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中欧仲裁中心仲裁规则中英文

中欧仲裁中心仲裁规则中英文
中欧仲裁中心仲裁规则中英文

English Version / 中文版

Chinese European Arbitration Centre (CEAC)

中国欧洲仲裁中心

CEAC Hamburg Arbitration Rules 汉堡中欧仲裁中心仲裁规则

Chinese European Arbitration Centre

GmbH

中国欧洲仲裁中心有限责任公司

Hamburg, Germany 汉堡·德国

Preamble

Section I. Introductory rules

Article 1 Scope of application and model arbi-

tration clause

Article 2 Notice, calculation of periods of time Article 3-3a Notice of arbitration

Article 4 Representation and assistance

Section II. Composition of the arbitral tribunal

Article 5 Number of arbitrators

Articles 6-8 Appointment of arbitrators

Articles 9-12 Challenge of arbitrators

Article 13 Replacement of an arbitrator

Article 14 Repetition of hearings in the event of

the replacement of an arbitrator

Section III. Arbitral proceedings

Article 15 General provisions

Article 16 Place of arbitration

Article 17 Language

Article 18 Statement of claim

Article 19 Statement of defence

Article 20 Amendments to the claim or defence Article 21 Pleas as to the jurisdiction of the

arbitral tribunal

Article 22 Further written statements

Article 23 Periods of time

Articles 24-25 Evidence and hearings

Article 26 Interim measures of protection Article 27 Experts

Article 28 Default

Article 29 Closure of hearings

Article 30 Waiver of rules

Section IV. The award

Article 31-31a Decisions

Article 32 Form and effect of the award

Article 33 Applicable law, amiable compositeur Article 34 Settlement or other grounds for ter-

mination

Article 35 Interpretation of the award

Article 36 Correction of the award

Article 37 Additional award

Articles 38-40 Costs

Article 41 Deposit of costs

Section V. Further provisions

Article 42 Liability of arbitration tribunal,

CEAC and others 前言

第一章总则

第1条适用范围与仲裁示范条款

第2条通知和时间的计算

第3-3a条仲裁通知

第4条代表和协助

第二章仲裁庭的组成

第5条仲裁员人数

第6-8条仲裁员的指定

第9-12条对仲裁员的异议

第13条更换仲裁员

第14条在更换仲裁员的情况下重新开庭

第三章仲裁程序

第15条通则

第16条仲裁地点

第17条语言

第18条申请书

第19条答辩书

第20条对申请或答辩的修正

第21条对仲裁庭管辖权的抗辩

第22条进一步的书面陈述

第23条期限

第24-25条证据和开庭

第26条临时性保护措施

第27条专家

第28条不履行责任

第29条开庭终结

第30条规则放弃

第四章裁决

第31-31a条决定

第32条裁决的形式和效力

第33条适用的法律,友好和解人

第34条和解解决或终止仲裁的其他理由第35条对裁决的解释

第36条裁决书的改正

第37条追加的裁决

第38-40条费用

第41条费用的交存

第五章其他规定

第42条仲裁庭

仲裁庭、

、中欧仲裁中心以及其他相

关机构的责任

Index / 目录

English Version

CEAC H AMBURG A RBITRATION R ULES

Consolidated Version of the

H AMBURG A RBITRATION R ULES

FOR THE C HINESE E UROPEAN A RBITRATION C ENTRE (CEAC)

IN H AMBURG

based on the

UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW

(UNCITRAL)

UNCITRAL Arbitration Rules

Preamble

Section I. Introductory rules

Article 1 Scope of application and model arbitration clause

Article 2 Notice, calculation of periods of time

Article 3-3a Notice of arbitration

Article 4 Representation and assistance

Section II. Composition of the arbitral tribunal

Article 5 Number of arbitrators

Articles 6-8 Appointment of arbitrators

Articles 9-12 Challenge of arbitrators

Article 13 Replacement of an arbitrator

Article 14 Repetition of hearings in the event of the replacement of an arbitrator

Section III. Arbitral proceedings

Article 15 General provisions

Article 16 Place of arbitration

Article 17 Language

Article 18 Statement of claim

Article 19 Statement of defence

Article 20 Amendments to the claim or defence

Article 21 Pleas as to the jurisdiction of the arbitral tribunal

Article 22 Further written statements

Article 23 Periods of time

Articles 24-25 Evidence and hearings

Article 26 Interim measures of protection

Article 27 Experts

Article 28 Default

Article 29 Closure of hearings

Article 30 Waiver of rules

Section IV. The award

Article 31-31a Decisions

Article 32 Form and effect of the award

Article 33 Applicable law, amiable compositeur

Article 34 Settlement or other grounds for termination

Article 35 Interpretation of the award

Article 36 Correction of the award

Article 37 Additional award

Articles 38-40 Costs

Article 41 Deposit of costs

Section V. Further provisions

Article 42 Liability of arbitration tribunal, CEAC and others

Preamble

A.The phenomenon of “globalisation” has brought about a substantial increase of

?trade between China and traders from all over the world including Europe,

?global investments in China,

?international investments in China and

?Chinese investments in the world.

B. 1Where international trade takes place, disputes may arise. 2The Chinese European Arbitration Centre (“CEAC”)

offers a possibility to settle such disputes in an international spirit by institutional arbitration. 3In this context, it is important to note that presently the recognition and enforcement of foreign judgements in China and of Chinese judgements in foreign countries is often difficult or even impossible. 4As a result, the recourse to international arbitration is an important tool to enforce rights of the participants in international trade.

C.For that purpose, the CHINESE EUOPEAN LEGAL ASSOCIATION e.V. – a non-profit organisation dedicated to

support the interaction and exchange between China, Europe and the world regarding issues of law and legal culture – has established the Chinese European Arbitration Centre GmbH which operates the Chinese Euro-pean Arbitration Centre (CEAC) according to its Statutes and these CEAC Hamburg Arbitration Rules.

