联合国独立保证与备用信用证公约.docx

1、联合国独立保证与备用信用证公约联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；

2、(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 undertaking 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 priva

3、te 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 Conv

4、ention. (3) The provisions of articles 21 and 22 apply to international undertakings 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

5、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. Underta

6、king (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 determina

7、ble amount 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 is due because of a default in the performance of an obligation, or because of ano

8、ther contingency, 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

9、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 stipulated in the undertaking to be made in any form, including: (a) Pa

10、yment in a specified currency or unit of account; (b) Acceptance of a bill of exchange (draft); (c) Payment on a deferred basis; (d) Supply of a specified item of value. (4) The undertaking may stipulate that the guarantor/issuer itself is the beneficiary when acting in favour of another person. 第3条

11、 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 guar

12、antor/issuers obligation to the beneficiary is not: (a) Dependent upon the existence or validity of any underlying transaction, or upon any other undertaking (including stand-by letters of credit or independent guarantees to which confirmations or counter-guarantees relate); or (b) Subject to any te

13、rm 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/issuers 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

14、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/issu

15、er, 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 t

16、he undertaking does not specify a place of business for a given person but specifies its habitual residence, that residence is relevant for determining the international character of the undertaking. 第二章 解释CHAPTER II. INTERPRETATION 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。Arti

17、cle 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 c

18、redit. 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

19、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 a

20、nd confirmation 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

21、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 i

22、ssuing a counter-guarantee; (e) Confirmation of an undertaking means an undertaking added to that of the guarantor/issuer, and authorized by the guarantor/issuer, providing the beneficiary with the option of demanding payment from the confirmer instead of from the guarantor/issuer, upon simple deman

23、d or upon demand accompanied by other documents, in conformity with the terms and any documentary conditions of the confirmed undertaking, without prejudice to the beneficiarys right to demand payment from the guarantor/issuer; (f) Confirmer means the person adding a confirmation to an undertaking;

24、(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，

25、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 com

26、plete record of the text of the undertaking and provides authentication 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

27、and conditions of the undertaking, unless the undertaking stipulates 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；

28、(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. Amendment (1) An undertaking may not be amended except in the form stipulated in the undertaking or, failing such stipulation, in a form referred to

29、 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 previously been authorized by the beneficiary.(3) Unless otherwise stipula

30、ted 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 r

31、eferred 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

32、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 beneficiarys right to demand payment (1) The beneficiarys 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 specifying whe