读合国独立保证与备用信用证公约》

　　UNITED NATIONS CONVENTION ON INDEPENDENT GUARANTEES AND STAND-BY LETTERS OF CREDIT

　　第一章 适用范围

　　CHAPTER I. SCOPE OF APPLICATION　　?

　　第1条 适用范围?

　　(1)本公约适用于第2条所指的国际保证，且：?

　　(a)作出保证的保证人营业所所在地位于一缔约国；或者?

　　(b)国际私法规则导致适用某一缔约国的法律；?

　　但是，该保证排除本公约之适用者，则不在此限。?

　　(2)国际信用证者，虽不属于第2条的范围，但它明确规定受本公约调整者，本公约也可适用；(3)第21、22条之规定适用于第2条所称之国际保证，不受本条第1款之拘束。?

　　Article 1. Scope of application

　　(1) This Convention applies to an international undertaking¹ referred to in article 2:

　　(a) If the place of business of the guarantor/issuer at which the undertaking is issued is in a Contracting State, or

　　(b) If the rules of private international law lead to the application of the law of a Contracting State,

　　unless the undertaking excludes the application of the Convention.

　　(2) This Convention applies also to an international letter of credit not falling within article 2 if it expressly states that it is subject to this Convention.

　　(3) The provisions of articles 21 and 22 apply to international undertakings³ referred to in article 2 independently of paragraph (1) of this article.

　　第2条 保证?

　　(1)为了适用本公约，保证系指一项独立的义务，国际惯例上称为：独立保证或备用信用证中的承诺或义务。银行或其它机构或个人(亦可称“保证人”)签发此类保函或备用信用证并承诺：一经请求或一经附其他单据的请求即行以符合保函的条款和任何单据条件、指示或可推知的条件的方式向受益人支付确定的或的有限期的款项。付款已到期，包括以下原因：不履行义务；另一随附义务；借款、预付款；任何由主债务人 /申请人或另一人所保证的到期债务。?

　　(2)保证可在下列情况作出：?

　　(a)经保证人的客户(主债务人/申请人)的请求或指示而作出；?

　　(b)按照另一银行、机构或个人(指示方)的指示而作出——该指示方系依其客户的请求而行事；?

　　(c)代表保证人本身而作出；?

　　(3)保证中之付款得以任何下列方式作出：?

　　(a)以特定货币或记帐单位付款；?

　　(b)汇票之承兑；?

　　(c)延期付款；?

　　(d)特定的价值项目之提供。?

　　(4)保函得规定：保证人为另一人行事时，保证人自身可以同时为受益人。

　　Article 2. Undertaking

　　(1) For the purposes of this Convention, an undertaking is an independent commitment, known in international practice as an independent guarantee or as a stand-by letter of credit, given by a bank or other institution or person ("guarantor/issuer") to pay to the beneficiary a certain or determinable amount upon simple demand or upon demand accompanied by other documents, in conformity⁴ with the terms and any documentary conditions of the undertaking, indicating, or from which it is to be inferred, that payment is due because of a default in the performance of an obligation, or because of another contingency⁵, or for money borrowed or advanced, or on account of any mature indebtedness undertaken by the principal/applicant or another person.

　　(2) The undertaking may be given:

　　(a) At the request or on the instruction of the customer ("principal/applicant") of the guarantor/issuer;

　　(b) On the instruction of another bank, institution or person ("instructing party") that acts at the request of the customer ("principal/applicant") of that instructing party; or

　　(c) On behalf of the guarantor/issuer itself.

　　(3) Payment may be stipulated⁷ in the undertaking to be made in any form, including:

　　(a) Payment in a specified⁸ currency or unit of account;

　　(b) Acceptance of a bill of exchange (draft);

　　(c) Payment on a deferred⁹ basis;

　　(d) Supply of a specified item of value.

　　(4) The undertaking may stipulate⁶ that the guarantor/issuer itself is the beneficiary when acting² in favour of another person.　　?

　　第3条 保证的独立性?

　　就本公约而言，保证是独立的。保证人向受益人所负之义务：?

　　(a)并不依赖于任何基础交易的有效性或存在，亦不依赖于任何其它保证，包括：备用信用证或独立保函以及与此相关的确认书或反保函；或者?

　　(b)并不受本保证中未列之条件的拘束；亦不受任何未来的、不确定行为或事件的拘束；但是在保证人经营范围内提出此类文件、作出此类行为或发生此类事件者，不在此限。?