D.1These CEAC Hamburg Arbitration Rules have been developed in interaction with experts from numerous juris-

dictions from around the globe in a truly international spirit and with special regard to the needs of intercultural arbitrations, in particular in cases in which one party comes from China. 2However, if the parties so explicitly de-sire, arbitration under the CEAC Hamburg Arbitration Rules shall also be open to other international arbitra-tions.i

E.1Hamburg, the sister-city of Shanghai, has a longstanding tradition in international trade, including trade with

China, and in international arbitration and conciliation. 2Over 20 years ago, in 1987, Chinese and German law-yers have created the Beijing-Hamburg Conciliation Centre. 3These CEAC Hamburg Arbitration Rules provide, inter alia, for a possibility to refer the case to conciliation under the rules of the Beijing-Hamburg Conciliation Centre.

F. In order to tailor these CEAC Hamburg Arbitration Rules best to the needs of intercultural arbitration, these

CEAC Hamburg Arbitration Rules are embedded in an international environment:

?If the parties do not reach an agreement on a Chairman, or if one party is defaulting in appointing an ar-bitrator, the Appointing Authority shall appoint a Chairman from a neutral jurisdiction whereby it oper-

ates in Chambers with international experts from China, Europe and other regions of the world.

?The CEAC Hamburg Arbitration Rules refer the parties, on a voluntary basis, to the possibility to choose neutral law ii or neutral rules of law iii which are known, to different degrees, worldwide and in particular in

China.

?The CEAC Hamburg Arbitration Rules contain a number of provisions, e.g. Article 3 paragraph 1, which comply with the special requirements for enforceability of arbitral awards in China.iv

Based on the above, the following Rules have been adopted:

i The openness, upon explicit request of the parties, to other international arbitrations which is not necessarily or only re-

motely or indirectly related to China was suggested by a number of supporters. The point was followed: The degree of rela-tion of a case to China-related trade should never become an issue which might endanger the validity of an arbitration pro-ceeding.

ii For example, the United Nations Vienna Convention on the International Sale of Goods (CISG) is part of New York law, part of Chinese law and part of German law.

iii The UNIDROIT Principles have been used as a reference by a number of legislators including, for example, the Chinese and the German legislator.

iv According to Chinese law, it is important that (i) the arbitration concerns a commercial matter and (ii) the parties refer the arbitration to institutional arbitration.

CONSOLIDATED HAMBURG ARBITRATION RULES FOR THE CHINESE EUROPEAN ARBITRA-TION CENTRE (CEAC) IN HAMBURG (CEAC Hamburg Arbitration Rules) based on the UNCITRAL ARBITRATION RULES

SECTION I. INTRODUCTORY RULES

SCOPE OF APPLICATION AND MODEL ARBITRATION CLAUSE

Article 1

(1) Where the parties to a contract have agreed in writing* that disputes in relation to that contract shall be referred to

arbitration under the CEAC Hamburg Arbitration Rules, then such disputes shall be settled in accordance with these Rules as existing at the time of the agreement of the parties.

*MODEL ARBITRATION CLAUSE

Any dispute, controversy or claim arising out of or relating to this contract, or the breach, termination or invalidity thereof, shall be settled by arbitration in Hamburg (Germany) in accordance with the CEAC Hamburg Arbitration Rules.

(a) The number of arbitrators shall be ___ ((i) one or (ii) three or (iii) three unless the amount in dispute is

less than € ___ [e.g. 100.000 €] in which case the matter shall be decided by a sole arbitrator) ;

(b) Regardless of the seat of arbitration, the arbitral tribunal is free to hold hearings in ___________ (town

or country);

(c) The language(s) to be used in the arbitral proceedings shall be __________;

(d) Documents also may be submitted in _________________ (language).

(e) The arbitration shall be confidential. The parties agree that also the mere existence of an arbitration

proceeding shall be kept confidential except to the extent disclosure is required by law, regulation or an order of a competent court.

(f) The arbitral tribunal shall apply the CEAC Hamburg Arbitration Rules as in force at the moment of the

commencement of the arbitration unless one of the parties requests the tribunal, within 4 weeks as of the constitution of the arbitral tribunal, to operate according to the CEAC Hamburg Arbitration Rules as in force at the conclusion of this contract.

(1a) Where the parties agree to refer their disputes to arbitration under the “CEAC Hamburg Arbitration Rules”, the “CEAC Rules” or the “Rules of the Chinese European Arbitration Centre” without providing the name of an arbitration institution, they shall be deemed to have agreed to refer the dispute to institutional arbitration by the Chinese European Arbitration Centre in Hamburg (Germany).

(2) These Rules shall govern the arbitration except that where any of these Rules are in conflict with any provi-

sion from which the parties cannot derogate, that provision shall prevail.

(3) These Rules shall incorporate the Arbitration Rules of the United Nations Commission on International

Trade Law (UNCITRAL Arbitration Rules; see https://www.doczj.com/doc/f012321091.html,) in the version in force at commencement of the arbitral proceedings and as supplemented or amended by the additional rules set out herein which have priority unless provided for differently by the parties.

(4) 1Prior to the initiation of an arbitration proceeding under the CEAC Hamburg Arbitration Rules or within 21

days after receipt of the notice of arbitration by the respondent, either party is entitled to request in writing the other party’s express written consent to carry out a conciliation proceeding under the Rules of the Bei-jing-Hamburg Conciliation Centre or any other mediation or conciliation proceeding. 2Upon receipt of such consent, the arbitral proceedings including all deadlines is/are interrupted for

(a) up to 3 months (or until the termination of the conciliation or mediation proceeding, whatever is ear-

lier); or

(b) upon an earlier application provided that the conciliation or mediation proceeding is initiated within a

week after receipt of such consent. If the mediation is not finished within the 3 months time period, a further interruption of the arbitral proceedings requires mutual written consent of all parties which may be contained in separate documents.

NOTICE, CALCULATION OF PERIODS OF TIME

Article 2

(1) 1For the purposes of these Rules, any notice, including a notification, communication or proposal, is deemed to

have been received if it is physically delivered to the addressee or if it is delivered at his habitual residence, place of business or mailing address, or, if none of these can be found after making reasonable inquiry, then at the ad-dressee’s last-known residence or place of business. 2Notice shall be deemed to have been received on the day it is so delivered.

(2) 1For the purposes of calculating a period of time under these Rules, such period shall begin to run on the day fol-

lowing the day when a notice, notification, communication or proposal is received. 2If the last day of such period is an official holiday or a non-business day at the residence or place of business of the addressee, the period is ex-tended until the first business day which follows. 3Official holidays or non-business days occurring during the run-ning of the period of time are included in calculating the period.

