and welcomed the revision of the survey on an annual basis.贸委会称赞秘书处编拟了这份文件,承认该报告对协调国际组织在国际贸易法领域中的活动的重要性,并欢迎每年修订一次该调查报告。
227. It was recalled that the Commission at its thirty-seventh session, in 2004, had agreed that it should adopt a more proactive attitude, through its Secretariat, to fulfilling its coordination role.227. 会议回顾,贸委会2004年第三十七届会议商定,贸委会应通过其秘书处采取更为积极主动的态度来履行其协调职责。
Recalling the endorsement by the General Assembly, most recently in its resolution 61/32 of 4 December 2006, paragraph 5, of UNCITRAL efforts and initiatives towards coordination of activities of international organizations in the field of international trade law, the Commission noted with appreciation that the Secretariat was taking steps to engage in a dialogue, on both legislative and technical assistance activities, with a number of organizations, including the Hague Conference on Private International Law, the Organization for Economic Cooperation and Development, the Organization of American States, Unidroit, the World Bank and the World Trade Organization.贸委会回顾大会曾在其最近的2006年12月4日第61/32号决议第5段核可了贸易法委员会为协调各国际组织在国际贸易法领域的活动而作出的努力和采取的举措,贸委会赞赏地注意到,秘书处正在采取各种步骤,就立法活动和技术援助活动与一些组织进行对话,这些组织包括海牙国际私法会议、经济合作及发展组织、美洲国家组织、统法协会、世界银行和世界贸易组织。
The Commission noted that that work often involved travel to meetings of those organizations and the expenditure of funds allocated for official travel.贸委会注意到,这方面的工作通常涉及出差去参加这些组织的会议以及为公务旅行拨出的经费支出。
The Commission reiterated the importance of coordination work being undertaken by UNCITRAL as the core legal body in the United Nations system in the field of international trade law and supported the use of travel funds for that purpose.贸委会重申贸易法委员会作为联合国系统在国际贸易法领域中的核心法律机构开展协调工作的重要性,并支持为此目的使用差旅费。
B. Reports of other international organizationsB. 其他国际组织的报告
228. The Commission heard a statement on behalf of Unidroit, reporting on progress with a number of projects outlined in document A/CN.9/628 and Add.1, including the following:228. 贸委会听取了统法协会代表所作的发言,其中报告了A/CN.9/628及Add.1号文件所概述的在包括下列项目等一些项目上的进展情况:
(a) The Working Group on the Principles of International Commercial Contracts held its second session in June 2007 and made substantial progress on the unwinding of failed contracts, plurality of obligors and of obligees, termination of long-term contracts for just cause and initial progress on illegality. An intersessional meeting of a drafting committee would be held;(a) 国际商事合同通则工作组2007年6月举行了第二次会议,在失效合同的撤回、债权人和债务人的多元性、因正当理由终止长期合同等方面取得了巨大进展,并在非法性方面取得了初步进展。将举行起草委员会的闭会期间会议;
(b) The fourth session of the Unidroit Committee of Governmental Experts was held in May 2007 to further consider the draft Convention on Substantive Rules regarding Intermediated Securities. That meeting considered a number of additional systems regulating the trading, custody, clearing and settlement of securities, including in Asia (China and Malaysia), Europe (Spain and several Nordic countries) and Latin America (Brazil and Colombia). A diplomatic conference was scheduled for 2 to 13 June 2008;(b) 2007年5月举行了统法协会政府专家委员会的第四届会议,以进一步审议中介代持证券实质性规则公约草案。这次会议审议了亚洲(中国和马来西亚)、欧洲(西班牙和一些北欧国家)、拉丁美洲(巴西和哥伦比亚)及其他一些规范证券交易、保管、清算和结算的制度的情况。定于2008年6月2日至13日举行一次外交会议;
(c) The drafting of a legislative guide on principles and rules on trading in securities in emerging markets was currently suspended to concentrate on the draft Convention on Substantive Rules regarding Intermediated Securities;(c) 新兴市场证券交易通则与细则立法指南的起草工作现已暂停,目的是把重点放在中介代持证券实质性规则;
(d) The Convention on International Interests in Mobile Equipment (2001) and the Protocol to that Convention on Matters specific to Aircraft Equipment (2001) each currently had 16 States parties. The Diplomatic Conference to Adopt a Rail Protocol to the Convention on International Interests in Mobile Equipment, held in Luxembourg from 12 to 23 February 2007, adopted the Luxembourg Protocol to the Convention on International Interests in Mobile Equipment on Matters specific to Railway Stock (2007). The Luxembourg Protocol had been signed by four States on 23 February 2007, the date of adoption. The third session of the Unidroit Committee of Governmental Experts, expected to be held in late 2007, would continue to discuss the preliminary draft protocol on matters specific to space assets;(d) 《移动设备国际利益公约》(2001年)和该公约关于航空器设备特有事项的议定书(2001年)目前均有16个缔约国。为通过《移动设备国利益公约》铁路议定书而于2007年2月12日至23日在卢森堡举行的外交会议通过了《移动国际利益公约关于铁道车辆特有事项的卢森堡议定书》(2007年)。在2007年2月23日这一通过之日已有四个国家签署了《卢森堡议定书》。统法协会政府专家委员会的第三届会议预计将于2007年下半年举行,该届会议将继续讨论《关于空间资产特有事项的议定书》的草案初稿。
(e) The relationship between the Convention on International Interests in Mobile Equipment and the Protocols thereto and the draft Unidroit Model Law on Leasing continued to be examined, most recently by the Unidroit Committee of Governmental Experts in Johannesburg, South Africa. A further session was scheduled for December 2007 or early 2008, and it was anticipated that the Unidroit General Assembly would consider the draft Model Law in early 2008.(e) 还在继续对《移动设备国际利益公约》及其议定书与统法协会租赁示范法草案之间的关系进行审查,最近的一次审查是由统法协会政府专家委员会在南非约翰内斯堡进行的。计划在2007年12月或2008年上半年再举行一届会议,预计统法协会大会将在2008年上半年审议示范法草案。
XV.