　　Article 3. Independence of undertaking

　　For the purposes of this Convention, an undertaking is independent where the guarantor/issuer's obligation to the beneficiary is not:

　　(a) Dependent upon the existence or validity of any underlying¹⁰ transaction, or upon any other undertaking (including stand-by letters of credit or independent guarantees to which confirmations¹² or counter-guarantees relate); or

　　(b) Subject to any term or condition not appearing in the undertaking, or to any future, uncertain act or event except presentation of documents or another such act or event within a guarantor/issuer's sphere of operations.

　　第4条 保证的国际性?

　　(1)保证是国际性的——如果保证中明确规定的营业地或者下列人员即保证人、受益人、主债务人/申请人、指示人、保兑人中任何两方在不同国家者；?

　　(2)为了适用上款规定：?

　　(a)如果保函为特定人列举一个以上营业地，则相关的营业地系指与保证有最密切联系 者；?

　　(b)如果保函未为特定人列举营业地但指 明了其习惯居所，则该保证的国际性即可依此 相关因素予以确定。

　　Article 4. Internationality of undertaking

　　(1) An undertaking is international if the places of business, as specified in the undertaking, of any two of the following persons are in different States: guarantor/issuer, beneficiary, principal/applicant, instructing party, confirmer.

　　(2) For the purposes of the preceding paragraph:

　　(a) If the undertaking lists more than one place of business for a given person, the relevant place of business is that which has the closest relationship to the undertaking;

　　(b) If the undertaking does not specify¹³ a place of business for a given person but specifies¹⁴ its habitual¹⁵ residence, that residence is relevant for determining the international character of the undertaking. ?

　　第二章 解释

　　CHAPTER II. INTERPRETATION¹⁶　　?

　　第5条 解释之原则?

　　解释本公约，应考虑本公约的国际性，促进其统一适用的需要，以及国际实践中对独立保证和备用信用证的诚信的遵守。

　　Article 5. Principles of interpretation

　　In the interpretation of this Convention, regard is to be had to its international character and to the need to promote uniformity in its application and the observance of good faith in the international practice of independent guarantees and stand-by letters of credit.　　?

　　第6条 定义?

　　除本公约条款或其上下文另有明示者以外，为适用本公约：?

　　(a)“保证”包括“反担保”和“保证之保兑”。?

　　(b)“保证人”包括“反担保人”和“保兑人”。?

　　(c)“反担保”意指：保证人的指示人向另一保证的保证人所作的保证，承诺：—经请求或一经附其他单据的请求，即行以符合保函的条款和任何单据条件、指示或可推知的条件的方式付款。其它保证项下的款项系由作出该其它保证的人支付或可向该人提出请求。?

　　(d)“反担保人”意指“作出反担保的人”。?

　　(e)“保证的保兑”意指：经由保证人授权并添附于保证人之保证之上的一项保证；该“保 兑”给予受益人以选择权即向保兑人而非保证人要求付款。该受益人只需提出付款请求或依 保兑了的保证中所附单据条件提出请求即可，但不得妨碍受益人要求保证人付款之权利；?

　　(f)“保兑人”意指对保证作出保兑之人。?

　　(g)“单据”(document)意指提供完全记录的一种文件。?

　　Article 6. Definitions

　　For the purposes of this Convention and unless otherwise indicated in a provision of this Convention or required by the context:

　　(a) "Undertaking" includes "counter-guarantee" and "confirmation¹¹ of an undertaking";

　　(b) "Guarantor/issuer" includes "counter-guarantor" and "confirmer";

　　(c) "Counter-guarantee" means an undertaking given to the guarantor/issuer of another undertaking by its instructing party and providing for payment upon simple demand or upon demand accompanied by other documents, in conformity with the terms and any documentary conditions of the undertaking, indicating, or from which it is to be inferred, that payment under that other undertaking has been demanded from, or made by, the person issuing that other undertaking;

　　(d) "Counter-guarantor" means the person issuing a counter-guarantee;

　　(e) "Confirmation" of an undertaking means an undertaking added to that of the guarantor/issuer, and authorized¹⁷ by the guarantor/issuer, providing the beneficiary with the option of demanding payment from the confirmer instead of from the guarantor/issuer, upon simple demand or upon demand accompanied by other documents, in conformity with the terms and any documentary conditions of the confirmed undertaking, without prejudice to the beneficiary's right to demand payment from the guarantor/issuer;

　　(f) "Confirmer" means the person adding a confirmation to an undertaking;

　　(g) "document" means a communication made in a form that provides a complete record thereof.

　　第三章 保函之形式与内容

　　CHAPTER III. FORM AND CONTENT OF UNDERTAKING　　?