NOTICE OF ARBITRATION

Article 3

(1) The party initiating recourse to arbitration (hereinafter called the "claimant") shall give to the other party (hereinafter

called the "respondent") a notice of arbitration.

(2) 1The claimant shall send the notice of arbitration to the Chinese European Arbitration Centre (CEAC) in

Hamburg together with a copy of the contract out of or in relation to which the dispute has arisen and a

copy of the arbitration agreement if it is not contained in the contract. 2Upon filing of the notice of arbitra-tion, the claimant shall pay the administration fee determined in accordance with the Schedule of Costs of the CEAC. 3If the administration fee is not paid upon filing of the notice of arbitration, the management of the CEAC shall set a time period within which the claimant is requested to pay the administration fee which will be counted on the advance of costs according to Article 41 of these CEAC Hamburg Arbitration Rules.

4If the administration fee is not paid within the time period set, the claim shall be deemed to be withdrawn.

5Arbitral proceedings shall be deemed to commence on the date on which the Notice of Arbitration is re-ceived by the CEAC.

(3) The notice of arbitration shall include the following:

(a) A demand that the dispute be referred to arbitration;

(b) The names and addresses of the parties;

(c) A reference to the arbitration clause or the separate arbitration agreement that is invoked;

(d) A reference to the contract out of or in relation to which the dispute arises;

(e) The general nature of the claim and an indication of the amount involved, if any;

(f) The relief or remedy sought;

(g)A proposal as to the number of arbitrators (i.e. one or three), if the parties have not previously agreed thereon.

(4) The notice of arbitration may also include:

(a) The proposals for the appointments of a sole arbitrator referred to in article 6, paragraph 1;

(b) The notification of the appointment of an arbitrator referred to in article 7;

(c)The statement of claim referred to in article 18.

(5) The CEAC may require from either party such information as it deems reasonably necessary to fulfil its

function.

Article3a

1When a party initiates recourse to arbitration in connection with a legal relationship in respect of which arbitral proceedings between the same parties are already pending under these Rules, the management of the CEAC may, at the request of a party, ask the other party to consent within a reasonable timeframe to include the claims contained in the initiated recourse to the arbitration in the pending proceedings. 2If no declaration of consent is received within the timeframe, the proceedings shall be kept separately.

REPRESENTATION AND ASSISTANCE

Article 4

1The parties may be represented or assisted by persons of their choice. 2The names and addresses of such persons must be communicated in writing to the other party; such communication must specify whether the appointment is being made for purposes of representation or assistance.

SECTION II. COMPOSITION OF THE ARBITRAL TRIBUNAL

NUMBER OF ARBITRATORS

Article 5

If the parties have not previously agreed on the number of arbitrators (i.e. one or three), and if within fifteen days after the receipt by the respondent of the notice of arbitration the parties have not agreed that there shall be only one arbitra-tor, three arbitrators shall be appointed.

APPOINTMENT OF ARBITRATORS

Article 6

(1) If a sole arbitrator is to be appointed, either party may propose to the other the names of one or more persons, one

of whom would serve as the sole arbitrator.

(2) If within thirty days after receipt by a party of a proposal made in accordance with paragraph 1 the parties have not

reached agreement on the choice of a sole arbitrator, the sole arbitrator shall be appointed by the Appointing Au-thority of the CEAC (Appointing Authority).

(3) The Appointing Authority shall, at the request of one of the parties, appoint the sole arbitrator as promptly as pos-

sible. In making the appointment the Appointing Authority shall use the following list-procedure, unless both par-ties agree that the list-procedure should not be used or unless the Appointing Authority determines in its discre-tion that the use of the list-procedure is not appropriate for the case:

(a)At the request of one of the parties the Appointing Authority shall communicate to both parties an identical list

containing at least three names;

(b) Within fifteen days after the receipt of this list, each party may return the list to the Appointing Authority after

having deleted the name or names to which he objects and numbered the remaining names on the list in the order of his preference;

(c)After the expiration of the above period of time the Appointing Authority shall appoint the sole arbitrator from

among the names approved on the lists returned to it and in accordance with the order of preference indicated by the parties;

(d)If for any reason the appointment cannot be made according to this procedure, the Appointing Authority may

exercise its discretion in appointing the sole arbitrator.

(4) In making the appointment, the Appointing Authority shall have regard to such considerations as are likely to se-

cure the appointment of an independent and impartial arbitrator and shall take into account as well the advisability of appointing an arbitrator of a nationality other than the nationalities of the parties.

Article 6a

(1) Unless otherwise agreed by the parties, multiple claimants shall jointly nominate one arbitrator in their statement of claim.

(2) 1If two or more respondents are named in the statement of claim, unless otherwise agreed by the parties, the respondents shall jointly nominate one arbitrator within 21 days after their receipt of the statement of claim. 2If the respondents have received the statement of claim at different times, the time-limit shall be calculated by reference to the time of receipt by the respondent who last received the statement of claim. 3The Appointing

Authority may extend the time-limit. 4If the respondents fail to agree on a joint nomination within the time-limit, the Appointing Authority, after having consulted the parties, nominates two arbitrators, unless the parties agree otherwise. 5In that case, the nomination made by the claimant’s side is set aside by the Appointing Au-thority's nomination. 6The two arbitrators nominated by the parties or the Appointing Authority shall nominate the Chairman of the arbitral tribunal. 7Article 7 paragraph 3 UNCITRAL Arbitration Rules applies mutatis mutan-dis.

Article 7

(1) If three arbitrators are to be appointed, each party shall appoint one arbitrator. The two arbitrators thus appointed

shall choose the third arbitrator who will act as the presiding arbitrator of the tribunal.

(2) If within thirty days after the receipt of a party's notification of the appointment of an arbitrator the other party has not

notified the first party of the arbitrator he has appointed the first party may request the Appointing Authority to ap-point the second arbitrator.

(3) If within thirty days after the appointment of the second arbitrator the two arbitrators have not agreed on the choice

of the presiding arbitrator, the presiding arbitrator shall be appointed by the Appointing Authority in the same way as a sole arbitrator would be appointed under article 6.

Article 8

Where the names of one or more persons are proposed for appointment as arbitrators, their full names, addresses and nationalities shall be indicated, together with a description of their qualifications.