Willem C. Vis International Commercial Arbitration Moot competition十五. Willem C. Vis国际商事仲裁模拟辩论赛
229. It was noted that the Institute of International Commercial Law at Pace University School of Law in White Plains, New York, had organized the Fourteenth Willem C. Vis International Commercial Arbitration Moot in Vienna, from 30 March to 5 April 2007. As in previous years, the Moot had been co-sponsored by the Commission.229. 会上注意到,2007年3月30日至4月5日,纽约州白原佩斯大学法学院国际商业法研究所在维也纳举办了第十四届Willem C. Vis国际商事仲裁模拟辩论赛。
与往年一样,此次辩论赛由贸委会协办。
It was noted that legal issues dealt with by the teams of students participating in the Fourteenth Moot had been based on the United Nations Sales Convention, the Arbitration Rules of the Court of International Commercial Arbitration attached to the Chamber of Commerce and Industry of Romania, the Arbitration Model Law and the New York Convention.有与会者注意到,参加第十四届辩论赛的各学生队所讨论的法律问题都以《联合国销售公约》、《罗马尼亚工商协会下属国际商事仲裁院仲裁规则》、《仲裁示范法》和《纽约公约》为基础。
A total of 177 teams from law schools in 51 countries had participated in the Fourteenth Moot.来自51个国家的法学院的总共177支赛队参加了第十四届辩论赛。
The best team in oral arguments was that of the University of Freiburg, Germany.口头辩论优胜队是德国弗赖堡大学。
The Fifteenth Willem C. Vis International Commercial Arbitration Moot would be held in Vienna from 14 to 20 March 2008.第十五届Willem C. Vis国际商事仲裁模拟辩论赛将于2008年3月14日至20日在维也纳举行。
XVI. Relevant General Assembly resolutions十六. 大会有关决议
230. The Commission took note with appreciation of General Assembly resolutions 61/32, on the report of the Commission on the work of its thirty-ninth session, and 61/33 of 4 December 2006, on the revised articles of the Model Law on International Commercial Arbitration, and of the recommendation regarding the interpretation of article II, paragraph 2, and article VII, paragraph 1, of the New York Convention.230. 贸委会赞赏地注意到大会关于贸委会第三十九届会议工作报告的第61/32号决议和关于《国际商事仲裁示范法》订正条款2006年12月4日的第61/33号决议,以及关于2006年12月4日《纽约公约》第二条第2款和第七条第1款的解释的建议。
231. The Commission also took note of General Assembly resolution 61/39 of 4 December 2006, on the rule of law at the national and international levels, and heard an oral report from the Secretariat on the status of implementation of the resolution.231. 贸委会还注意到大会关于国内和国际法治的第61/39号决议,并且听取了秘书处就该决议执行情况所作的口头报告。
In particular, as regards the preparation of an inventory requested by the General Assembly in the resolution, the Commission noted that the UNCITRAL secretariat, based on replies to a circulated questionnaire, had submitted a detailed inventory of all activities of UNCITRAL and its secretariat related to the promotion of the rule of law at the national and international levels, and, as was requested, identified problems commonly encountered in those activities and possible solutions.特别是关于大会在该决议中要求的清单的编写情况,贸委会注意到贸易法委员会秘书处根据一份已分发的调查问卷所作答复,提交了一份关于贸易法委员会及其秘书处开展的有关促进国内和国际法治的各项活动的详细清单,并根据请求,查明在这些活动中通常遇到的问题和可能的解决办法。
232. The Commission was apprised of the pertinent statement made by the Chairman of the thirty-ninth session of the Commission at the sixty-first session of the General Assembly upon introduction of the annual report of the Commission to the Sixth Committee of the Assembly.232. 贸委会得知贸委会第三十九届会议主席在大会第六十一届会议上向大会第六委员会介绍贸委会的年度报告时所作的有关发言。
The Commission was informed that the Chairman, in his statement made on behalf of UNCITRAL, had welcomed consideration in a comprehensive and coherent manner by the Assembly of ways and means to promote the rule of law at the national and international levels.贸委会获悉主席在代表贸易法委员会发言时欢迎大会采取一种综合而一致的方式审议促进国内和国际法治的方式方法问题。
He noted current sporadic and fragmented approaches within the United Nations in that regard.他注意到目前联合国内部在这方面采取零打碎敲的做法。
With the primary focus on criminal justice, transitional justice and judicial reform, these approaches, he stated, often overlooked the economic dimension of the rule of law, including the need for commercial law reforms as an essential foundation for long-term stability, development, empowerment and good governance.关于初步将重点放在刑事司法、过渡性司法和司法改革方面,他说,这些做法往往忽略法治的经济层面,包括需要进行商法改革,为长期稳定、发展、提高能力和善政奠定必要的基础。
He further stated that, as United Nations experience in various areas of its operation had shown, approaches to building and promoting the rule of law had to be comprehensive and coherent in order to achieve sustained results.他进一步指出,联合国运作的各方面经验表明,建立和促进法治,必须采取综合而一致的做法才能取得持续的成果。
233. The Commission reiterated its conviction that its work to establish modern private law standards on international trade in a manner that was acceptable to States with different legal, social and economic systems and to promote such standards significantly contributed to the development of harmonious international relations, respect for the rule of law, peace and stability, and was indispensable for supporting economic development and for designing a sustainable economy.233. 贸委会重申它坚信,贸委会所开展的采取实行不同法律、社会和经济制度的国家所接受的方式来制定关于国际贸易的现代私法标准和推行这类标准的工作大大有助于发展和谐的国际关系、尊重法治、和平与稳定,并且对于支持经济发展和构建可持续的经济是不可或缺的。
It therefore highlighted the need for more effective integration of resources and expertise of UNCITRAL, as the only United Nations expert body in the field of international commercial law, in the programmes within and outside the United Nations aimed at promoting the rule of law at the national and international levels.贸委会因此强调必须更加有效地将贸易法委员会这个联合国在国际商法领域唯一的专家机构的资源和专门知识纳入联合国内外旨在促进国内和国际法治的各项方案。
The hope was expressed that the areas of work, resources and expertise of UNCITRAL, together with the problems encountered in the implementation of its mandate and the actions and resources needed to overcome those problems, would be duly taken into account in the implementation of General Assembly resolution 61/39. XVII. Other business贸委会希望在执行大会第61/39号决议时将适当考虑到贸易法委员会的工作领域、资源和专门知识以及贸易法委员会在开展工作和活动时遇到的问题及克服这些问题所需的资源。
十七. 其他事项
A. Observations and proposals by France on the methods of work of the CommissionA. 法国有关贸委会工作方法的意见和提议