　　第7条 保函的签发、形式及其不可撤销?

　　(1)保函脱离有关保证人的控制范围即为保函的签发；?

　　(2)保函得以任何形式签发——只要它保存了该保证文本的完整记录以及提供了经由一般认可的方式或保证人和受益人双方议定之程序以认证该保证来源。?

　　(3)自保函签发之时起，得按保函之条件提出付款请求，但该保函另有时间规定者， 不在此限。?

　　(4)一经签发，保函即应不可撤销，但该保函规定其为可撤销者，不在此限；

　　Article 7. Issuance, form and irrevocability of undertaking

　　(1) Issuance of an undertaking occurs when and where the undertaking leaves the sphere of control of the guarantor/issuer concerned.

　　(2) An undertaking may be issued in any form which preserves a complete record of the text of the undertaking and provides authentication¹⁹ of its source by generally accepted means or by a procedure agreed upon by the guarantor/issuer and the beneficiary.

　　(3) From the time of issuance of an undertaking, a demand for payment may be made in accordance with the terms and conditions of the undertaking, unless the undertaking stipulates²⁰ a different time.

　　(4) An undertaking is irrevocable upon issuance, unless it stipulates that it is revocable.　　?

　　第8条 修改?

　　(1)保函不得修改，但是以保函所规定之形式修改者，若无此规定，以第7条第2节所指之形式修改者，不在此限；?

　　(2)除保函另有规定者，或者保证人和受益人另有协议者以外，如果保函之修正获受益人之事先授权，修正作出之时该保函即被修正；?

　　(3)除保函另有规定或保证人和受益人另有协议者以外，修正事先未获受益人授权者，仅 当保证人收到受益人以第7条第2款所指之形式作出的接受该修正的通知时，该保函才得被 修正；?

　　(4)保函之修正不影响主债务人/申请人(或指示人)或保证之保兑人的权利义务，但此类人同意该修正者，不在此限。?

　　Article 8. Amendment²¹

　　(1) An undertaking may not be amended²² except in the form stipulated in the undertaking or, failing such stipulation²³, in a form referred to in paragraph (2) of article 7.

　　(2) Unless otherwise stipulated in the undertaking or elsewhere agreed by the guarantor/issuer and the beneficiary, an undertaking is amended upon issuance of the amendment if the amendment has previously²⁴ been authorized by the beneficiary.

　　(3) Unless otherwise stipulated in the undertaking or elsewhere agreed by the guarantor/issuer and the beneficiary, where any amendment has not previously been authorized by the beneficiary, the undertaking is amended only when the guarantor/issuer receives a notice of acceptance of the amendment by the beneficiary in a form referred to in paragraph (2) of article 7.

　　(4) An amendment of an undertaking has no effect on the rights and obligations of the principal/applicant (or an instructing party) or of a confirmer of the undertaking unless such person consents to the amendment.

　　第9条 受益人请求付款权的转让?

　　(1)受益人付款请求权，仅在保函中有此授权方可转让；亦仅能依保函中授权的方式和 范围进行转让；?

　　(2)如果保证是可转让的，而未明确规定实际转让时是否要求保证人或另一被授权的人的同意，保证人和任何其它被授权的人都无义务必须实施转让，但以其明确同意的方式和 范围进行者，不在此限。

　　Article 9. Transfer of beneficiary's right to demand payment

　　(1) The beneficiary's right to demand payment may be transferred only if authorized in the undertaking, and only to the extent and in the manner authorized in the undertaking.

　　(2) If an undertaking is designated as transferable without specifying²⁵ whether or not the consent of the guarantor/issuer or another authorized person is required for the actual transfer, neither the guarantor/issuer nor any other authorized person is obliged to effect the transfer except to the extent and in the manner expressly consented to by it.　?

　　第10条 收益之转让?

　　(1)除保函另有规定或保证人和受益人另有协议者以外，受益人得向另一人转让依该保证 可以获得的任何收益；?

　　(2)如果保证人或另一付款义务人收到受益人以第7条第2款所指之形式作成并发出的不可撤销转让通知，向该受让人的付款可以免除债务人在其付款范围内，依据保函所承担的付款义务。?

　　Article 10. Assignment of proceeds

　　(1) Unless otherwise stipulated in the undertaking or elsewhere agreed by the guarantor/issuer and the beneficiary, the beneficiary may assign to another person any proceeds to which it may be, or may become, entitled under the undertaking.