CHALLENGE OF ARBITRATORS

Article 9

1A prospective arbitrator shall disclose to those who approach him in connexion with his possible appointment any cir-cumstances likely to give rise to justifiable doubts as to his impartiality or independence. 2An arbitrator, once appointed or chosen, shall disclose such circumstances to the parties unless they have already been informed by him of these circumstances.

Article 10

(1) Any arbitrator may be challenged if circumstances exist that give rise to justifiable doubts as to the arbitrator’s im-

partiality or independence.

(2) A party may challenge the arbitrator appointed by him only for reasons of which he becomes aware after the ap-

pointment has been made.

Article 11

(1) A party who intends to challenge an arbitrator shall send notice of his challenge within fifteen days after the ap-

pointment of the challenged arbitrator has been notified to the challenging party or within fifteen days after the cir-cumstances mentioned in articles 9 and 10 became known to that party.

(2) 1The challenge shall be notified to the other party, to the arbitrator who is challenged, to the other members of the

arbitral tribunal and to the CEAC in Hamburg. 2The notification shall be in writing and shall state the reasons for the challenge.

(3) 1When an arbitrator has been challenged by one party, the other party may agree to the challenge. The arbitrator

may also, after the challenge, withdraw from his office. 2In neither case does this imply acceptance of the validity of the grounds for the challenge. 3In both cases the procedure provided in article 6 or 7 shall be used in full for the ap-pointment of the substitute arbitrator, even if during the process of appointing the challenged arbitrator a party had failed to exercise his right to appoint or to participate in the appointment.

Article 12

(1) If the other party does not agree to the challenge and the challenged arbitrator does not withdraw, the decision on

the challenge will be made by the Appointing Authority.

(2) If the Appointing Authority sustains the challenge, a substitute arbitrator shall be appointed or chosen pursuant to

the procedure applicable to the appointment or choice of an arbitrator as provided in articles 6 to 9 except that, when this procedure would call for the intervention of the Appointing Authority, the appointment of the arbitrator shall be made by the Appointing Authority.

REPLACEMENT OF AN ARBITRATOR

Article 13

(1) In the event of the death or resignation of an arbitrator during the course of the arbitral proceedings, a substitute

arbitrator shall be appointed or chosen pursuant to the procedure provided for in articles 6 to 9 that was applicable to the appointment or choice of the arbitrator being replaced.

(2) In the event that an arbitrator fails to act or in the event of the de jure or de facto impossibility of his performing his

functions, the procedure in respect of the challenge and replacement of an arbitrator as provided in the preceding articles shall apply.

REPETITION OF HEARINGS IN THE EVENT OF THE REPLACEMENT OF AN ARBITRATOR

Article 14

If under articles 11 to 13 the sole or presiding arbitrator is replaced, any hearings held previously shall be repeated; if any other arbitrator is replaced, such prior hearings may be repeated at the discretion of the arbitral tribunal.

SECTION III: ARBITRAL PROCEEDINGS

GENERAL PROVISIONS

Article 15

(1) Subject to these Rules, the arbitral tribunal may conduct the arbitration in such manner as it considers appropriate,

provided that the parties are treated with equality and that at any stage of the proceedings each party is given a full opportunity of presenting his case.

(2) 1If either party so requests at any stage of the proceedings, the arbitral tribunal shall hold hearings for the presenta-

tion of evidence by witnesses, including expert witnesses, or for oral argument. 2In the absence of such a request, the arbitral tribunal shall decide whether to hold such hearings or whether the proceedings shall be conducted on the basis of documents and other materials.

(3) All documents or information supplied to the arbitral tribunal by one party shall at the same time be communicated

by that party to the other party.

PLACE OF ARBITRATION

Article 16

(1) Regardless of the seat of the arbitration, the parties are free to determine any appropriate place for hear-

ings.

(2) 1The arbitral tribunal may determine the locale of the arbitration within the country agreed upon by the parties. 2It

may hear witnesses and hold meetings for consultation among its members at any place it deems appropriate, hav-ing regard to the circumstances of the arbitration.

(3) 1The arbitral tribunal may meet at any place it deems appropriate for the inspection of goods, other property or

documents. 2The parties shall be given sufficient notice to enable them to be present at such inspection.

(4) The award shall be made at the place of arbitration.

LANGUAGE

Article 17

(1) 1Subject to an agreement by the parties, the arbitral tribunal shall, promptly after its appointment, determine the

language or languages to be used in the proceedings. 2This determination shall apply to the statement of claim, the statement of defence, and any further written statements and, if oral hearings take place, to the language or lan-guages to be used in such hearings.

(2) The arbitral tribunal may order that any documents annexed to the statement of claim or statement of defence, and

any supplementary documents or exhibits submitted in the course of the proceedings, delivered in their original lan-guage, shall be accompanied by a translation into the language or languages agreed upon by the parties or deter-mined by the arbitral tribunal.

STATEMENT OF CLAIM

Article 18

(1) 1Unless the statement of claim was contained in the notice of arbitration, within a period of time to be determined by

the arbitral tribunal, the claimant shall communicate his statement of claim in writing to the respondent and to each of the arbitrators. 2A copy of the contract, and of the arbitration agreement if not contained in the contract, shall be annexed thereto.

(2) 1The statement of claim shall include the following particulars:

(a)The names and addresses of the parties;

(b) A statement of the facts supporting the claim;

(c) The points at issue;

(d)The relief or remedy sought.

2The claimant may annex to his statement of claim all documents he deems relevant or may add a reference to the documents or other evidence he will submit.

STATEMENT OF DEFENCE

Article 19

(1) Within a period of time to be determined by the arbitral tribunal, the respondent shall communicate his statement of

defence in writing to the claimant and to each of the arbitrators.

(2) 1The statement of defence shall reply to the particulars (b), (c) and (d) of the statement of claim (article 18, para-

graph 2). 2The respondent may annex to his statement the documents on which he relies for his defence or may add a reference to the documents or other evidence he will submit.

(3) In his statement of defence, or at a later stage in the arbitral proceedings if the arbitral tribunal decides that the de-

lay was justified under the circumstances, the respondent may make a counter-claim arising out of the same con-tract or rely on a claim arising out of the same contract for the purpose of a set-off.