234. The Commission had before it observations and proposals by France on the working methods of the Commission (A/CN.9/635).234. 贸委会收到了法国有关贸委会工作方法的意见和提议(A/CN.9/635)。
It was stated by the proponents that the fortieth anniversary of the Commission was a particularly timely moment to review its working methods, which were said to be uncertain and to deviate from rules of procedure generally followed by subsidiary organs of the General Assembly.赞成者指出,利用贸委会40周年这一时机来审查其工作方法尤为合适,据说这些工作方法不确定,偏离了大会附属机构普遍遵循的议事规则。
Of particular concern to the proponents of such a review was the perception that the working methods of the Commission and its working groups might not sufficiently encourage effective participation in the creation of UNCITRAL standards or the subsequent enactment of those standards by a broad range of States. Examples were given of instruments adopted by UNCITRAL that had so far not been widely ratified or enacted by States.赞成进行这类审查的人所尤为关切的是,现在已经形成这样一种印象,即认为贸委会及其工作组的工作方法无法充分鼓励许多成员国有效参与拟订贸易法委员会的标准或随后颁布这些标准,为此而列举了贸易法委员会通过的文书迄今为止尚未得到各国踊跃批准或颁布的实例。
The proposed changes in the working methods of the Commission were described as a means through which member States might increase their sense of ownership and responsibility in respect of UNCITRAL through stronger control over the standard-making activity of the Commission.有与会者认为,成员国可借助对贸委会工作方法的拟议修改而更加严格地控制贸委会制定标准的活动,从而增强对贸易法委员会的主人翁意识和责任感。
Among the various proposals outlined in the observations by France, emphasis was placed on the decision-making process in the Commission and its working groups.法国的意见中所概述的各种提议重点谈到了贸委会及其工作组的决策进程。
From the point of view of the delegation of France, it was appropriate to better define the notion “consensus”, on which the decision-making process was based.法国代表团认为,应当更为明确地界定决策程序所依赖的“协商一致”的概念。
The role of non-State entities in the elaboration of uniform law standards was also questioned and it was proposed that a clearer distinction should be made between the phase of negotiation, during which non-governmental organizations might make useful contributions, and the phase of decision-making, in which only member States should take part.该意见还对非国家实体在拟订法律统一标准方面的作用提出了疑问,并且建议应当更加明确区分谈判阶段和决策阶段,在谈判阶段,非政府组织不妨提供有益贡献,而在决策阶段,只有成员国方可参加。
235. In response to those observations and proposals, it was stated that any input aimed at maintaining the tradition of excellence of UNCITRAL and ensuring its effectiveness should be welcomed.235. 针对这些意见和提议的一种看法认为,任何意见,只要目的是坚持贸易法委员会力求卓越的传统并确保其发挥有效作用,就都是值得欢迎的。
It was pointed out that, as a technical body, UNCITRAL had decided in its earliest sessions that it would develop working methods that were appropriate for the performance of its functions.有与会者指出,作为一个技术性机构,贸易法委员会前几届会议曾决定拟订与履行其职责相符的工作方法。
Over its 40 years of existence, it had developed several conventions, model laws, legislative guides and other standards with input from elected members from all regions of the world.贸易法委员会在其40多年的活动中拟订了若干项公约、示范法、立法指南和其他标准,为此吸纳了世界各地区当选成员的意见。
As a result, UNCITRAL texts had been welcomed and adopted all over the world.其结果是,贸易法委员会的案文在世界各地受到欢迎和接受。
It was recalled that the nature of UNCITRAL work (namely, the field of private law) required expert input from professional associations outside governments who had insight into the areas of law being considered for work by the Commission.有与会者回顾,贸易法委员会的工作性质(即属于私法)要求政府以外的专业协会提供专家意见,因为此类专业协会对贸委会考虑拟订的法律的各个方面十分了解。
In view of the need for the participation of such observers from private international associations, the Commission was urged to prevent any circumstances that could affect their willingness to participate in UNCITRAL meetings.鉴于需要有国际私法协会的这类观察员参加,有与会者敦促贸委会防止出现任何挫伤其参加贸易法委员会会议积极性的情况。
It was noted that recognizing the key role of participants from non-State entities and encouraging their continued input was not incompatible with clarifying to invited non-governmental organizations their role as contributors and not decision-makers.据指出,在以下两种做法之间并无任何相悖之处:即一方面承认非国家实体的参与极为重要并鼓励其继续发表意见,另一方面又向应邀与会的非政府组织澄清其所扮演的是协助者而不是决策者的角色。
It was also stated that the fact that UNCITRAL decisions had so far been made without the need for a vote should be regarded as a positive feature that reflected efforts to seek commonly acceptable solutions as opposed to quick results through voting.另据指出,迄今为止贸易法委员会所作的决定均无须经过表决这一事实应当被视为一个正面的特征,相对于通过表决取得速效,不表决做法反映了正力求普遍接受的解决办法。
By seeking to find solutions that were acceptable to a broad spectrum of countries, UNCITRAL had avoided entrenched disagreements and had been an effective standard-setting organization.为力求寻找许多国家都能接受的解决办法,贸易法委员会对争持不下的不同意见采取了回避的做法,从而成为了一个有效的标准拟订机构。
236. In the general discussion that ensued, it was widely felt that, while the current working methods had demonstrated their efficiency, a comprehensive review of the working methods of the Commission might be timely, particularly in view of the recent increase in membership of the Commission and the number of topics being dealt with by the Commission and its six full-membership working groups to which non-member States also were invited.236. 在随后进行的一般性讨论中,与会者普遍认为,既有工作方法虽已证明是有效的,但现在仍应对贸委会的工作方法进行全面的审查,其主要原因是,贸委会的成员、贸委会审议的议题以及也邀请非成员国参与的六个工作组的正式成员近来都有所增加。
It was agreed that the guiding principles for such a comprehensive review should be those of inclusiveness, transparency and flexibility.贸委会一致认为,这类全面审查应当以包容性、透明度和灵活性为其指导原则。
Tolerance and professionalism were also mentioned.还有与会者提到了宽容和专业精神。
Particular mention was made of the need to preserve flexibility and discretion in the adjustment of its working methods by the Secretariat.有与会者尤其提及秘书处在调整其工作方法上保持灵活谨慎的必要性。
Views were also expressed to the effect that existing rules of procedure of the Commission were insufficiently known, characterized by a high degree of flexibility and informality, and difficult to access and to assess.还有与会者发表了一些看法,意思大致为贸委会的既有议事规则不够公开,表现出过于灵活和不够正式的特点,因此难以了解和评价这类规则。
