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段汉麟、潘丹丹:香港仲裁中的盘外招之——临时措施

发布日期:2021-04-28
段汉麟
北京德和衡(深圳)律师事务所律师


潘丹丹
德和衡简家骢永本金月(前海)联营所律师


引  言




Introduction


随着中国“一带一路”合作战略的不断推进和深化,基于不同国家和地区之间法律文化的差异及避免不同司法区域内法律冲突的考量,越来越多的中国企业在与境外企业的商业合作中开始选择国际仲裁作为争端解决的方式。其中,香港凭借着其特有的政治和地理区位优势,健全完善的国际仲裁法律制度和组织机构,英美法系的法律规则体系和文化背景,以及较为完善的内地与香港司法协助和执行制度,吸引着大量中外企业选择其作为跨境商业合作争议解决的仲裁地。然而,国际仲裁程序相对于国内仲裁程序更加繁琐和复杂,相应的时间和经济成本较为高昂,同时涉及到裁决跨司法区域的承认(认可)和执行,为了促成案件和解或者保障裁决能够最终得以执行等目的,在国际仲裁中临时措施程序的使用也愈发频繁和广泛,并且往往能够实现事半功倍的效果。在香港仲裁案件中,了解并适时运用临时措施,对于维护一方当事人的合法权益、保障仲裁程序的有效进行和确保最终的裁决结果得以执行极为重要。本文将结合本团队在香港仲裁案件中的实践经验,从以下几个方面对香港仲裁临时措施程序进行简要分析。


With the continuous advancement and deepening of China's "the belt and road initiative" cooperation strategy, based on the differences in legal culture between different countries and regions and the consideration of avoiding legal conflicts in different judicial regions, more and more Chinese enterprises began to choose international arbitration as the way of dispute settlement in their commercial cooperation with overseas enterprises. Among them, Hong Kong attracts a large number of Chinese and foreign enterprises to choose it as the arbitration venue for cross-border business dispute resolution, by virtue of its unique political and geographical advantages, sound international arbitration legal system and institutions, legal system and cultural background of common law system, and relatively advanced judicial assistance and enforcement system between the mainland and Hong Kong. However, compared with domestic arbitration procedures, international arbitration procedures are more cumbersome and complex, and the corresponding time and economic costs are relatively high. At the same time, it involves the recognition and enforcement of awards across judicial regions. In order to promote the settlement of cases or guarantee the final enforcement of awards, the use of interim measures in international arbitration is becoming more frequent and extensive, and it can often achieve twice the result with half the effort. In Hong Kong arbitration cases, it is very important to grasp and apply interim measures in time for safeguarding the rights and interests of one party, ensuring the effective conduct of arbitration proceedings and the implementation of the final award. Based on the practical experience of our team in Hong Kong arbitration cases, this essay will make a brief analysis of the interim measures procedures in Hong Kong arbitration from the following aspects.


一、香港仲裁临时措施的类型





I. Types of Interim Measures for Arbitration in Hong Kong


在香港仲裁案件中,临时措施是经一方当事人申请,仲裁庭在最终解决争议的裁决作出前暂时指令一方作为或不作为的临时指令或裁决。根据香港《仲裁条例》第35条的规定,临时措施主要有以下四类:


In Hong Kong arbitration cases, interim measures refer to temporary orders or rulings that the arbitral tribunal temporarily instructs one party to act or not to act before the final award of disputes is made upon the application of one party. According to Article 35 of the Arbitration Ordinance of Hong Kong, interim measures mainly fall into the following four categories:






(a)在争议解决前维持或恢复现状;或

(a) Maintain or restore the status quo pending determination of the dispute;


(b) 采取措施以阻止现时的或临近的、对仲裁程序本身的伤害或损害发生,或克制而不为可能导致这类伤害或损害的行为;或

(b) Take action that would prevent, or refrain from taking action that is likely to cause, current or imminent harm or prejudice to the arbitral process itself;


(c) 保全财产,以确保可据以执行随后作出的裁决;或

(c) Provide a means of preserving assets out of which a subsequent award may be satisfied; or


(d) 保全与解决争议相关的重要证据。

(d) Preserve evidence that may be relevant and material to the resolution of the dispute.




可见,香港仲裁中的临时措施包括行为禁令措施、财产保全措施和证据保全措施等。


Therefore, the interim measures in Hong Kong arbitration include injunctions, property preservation measures and evidence preservation measures, etc.


