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联合国承认和执行外国仲裁裁决的公约
发布时间:2009-06-18 12:40:50 来源:中国信保  作者:admin

{ 1 }  
Article I
 
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1. This Convention shall apply to the recognition and enforcement of arbitral awards made in the territory of a State other than the State where the recognition and enforcement of such awards are sought, and arising out of differences between persons, whether physical or legal. It shall also apply to arbitral awards not considered as domestic awards in the State where their recognition and enforcement are sought.
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2. The term "arbitral awards" shall include not only awards made by arbitrators appointed for each case but also those made by permanent arbitral bodies to which the parties have submitted.
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3. When signing, ratifying or acceding to this Convention, or notifying extension under article X hereof, any State may on the basis of reciprocity declare that it will apply the Convention to the recognition and enforcement of awards made only in the territory of another Contracting State. It may also declare that it will apply the Convention only to differences arising out of legal relationships, whether contractual or not, which are considered as commercial under the national law of the State making such declaration.
 { 5 } 
 
Article II
 
{ 6 }
 
1. Each Contracting State shall recognize an agreement in writing under which the parties undertake to submit to arbitration all or any differences which have arisen or which may arise between them in respect of a defined legal relationship, whether contractual or not, concerning a subject matter capable of settlement by arbitration.
 { 7 } 
2. The term "agreement in writing" shall include an arbitral clause in a contract or an arbitration agreement, signed by the parties or contained in an exchange of letters or telegrams.
 { 8 } 
3. The court of a Contracting State, when seized of an action in a matter in respect of which the parties have made an agreement within the meaning of this article, at the request of one of the parties, refer the parties to arbitration, unless it finds that the said agreement is null and void, inoperative or incapable of being performed.
 { 9 } 
 
Article III
 
{ 10 }
 
Each Contracting State shall recognize arbitral awards as binding and enforce them in accordance with the rules of procedure of the territory where the award is relied upon, under the conditions laid down in the following articles. There shall not be imposed substantially more onerous conditions or higher fees or charges on the recognition or enforcement of arbitral awards to which this Convention applies than are imposed on the recognition or enforcement of domestic arbitral awards.
 { 11 } 
 
Article IV
 
{ 12 }
 
1. To obtain the recognition and enforcement mentioned in the preceding article, the party applying for recognition and enforcement shall, at the time of the application, supply:
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(a) The duly authenticated original award or a duly certified copy thereof;
 { 14 } 
(b) The original agreement referred to in article II or a duly certified copy thereof.
 { 15 } 
2. If the said award or agreement is not made in an official language of the country in which the award is relied upon, the party applying for recognition and enforcement of the award shall produce a translation of these documents into such language. The translation shall be certified by an official or sworn translator or by a diplomatic or consular agent.
 { 16 } 
 
Article V
 
{ 17 }
 
1. Recognition and enforcement of the award may be refused, at the request of the party against whom it is invoked, only if that party furnishes to the competent authority where the recognition and enforcement is sought, proof that:
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(a) The parties to the agreement referred to in article II were, under the law applicable to them, under some incapacity, or the said agreement is not valid under the law to which the parties have subjected it or, failing any indication thereon, under the law of the country where the award was made; or
 { 19 } 
(b) The party against whom the award is invoked was not given proper notice of the appointment of the arbitrator or of the arbitration proceedings or was otherwise unable to present his case; or
 { 20 } 
(c) The award deals with a difference not contemplated by or not falling within the terms of the submission to arbitration, or it contains decisions on matters beyond the scope of the submission to arbitration, provided that, if the decisions on matters submitted to arbitration can be separated from those not so submitted, that part of the award which contains decisions on matters submitted to arbitration may be recognized and enforced; or
 { 21 } 
(d) The composition of the arbitral authority or the arbitral procedure was not in accordance with the agreement of the parties, or, failing such agreement, was not in accordance with the law of the country where the arbitration took place; or
 { 22 } 
(e) The award has not yet become binding on the parties, or has been set aside or suspended by a competent authority of the country in which, or under the law of which, that award was made.
 { 23 } 
2. Recognition and enforcement of an arbitral award may also be refused if the competent authority in the country where recognition and enforcement is sought finds that:
 { 24 } 
(a) The subject matter of the difference is not capable of settlement by arbitration under the law of that country; or
 { 25 } 
(b) The recognition or enforcement of the award would be contrary to the public policy of that country.
 { 26 } 
 