(4) The provisions of article 18, paragraph 2, shall apply to a counter-claim and a claim relied on for the purpose of a

set-off.

AMENDMENTS TO THE CLAIM OR DEFENCE

Article 20

1During the course of the arbitral proceedings either party may amend or supplement his claim or defence unless the arbitral tribunal considers it inappropriate to allow such amendment having regard to the delay in making it or prejudice to the other party or any other circumstances. 2However, a claim may not be amended in such a manner that the amended claim falls outside the scope of the arbitration clause or separate arbitration agreement.

PLEAS AS TO THE JURISDICTION OF THE ARBITRAL TRIBUNAL

Article 21

(1) The arbitral tribunal shall have the power to rule on objections that it has no jurisdiction, including any objections

with respect to the existence or validity of the arbitration clause or of the separate arbitration agreement.

(2) 1The arbitral tribunal shall have the power to determine the existence or the validity of the contract of which an arbi-

tration clause forms a part. 2For the purposes of article 21, an arbitration clause which forms part of a contract and which provides for arbitration under these Rules shall be treated as an agreement independent of the other terms of the contract. 3A decision by the arbitral tribunal that the contract is null and void shall not entail ipso jure the invalid-ity of the arbitration clause.

(3) A plea that the arbitral tribunal does not have jurisdiction shall be raised not later than in the statement of defence

or, with respect to a counter-claim, in the reply to the counterclaim.

(4) 1In general, the arbitral tribunal should rule on a plea concerning its jurisdiction as a preliminary question. 2However,

the arbitral tribunal may proceed with the arbitration and rule on such a plea in their final award.

FURTHER WRITTEN STATEMENTS

Article 22

The arbitral tribunal shall decide which further written statements, in addition to the statement of claim and the state-ment of defence, shall be required from the parties or may be presented by them and shall fix the periods of time for communicating such statements.

PERIODS OF TIME

Article 23

1The periods of time fixed by the arbitral tribunal for the communication of written statements (including the statement of claim and statement of defence) should not exceed forty-five days. 2However, the arbitral tribunal may extend the time-limits if it concludes that an extension is justified.

EVIDENCE AND HEARINGS

Article 24

(1) Each party shall have the burden of proving the facts relied on to support his claim or defence.

(2) The arbitral tribunal may, if it considers it appropriate, require a party to deliver to the tribunal and to the other party,

within such a period of time as the arbitral tribunal shall decide, a summary of the documents and other evidence which that party intends to present in support of the facts in issue set out in his statement of claim or statement of defence.

(3) At any time during the arbitral proceedings the arbitral tribunal may require the parties to produce documents, ex-

hibits or other evidence within such a period of time as the tribunal shall determine.

Article 24a

The arbitral tribunal may decide the case solely on the basis of documents submitted by the parties unless any of the parties requests a hearing.

Article 25

(1) In the event of an oral hearing, the arbitral tribunal shall give the parties adequate advance notice of the date, time

and place thereof.

(2) If witnesses are to be heard, at least fifteen days before the hearing each party shall communicate to the arbitral

tribunal and to the other party the names and addresses of the witnesses he intends to present, the subject upon and the languages in which such witnesses will give their testimony.

(3) The arbitral tribunal shall make arrangements for the translation of oral statements made at a hearing and for a

record of the hearing if either is deemed necessary by the tribunal under the circumstances of the case, or if the parties have agreed thereto and have communicated such agreement to the tribunal at least fifteen days before the hearing.

(4) 1Hearings shall be held in camera unless the parties agree otherwise. 2The arbitral tribunal may require the retire-

ment of any witness or witnesses during the testimony of other witnesses. 3The arbitral tribunal is free to determine the manner in which witnesses are examined.

(5) Evidence of witnesses may also be presented in the form of written statements signed by them.

(6) The arbitral tribunal shall determine the admissibility, relevance, materiality and weight of the evidence offered.

INTERIM MEASURES OF PROTECTION

Article 26

(1) At the request of either party, the arbitral tribunal may take any interim measures it deems necessary in respect of

the subject-matter of the dispute, including measures for the conservation of the goods forming the subject-matter in dispute, such as ordering their deposit with a third person or the sale of perishable goods.

(2) Such interim measures may be established in the form of an interim award. The arbitral tribunal shall be entitled to

require security for the costs of such measures.

(3) A request for interim measures addressed by any party to a judicial authority shall not be deemed incompatible with

the agreement to arbitrate, or as a waiver of that agreement.

EXPERTS

Article 27

(1) 1The arbitral tribunal may appoint one or more experts to report to it, in writing, on specific issues to be determined

by the tribunal. 2A copy of the expert's terms of reference, established by the arbitral tribunal, shall be communi-cated to the parties.

(2) 1The parties shall give the expert any relevant information or produce for his inspection any relevant documents or

goods that he may require of them. 2Any dispute between a party and such expert as to the relevance of the re-quired information or production shall be referred to the arbitral tribunal for decision.

(3) 1Upon receipt of the expert's report, the arbitral tribunal shall communicate a copy of the report to the parties who

shall be given the opportunity to express, in writing, their opinion on the report. 2A party shall be entitled to examine any document on which the expert has relied in his report.

(4) 1At the request of either party the expert, after delivery of the report, may be heard at a hearing where the parties

shall have the opportunity to be present and to interrogate the expert. 2At this hearing either party may present ex-pert witnesses in order to testify on the points at issue. 3The provisions of article 25 shall be applicable to such pro-ceedings.

DEFAULT

Article 28

(1) 1If, within the period of time fixed by the arbitral tribunal, the claimant has failed to communicate his claim without

showing sufficient cause for such failure, the arbitral tribunal shall issue an order for the termination of the arbitral proceedings. 2If, within the period of time fixed by the arbitral tribunal, the respondent has failed to communicate his statement of defence without showing sufficient cause for such failure, the arbitral tribunal shall order that the pro-ceedings continue.

(2) If one of the parties, duly notified under these Rules, fails to appear at a hearing, without showing sufficient cause

for such failure, the arbitral tribunal may proceed with the arbitration.

(3) If one of the parties, duly invited to produce documentary evidence, fails to do so within the established period of

time, without showing sufficient cause for such failure, the arbitral tribunal may make the award on the evidence be-fore it.

