HKIAC對于受制裁國家及個(gè)人在仲裁程序中的政策

香港國際仲裁中心?商事仲裁研究?2023-06-05 21:18?發(fā)表于上海

HKIAC Policy on Proceedings Affected by Sanctions

Introduction and Scope of Application?

1.1 This Policy sets out HKIAC’s general practice in respect of proceedings under HKIAC’s auspices (“Proceedings”) which are affected by a sanctions regime or involve a sanctioned individual or entity.

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1.2 This Policy applies to Proceedings where:

any of the parties is listed under a sanctions regime; or

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any individual or entity that (i) directly or indirectly owns or controls a party; (ii) is directly or indirectly owned or controlled by a party; or (iii) is affiliated to a party in any other way, is listed under a sanctions regime; or

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the subject matter of the dispute falls within the scope of a sanctions regime; or

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an arbitrator, mediator, adjudicator, domain name panelist or HKIAC-appointed expert (

“neutral”

) is a national or resident of a country affected by a sanctions regime.

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General Provisions??

2.1. HKIAC’s provision of administrative services in Proceedings is subject to its compliance with the legal obligations that affect its ability to provide such services.?

2.2. This Policy does not affect the applicability of any sanctions regime on the activity of a sanctioned individual or entity in the Proceedings.

2.3. HKIAC does not treat any party listed under a sanctions regime differently from any other parties in the Proceedings.

2.4. HKIAC shall not be liable for (i) any breach of any sanctions regime by any party, counsel, neutral or any other participants in the Proceedings; or (ii) any failure of or delay in payment by HKIAC’s banks to any party or neutral.

2.5. HKIAC may interpret, supplement or amend this Policy as it considers appropriate.

2.6 This Policy may be used to supplement, regulate, and implement HKIAC rules for the purposes of facilitating its administration of Proceedings.

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Administrative Measures in Proceedings?

Obtaining Information

3.1. Following the commencement of the Proceedings, any party that is affected by a sanctions regime shall provide the following information:

a. the involvement of any party, individual, entity and/or subject matter referred to in paragraph 1.2(a)-(c) above and information regarding the relevant sanctions regime;

b. confirmation and explanation as to whether and how the sanctions regime may affect the ability of (i) HKIAC to provide administrative services in the Proceedings; (ii) any neutral to participate in the Proceedings; and (iii) any party to make payments in the Proceedings; and

c. any other information required by HKIAC.

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Constitution of the Tribunal

3.2 HKIAC may provide any information received under paragraph 3.1 above to a potential neutral to ascertain his or her ability to act in the Proceedings.

3.3 Where HKIAC is to appoint a neutral, it will either (i) seek to appoint an individual who is not a national or resident of a country that is affected by the sanctions regime if that is prohibitive to his or her so acting; or (ii) provide administrative assistance to a neutral in respect of applying for any necessary exemption to act in the Proceedings if required by the sanctions regime.?

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Banking Operations

3.4 HKIAC generally receives and makes payments in the Hong Kong Dollar.

3.5 Where sanctions affect Proceedings and may affect HKIAC’s banking operations, HKIAC may:

a. use or avoid a certain currency to facilitate payments;

b. provide case information to a bank where HKIAC’s role in the Proceedings triggers such a requirement or where HKIAC wishes to obtain information from the bank. Any information provided will be limited to what is strictly necessary.

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Other Administrative Matters

3.6 Where applicable, HKIAC will provide assistance to parties and neutrals in obtaining clearance from regulatory authorities if required by a sanctions regime as necessary during the Proceedings.

以下為有道中文翻譯，僅供參考。 香港國際仲裁中心有關(guān)受制裁影響的程序的政策 介紹及適用范圍 1.1本政策載列香港國際仲裁中心就受制裁制度影響或涉及受制裁個(gè)人或?qū)嶓w的仲裁程序(下稱“仲裁程序”)的一般做法。 ? 1.2本政策適用于以下情況的訴訟: 被列入制裁制度的任何當(dāng)事方;或 ? (i)直接或間接擁有或控制一方的任何個(gè)人或?qū)嶓w;(ii)由一方直接或間接擁有或控制;或(iii)以任何其他方式隸屬于一方，被列入制裁制度;或 ? 爭端的主題事項(xiàng)屬于制裁制度的范圍;或 ? 仲裁員、調(diào)解員、審裁員、域名專家組成員或香港國際仲裁中心委任的專家("中立")是受制裁制度影響的國家的國民或居民。 ? 一般規(guī)定 2.1. 香港國際仲裁中心在法律程序中提供行政服務(wù)，須遵守影響其提供行政服務(wù)能力的法律義務(wù)。 2.2. 本政策不影響任何制裁制度對程序中受制裁個(gè)人或?qū)嶓w的活動的適用性。 2.3. 香港國際仲裁中心不會區(qū)別對待任何被列入制裁制度的當(dāng)事方。 2.4. 香港國際仲裁中心對(i)任何訴訟當(dāng)事人、律師、中立人士或任何其他參與人違反任何制裁制度概不負(fù)責(zé);或(ii)香港國際仲裁中心的銀行未能或延遲向任何一方或中立人付款。 2.5. 香港國際仲裁中心可酌情解釋、補(bǔ)充或修訂本政策。 2.6本政策可用于補(bǔ)充、規(guī)范和實(shí)施香港國際仲裁中心的規(guī)則，以方便其對訴訟程序的管理。 ? 訴訟中的行政措施 獲取信息 3.1. 在程序開始后，受制裁制度影響的任何一方應(yīng)提供下列資料: a.上文第1.2(a)-(c)段所述任何當(dāng)事方、個(gè)人、實(shí)體和/或標(biāo)的物的參與情況，以及有關(guān)制裁制度的資料; b.確認(rèn)及解釋制裁制度是否及如何影響香港國際仲裁中心在程序中提供行政服務(wù)的能力;(ii)任何中立人士不得參與訴訟;以及(iii)在訴訟中支付款項(xiàng)的任何一方;和 c.香港國際機(jī)場中心要求提供的其他資料。 ? 審裁處的組成 3.2香港國際仲裁中心可將根據(jù)上述第3.1段收到的任何資料提供給潛在的中立人士，以確定他或她是否有能力在仲裁程序中行事。 3.3如香港國際仲裁中心擬委任中立人士，它會(i)尋求委任非受制裁制度影響國家的國民或居民的人士(如他或她不能如此行事);或(ii)在制裁制度要求的情況下，向中立者提供行政協(xié)助，以申請任何必要的豁免，以便在訴訟中行事。 ? 銀行業(yè)務(wù) 3.4香港國際仲裁中心一般以港元收取及支付款項(xiàng)。 3.5如制裁影響程序及可能影響香港國際仲裁中心的銀行業(yè)務(wù)，香港國際仲裁中心可: a.使用或避免使用某種貨幣以方便付款; b.如香港國際仲裁中心在訴訟程序中的角色需要向銀行提供案件資料，或香港國際仲裁中心希望向銀行提供資料。所提供的任何信息將僅限于絕對必要的信息。 ? 其他行政事項(xiàng) 3.6在適用的情況下，香港國際仲裁中心會協(xié)助當(dāng)事各方及中立人士在訴訟過程中，如有制裁制度要求，取得監(jiān)管當(dāng)局的批準(zhǔn)。