　　(2) If the guarantor/issuer or another person obliged to effect payment has received a notice originating from the beneficiary, in a form referred to in paragraph (2) of article 7, of the beneficiary's irrevocable assignment, payment to the assignee discharges the obligor, to the extent of its payment, from its liability under the undertaking.

　　第11条 付款请求权之终止?

　　(1)受益人请求支付保证项下之款项的权利在下列情形终止：?

　　(a)保证人收到受益人以第7条第2款所指之形式作出的免除其付款责任的声明；?

　　(b)受益人和保证人已就保证终止问题，以保函中所规定之形式，若无此规定，则以第7条2款所指之形式，达成协议。?

　　(c)保函所担保款项已清偿，但是该保函规定了保证款项的自动更新或自动增额，或者规 定了保函之延续者，不在此限。?

　　(d)保函的有效期限依据第12条而届满。?

　　(2)保函可以规定或者保证人和受益人可以另作以下协议：?

　　付款请求权之终止时，要求向保证人退还表示保证意愿的文件——在签发非书面保证时，应向其退还功能相当的文件；这种要求可以单独地亦可连同本条第1款(a)和(b)项中所列件 之一予以提出。然而，依据本条第1款(c)或(d)项，受益人的付款请求权终止后，受益人保 留任何此类文件绝不能保留保证中受益人的任何权利。

　　Article 11. Cessation of right to demand payment

　　(1) The right of the beneficiary to demand payment under the undertaking ceases when:

　　(a) The guarantor/issuer has received a statement by the beneficiary of release from liability in a form referred to in paragraph (2) of article 7;

　　(b) The beneficiary and the guarantor/issuer have agreed on the termination of the undertaking in the form stipulated in the undertaking or, failing such stipulation, in a form referred to in paragraph (2) of article 7;

　　(c) The amount available under the undertaking has been paid, unless the undertaking provides for the automatic renewal²⁶ or for an automatic increase of the amount available or otherwise provides for continuation of the undertaking;

　　(d) The validity period of the undertaking expires in accordance with the provisions of article 12.

　　(2) The undertaking may stipulate, or the guarantor/issuer and the beneficiary may agree elsewhere, that return of the document embodying²⁷ the undertaking to the guarantor/issuer, or a procedure functionally²⁸ equivalent to the return of the document in the case of the issuance of the undertaking in non-paper form, is required for the cessation of the right to demand payment, either alone or in conjunction with one of the events referred to in subparagraphs (a) and (b) of paragraph (1) of this article. However, in no case shall retention²⁹ of any such document by the beneficiary after the right to demand payment ceases in accordance with subparagraph (c) or (d) of paragraph (1) of this article preserve any rights of the beneficiary under the undertaking.

　　第12条 届满(expiry)?

　　保函的有效期限在下列情形届满：?

　　(a)在届满之日。该届满之日可以是特定的历日或保函规定的固定期限的最后一天； 如果失效之日在签发保函的保证人营业地并非营业日，或在另一人之营业地并非营业日或者 在保函规定的提出付款请求的另一地并非营业日者，则在往后顺延的第一个营业日失效。?

　　(b)如果依据保函，其届满取决于保证人营业范围以外的行为或事件之发生者，在保证人 提出保函列明的证明此类行为或事件业已发生的文件时，或者，若未列明此类文件者，受 益人提出证明此类行为或事件业已发生的证明书时；?

　　(c)如果保函并未列明届满之日；或者，如果届满得以确立的行为或事件虽经提出所要求的文件仍未确定，且另外未确定失效之日，自签发保函之日起经过6年，该保函即行届满；

　　Article 12. Expiry

　　The validity period of the undertaking expires:

　　(a) At the expiry date, which may be a specified calendar date or the last day of a fixed³⁰ period of time stipulated in the undertaking, provided that, if the expiry date is not a business day at the place of business of the guarantor/issuer at which the undertaking is issued, or of another person or at another place stipulated in the undertaking for presentation of the demand for payment, expiry occurs on the first business day which follows;

　　(b) If expiry depends according to the undertaking on the occurrence of an act or event not within the guarantor/issuer's sphere of operations, when the guarantor/issuer is advised that the act or event has occurred by presentation of the document specified for that purpose in the undertaking or, if no such document is specified, of a certification by the beneficiary of the occurrence of the act or event;

　　(c) If the undertaking does not state an expiry date, or if the act or event on which expiry is stated to depend has not yet been established by presentation of the required document and an expiry date has not been stated in addition, when six years have elapsed from the date of issuance of the undertaking.

　　第四章 权利、义务及抗辩

　　CHAPTER IV. RIGHTS, OBLIGATIONS AND DEFENCES　　?