237. It was suggested that continuation of the discussion might be greatly facilitated if the Secretariat could present a compilation of procedural rules and practices established by UNCITRAL itself or by the General Assembly in its resolutions regarding the work of the Commission.237. 有与会者称,如果秘书处能够把贸易法委员会本身所确定的议事规则和做法或大会有关贸委会工作的决议汇编成册的话,则将大大有利于继续展开这方面的讨论。
The Commission requested the Secretariat to prepare such a document for consideration by the Commission, if possible as early as its resumed fortieth session.贸委会请秘书处编拟此种文件,供贸委会审议,如果有可能的话,可最早在其第四十届会议续会上审议。
238. As to the substance of the proposals, various views were expressed.238. 关于这些提议的实质内容,与会者看法不一。
With respect to the decision-making process, while general preference was expressed in favour of adopting decisions by consensus, it was stated that further clarification might be required, in particular regarding the possibility of better reflecting the views of minorities and the criteria to be applied by chairpersons in assessing the level of consensus or in recognizing the exceptional circumstances where voting might be unavoidable.对于决策进程,尽管普遍赞成以协商一致方式通过决定,但有与会者认为,或许需要作进一步的澄清,尤其是对有否可能更好地反映少数人的观点和对主席在据以评价协商一致的程度或确认可能无法回避表决的意外情形上所应适用的标准作出此种澄清。
In that context, it was suggested that one could envisage the preparation of a comprehensive set of rules of procedure or a set of principles or guidelines to be applied by the Commission and its subsidiary bodies.有与会者就此指出,可考虑拟订一套全面的议事规则或一套适用于贸委会及其附属机构的原则或准则。
239. With respect to participation by non-governmental organizations, it was generally agreed that active participation from relevant commercial circles represented by invited non-governmental organizations was essential to the quality of the work of UNCITRAL.239. 对于非政府组织的参与,会议普遍认为,由得到邀请的非政府组织代表相关商业团体积极与会对保证贸易法委员会的工作质量至关重要。
It was suggested that attention should be given to establishing rules to guarantee transparency in the selection of such organizations and to clarify the advisory nature of their role.有与会者建议,应考虑拟订有关规则,确保对这类组织的甑选工作具有透明度,并澄清这些组织所起的作用是提供咨询意见。
Reference was made to the arrangements for consultation with non-governmental organizations established by the Economic and Social Council.有与会者提及经济及社会理事会确定的与非政府组织进行协商的安排。
While it was stated that such arrangements might be a useful source, it was pointed out that they were not necessarily binding on the Commission as a subsidiary organ of the General Assembly.尽管这类安排据称可能是一种有益的来源,但有与会者指出,这类安排对作为大会附属机构的委员会不具约束力。
It was also pointed out that the role of observer States and intergovernmental organizations in the decision-making process would need to be clarified.还有与会者指出,必须澄清观察员国和政府间组织在决策程序中所发挥的作用。
240. With respect to the use of languages, general sympathy was expressed for broader use, in addition to English, of French and other official languages of the United Nations, including in documents circulated informally, subject to the availability of resources.240. 对于各种语文的使用,与会者普遍赞同在资源的供应允许的前提下,扩大使用法文和其他正式语文,包括在非正式散发的文件中。
As to multilingualism in official documentation, it was recalled that that was an essential characteristic of the work of UNCITRAL as a United Nations body.对于在正式文件编制工作中坚持多种语文共存,有与会者回顾,这是贸易法委员会作为联合国机构的一个基本工作特征。
241. As to the manner in which the discussion on the working methods should continue, it was agreed that the issue would be placed as a specific item on the agenda of the Commission at its resumed fortieth session (see para. 11 above).241. 对于应当以何种方式继续展开有关工作方法的讨论,会议商定,应当把该问题作为贸委会第四十届会议续会议程上的一个具体项目(见上文第11段)。
Noting that it was highly desirable for the Commission at its resumed fortieth session to finalize, in meetings of a Committee of the Whole, the adoption of the draft Legislative Guide on Secured Transactions, it was considered that the Commission would be able to devote time to the question of working methods at its resumed fortieth session only as far as permitted by the work on the draft Guide.考虑到贸委会第四十届会议续会完全应当在全体委员会的会议上最后通过担保交易立法指南草案,有与会者认为,贸委会只有在立法指南草案的工作允许的情况下才能腾出时间审议工作方法问题。
In order to facilitate informal consultations among all interested States, the Secretariat was requested to prepare a report on existing rules and practices (see para. 237 above) and 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.为了给所有有关国家开展非正式协商提供方便,已请秘书处编拟一份有关现行规则和做法的报告(见上文第237段)并在资源允许的情况下作出必要安排,方便所有有关国家的代表在贸委会第四十届会议续会召开以前,如有可能的话在续会期间举行会议。
B. Internship programmeB. 实习方案
242. An oral report was presented on the internship programme at the UNCITRAL secretariat.242. 会上就贸易法委员会秘书处的实习方案作了口头报告。
While general appreciation was expressed for the programme, which is designed to give young lawyers the opportunity to become familiar with the work of UNCITRAL and to increase their knowledge of specific areas in the field of international trade law, it was observed that only a small proportion of interns were nationals of developing countries.与会者普遍对该方案表示赞赏,该方案的目的是向年轻律师提供熟悉贸易法委员会工作的机会,加深其对国际贸易法领域具体方面的了解。 有与会者称,实习生中只有一小部分为发展中国家的国民。
A suggestion was made that consideration should be given to establishing the financial means of supporting wider participation by young lawyers from developing countries.有与会者建议,应考虑确定支助发展中国家年轻律师扩大参与的经济手段。
That suggestion was supported.该建议得到了支持。
C. Evaluation of the role of the Secretariat in facilitating the work of the CommissionC. 评价秘书处在促进贸委会工作上所发挥的作用
243. The Commission was informed that the proposed programme budget for the biennium 2008-2009 listed among the “Expected accomplishments of the Secretariat” its contribution to facilitating the work of UNCITRAL.243. 贸委会获悉,2008-2009两年期拟议方案预算在“秘书处预期成绩”下列入了其对“促进贸易法委员会的工作”所作贡献。
The performance measure of that expected accomplishment was the satisfaction of UNCITRAL with the services provided, as evidenced by a rating on a scale ranging from 1 to 5 (5 being the highest rating).该预期成绩的“业绩计量”为“贸易法委员会满意所提供的服务”,以在1至5的评定等级表中的评分(5分为最高评分)为凭证。