Article VI
 
{ 27 }
 
If an application for the setting aside or suspension of the award has been made to a competent authority referred to in article V (1) (e), the authority before which the award is sought to be relied upon may, if it considers it proper, adjourn the decision on the enforcement of the award and may also, on the application of the party claiming enforcement of the award, order the other party to give suitable security.
 { 28 } 
 
Article VII
 
{ 29 }
 
1. The provisions of the present Convention shall not affect the validity of multilateral or bilateral agreements concerning the recognition and enforcement of arbitral awards entered into by the Contracting States nor deprive any interested party of any right he may have to avail himself of an arbitral award in the manner and to the extent allowed by the law or the treaties of the country where such award is sought to be relied upon.
 { 30 } 
2. The Geneva Protocol on Arbitration Clauses of 1923 and the Geneva Convention on the Execution of Foreign Arbitral Awards of 1927 shall cease to have effect between Contracting States on their becoming bound and to the extent that they become bound, by this Convention.
 { 31 } 
 
Article VIII
 
{ 32 }
 
1. This Convention shall be open until 31 December 1958 for signature on behalf of any Member of the United Nations and also on behalf of any other State which is or hereafter becomes a member of any specialized agency of the United Nations, or which is or hereafter becomes a party to the Statute of the International Court of Justice, or any other State to which an invitation has been addressed by the General Assembly of the United Nations.
 { 33 } 
2. This Convention shall be ratified and the instrument of ratification shall be deposited with the Secretary-General of the United Nations.
 { 34 } 
 
Article IX
 
{ 35 }
 
1. This Convention shall be open for accession to all States referred to in article VIII.
 { 36 } 
2. Accession shall be effected by the deposit of an instrument of accession with the Secretary-General of the United Nations.
 { 37 } 
 
Article X
 
{ 38 }
 
1. Any State may, at the time of signature, ratification or accession, declare that this Convention shall extend to all or any of the territories for the international relations of which it is responsible. Such a declaration shall take effect when the Convention enters into force for the State concerned.
 { 39 } 
2. At any time thereafter any such extension shall be made by notification addressed to the Secretary-General of the United Nations and shall take effect as from the ninetieth day after the day of receipt by the Secretary-General of the United Nations of this notification, or as from the date of entry into force of the Convention for the State concerned, whichever is the later.
 { 40 } 
3. With respect to those territories to which this Convention is not extended at the time of signature, ratification or accession, each State concerned shall consider the possibility of taking the necessary steps in order to extend the application of this Convention to such territories, subject, where necessary for constitutional reasons, to the consent of the Governments of such territories.
 { 41 } 
 
Article XI
 
{ 42 }
 
In the case of a federal or non-unitary State, the following provisions shall apply:
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(a) With respect to those articles of this Convention that come within the legislative jurisdiction of the federal authority, the obligations of the federal Government shall to this extent be the same as those of Contracting States which are not federal States;
 { 44 } 
(b) With respect to those articles of this Convention that come within the legislative jurisdiction of constituent states or provinces which are not, under the constitutional system of the federation, bound to take legislative action, the federal Government shall bring such articles with a favourable recommendation to the notice of the appropriate authorities of constituent states or provinces at the earliest possible moment;
 { 45 } 
(c) A federal State Party to this Convention shall, at the request of any other Contracting State transmitted through the Secretary-General of the United Nations, supply a statement of the law and practice of the federation and its constituent units in regard to any particular provision of this Convention, showing the extent to which effect has been given to that provision by legislative or other action.
 { 46 } 
 
Article XII
 
{ 47 }
 
1. This Convention shall come into force on the ninetieth day following the date of deposit of the third instrument of ratification or accession.
 { 48 } 
2. For each State ratifying or acceding to this Convention after the deposit of the third instrument of ratification or accession, this Convention shall enter into force on the ninetieth day after deposit by such State of its instrument of ratification or accession.
 { 49 } 
 
Article XIII
 
{ 50 }
 
1. Any Contracting State may denounce this Convention by a written notification to the Secretary-General of the United Nations. Denunciation shall take effect one year after the date of receipt of the notification by the Secretary-General.
 { 51 } 
2. Any State which has made a declaration or notification under article X may, at any time thereafter, by notification to the Secretary-General of the United Nations, declare that this Convention shall cease to extend to the territory concerned one year after the date of the receipt of the notification by the Secretary-General.
 { 52 } 
3. This Convention shall continue to be applicable to arbitral awards in respect of which recognition and enforcement proceedings have been instituted before the denunciation takes effect.
 { 53 } 
 