CLOSURE OF HEARINGS

Article 29

(1) The arbitral tribunal may inquire of the parties if they have any further proof to offer or witnesses to be heard or

submissions to make and, if there are none, it may declare the hearings closed.

(2) The arbitral tribunal may, if it considers it necessary owing to exceptional circumstances, decide, on its own motion

or upon application of a party, to reopen the hearings at any time before the award is made.

WAIVER OF RULES

Article 30

A party who knows that any provision of, or requirement under, these Rules has not been complied with and yet pro-ceeds with the arbitration without promptly stating his objection to such non-compliance, shall be deemed to have waived his right to object.

SECTION IV: THE AWARD

DECISIONS

Article 31

(1) When there are three arbitrators, any award or other decision of the arbitral tribunal shall be made by a majority of

the arbitrators.

(2) In the case of questions of procedure, when there is no majority or when the arbitral tribunal so authorizes, the pre-

siding arbitrator may decide on his own, subject to revision, if any, by the arbitral tribunal.

Article 31a

(1) 1Unless otherwise agreed by the parties, the time limit within which the arbitral tribunal must render its final

award is nine months. 2Such time limit shall start to run from the date on which the Notice of Arbitration is received by the CEAC.

(2) The management of the CEAC may extend this time limit pursuant to a reasoned request from the arbitral

tribunal or on its own initiative if it decides this to be necessary.

FORM AND EFFECT OF THE AWARD

Article 32

(1) In addition to making a final award, the arbitral tribunal shall be entitled to make interim, interlocutory, or partial

awards.

(2) The award shall be made in writing and shall be final and binding on the parties. The parties undertake to carry out

the award without delay.

(3) The arbitral tribunal shall state the reasons upon which the award is based, unless the parties have agreed that no

reasons are to be given.

(4) 1An award shall be signed by the arbitrators and it shall contain the date on which and the place where the award

was made. 2Where there are three arbitrators and one of them fails to sign, the award shall state the reason for the absence of the signature.

(5) The award may be made public only with the consent of both parties.

(6) Copies of the award signed by the arbitrators shall be communicated to the parties by the arbitral tribunal.

(7) If the arbitration law of the country where the award is made requires that the award be filed or registered by the

arbitral tribunal, the tribunal shall comply with this requirement within the period of time required by law.

APPLICABLE LAW, AMIABLE COMPOSITEUR

Article 33

(1) 1The arbitral tribunal shall apply the law or rules of law designated by the parties as applicable to the sub-

stance of the dispute. 2The parties may wish to consider the use of this model clause with the following op-tion by marking one of the following boxes:

3This contract shall be governed by

a) the law of the jurisdiction of _______________ [country to be supplemented], or

b) the United Nations Convention on Contracts for the International Sale of Goods of 1980 (CISG) without

regard to any national reservation, supplemented for matters which are not governed by the CISG, by the UNIDROIT Principles of International Commercial Contracts and these supplemented by the other-wise applicable national law, or

c) the UNIDROIT Principles of International Commercial Contracts supplemented by the otherwise appli-

cable law.

4In the absence of any such agreement, the arbitral tribunal shall apply the rules of law which it determines to be appropriate.

(2) The arbitral tribunal shall decide as amiable compositeur or ex aequo et bono only if the parties have expressly

authorized the arbitral tribunal to do so and if the law applicable to the arbitral procedure permits such arbitration.

(3) In all cases, the arbitral tribunal shall decide in accordance with the terms of the contract and shall take into account

the usages of the trade applicable to the transaction.

SETTLEMENT OR OTHER GROUNDS FOR TERMINATION

Article 34

(1) 1If, before the award is made, the parties agree on a settlement of the dispute, the arbitral tribunal shall either issue

an order for the termination of the arbitral proceedings or, if requested by both parties and accepted by the tribunal, record the settlement in the form of an arbitral award on agreed terms. 2The arbitral tribunal is not obliged to give reasons for such an award.

(2) 1If, before the award is made, the continuation of the arbitral proceedings becomes unnecessary or impossible for

any reason not mentioned in paragraph 1, the arbitral tribunal shall inform the parties of its intention to issue an or-der for the termination of the proceedings. 2The arbitral tribunal shall have the power to issue such an order unless

a party raises justifiable grounds for objection.

(3) 1Copies of the order for termination of the arbitral proceedings or of the arbitral award on agreed terms, signed by

the arbitrators, shall be communicated by the arbitral tribunal to the parties and to the CEAC in Hamburg. 2Where an arbitral award on agreed terms is made, the provisions of article 32, paragraphs 2 and 4 to 7, shall apply.

INTERPRETATION OF THE AWARD

Article 35

(1) Within thirty days after the receipt of the award, either party, with notice to the other party, may request that the

arbitral tribunal give an interpretation of the award.

(2) 1The interpretation shall be given in writing within forty-five days after the receipt of the request. 2The interpretation

shall form part of the award and the provisions of article 32, paragraphs 2 to 7, shall apply.

CORRECTION OF THE AWARD

Article 36

(1) 1Within thirty days after the receipt of the award, either party, with notice to the other party, may request the arbitral

tribunal to correct in the award any errors in computation, any clerical or typographical errors, or any errors of simi-lar nature. 2The arbitral tribunal may within thirty days after the communication of the award make such corrections on its own initiative.

(2) Such corrections shall be in writing, and the provisions of article 32, paragraphs 2 to 7, shall apply.

ADDITIONAL AWARD

Article 37

(1) Within thirty days after the receipt of the award, either party, with notice to the other party, may request the arbitral

tribunal to make an additional award as to claims presented in the arbitral proceedings but omitted from the award.

(2) If the arbitral tribunal considers the request for an additional award to be justified and considers that the omission

can be rectified without any further hearings or evidence, it shall complete its award within sixty days after the re-ceipt of the request.

(3) When an additional award is made, the provisions of article 32, paragraphs 2 to 7, shall apply.