实践中,请求人的合法权益可能会受到来自第三方的侵害,由于仲裁协议的相对性,仲裁庭不能授予针对案件当事人以外的第三方的临时措施,此点极大地限制了临时措施的效用。在这一点上,向香港法院申请临时措施更具优越性,已有成功的案例确认香港法院可以协助仲裁授予charbra injunction,针对的对象可以包括案件当事人以外的第三方。


In practice, the rights and interests of the requesting party may be infringed by a third party. Because of the relativity of the arbitration agreement, the arbitral tribunal cannot issue temporary measures against third parties other than the parties to the case, which greatly limits the effectiveness of temporary measures. In this regard, it is more advantageous to apply to Hong Kong courts for temporary measures. Successful cases have confirmed that Hong Kong courts can assist in arbitration to award charbra injunction, and the target can include third parties other than the parties to the case.


二、临时措施申请时间





II. the Requesting Time of Temporary Measures


鉴于临时措施的紧迫性特征,临时措施通常会在第一次案件管理会议上提出。若情况紧急,甚至可在仲裁庭组成之前提出,届时会由仲裁机构适用紧急仲裁程序指定一位临时的紧急仲裁员审理是否授予临时措施。


In view of the urgency of interim measures, interim measures are usually put forward at the first Case Management Conference(“CMC”). If in emergency, it can even be raised before the formation of the arbitration tribunal. Then the arbitration institution will apply the emergency arbitration procedure to appoint a temporary emergency arbitrator to hear whether to issue the interim measures.


请求方若想成功获得临时措施,需证明所涉事项无法等待至争议最终裁决的作出之后解决。换言之,需证明禁令所涉事项的紧迫性。因此,临时措施请求方应在仲裁程序启动后尽早提出申请。临时措施程序中,被请求方一方常见的抗辩点之一便是申请临时措施的时间,如果请求方无合理理由未在仲裁程序较早的环节,比如收到仲裁申请书或者进行答辩、答复时提出,请求方关于紧迫性的主张便难以成立,不利于获得仲裁庭认可。


If the requesting party wants to successfully obtain the grant of interim measures, he/she needs to prove that the settlement of the matters involved cannot wait until the final ruling of the dispute is made. In other words, it is necessary to prove the urgency of the matter involved. Therefore, the requesting party for temporary measures should request as early as possible after the arbitration procedure is initiated. In the procedure of interim measures, one of the common defenses of the opposing party is the time of requesting. If the requesting party fails to request it at an early stage of the arbitration procedure without reasonable cause, such as after receiving the application for arbitration or in its defense or reply, the requesting party's claim on urgency will be difficult to establish, which is not conducive to obtaining the grant of the arbitration tribunal.


然而,目前在实践中并不是存在延误就完全丧失获得临时措施的可能,关键是判断请求方的延误是否会导致授予临时变得不公平不合理、影响另一方当事人的权益以及是否属于对临时措施程序的滥用。


However, at present, delay does not mean absolutely no chance of obtaining the interim measures in practice. The key is to judge whether the requesting party's delay will lead to unfair and unreasonable granting of the interim measures, affect the other party's interests (cause prejudice) and whether it is an abuse of the interim measures procedure.


三、授予临时措施的条件





III. the Conditions for Granting the Interim Measures


通常,请求方应以书面的方式明确说明所申请的临时措施是什么,所寻求保护的权利为何,以及相关的案情信息。仲裁庭在审查临时措施申请时,首先会考虑根据仲裁协议以及相关的法律法规,仲裁庭是否有权审理与临时措施相关的争议,及是否有权就临时措施申请作出相应的裁决。


Usually, the requesting party should clearly state in writing what the requested interim measures are, what the rights are sought to protect, and the relevant case background. When examining the request for interim measures, the arbitral tribunal will first consider whether the arbitral tribunal has the jurisdiction to hear disputes related to interim measures and make corresponding decisions on the interim measures according to the arbitration agreement and relevant laws and regulations.


根据香港《仲裁条例》第 35、36条 (其内容直接援引《联合国国际贸易法委员会国际商业仲裁示范法》(UNCITRAL Rules)第17 、17A条),在香港仲裁案件中,仲裁庭有权审理并授予临时措施。


According to Articles 35 and 36 of the Arbitration Ordinance of Hong Kong (which directly refer to Articles 17 and 17A of UNCITRAL Rules), in Hong Kong arbitration cases, the arbitral tribunal has the jurisdiction to hear and grant interim measures.