　　第13条 权利、义务的确定?

　　(1)保证人和受益人由保证所生之权利、义务，由保函中所列条件确定之，包括保函中 特别提及的任何规则、一般条件或惯例以及本公约的条文。?

　　(2)解释保函的条件以及解决保函条款或本公约未加规定的问题时，应考虑适用于独立保证或备用信用证之普遍公认的规则与惯例。?

　　Article 13. Determination of rights and obligations

　　(1) The rights and obligations of the guarantor/issuer and the beneficiary arising from the undertaking are determined³¹ by the terms and conditions set forth³² in the undertaking, including any rules, general conditions or usages specifically referred to therein, and by the provisions of this Convention.

　　(2) In interpreting terms and conditions of the undertaking and in settling questions that are not addressed by the terms and conditions of the undertaking or by the provisions of this Convention, regard shall be had to generally accepted international rules and usages of independent guarantee or stand-by letter of credit practice.

　　第14条 保证人责任及其行动准则?

　　(1)保证人履行其依保函和本公约所负之义务时，一秉诚信并且给予合理注意，依从适用于独立保证或备用信用证之普遍公认的国际惯例与准则行事。?

　　(2)未尽诚信义务或有重大过失者，不能免除保证人的责任。?

　　Article 14. Standard of conduct and liability of guarantor/issuer

　　(1) In discharging its obligations under the undertaking and this Convention, the guarantor/issuer shall act in good faith and exercise reasonable care having due regard to generally accepted standards of international practice of independent guarantees or stand-by letters of credit.

　　(2) A guarantor/issuer may not be exempted³³ from liability for its failure to act in good faith or for any grossly negligent³⁴ conduct.

　　第15条 请求?

　　(1)保证项下的任何付款请求应当依保函条件且以第7条第2款所指之形式提出；?

　　(2)除保函另有规定者外，付款请求和保函所要求的任何证明或其它文件应在付款请求得以提出的时限内提供，且应在保函签发地向保证人提供；?

　　(3)受益人提出付款请求，即被视为证明该请求并非恶意且并不存在第19条第1款(a)、(b)、(c)项所称之因素。

　　Article 15. Demand

　　(1) Any demand for payment under the undertaking shall be made in a form referred to in paragraph (2) of article 7 and in conformity with the terms and conditions of the undertaking.

　　(2) Unless otherwise stipulated in the undertaking, the demand and any certification or other document required by the undertaking shall be presented, within the time that a demand for payment may be made, to the guarantor/issuer at the place where the undertaking was issued.

　　(3) The beneficiary, when demanding payment, is deemed to certify³⁵ that the demand is not in bad faith and that none of the elements referred to in subparagraphs (a), (b) and (c) of paragraph (1) of article 19 are present.

　　第16条 付款请求及附随文件之审查?

　　(1)保证人应当依第14条第1款所列行动准则审查付款请求以及任何附随文件。保证人应充分考虑可适用于独立保证或备用信用证之国际准则以决定单据是否符合保函条款，以彼此之间是否一致。?

　　(2)除保函另有规定或保证人和受益人另有协议者外，保证人应当在合理期限内，但最长在收到请求和任何附随单据之日起七个营业日内，完成下列事项：?

　　(a)审查付款请求以及任何附随单据；?

　　(b)决定是否付款；?

　　(c)若决定不予付款，应向受益人作出不付款的通知。?

　　除保函另有规定或保证人和受益人另有协议者外，(c)项中所指通知应以电传方式，若电 传不可能，应以其它快捷方式作出，并且应当表明不予付款的理由。?

　　Article 16. Examination of demand and accompanying documents

　　(1) The guarantor/issuer shall examine the demand and any accompanying documents in accordance with the standard of conduct referred to in paragraph (1) of article 14. In determining whether documents are in facial conformity with the terms and conditions of the undertaking, and are consistent with one another, the guarantor/issuer shall have due regard to the applicable international standard of independent guarantee or stand-by letter of credit practice.

　　(2) Unless otherwise stipulated in the undertaking or elsewhere agreed by the guarantor/issuer and the beneficiary, the guarantor/issuer shall have reasonable time, but not more than seven business days following the day of receipt of the demand and any accompanying documents, in which to:

　　(a) Examine the demand and any accompanying documents;

　　(b) Decide whether or not to pay;

　　(c) If the decision is not to pay, issue notice thereof to the beneficiary.

