HKIAC对于受制裁国家及个人在仲裁程序中的政策

HKIAC对于受制裁国家及个人在仲裁程序中的政策

香港国际仲裁中心 商事仲裁研究 2023-06-05 21:18 发表于上海

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.

1.2 This Policy applies to Proceedings where:

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

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

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

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.

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.

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.

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. 

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.

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.

以下为有道中文翻译，仅供参考。 香港国际仲裁中心有关受制裁影响的程序的政策 介绍及适用范围 1.1本政策载列香港国际仲裁中心就受制裁制度影响或涉及受制裁个人或实体的仲裁程序(下称“仲裁程序”)的一般做法。   1.2本政策适用于以下情况的诉讼: 被列入制裁制度的任何当事方;或   (i)直接或间接拥有或控制一方的任何个人或实体;(ii)由一方直接或间接拥有或控制;或(iii)以任何其他方式隶属于一方，被列入制裁制度;或   争端的主题事项属于制裁制度的范围;或   仲裁员、调解员、审裁员、域名专家组成员或香港国际仲裁中心委任的专家("中立")是受制裁制度影响的国家的国民或居民。   一般规定 2.1. 香港国际仲裁中心在法律程序中提供行政服务，须遵守影响其提供行政服务能力的法律义务。 2.2. 本政策不影响任何制裁制度对程序中受制裁个人或实体的活动的适用性。 2.3. 香港国际仲裁中心不会区别对待任何被列入制裁制度的当事方。 2.4. 香港国际仲裁中心对(i)任何诉讼当事人、律师、中立人士或任何其他参与人违反任何制裁制度概不负责;或(ii)香港国际仲裁中心的银行未能或延迟向任何一方或中立人付款。 2.5. 香港国际仲裁中心可酌情解释、补充或修订本政策。 2.6本政策可用于补充、规范和实施香港国际仲裁中心的规则，以方便其对诉讼程序的管理。   诉讼中的行政措施 获取信息 3.1. 在程序开始后，受制裁制度影响的任何一方应提供下列资料: a.上文第1.2(a)-(c)段所述任何当事方、个人、实体和/或标的物的参与情况，以及有关制裁制度的资料; b.确认及解释制裁制度是否及如何影响香港国际仲裁中心在程序中提供行政服务的能力;(ii)任何中立人士不得参与诉讼;以及(iii)在诉讼中支付款项的任何一方;和 c.香港国际机场中心要求提供的其他资料。   审裁处的组成 3.2香港国际仲裁中心可将根据上述第3.1段收到的任何资料提供给潜在的中立人士，以确定他或她是否有能力在仲裁程序中行事。 3.3如香港国际仲裁中心拟委任中立人士，它会(i)寻求委任非受制裁制度影响国家的国民或居民的人士(如他或她不能如此行事);或(ii)在制裁制度要求的情况下，向中立者提供行政协助，以申请任何必要的豁免，以便在诉讼中行事。   银行业务 3.4香港国际仲裁中心一般以港元收取及支付款项。 3.5如制裁影响程序及可能影响香港国际仲裁中心的银行业务，香港国际仲裁中心可: a.使用或避免使用某种货币以方便付款; b.如香港国际仲裁中心在诉讼程序中的角色需要向银行提供案件资料，或香港国际仲裁中心希望向银行提供资料。所提供的任何信息将仅限于绝对必要的信息。   其他行政事项 3.6在适用的情况下，香港国际仲裁中心会协助当事各方及中立人士在诉讼过程中，如有制裁制度要求，取得监管当局的批准。