除了管辖权之外,仲裁庭授予临时措施的条件主要有以下三点:


In addition to jurisdiction, the conditions for the arbitral tribunal to grant interim measures mainly include the following three points:






(a)不下令采取临时措施可能造成损害,这种损害无法通过最终裁决判令损害赔偿金的方式得到充分补偿;

(a) Harm not adequately reparable by an award of damages is likely to result if the measure is not ordered; and


(b)不授予临时措施所导致请求方受到的损害会远远大于准予采取这种措施而可能对措施所针对的当事人造成的损害;

(b) Such harm substantially outweighs the harm that is likely to result to the party against whom the measure is directed if the measure is granted;


(c)根据索赔请求所依据的案情,请求方有胜诉的较大可能性。

(c) There is a reasonable possibility that the requesting party will succeed on the merits of the claim.



也即Risk of irreparable harm、Proportionality、Prima facie establishment of case on the merits。此为一般的国际仲裁临时措施规则,得到了许多国家的法律认可,并被吸收进UNCITRAL Rules中。


That is, Risk of irreparable harm、Proportionality、Prima facie establishment of case on the merits. This is a general rule for interim measures in international arbitration, which has been legally recognized by many countries and absorbed into UNCITRAL Rules.


其中,比较值得关注的是第三项条件,即仲裁庭对于请求方胜诉可能性的判断。临时措施的申请一般都是在案件程序较为早期的阶段,此时双方往往还未进行充分的举证和抗辩,仲裁庭对于是否授予临时措施通常较为谨慎,因此在香港法下虽然提供担保不是仲裁庭授予临时措施的必要条件,但是仲裁庭通常会要求请求方提供相应担保。同时,若请求方的主张及提供的证据无法使得案件胜诉可能性达到较为明显和确信的程度,仲裁庭可能不会授予临时措施,或者决定在双方进行充分举证和抗辩之后再行决定是否授予。由此可见,虽然香港国际仲裁中心《机构仲裁规则》(2018)第23.4条规定“…但对此概率的判断不应影响仲裁庭此后作任何决定时的裁量”,但是实践中,若能够有效利用临时措施程序并取得仲裁庭的支持,此时双方对案件最终结果会有较为明确的预判,可以对被请求方一方施加有效的影响,达到促成案件尽早和解的目的,这也是在香港仲裁程序中向仲裁庭申请临时措施的重要意义所在。


Among them, the third point is worthy of attention, that is, the arbitral tribunal's judgment on the possibility of the requesting party’s winning the case. The request for interim measures is generally at the early stage of the case procedure, at which time both parties have not yet fully proved and defended. Although security is not a necessary prerequisite under Hong Kong law, the arbitral tribunal will usually require the requesting party to provide. Meanwhile if the requesting party's claim and the evidence provided cannot make a prima facie of the case, the arbitral tribunal may not grant the interim measures, or decide to make rulings after both parties have fully proved and defended. Although article 23.4 of the 2018 Administered Arbitration Rules of Hong Kong International Arbitration Center stipulates that "…The determination on this possibility shall not affect the discretion of the arbitral tribunal in making any subsequent determination", in practice, if the interim measures can be effectively utilized and the interim measures is granted, both parties will have a relatively clear prediction of the final result of the case, so it can exert effective influence on the opposing party to promote the early settlement of the case. This is why it is of great significance to apply to the arbitral tribunal for a temporary measure in the arbitration proceedings in Hong Kong.


同时,临时措施的可执行性以及有效性、当事人是否基于善意提出临时措施申请等,也是仲裁庭考虑的因素。


Also, the enforceability and effectiveness of interim measures, whether the parties requested for interim measures in good faith, etc. are also factors considered by the arbitral tribunal.


四、临时措施的执行





IV. Enforcement of Interim measures


香港仲裁程序中,仲裁庭无权直接执行其授予的临时措施,而须交由执行地法院执行。实践中,香港仲裁案件的执行地大多是香港法院或者内地法院。香港法院可依据香港《仲裁条例》的有关规定执行仲裁临时措施。内地法院则根据最高院《关于内地与香港特别行政区相互执行仲裁裁决的安排》(“裁决安排”),不属于裁决安排第7条规定的情形的,香港仲裁裁决可以在内地法院执行,但其中的仲裁裁决是否包括临时措施的裁决存在争议,有待规则的进一步明确和完善。


In Hong Kong arbitration proceedings, the arbitral tribunal has no right to directly enforce the interim measures granted by it, and the order or award must be submitted to the court of the place of enforcement. In practice, most arbitration cases in Hong Kong are executed in Hong Kong courts or mainland courts. Hong Kong courts can enforce the interim measures in accordance with the relevant provisions of the Arbitration Ordinance of Hong Kong. While mainland courts will enforce Hong Kong arbitration awards if they do not fall under the circumstances stipulated in Article 7 of the arbitral award arrangement according to the Supreme Court's Arrangement on Mutual Enforcement of Arbitration Awards between the Mainland and Hong Kong Special Administrative Region ("the arbitral award arrangement"). However, whether the arbitral award includes the interim measures is controversial, which needs further clarification and improvement of the rules.