　　The notice referred to in subparagraph (c) above shall, unless otherwise stipulated in the undertaking or elsewhere agreed by the guarantor/issuer and the beneficiary, be made by teletransmission or, if that is not possible, by other expeditious³⁶ means and indicate the reason for the decision not to pay.

　　第17条 付款?

　　(1)在第19条的拘束下，保证人应当向依第15条规定作出的请求付款。一旦作出付款决定，应当立即付款，但保函规定延期者，不在此限，在此情形下，应当在另一规定日期付款。

　　(2)付款请求非依第15条规定作出，保证人仍对此付款者，并不妨碍主债务人/申请人的权利。

　　Article 17. Payment

　　(1) Subject to article 19, the guarantor/issuer shall pay against a demand made in accordance with the provisions of article 15. Following a determination that a demand for payment so conforms, payment shall be made promptly³⁷, unless the undertaking stipulates payment on a deferred basis, in which case payment shall be made at the stipulated time.

　　(2) Any payment against a demand that is not in accordance with the provisions of article 15 does not prejudice the rights of the principal/applicant.　　?

　　第18条 抵销?

　　除保函另有规定或保证人和受益人另有协议以外，保证人得行使抵销权而履行其所保证的付款义务，但主债务人/申请人或指示人向其转让的任何请求权不得抵销；

　　Article 18. Set-off

　　Unless otherwise stipulated in the undertaking or elsewhere agreed by the guarantor/issuer and the beneficiary, the guarantor/issuer may discharge the payment obligation under the undertaking by availing itself of a right of set-off, except with any claim assigned to it by the principal/applicant or the instructing party.　　?

　　第19条 付款义务的抗辩(或译为：例外)?

　　(1)如果下列情形明确者：?

　　(a)任何单据非真实或系伪造者；?

　　(b)依付款请求及支持性单据，付款无正当理由；?

　　(c)依保函之类型与目的，付款请求无可信之依据，依诚信行事之保证人有权对受益人撤销付款。?

　　(2)为适用本条第1款(c)项，下列情形皆属请求无可信依据者：?

　　(a)保函向受益人保证之意外事故或风险并未发生；?

　　(b)主债务人/申请人之基础义务已被法院或仲裁机构宣布无效，但保证表明此类意外事故属于保证风险者，不在此限；?

　　(c)基础义务确无疑问地已满足受益人之要求得以履行；?

　　(d)受益人故意不当地阻止基础义务的履行者；?

　　(e)依反担保提出之付款请求，反担保的受益人亦即与反担保相关之保证的保证人，恶意付款者；?

　　(3)在本条第1款(a)、(b)、(c)项所列之情形中，主债务人/申请人依第20条可以使用临时性法院措施。?

　　Article 19. Exception to payment obligation

　　(1) If it is manifest and clear that:

　　(a) Any document is not genuine or has been falsified;

　　(b) No payment is due on the basis asserted in the demand and the supporting documents; or

　　(c) Judging by the type and purpose of the undertaking, the demand has no conceivable basis, the guarantor/issuer, acting in good faith, has a right, as against the beneficiary, to withhold³⁸ payment.

　　(2) For the purposes of subparagraph (c) of paragraph (1) of this article, the following are types of situations in which a demand has no conceivable basis:

　　(a) The contingency or risk against which the undertaking was designed to secure the beneficiary has undoubtedly³⁹ not materialized;

　　(b) The underlying obligation of the principal/applicant has been declared invalid⁴⁰ by a court or arbitral tribunal, unless the undertaking indicates that such contingency falls within the risk to be covered by the undertaking;

　　(c) The underlying obligation has undoubtedly been fulfilled to the satisfaction of the beneficiary;

　　(d) Fulfilment of the underlying obligation has clearly been prevented by wilful⁴¹ misconduct of the beneficiary;

　　(e) In the case of a demand under a counter-guarantee, the beneficiary of the counter-guarantee has made payment in bad faith as guarantor/issuer of the undertaking to which the counter-guarantee relates.

　　(3) In the circumstances set out in subparagraphs (a), (b) and (c) of paragraph (1) of this article, the principal/applicant is entitled to provisional court measures in accordance with article 20.

　　第五章 临时性法院措施

　　CHAPTER V. PROVISIONAL COURT MEASURES　　?

　　第20条 临时性法院措施?

　　(1)关于受益人已经作出的或将要作出的请求，很有可能存在第19条第1款(a)、(b)、(c)项所列情形之一者，经主债务人/申请人或指示人申请，法院依据确凿证据可以：?

　　(a)发布临时性命令以使受益人不能收到款项，包括命令保证人停止支付所保证之款额；或者，?