COSTS

Article 38

The arbitral tribunal shall state the costs of arbitration in its award according to the prior determination of costs by the management of the CEAC. The term "costs" includes only:

(a) The fees of the arbitral tribunal to be stated separately as to each arbitrator;

(b) The travel and other expenses incurred by the arbitrators;

(c) The costs of expert advice and of other assistance required by the arbitral tribunal;

(d) The travel and other expenses of witnesses to the extent such expenses are approved by the arbitral tribunal;

(e) The costs for legal representation and assistance of the successful party if such costs were claimed during the

arbitral proceedings, and only to the extent that the arbitral tribunal determines that the amount of such costs is reasonable;

(f) Any fees and expenses of the Chinese European Arbitration Centre.

Article 39

(1) 1Before rendering the final award, the arbitral tribunal shall request the management of the CEAC to finally

determine the costs of the arbitral proceedings. 2The fees of the arbitral tribunal and the CEAC shall be cal-culated according to the Schedule of Costs of the CEAC as in force at the time of commencement of the ar-bitral proceedings.

(2) If the arbitral proceedings are terminated before the final award is rendered, the management of the CEAC

shall finally determine the costs of the arbitral proceedings having regard to when the arbitral proceedings terminate, the work performed by the arbitral tribunal and other relevant circumstances.

(3) The parties are jointly and severally liable to the arbitrator(s) and the CEAC for the costs of the arbitral pro-

ceedings.

Article 40

(1) 1Except as provided in paragraph 2, the costs of arbitration shall in principle be borne by the unsuccessful party.

2However, the arbitral tribunal may apportion each of such costs between the parties if it determines that appor-tionment is reasonable, taking into account the circumstances of the case.

(2) With respect to the costs of legal representation and assistance referred to in article 38, paragraph (e), the arbitral

tribunal, taking into account the circumstances of the case, shall be free to determine which party shall bear such costs or may apportion such costs between the parties if it determines that apportionment is reasonable.

(3) When the arbitral tribunal issues an order for the termination of the arbitral proceedings or makes an award on

agreed terms, it shall fix the costs of arbitration referred to in article 38 and article 39, paragraph 1, in the text of that order or award.

(4) No additional fees may be charged by an arbitral tribunal for interpretation or correction or completion of its award

under articles 35 to 37.

DEPOSIT OF COSTS

Article 41

(1) Upon filing of the statement of claim by claimant, the management of the CEAC may request the parties to

deposit an amount as an advance for the costs referred to in article 38 and 39 of these Rules.

(2) 1Each party shall pay half of the advance on costs, unless separate advances are determined (e.g. in a

multi-party arbitration). 2Where counterclaims are submitted, the management of the CEAC may determine separate advances on costs for the claims and the counterclaims and each of the parties shall pay the ad-vances on costs corresponding to its claim. 3Upon request by the arbitral tribunal, the management of the CEAC may order the parties to pay additional advances during the course of the arbitral proceedings.

(3) 1If a party fails to make a required payment, the management of the CEAC shall give the other party an op-

portunity to do so within a specified period of time. 2If the required payment is not made within such period of time, the claim shall be deemed to be withdrawn. 3If the other party makes the required payment, the arbi-tral tribunal may, at the request of such party, render a separate award for reimbursement of the payment.

(4) At any stage during the arbitral proceedings or after the award has been rendered, the management of the

CEAC may draw on the advance on costs to cover the costs of the arbitral proceedings.

(5) The management of the CEAC may decide that part of the advance on costs shall be provided in the form of

a bank guarantee or other form of security.

(6) After the award has been issued, the management of the CEAC shall render to the parties an accounting of

the deposits received and return the balance, if any, to the parties.

SECTION V. FURTHER PROVISIONS

LIABILITY OF ARBITRATION TRIBUNAL, CEAC AND OTHERS

Article 42

1No arbitrator, employee or agent of an arbitrator shall be liable to any person for any act or omission in connection with an arbitration unless they are shown to have intentionally caused damage by conscious and deliberate wrongdoing. 2Similarily, the CEAC, its organs (Managers, Advisory Board) and employees are not liable with respect to any act or omission in connection with an arbitration unless they are shown to have intentionally caused damage by conscious and deliberate wrongdoing.

香港国际仲裁中心仲裁规则第48页起为中文

HONG KONG INTERNATIONAL ARBITRATION CENTRE ADMINISTERED ARBITRATION RULES Introduction These Rules have been adopted by the Council of the Hong Kong International Arbitration Centre (HKIAC) for use by parties who seek the formality and convenience of an administered arbitration. Application These Rules may be adopted in an arbitration agreement or by an agreement in writing at any time before or after a dispute has arisen. These Rules may be adopted for use in both domestic and international arbitral proceedings. Provisions regarding the scope of application of these Rules are set out in Article 1. Effectiveness These Rules have been adopted to take effect from 1 September 2008, in accordance with the provisions of Article 1 of the Rules. Suggested Clauses 1.The following model clause may be adopted by the parties to a contract who wish to have any future disputes referred to arbitration in accordance with these Rules: "Any dispute, controversy or claim arising out of or relating to this contract, including the validity, invalidity, breach or termination thereof, shall be settled by arbitration in Hong Kong under the Hong Kong International Arbitration Centre Administered Arbitration Rules in force when the Notice of Arbitration is submitted in accordance with these Rules. * The number of arbitrators shall be ... (one or three). The arbitration proceedings shall be conducted in .... (insert language)." * Optional 2

香港国际金融中心地位的形成发展及其启示

香港国际金融中心地位的形成、发展及其启示 陈万灵唐曦宁 2012-7-28 17:41:12 来源:《南方金融》2011年12期内容摘要:香港国际金融中心地位的形成和发展离不开高度开放、透明的经济体制和公平、自由的竞争市场环境。本文回顾了香港国际金融中心形成和发展的历程,总结了香港国际金融中心发展的主要经验,提出中国内地建设国际金融中心的对策建议,包括提高金融市场的自由度和透明度、实施对金融业的适度监管、充分利用经济腹地因素、加强国际交流合作、拓展国际市场等。 关键词:国际金融金融中心香港 作者简介:陈万灵(1964-),男,四川武胜人,博士,广东外语外贸大学国际经济贸易研究中心教授; 唐曦宁(1986-),女,广东清远人,广东外语外贸大学国际经济贸易研究中心硕士研究生。 香港现代金融业的发展起步于香港开埠。二战后,香港金融业先后经历了多次内外部冲击。通过不断摸索和完善,香港建立了一套自由、透明并受国际标准规管的成熟金融体系。而得益于有竞争性的金融制度、经济体系以及优越的地理位置,香港受到国际资本、机构以及客户的青睐,逐步成长为全球最重要的国际金融市场之一,奠定了国际金融中心的地位。香港建立国际金融中心的成功经验为内地发展金融业和建立国际金融中心提供了重要的经验借鉴。 一、香港国际金融中心的形成和发展 (一)香港金融业的起步 第一次鸦片战争以后,外资银行相继进入香港;同时保险业开始出现,并于19世纪末成立了首个证券交易市场。在二战期间香港金融业遭到了破坏。战后,香港经济经历了恢复、发展和转型,对外贸易得到了快速发展,催生了对融资和结算等与贸易相关的金融业务的需求。这一时期,港英政府采取的自由放任主义政策,推动香港金融业的发展。20世纪50年代至60年代,香港的商业银行由29家增加至73家。