The Commission agreed to provide feedback to the Secretariat.贸委会同意向秘书处提供反馈意见。
D. BibliographyD. 文献目录
244. The Commission had before it a bibliography of recent writings related to its work (A/CN.9/625).244. 贸委会收到了与其工作有关的近期著述文献目录(A/CN.9/625)。
XVIII. Congress 2007十八. 2007年大会
245. The Commission recalled that, at its thirty-eighth and thirty-ninth sessions, in 2005 and 2006, respectively, it had approved a plan, in the context of its fortieth session, to hold a congress similar to the UNCITRAL Congress on Uniform Commercial Law in the Twenty-first Century, held in New York from 18 to 22 May 1992.245. 贸委会回顾曾分别在其2005年和2006年第三十八届和第三十九届会议上核准一项计划,准备在其第四十届会议期间举行一次类似于1992年5月18日至22日在纽约举行的贸易法委员会二十一世纪商法统一大会的大会。
The Commission had envisaged that the congress would review the results of the past work programme of UNCITRAL and of related work of other organizations active in the field of international trade law, assess current work programmes and consider and evaluate topics for future work programmes.,根据贸委会的设想,此次大会将审查贸委会以往工作方案的成果以及活跃在国际贸易法领域的其他组织的相关工作,评估当前的工作方案,审议并评价未来工作方案的专题。
246. At its current session, the Commission noted with appreciation the preparations by the Secretariat for the Congress “Modern Law for Global Commerce”, which was to be held in Vienna after the close of the formal deliberations of the Commission, from 9 to 12 July 2007.246. 在本届会议上,贸委会赞赏地注意到秘书处为筹备大会“国际商业示范法”所作的工作,这次大会将在贸委会结束正式审议之后于2007年7月9日至12日在维也纳举行。
The Commission requested the Secretariat to publish the proceedings of the Congress in the official languages of the United Nations to the extent permitted by available resources.贸委会请秘书处在现有资源允许的范围内以联合国的正式语文公布大会的议事记录。
XIX. Date and place of future meetings十九. 今后会议的日期和地点
A. Dates of the resumed fortieth sessionA. 第四十届会议续会的日期
247. The Commission agreed to hold its resumed fortieth session in Vienna from 10 to 14 December 2007 (for the agenda of the resumed fortieth session, see para.  11 above).247. 贸委会商定于2007年12月10日至14日在维也纳举行贸委会第四十届会议续会(第四十届会议续会的议程见上文第11段)。
B. Forty-first session of the CommissionB. 贸委会第四十一届会议
248. The Commission 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).248. 贸委会同意于2008年6月16日至7月11日在纽约举行第四十一届会议,但须视能否获得确认或者能否缩短届会时间而定,该届会议的续会将特别根据第二工作组(仲裁和调解)和第三工作组(运输法)工作的进展情况就此作出决定。
(United Nations Headquarters in New York would be closed on Friday, 4 July 2008.)(2008年7月4日星期五纽约联合国总部不办公)。
C. Sessions of working groups up to the forty-first session of the CommissionC. 各工作组在贸委会第四十一届会议之前的届会
249. At its thirty-sixth session, in 2003, the Commission agreed that: (a) working groups should normally meet for a one-week session twice a year; (b) extra time, if required, could be allocated from the unused entitlement of another working group provided that such arrangement would not result in an increase of the total number of 12 weeks of conference services per year currently allotted to sessions of all six working groups of the Commission; and (c) if any request by a working group for extra time resulted in an increase in the 12-week allotment, it should be reviewed by the Commission, with proper justification being given by that working group regarding the reasons for which a change in the meeting pattern was needed.249. 贸委会在2003年第三十六届会议上曾商定如下:(a)正常情况下各工作组应当每年举行两次会期一周的会议;(b)如果需要额外时间,可以从其他工作组未使用的会议服务时间权限中分配,条件是这种安排不能造成目前分配给贸委会所有六个工作组届会的总共12周会议服务时间的增加;(c)如果工作组对额外时间的请求导致12周分配时间的增加,则应由贸委会审查这种请求,工作组应就为何需要改变会议时间分配模式提出适当理由。
250. In view of the magnitude and complexities of the project before Working Group III (Transport Law), the Commission decided to authorize two-week sessions of the Working Group to be held in the second half of 2007 and the first half of 2008, utilizing the entitlement of Working Group IV (Electronic Commerce), which would not meet before the forty-first session of the Commission (see paras. 184 above and 251 (c) and (d) below).250. 鉴于第三工作组(运输法)所审议的项目涉面很广,十分复杂,贸委会决定授权该工作组在2007年下半年和2008年上半年分别举行为期两周的届会,为此将使用第四工作组(电子商务)的时间权限,该工作组在贸委会第四十一届会议前不举行会议(见上文第184段和下文第251 (c)和(d)段)。
251. Subject to possible review at its resumed fortieth session (see para.  11 above), the Commission approved the following schedule of meetings for its working groups:251. 贸委会在须由其第四十届会议续会视可能进行审查的前提下(见上文第11段)批准了各工作组的下述会议安排:
(a) Working Group I (Procurement) would hold its twelfth session in Vienna from 3 to 7 September 2007 and its thirteenth session in New York from 7 to 11 April 2008;(a) 第一工作组(采购)将于2007年9月3日至7日在维也纳举行第十二届会议,2008年4月7日至11日在纽约举行第十三届会议;
(b) Working Group II (Arbitration and Conciliation) would hold its forty‑seventh session in Vienna from 10 to 14 September 2007 and its forty‑eighth session in New York from 4 to 8 February 2008;(b) 第二工作组(仲裁和调解)将于2007年9月10日至14日在维也纳举行第四十七届会议,2008年2月4日至8日在纽约举行第四十八届会议;
(c) Working Group III (Transport Law) would hold its twentieth session in Vienna from 15 to 25 October 2007 (the United Nations offices in Vienna are closed on 26 October), and its twenty-first session in Vienna from 14 to 25 January 2008, with possible reduction of the duration of the session to one week (see para. 184 above);(c) 第三工作组(运输法)将于2007年10月15日至25日(10月26日联合国维也纳办事处不办公)举行第二十届会议,2008年1月14日至25日在维也纳举行第二十一届会议,会期有可能缩短为一周(见上文第184段);
(d) No session of Working Group IV (Electronic Commerce) was envisaged;(d) 第四工作组(电子商务)预计不举行会议;
(e) Working Group V (Insolvency Law) would hold its thirty-third session in Vienna from 5 to 9 November 2007 and its thirty-fourth session in New York from 3 to 7 March 2008;(e) 第五工作组(破产法)将于2007年11月5日至9日在维也纳举行第三十三届会议,2008年3月3日至7日在纽约举行第三十四届会议;
(f) Working Group VI (Security Interests) would hold its thirteenth session in New York from 19 to 23 May 2008.(f) 第六工作组(担保权益)将于2008年5月19日至23日在纽约举行第十三届会议。
D. Sessions of working groups in 2008 after the forty-first session of the CommissionD. 各工作组2008年在贸委会第四十一届会议之后的届会