　　(b)发布临时性命令以冻结应向受益人支付之收益；?

　　但在发布命令时，应当考虑到无此命令，主债务人或申请人是否会遭受严重损害。?

　　(2)法院发布本条第1款所指之临时性命令时，可以要求申请者提供法院认为适当的担保。?

　　(3)法院不得基于不同于第19条第1款(a)、(b)、(c)项所称之情形而提出的付款异议或者为犯罪目的而利用保证，发布本条第1款所称之临时性命令。

　　Article 20. Provisional court measures

　　(1) Where, on an application by the principal/applicant or the instructing party, it is shown that there is a high probability that, with regard to a demand made, or expected to be made, by the beneficiary, one of the circumstances referred to in subparagraphs (a), (b) and (c) of paragraph (1) of article 19 is present, the court, on the basis of immediately available strong evidence, may:

　　(a) Issue a provisional order to the effect that the beneficiary does not receive payment, including an order that the guarantor/issuer hold the amount of the undertaking, or

　　(b) Issue a provisional order to the effect that the proceeds of the undertaking paid to the beneficiary are blocked, taking into account whether in the absence of such an order the principal/applicant would be likely to suffer serious harm.

　　(2) The court, when issuing a provisional order referred to in paragraph (1) of this article, may require the person applying therefor to furnish such form of security as the court deems appropriate.

　　(3) The court may not issue a provisional order of the kind referred to in paragraph (1) of this article based on any objection to payment other than those referred to in subparagraphs (a), (b) and (c) of paragraph (1) of article 19, or use of the undertaking for a criminal purpose.

　　第六章 冲突法

　　CHAPTER VI. CONFLICT OF LAWS

　　第21条 准据法之选择?

　　保证应受依下列方法选择的法律调整：?

　　(a)保函所规定者或者保函条款所昭示者；?

　　(b)保证人和受益人另有协议者；

　　第22条 准据法之确定?

　　依第21条未能选择法律者，保证应受保证人签发保函的营业地所在国之法律调整。?

　　Article 21. Choice of applicable law

　　The undertaking is governed by the law the choice of which is:

　　(a) Stipulated in the undertaking or demonstrated by the terms and conditions of the undertaking; or

　　(b) Agreed elsewhere by the guarantor/issuer and the beneficiary.

　　Article 22. Determination of applicable law

　　Failing a choice of law in accordance with article 21, the undertaking is governed by the law of the State where the guarantor/issuer has that place of business at which the undertaking was issued.

　　第七章 最后条款

　　CHAPTER VII. FINAL CLAUSES　　?

　　第23条 保管人?

　　联合国秘书长为本公约的保管人。?

　　第24条 签字、批准、接受、赞同与加入?

　　(a)本公约在联合国总部一纽约开放供各国签字，直至1997年12月11日。?

　　(b)本公约受制于签字国的批准、接受与赞同；?

　　(c)本公约开放供所有在签字期限内未签字的国家加入；?

　　(d)批准书、接受书、赞同书及加入书应向联合国秘书长交存。?

　　Article 23. Depositary

　　The Secretary-General of the United Nations is the depositary of this Convention.

　　Article 24. Signature, ratification⁴², acceptance, approval, accession

　　(1) This Convention is open for signature by all States at the Headquarters of the United Nations, New York, until 11 December 1997.

　　(2) This Convention is subject to ratification, acceptance or approval by the signatory States.

　　(3) This Convention is open to accession by all States which are not signatory States as from the date it is open for signature.

　　(4) Instruments of ratification, acceptance, approval and accession are to be deposited with the Secretary-General of the United Nations.

　　第25条 在领土单位的适用?

　　(a)如果某国有两个或两个以上领土单位，就本公约事项适用不同法制者，该国得在签字、 批准、接受、赞同或加入之时，声明本公约适用于该国全境或仅适用于一个或多个领土单位 ，且该国得在任何时候以另一声明取代原先的声明；?

　　(b)这些声明应明确规定本公约适用的领土单位；?

　　(c)如果因本条之声明，本公约并不适用于该国全境且保证人或受益人营业地并不适用本公约者，此类营业地不得认为位于缔约国境内；?

　　(d)如果某国未做出本条第1款之声明，本公约适用于该国所有领土单位。?

　　Article 25. Application to territorial⁴³ units

　　(1) If a State has two or more territorial units in which different systems of law are applicable in relation to the matters dealt with in this Convention, it may, at the time of signature, ratification, acceptance, approval or accession, declare that this Convention is to extend to all its territorial units or only one or more of them, and may at any time substitute another declaration for its earlier declaration.