除了向审理案件的仲裁庭提出临时措施申请外,根据最高院《关于内地与香港特别行政区法院就仲裁程序相互协助保全的安排》(“保全安排”),中国内地法院可以向香港仲裁当事人提供临时措施协助。香港仲裁程序的当事人在最终仲裁裁决作出前,可以参照《中华人民共和国民事诉讼法》、《中华人民共和国仲裁法》以及相关司法解释的规定,向被申请人住所地、财产所在地或者证据所在地的内地中级人民法院申请保全。此时内地中级人民法院作出保全裁定的审理依据为内地的相关法律法规。根据香港国际仲裁中心(HKIAC)的最新统计,截止目前HKIAC已受理37例向中国内地法院提起的仲裁保全申请,其中23例申请由申请人直接向中级人民法院提交,14例系HKIAC应请求方请求向中级人民法院转递,已有24例保全申请获内地中级人民法院裁定,其中22例财产保全申请在请求方提供担保后裁定获准,2例驳回。保全总金额约为100亿人民币。[1]


In addition to requesting interim measures to the arbitral tribunal of the case, according to the Hong Kong-Mainland Arrangement on Interim Measures (“Arrangement”), the courts in mainland can provide assistance for interim measures to arbitration parties in Hong Kong. Before the final arbitration award is made, the parties to the arbitration proceedings in Hong Kong may refer to the Civil Procedure Law of the People's Republic of China, the Arbitration Law of the People's Republic of China and relevant judicial interpretations to apply to the Intermediate People's Court of PRC (“IPCs”) where the respondent has his domicile, property or evidence. At this time, the trial basis for the preservation ruling made by the IPCs is the relevant laws and regulations of the PRC. According to the latest statistics of the Hong Kong International Arbitration Center (HKIAC), to date, HKIAC has processed 37 applications made to the PRC courts for interim measures, among which 23 applications were submitted to the IPCs by the requesting party directly and 14 were submitted by HKIAC to the IPCs upon their request. Of the 24 decisions ruled by IPCs, 22 granted the applications for preservation of assets upon the requesting party’s provision of security and two rejected such applications. The total value of assets preserved amounts to RMB 10 billion.


结  语





Conclusion


香港仲裁程序中合理运用临时措施,不仅可以针对正在进行的权利侵害、可能的财产转移行为或损毁证据行为等情形发生时有效维护一方当事人的合法权益,而且更重要的是能够对临时措施被申请人方施加有效的压力和影响,促使案件能够达成有利于临时措施申请人方的预期效果,节约大量的时间和经济成本,保障案件得到充分执行,实现事半功倍的效果。


The rational use of interim measures in Hong Kong arbitration proceedings can not only effectively safeguard the legitimate rights and interests of one party from the ongoing infringement of rights, potential property transfer or destroying evidence, but also exert effective pressure and influence on the opposing party, so as to promote the case to achieve the expected effect of the requesting party. It can also save a lot of time and economic costs, ensure the case to be fully executed and then twice as much can be accomplished with half the effort.


注释

[1]参见:香港国际仲裁中心2020年度统计报告,https://www.hkiac.org/zh-hans/news/hkiac-releases-statistics-2020





作者简介

段汉麟

北京德和衡(深圳)律师事务所律师

段汉麟律师先后毕业于南开大学和澳门大学,获法学学士和法学硕士学位,中国执业律师。


手机13670218825; 

邮箱:duanhanlin@deheng.com

潘丹丹

德和衡简家骢永本金月(前海)联营所律师

潘丹丹律师是中国执业律师、美国纽约州执业律师,华东政法大学法学学士、美国威斯康星大学麦迪逊分校法学硕士。


手机:13392802396;

邮箱:pandandan@deheng.com


团队简介

潘丹丹和段汉麟律师团队的主要专业领域为争议解决与国际仲裁,工作语言为中文、英文。在国际仲裁领域,该团队曾办理过适用巴黎国际商会仲裁院、香港国际仲裁中心等机构仲裁规则的国际商事争议案件、以及适用《联合国国际贸易法委员会仲裁规则》的临时仲裁案件。此外该团队处理过多起在国内各级法院和仲裁机构进行的各类民商事案件,并为外资、外贸、房地产等各类型的企业提供常年法律顾问服务。


质控人简介

唐志峰

高级合伙人

海外业务中心执行总监

tangzhifeng@deheng.com



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