252. The Commission noted that tentative arrangements had been made for working group meetings in 2008 after its forty-first session (the arrangements were subject to the approval of the Commission at its forty-first session):252. 贸委会注意到已经为2008年期间在其第四十一届会议之后的各工作组的会议作出临时安排(有关安排需经贸委会第四十一届会议批准):
(a) Working Group I (Procurement) would hold its fourteenth session in Vienna from 8 to 12 September 2008;(a) 第一工作组(采购)将于2008年9月8日至12日在维也纳举行第十四届会议;
(b) Working Group II (Arbitration and Conciliation) would hold its forty‑ninth session in Vienna from 15 to 19 September 2008;(b) 第二工作组(仲裁和调解)将于2008年9月15日至19日在维也纳举行第四十九届会议;
(c) Working Group III (Transport Law) would hold its twenty-second session in Vienna from 20 to 24 October 2008;(c) 第三工作组(运输法)将于2008年10月20日至24日在维也纳举行第二十二届会议;
(d) Working Group IV (Electronic Commerce) would hold its forty-fifth session in Vienna from 27 to 31 October 2008;(d) 第四工作组(电子商务)将于2008年10月27日至31日在维也纳举行第四十五届会议;
(e) Working Group V (Insolvency Law) would hold its thirty-fifth session in Vienna from 17 to 21 November 2008;(e) 第五工作组(破产法)将于2008年11月17日至21日在维也纳举行第三十五届会议;
(f) Working Group VI (Security Interests) would hold its fourteenth session in Vienna from 24 to 28 November 2008.(f) 第六工作组(担保权益)将于2008年11月24日至28日在维也纳举行第十四届会议。
Annex附件
List of documents before the Commission at its fortieth session贸委会第四十届会议收到的文件一览表
Symbol文号
Title or description标题或说明
A/CN.9/613A/CN.9/613
Provisional agenda, annotations thereto and scheduling of meetings of the fortieth session第四十届会议临时议程、临时议程说明和会议日程安排
A/CN.9/614A/CN.9/614
Report of Working Group II (Arbitration and Conciliation) on the work of its forty-fifth session (Vienna, 11-15 September 2006)第二工作组(仲裁和调解)第四十五届会议工作报告(2006年9月11日至15日,维也纳)
A/CN.9/615A/CN.9/615
Report of Working Group I (Procurement) on the work of its tenth session (Vienna, 25-29 September 2006)第一工作组(采购)第十届会议工作报告(2006年9月25日至29日,维也纳)
A/CN.9/616A/CN.9/616
Report of Working Group III (Transport Law) on the work of its eighteenth session (Vienna, 6-17 November 2006)第三工作组(运输法)第十八届会议工作报告(2006年11月6日至17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日至8日,维也纳)
A/CN.9/618A/CN.9/618
Report of Working Group V (Insolvency Law) on the work of its thirty-first session (Vienna, 11-15 December 2006)第五工作组(破产法)第三十一届会议工作报告(2006年12月11日至15日,维也纳)
A/CN.9/619A/CN.9/619
Report of Working Group II (Arbitration and Conciliation) on the work of its forty-sixth session (New York, 5-9 February 2007)第二工作组(仲裁和调解)第四十六届会议工作报告(2007年2月5日至9日,纽约)
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,维也纳)
A/CN.9/621A/CN.9/621
Report of Working Group III (Transport Law) on the work of its nineteenth session (New York, 16-27 April 2007)第三工作组(运输法)第十九届会议工作报告(2007年4月16日至27日,纽约)
A/CN.9/622A/CN.9/622
Report of Working Group V (Insolvency Law) on the work of its thirty-second session (New York, 14-18 May 2007)第五工作组(破产法)第三十二届会议工作报告(2007年5月14日至18日,纽约)秘书处的说明:破产法:今后可能开展的工作
A/CN.9/623A/CN.9/623
Report of Working Group I (Procurement) on the work of its eleventh session (New York, 21-25 May 2007)第一工作组(采购)第十一届会议工作报告(2007年5月21日至25日,纽约)
A/CN.9/624 and Add.1 and 2A/CN.9/624及Add.1和2
Note by the Secretariat on indicators of commercial fraud秘书处的说明:商业欺诈指标
A/CN.9/625A/CN.9/625
Bibliography of recent writings related to the work of UNCITRAL与贸易法委员会工作有关的最新著作目录
A/CN.9/626A/CN.9/626
Note by the Secretariat on the status of conventions and model laws秘书处的说明:各公约和示范法的现状
A/CN.9/627A/CN.9/627
Note by the Secretariat on technical cooperation and assistance秘书处的说明:技术合作与援助
A/CN.9/628 and Add.1A/CN.9/628和Add.1
Note by the Secretariat on current activities of international organizations related to the harmonization and unification of international trade law秘书处的说明:国际组织当前有关协调统一担保权益相关法律的活动
A/CN.9/629A/CN.9/629
Note by the Secretariat on facilitation of cooperation, direct communication and coordination in cross-border insolvency proceedings秘书处的说明:促进跨国界破产程序中的合作、直接通信和协调
A/CN.9/630 and Add.1-5A/CN.9/630和Add.1-5
Note by the Secretariat on possible future work on electronic commerce: comprehensive reference document on elements required to establish a favourable legal framework for electronic commerce: sample chapter on international use of electronic authentication and signature methods秘书处的说明:今后在电子商务上可能开展的工作:关于建立有利于电子商务的法律框架所需的各项要素的综合性参考文件:关于国际上使用电子认证和签名方法的样章
A/CN.9/631 and Add.1-11A/CN.9/631和Add.1-11
Note by the Secretariat on security interests: recommendations and commentary of the UNCITRAL draft legislative guide on secured transactions
A/CN.9/632A/CN.9/632
Note by the Secretariat on possible future work on security rights in intellectual property秘书处的说明:今后可能在知识产权上的担保权方面开展的工作
A/CN.9/633A/CN.9/633
Note by the Secretariat transmitting comments of the European Community and its member States on the UNCITRAL draft legislative guide on secured transactions秘书处的说明:担保交易立法指南草案欧洲共同体及其成员国的评论
A/CN.9/634A/CN.9/634
Note by the Secretariat transmitting the report of the Secretary-General of the Permanent Court of Arbitration on its activities under the UNCITRAL Arbitration Rules since 1976秘书处的说明:常设仲裁法院秘书长关于1976年以来按照《贸易法委员会仲裁规则》开展的各项活动的报告
A/CN.9/635A/CN.9/635
Note by the Secretariat transmitting observations by France on the working methods of UNCITRAL秘书处的说明:法国有关贸易法委员会工作方法的意见
* The present document is an advance version of the report of the United Nations Commission on International Trade Law on the work of its fortieth session, held in Vienna from 25 June to 12 July 2007. It will appear in final form, together with the report on the work of the resumed fortieth session of the Commission, to be held in Vienna from 10 to 14 December 2007, as Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17).* 本文件是2007年6月25日至7月12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工作报告的预发稿。本文件将与定于2007年12月10日至14日在维也纳举行的贸委会第四十届会议续会的报告一并作为《大会正式记录,第六十二届会议,补编第17号》(A/62/17)。