　　(2) These declarations are to state expressly the territorial units to which the Convention extends.

　　(3) If, by virtue⁴⁴ of a declaration under this article, this Convention does not extend to all territorial units of a State and the place of business of the guarantor/issuer or of the beneficiary is located in a territorial unit to which the Convention does not extend, this place of business is considered not to be in a Contracting State.

　　(4) If a State makes no declaration under paragraph (1) of this article, the Convention is to extend to all territorial units of that State.

　　第26条 声明的效力?

　　(a)依第25条在签字时所做之声明受制于批准、接受或认可的确认书；?

　　(b)声明及其确认书应以书面形式作出且正式向保管人通知；?

　　(c)本公约对有关国家生效，该国之声明同时生效。然而，公约生效后保管人接到该声明的正式通知者，则在保管人收到通知之日起六个月届满后的第一天，该声明生效。?

　　(d)依第25条作出声明的国家，得随时以书面形式正式向保管人声明撤销该声明。此类撤销通知应在保管人收到通知之日起六个月届满后的第一天发生效力。

　　Article 26. Effect of declaration

　　(1) Declarations made under article 25 at the time of signature are subject to confirmation upon ratification, acceptance or approval.

　　(2) Declarations and confirmations of declarations are to be in writing and to be formally notified to the depositary.

　　(3) A declaration takes effect simultaneously⁴⁵ with the entry into force of this Convention in respect of the State concerned. However, a declaration of which the depositary receives formal notification after such entry into force takes effect on the first day of the month following the expiration⁴⁶ of six months after the date of its receipt by the depositary.

　　(4) Any State which makes a declaration under article 25 may withdraw it at any time by a formal notification in writing addressed to the depositary. Such withdrawal⁴⁷ takes effect on the first day of the month following the expiration of six months after the date of the receipt of the notification of the depositary.　　?

　　第27条 保留?

　　本公约不允许保留。?

　　第28条 生效?

　　(a)本公约在第五份批准书、接受书、赞同书或加入书交存之日起一年后的第一个月的第一天开始生效。?

　　(b)在第五份批准书、接受书、赞同书或加入书交存之日以后，对于成为本公约的缔约国的每一国家而言，自该国交存适当之文书之日算起一年过后的第一个月的第一天起，本公约对该国生效；?

　　(c)本公约仅适用于在本公约对第1条第1款(a)项或(b)项所指之缔约国生效之日或其后签发的保函。?

　　Article 27. Reservations

　　No reservations may be made to this Convention.

　　Article 28. Entry into force

　　(1) This Convention enters into force on the first day of the month following the expiration of one year from the date of the deposit of the fifth instrument of ratification, acceptance, approval or accession.

　　(2) For each State which becomes a Contracting State to this Convention after the date of the deposit of the fifth instrument of ratification, acceptance, approval or accession, this Convention enters into force on the first day of the month following the expiration of one year after the date of the deposit of the appropriate instrument on behalf of that State.

　　(3) This Convention applies only to undertakings issued on or after the date when the Convention enters into force in respect of the Contracting State referred to in subparagraph (a) or the Contracting State referred to in subparagraph (b) of paragraph (1) of article 1.

　　第29条 退约?

　　(a)缔约国得随时以书面形式向保管人声明退出本公约。?

　　(b)退约通知到达保管人二年后的第一个月的第一天开始生效。退约通知中明定有更长期 限者，则保管人收到通知后该更长期限届满时，该退约发生效力。?

　　公元一千九百九十五年十二月十一日订于纽约。本公约仅有一份正本；阿拉伯语、汉语、法语、英语、俄语及西班牙语各文本具有同等效力。?

　　各国已获授权之全权代表签字于此，以昭信守。

　　Article 29. Denunciation

　　(1) A Contracting State may denounce this Convention at any time by means of a notification in writing addressed to the depositary.

　　(2) The denunciation takes effect on the first day of the month following the expiration of one year after the notification is received by the depositary. Where a longer period is specified in the notification, the denunciation takes effect upon the expiration of such longer period after the notification is received by the depositary.

　　DONE at New York, this eleventh day of December one thousand nine hundred and ninety-five, in a single original, of which the Arabic, Chinese, English, French, Russian and Spanish texts are equally authentic¹⁸.

　　IN WITNESS WHEREOF the undersigned plenipotentiaries, being duly authorized by their respective Governments, have signed the present Convention.

上一篇：大西洋宪章 下一篇：上市公司治理准则(中英)