Article XIV
 
{ 54 }
 
A Contracting State shall not be entitled to avail itself of the present Convention against other Contracting States except to the extent that it is itself bound to apply the Convention.
 { 55 } 
 
Article XV
 
{ 56 }
 
The Secretary-General of the United Nations shall notify the States contemplated in article VIII of the following:
 { 57 } 
(a) Signatures and ratifications in accordance with article VIII;
 { 58 } 
(b) Accessions in accordance with article IX;
 { 59 } 
(c) Declarations and notifications under articles I, X and XI;
 { 60 } 
(d) The date upon which this Convention enters into force in accordance with article XII;
 { 61 } 
(e) Denunciations and notifications in accordance with article XIII.
 { 62 } 
 
Article XVI
 
{ 63 }
 
1. This Convention, of which the Chinese, English, French, Russian and Spanish texts shall be equally authentic, shall be deposited in the archives of the United Nations.
 { 64 } 
2. The Secretary-General of the United Nations shall transmit a certified copy of this Convention to the States contemplated in article VIII.

联合国承认和执行外国仲裁裁决的公约

(1958年通过)

    第一条

    1、由于自然人或法人之间的争执而引起的仲裁裁决,在一个国家的领土作成,而在另一个国家请求承认和执行时,适用本公约。在一个国家请求承认和执行这个国家不认为是本国裁决的仲裁裁决时,也适用本公约。

    2、仲裁裁决不仅包括由选定的临时仲裁员为个别案件所作出的裁决,而且也包括由常设的仲裁机构经当事人的提请而作出的裁决。

    3、任何缔约国在签署、批准或者参加本公约或者根据第十条通知扩展的时候,可以在互惠基础上声明,本国只对在另一缔约国领土内所作成的仲裁裁决的承认和执行,适用本公约。也可以声明,本国只对根据本国法律属于商事的法律关系——契约或非契约的——所引起的争执适用本公约。

    第二条

    1、如果双方当事人书面协议,把由于某个可以通过仲裁方式解决的事项有关的特定的法律关系所产生或可能产生的全部或任何争执提交仲裁,每一个缔约国应该承认这种协议。

    2、书面协议包括合同里的仲裁条款和当事人所签订的或者来往书信、电报中所包含的仲裁协议。

    3、如果缔约国的法院受理一个案件,而就这个案件所涉及的事项,当事人已经达成本条意义内的协议时,除非该法院查明协议是无效的、未生效的或不可能实行的,应该经一方当事人的请求,命令当事人把案件提请仲裁。

    第三条

    在以下各条所规定的条件下,每一个缔约国应该承认仲裁裁决有约束力,并且依照裁决被请求承认或执行地的程序规则予以执行。承认或执行本公约所适用的仲裁裁决,不应该比承认或执行本国的仲裁裁决规定实质上较为麻烦的条件或较高的费用和开支。

    第四条

    1、为了获得前条所提到的承认和执行,请求承认和执行裁决的当事人应该在请求时提供:

    (a)经正式承认的裁决正本或经正式证明的副本。

    (b)第二条所提到的协议正本或经正式证明的副本。

    2、如果上述裁决或协议不是用请求承认或执行裁决所在国的正式文字作成,请求承认和执行的当事人应该为这些文件提供这个国家正式文字的译文。译文应该由官员或经过宣誓的翻译人员或由外交或领事代表证明。

    第五条

    1、只有在请求承认和执行裁决中的被诉人向请求地管辖机关证明下列情况的时候,才可以根据被诉人的请求,拒绝承认和执行裁决:

    (a)第二条所述的协议的双方当事人,根据对他们适用的法律,当时是处于某种无能为力的情况下;或者根据双方当事人选定适用的法律,或在没有这种选定的时候,根据仲裁地国的法律,上述协议是无效的;或者

    (b)请求承认和执行裁决中的被诉人,没有给他有关指定仲裁员或者进行仲裁程序的适当通知,或者由于其他情况而不能对案件提出意见;或者

    (c)裁决涉及仲裁协议所没有提到的,或者不包括在仲裁协议规定之内的争执;或者裁决内含有对仲裁协议范围以外事项的决定;但是,对于仲裁协议范围以内的事项的决定,如果可以将其同仲裁协议范围以外的事项决定分开,那么,这一部分的决定仍然可以承认和执行;或者

    (d)仲裁庭的组成或仲裁程序同当事人间的协议不符,或者当事人间没有这种协议时,同仲裁地国的法律不符;或者

    (e)仲裁对当事人还没有约束力,或者仲裁已经被仲裁地国或裁决据以进行的那个缔约的指定国的管辖机关撤销或命令停止执行。

    2、裁决被请求承认和执行的管辖机关如果查明有下列情况,也可以拒绝承认和执行:

    (a)争执的事项,依照这个国家的法律,不可以用仲裁方式解决;或者

    (b)承认或执行裁决将和这个国家的公共秩序相抵触。

    第六条

    如果已经向第五条第1款第(e)项所提到的管辖机关提出了撤销或停止执行仲裁裁决的请求,被请求承认和执行裁决的机关如果认为适当,可以延期作出关于执行裁决的决定,也可以经请求执行裁决的当事人的申请,命令对方当事人提供适当的担保。

    第七条

    本公约的规定不影响缔约国参加有关承认和执行仲裁裁决的多边或双边协定的效力,也不影响有关当事人所具有的在裁决被请求承认或执行地国的法律或条约所许可的方式和范围内,利用仲裁裁决的任何权利。

    一九二三年关于仲裁条款的日内瓦议定书和一九二七年关于执行外国仲裁裁决的日内瓦公约,对本公约的缔约国,在它们开始受本公约约束的时候以及在它们受本公约约束的范围以内失效。

    第八条

    本公约在一九五八年十二月三十一日以前接受联合国的任何会员国、现在或今后是联合国专门机构成员的任何其他国家、现在或今后是国际法院规章缔约国的任何其他国家、或者经联合国大会邀请的任何其他国签署。

    本公约须经批准,批准书应当送交联合国秘书长。

    第九条

    1、本公约接受第八条所提到的一切国家参加。

    2、参加本公约应当以参加书交存联合国秘书长处。

    第十条

    1、任何国家在签署、批准或参加本公约的时候,都可以声明:本公约将扩展到国际关系由这个国家负责的一切或任何地区,这种声明在本公约对这个国家生效的时候生效。

    2、在签署、批准或参加本公约之后,要作这种扩展,应该通知联合国秘书长,并从联合国秘书长接到通知之日后九十日起生效,或从本公约对这个国家生效之日起生效,两者视何日在后而定。

    3、关于在签署、批准或者参加本公约的时候,本公约所没有扩展到的地区,各有关国家应当考虑采取必要的步骤的可能性,以便本公约的适用范围能够扩展到这些地区。但是,如果由于宪法关系而有必要时,应当取得这些地区的政府的同意。

    第十一条

    对于联邦国家或者非单一组织的国家应当适用下列规定:

    (a)关于属于联邦机关立法权限内的本公约条款,联邦政府的义务同非联邦国家缔约国的义务一样。

    (b)关于属于联邦各成员国或属地立法权限以内的本公约条款,如果联邦成员国或属地根据联邦的宪法体系没有采取立法行动的义务,联邦政府应当尽早地把这些条款附以积极的推荐通知联邦成员国或属地的相应机关。

    (c)本公约的联邦国家缔约国,根据任何其他缔约国通过联合国秘书长而提出的请求,应当提供材料说明联邦和联邦组成单位的有关本公约任何特定的规定的法律和习惯,以表明立法或其他行动已经在什么范围内赋予这项规定以效力。

    第十二条

    1、本公约从第三个国家交存批准书或参加书之日后九十日起生效。

    2、在第三个国家交存批准书或参加书以后,本公约从每个国家交存批准书或参加书后九十日起对这个国家生效。

    第十三条

    1、任何缔约国可以用书面通知联合国秘书长废止本公约,废止从秘书长接到通知之日后一年起生效。

    2、依照第十条规定提出声明或者通知的任何国家,随时都可以通知联合国秘书长,声明从秘书长接到通知之日后一年起,本公约停止扩展到有关地区。

    3、对于在废止生效以前已经开始请求承认或执行裁决程序的仲裁裁决,应该继续适用本公约。

    第十四条

    一缔约国,以自己有义务适用本公约为理由以外,无权利用本公约对抗其他缔约国。

    第十五条

    联合国秘书长应当将下列事项通知第八条中所提到的国家:

    1、依照第八条的规定签署和批准本公约;

    2、依照第九条的规定参加本公约;

    3、依照第一、十和十一条的规定的声明和通知;

    4、第十二条所规定的本公约的生效日期;

    5、第十二条所规定的废止和通知。

    第十六条

    1、本公约的中文、英文、法文、俄文和西班牙文本同等有效,由联合国档案处保存。

    2、联合国秘书长应当把经过证明的本公约副本给予第八条所提到的国家。

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