1 This number was assigned to the first meeting of the fortieth session in order to align the numbering of Commission meetings with the numbering of summary records of the Commission meetings at its thirty-ninth session (see in particular A/CN.9/SR.835, a summary record of the penultimate meeting of the thirty-ninth session of the Commission). This resulted in a discrepancy with paragraph 12 of the report of the Commission on the work of its thirty-ninth session (Official Records of the General Assembly, Sixty-first Session, Supplement No. 17 (A/61/17)), which indicates the 834th meeting as the last meeting of that session.1 将第四十届会议的第一次会议定为第837次会议是为了使贸委会的会议次数与贸委会第三十九届会议简要记录的数目保持一致(尤其见A/CN.9/SR.9/835,贸委会第三十九届会议倒数第二次会议的简要记录),从而造成与贸委会第三十九届会议工作报告第12段不一致(《大会正式记录,第六十一届会议,补编第17号》(A/61/17)),后者将第834次会议定为该届会议的最后一次会议。
2 Pursuant to General Assembly resolution 2205 (XXI), the members of the Commission are elected for a term of six years. 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). 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.2 根据大会第2205 (XXI)号决议,贸委会成员经选举产生,任期六年。在现任成员中,17国由大会第五十五届会议于2000年10月16日选出(第55/308号决定),43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)。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贸委会年度常会开始的第一天起就职,其任期应于它们当选后贸委会第七届年度常会开幕前的最后一天届满。
3 United Nations publication, Sales No. E.05.V.10.3 联合国出版物,出售品编号E.05.V.10。
4 General Assembly resolution 56/81, annex.4 大会决议第56/81,附件。
5 Official Records of the General Assembly, Sixty-first Session, Supplement No. 17 (A/61/17), paras. 63-70.5 《大会正式记录,第六十一届会议,补编第17号》(A/61/17),第63-70段。
6 Ibid.6 同上。
7 Ibid., para. 243.7 同上,第243段。
8 Ibid., para. 74.8 同上,第74段。
9 Ibid.9 同上。
10 The UNCITRAL Second International Colloquium on Secured Transactions: Security Interests in Intellectual Property Rights, held in Vienna on 18 and 19 January 2007;10 贸易法委员会担保交易问题第二次国际专题讨论会:知识产权上的担保权益2007年1月18日至19日在维也纳举行。
for further information about the Colloquium, see the UNCITRAL website (http://www.uncitral.org/ uncitral/en/commission/colloquia/2secint.html).关于这次专题讨论会的详情,见贸易法委员会的网站:(http://www.uncitral.org/uncitral/en/commission/colloquia/2secint.html)。
11 Official Records of the General Assembly, Sixty-first Session, Supplement No. 17 (A/61/17), para. 86.11 《大会正式记录,第六十一届会议,补编第17号》(A/61/17),第86段。
12 Ibid., Forty-ninth Session, Supplement No. 17 and corrigendum (A/49/17 and Corr.1), annex I; see also UNCITRAL Model Law on Procurement of Goods, Construction and Services with Guide to Enactment (United Nations publication, Sales No. E.05.V.10).12 同上,《第四十九届会议,补编第17号》和更正(A/49/17和Corr.1),附件一,还见《贸易法委员会货物、工程和服务采购示范法颁布指南》(联合国出版物,出售品编号E.05.V.10)。
13 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), paras. 225-230.13 同上,《第五十八届会议,补编第17号》(A/58/17),第225-230段。
14 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 79-82.14 同上,《第五十九届会议,补编第17号》(A/59/17),第79-82段。
15 Ibid., paras. 81 and 82.15 同上,第81和82段。
16 Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), para. 171.16 同上,《第六十届会议,补编第17号》(A/60/17),第171段。
17 Ibid., paras. 170-172.17 同上,第170-172段。
18 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), paras. 190-192.18 同上,《第六十一届会议,补编第17号》(A/61/17),第190-192段。
19 Ibid., para. 192.19 同上,第192段。
20 Ibid., para. 187; for the text of the UNCITRAL Arbitration Rules, see Official Records of the General Assembly, Thirty-first Session, Supplement No. 17 (A/31/17), para. 57.20 同上,第187段;关于贸易法委员会仲裁规则的文本,见《大会正式记录,第三十一届会议,补编第17号》(A/31/17),第57段。
21 Official Records of the General Assembly, Sixty-first Session, Supplement No. 17 (A/61/17), para. 184.21 《大会正式记录,第六十一届会议,补编第17号》(A/61/17),第184段。
22 Ibid., para. 187.22 同上,第187段。
23 United Nations, Treaty Series, vol. 330, No. 4739.23 联合国,《条约汇编》,第330卷,第4739号。
24 Official Records of the General Assembly, Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), para. 345.24 《大会正式记录,第五十六届会议,补编第17号》和更正(A/56/17和Corr.3),第345段。
25 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), para. 224.25 同上,《第五十七届会议,补编第17号》(A/57/17),第224段。
26 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 208.26 同上,《第五十八届会议,补编第17号》(A/58/17),第208段。
27 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 133.27 同上,《第五十九届会议,补编第17号》(A/59/17),第133段。
28 Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), para. 238.28 同上,《第六十届会议,补编第17号》(A/60/17),第238段。
29 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), para. 270.29 同上,《第六十一届会议,补编第17号》(A/61/17),第270段。
30 Ibid., para. 209 (a) and (b).30 同上,第209 (a)和(b)段。
31 United Nations publication, Sales No. E.05.V.10.31 见上文脚注3。
32 Official Records of the General Assembly, Fifty-second Session, Supplement No. 17 (A/52/17), annex I.32 《大会正式记录,第五十二届会议,补编第17号》(A/52/17),附件一。
33 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), para. 209 (c).33 同上,第六十一届会议,补编第17号》(A/61/17),第209 (c)段。
34 Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), para. 214.34 同上,《第六十届会议,补编第17号》(A/60/17),第214段。
35 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), paras. 203-206.35 同上,《第六十一届会议,补编第17号》(A/61/17),第203-206段。
36 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), paras. 279-290.36 同上,《第五十七届会议,补编第17号》(A/57/17),第279-290段。
37 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), paras. 231-241.37 同上,《第五十八届会议,补编第17号》(A/58/17),第231-241段。
38 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 108-112.38 同上,《第五十九届会议,补编第17号》(A/59/17),第108-112段。
39 Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), paras. 216-220.39 同上,《第六十届会议,补编第17号》(A/60/17),第216-220段。
40 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), paras. 211-217.40 同上,《第六十一届会议,补编第17号》(A/61/17),第211-217段
41 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 112.41 同上,《第五十九届会议,补编第17号》(A/59/17),第112段。
42 Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), para. 217.42 同上,《第六十届会议,补编第17号》(A/60/17),第217段。
43 Ibid., paras. 218-219.43 同上,第218-219段。
44 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), paras. 214-217.44 同上,《第六十一届会议,补编第17号》(A/61/17),第214-217段。