说明书英文版

Instructions 1. Specifications for gears assembled The torch is equipped with the following 8 different gears: 2. Operation for switchover ● tail switch operation The tail switch is a button switch with the function of button-pressing for locking and unlocking, which is to realize the operation of internal switches through the metallic button’s delivering the pressing force in the following specific modes: ◆when the switch is off, if the metallic button is pressed hard, after it is released, the switch

will then be kept on, circuit connected with LED on. ◆when the switch is on, if the metallic button is pressed hard, after it is released, the switch will then be unlocked and kept off with LED accordingly off. ◆when the switch is on, if the metallic button is pressed gently, LED will be off immediately, but after the button is released, LED will then be on again, and the switch will then be kept on. This operation is defined as the “gentle pressing” that LED goes through momentary on-and-off as the metallic button is gently pressed and released. ●how to switch over If the torch is turned on for the first time, or turned on again after it is turned off for the first time and remains off or at least 2 seconds, the gear will then be automatically switched to the first gear in either case: “high light”. In the mode that the torch is kept on when LED is on, press the tail switch gently, and the torch will be switched to another gear. The 8 different gears assembled herein will be switched on by turns. Caution: if you have any problem with switchover before initial use, please contact relevant salespeople or the after-sale service department for more information. 3. Load batteries in the right way Unscrew the tail cover, put the batteries into the cabin with the positive electrode toward the torch head, and then screw the cover tight. If batteries are loaded in the wrong way, the torch won’t work due to circuit protection, but it will resume normal work after batteries are unloaded and reloaded in the right way. Caution: batteries with no-load voltage over 2V are not preferred in case the internal circuit suffers from damages. Only batteries with on-load voltage of or under 2V are recommended. Due to excellent discharging performance, NiMH batteries are strongly recommended here. Maintenance Four silicone rings are equipped, two in front of the middle pipe and two at the back, providing excellent water-proof performance. For daily use, the torch will continue normal work even if it is accidentally soaked in the water.

1998年国际商会仲裁规则

1998年国际商会仲裁规则 《1998年国际商会仲裁规则》(Rules of Arbitration of the International Chamber of Commerce,1998),是国际商会1998年在《1988年国际商会调解与仲裁规则》的基础上修订的。在《1988年国际商会调解与仲裁规则》中仲裁规则和调解规则是两个相对独立的规则,《1998年国际商会仲裁规则》对《1988年国际商会调解与仲裁规则》中的仲裁部分修订后,成为独立的仲裁规则,而调解规则在2001年修订后成为《国际商会友好争议解决规则》。 该规则共35条和3个附件。其主要内容包括:仲裁的性质;仲裁程序的开始;仲裁申请与答辩的要求;仲裁庭;管辖权;仲裁员的确定、回避和替换;仲裁程序及法律适用;裁决的作出;仲裁费用等。该规则明确规定,仲裁院的职责是根据规则以仲裁方式解决国际性商务争议;如果有仲裁协议的明确约定,还可以仲裁非国际性商务争议。仲裁院本身并不直接解决争议,而是由经仲裁院任命的或明确的仲裁员组成仲裁庭来解决。仲裁院下设秘书处,由秘书长领导,作为仲裁院的日常工作机构。在当事人不能通过协商任命仲裁员时,仲裁院可以确认和委任。 该规则规定,仲裁庭的管辖权由其自行决定。对于仲裁协议的存在、效力和范围的异议,仲裁庭如认为依表面证据即可认定,则可以决定仲裁程序继续进行。如果一方当事人拒绝参加或未能参加仲裁程序的任何阶段,仲裁程序将不受影响。仲裁协议的效力不受合同效力的影响。仲裁员应当保持独立性。当事人没有约定人数时,仲裁院将指定1名独任仲裁员审理案件。如果仲裁员认为争议应当由3名仲裁员审理,则当事人应该在收到通知书后15天内各提名1名仲裁员。在当事人未能提名时,仲裁院将代其委任1名仲裁员;第3名仲裁员由仲裁院委任,并担任首席仲裁员。 该规则特别规定,除非当事人另有约定,仲裁地由仲裁院决定。这样避免了关于仲裁地的争议。在适用该规则的情况下,如果当事人有约定,而规则没有规定,也可以适用约定的规则。在规则没有规定的情况下,仲裁庭可以自己确定规则,甚至援用国内法中的程序进行。不论适用什么法律,都应考虑合同的规定和有关的贸易惯例。国际商会仲裁院的最大特点是仲裁庭的裁决要经过仲裁院的批准。仲裁院不仅可以就裁决书的形式直接进行修改,还可以提请仲裁庭仲裁实体问题。在仲裁书形式经仲裁院批准前,仲裁庭不得作出裁决。仲裁庭应当在6个月作出裁决。当事人也可以要求并经仲裁庭同意,将双方和解的内容以和解裁决的形式录入裁决书。 国际商会仲裁规则 第一章导言 第一条国际仲裁院 (1)国际商会(商会)国际仲裁院(仲裁院)是附属于商会的仲裁机构。仲裁院的章程规定在附件 一。仲裁院的成员由商会理事会任命。仲裁院的职能是按照本规则以仲裁方式解决国际性的商事争议。如果仲裁协议授权,则仲裁院也按照本规则以仲裁方式解决非国际性的商事争议。 (2)仲裁院本身并不解决争议。其职责是确保适用本规则并制定内部规章(附件二)。

香港国际金融中心商场ifc

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