45 See the report on the sixteenth session of the Commission on Crime Prevention and Criminal Justice (E/2007/30, chap. III), to be issued subsequently as Official Records of the Economic and Social Council, 2007, Supplement No. 10 (E/2007/30/Rev.1).45 见预防犯罪和刑事司法委员会第十六届会议的报告(E/2007/30,第三章);随之将作为《经济及社会理事会正式记录,2007年,补编第10号》印发(E/2007/30/Rev.1)。
46 E/2007/30, chap. I, sect. B, draft resolution II.46 第1章,B节,决议草案二。
47 Official Records of the General Assembly, Fiftieth Session, Supplement No. 17 (A/50/17), paras. 401-404.47 《大会正式记录,第五十届会议,补编第17号》(A/50/17),第401-404段。
48 Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), para. 189.48 同上,《大会正式记录,第六十届会议,补编第17号》(A/60/17),第189段。
49 Ibid., paras. 190 and 191.49 同上,第190和191段。
50 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), para. 220.50 同上,《第六十一届会议,补编第17号》(A/61/17),第220段。
51 Ibid., annex II.51 同上,附件二。
52 Available on the Unidroit website (http://www.unidroit.org/english/principles/contracts/ main.htm).52 可在贸易法委员会网站http://www.unidroit.org/english/principles/contracts/main.htm上查找。
53 Official Records of the General Assembly, Sixty-first Session, Supplement No. 17 (A/61/17), para. 234.53 《大会正式记录,第六十一届会议,补编第17号》(A/61/17),第234段。
54 United Nations, Treaty Series, vol. 1489, No. 25567.54 联合国,《条约汇编》,第1489卷,第25567号。
55 Official Records of the General Assembly, Fortieth Session, Supplement No. 17 (A/40/17), annex I.55 《大会正式记录,第四十届会议,补编第17号》(A/40/17),附件一。
56 Available on the UNCITRAL website (http://www.uncitral.org/uncitral/en/case_law/ digests/cisg.html).56 可在贸易法委员会网站http://www.uncitral.org/uncitral/en/case_law/digests/cisg.html上查找。
57 United Nations, Treaty Series, vol. 1511, No. 26119; see also Official Records of the United Nations Conference on Prescription (Limitation) in the International Sale of Goods, New York, 20 May-14 June 1974 (United Nations publication, Sales No. E.74.V.8), part I.57 联合国,《条约汇编》,第1511卷,第26119号;另见《联合国国际货物销售时效(期限)会议正式记录,1974年5月20日至6月14日,纽约》(联合国出版物,出售品编号:E.74.V.8),第一部分。
58 United Nations, Treaty Series, vol. 1695, No. 29215.58 联合国,《条约汇编》,第1695卷,第29215号。
59 Ibid., vol. 1489, No. 25567.59 同上;第1489卷,第25567号。
60 United Nations publication, Sales No. E.07.V.2.60 联合国出版物,出售品编号:E.07.V.2。
61 United Nations, Treaty Series, vol. 330, No. 4739.61 联合国,《条约汇编》,第330卷,第4739号。
62 Official Records of the General Assembly, Fifty-second Session, Supplement No. 17 (A/52/17), annex I.62 《大会正式记录,第五十二届会议,补编第17号》(A/52/17),附件一。
63 Ibid., Forty-ninth Session, Supplement No. 17 and corrigendum (A/49/17 and Corr.1), annex I.63 同上,《第四十九届会议,补编第17号和更正》(A/49/17和Corr.1),附件一。
64 Ibid., Fifty-first Session, Supplement No. 17 (A/51/17), annex I; see also UNCITRAL Model Law on Electronic Commerce with Guide to Enactment 1996 with Additional Article 5 bis as Adopted in 1998 (United Nations publication, Sales No. E.99.V.4).64 同上,《第五十一届会议,补编第17号》(A/51/17),附件一;还见《贸易法委员会电子商务示范法1996年颁布指南》,1998年通过的补充条款第5条之二(联合国出版物,出售品编号:E.99.V.4)。
65 Official Records of the General Assembly, Fifty-second Session, Supplement No. 17 (A/52/17), annex I.65 《大会正式记录,第五十二届会议,补编第17号》(A/52/17),附件一。
66 Ibid., Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), annex II.66 同上,《第五十六届会议,补编第17号和更正》(A/56/17和Corr.3),附件二。
67 The treaty event is a yearly exercise aimed at promoting the international rule of law through broader participation in multilateral treaties deposited with the Secretary-General. It usually takes place at United Nations Headquarters during the general debate of the General Assembly.67 条约活动每年都举办,旨在通过更广泛地加入秘书长保存的多边条约,促进国际法律规则,条约活动通常在联大举行一般性辩论期间在联合国总部举办。
68 Official Records of the General Assembly, Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 113-115.68 《大会正式记录,第五十九届会议,补编第17号》(A/59/17),第113-115段。
69 Available on the Unidroit website (http://www.unidroit.org/english/conventions/ mobile-equipment/main.htm).69 可在统法协会网站http://www.unidroit.org/english/conventions/mobile-equipment/main.htm上查找。
70 Available on the Unidroit website (http://www.unidroit.org/english/conventions/ mobile-equipment/main.htm).70 可在统法协会网站http://www.unidroit.org/english/conventions/mobile-equipment/main.htm上查找。
71 Available on the Unidroit website (http://www.unidroit.org/english/conventions/ mobile-equipment/main.htm).71 可在统法协会网站http://www.unidroit.org/english/conventions/mobile-equipment/main.htm上查找。
72 United Nations, Treaty Series, vol. 1489, No. 25567.72 联合国,《条约汇编》,第1489卷,第25567号。
73 Available on the website of the Chamber of Commerce and Industry of Romania (http://arbitration.ccir.ro/engleza/rulesarb.htm).73 可在罗马尼亚工商协会网站(http://arbitration.ccir.ro/engleza/rulesarb.htm)上查找。
74 Official Records of the General Assembly, Fortieth Session, Supplement No. 17 (A/40/17), annex I.74 《大会正式记录,第四十届会议,被编第17号》(A/40/17),附件一。
75 United Nations, Treaty Series, vol. 330, No. 4739.75 联合国,《条约汇编》,第330卷,第4739号。
76 Ibid.76 同上。
77 Economic and Social Council resolution 1996/31.77 经济及社会理事会1996年7月25日第1996/31号决议。
78 Proposed programme budget for the biennium 2008-2009, Part III, International justice and law, Section 8, Legal affairs (Programme 6 of the biennial programme plan and priorities for the period 2008-2009), Subprogramme 5, Progressive harmonization, modernization and unification of the law of international trade (A/62/6 (Sect. 8), table 8.19 (d)).78 2008-2009两年期拟议方案预算,第三编,国际司法和法律,第8款,法律事务(2008-2009两年期方案计划和优先事项,方案6),次级方案5,国际贸易法的逐渐协调、现代化和统一(A/62/6(第8款),表8.19 (d))。
79 For the proceedings of the Congress, see Uniform Commercial Law in the Twenty-first Century: Proceedings of the Congress of the United Nations Commission on International Trade Law, New York, 18-22 May 1992 (A/CN.9/SER.D/1).79 大会议事记录《见二十一世纪的统一商法:联合国国际贸易法委员会大会议事记录,1992年5月18日至22日,纽约》(A/CN.9/SER.D/1)。
80 Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17), para.  231.80 《大会正式记录,第六十届会议,补编第17号》(A/60/17),第231段。
81 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), paras. 256-258.81 同上,《第六十一届会议,补编第17号》(A/61/17),第256-258段。