國際融資租賃公約.doc

Unidroit Convention onInternational financial leasing國際統(tǒng)一私法協(xié)會國際融資租賃公約The states parties to this convention, recognizing the importance of removing certain legal impediments to the international financial leasing of equipment, while maintaining a fair balance of interests between the different parties to the transaction, aware of the need to make international financial leasing more available, conscious of the fact that the rules of law governing the traditional contract of hire need to be adapted to the distinctive triangular relationship created by the financial leasing transaction, recognizing therefore the desirability of formulating certain uniform rules relating primarily to the civil and commercial law aspects of international financial leasing, have agreed as follows:本公約各當(dāng)事國，認(rèn)識到在保持國際融資租賃交易各方的公正平衡的同時，消除對設(shè)備國際融資租賃的某些法律障礙的重要性，意識到使國際融資租賃得以更多地使用的需要，意識到管轄著傳統(tǒng)的租借合同的那些法規(guī)需要適應(yīng)于融資租賃交易所造成的特有的三邊關(guān)系這一事實，因而認(rèn)識到有必要制訂出某些主要與國際融資租賃的民法和商法方面有關(guān)的統(tǒng)一規(guī)則，茲協(xié)議如下：CHAPTER I - SPHERE OF APPLICATION AND GENERAL PROVISIONS第一章 適用范圍和總則Article 11. This convention governs a financial leasing transaction as described in paragraph 2 in which one party (the lessor),a. on the specifications of another party (the lessee), enters into an agreement (the supply agreement) with a third party (the supplier) under which the lessor acquires plants, capital goods or other equipment (the equipment) on terms approved by the lessee so far as they concern its interests, andb. enters into an agreement (the leasing agreement) with the lessee, granting to the lessee the right to use the equipment in return for payment of rentals.2. The financial leasing transaction referred to the previous paragraph is a transaction which includes the following characteristics:a. the lessee specifies the equipment and selects the supplier without relying primarily on the skill and the judgment of the lessors;b. the equipment is acquired by the lessor in connection with a leasing agreement which, to the knowledge of the supplier, either has been made or is to be made between the lessor and the lessee; andc. the rentals payable under the leasing agreement are calculated so as to take into account in particular the amortization of whole or a substantial part of the cost of the equipment.3. This Convention applies whether or not the lessee has or subsequently acquires the option to buy the equipment or to hold it on lease for a further period, and whether or not for a nominal price or rental.4. This Convention applies to financial leasing transactions in relation to all equipment save that which is to be used primarily for the lessee personal, family or household purpose.第一條 1 本公約管轄第2款所指的融資租賃交易，其中，一方（出租人），a. 按照另一方（承租人）的規(guī)格要求同某個第三方（供貨人）訂立一項協(xié)議。根據(jù)該協(xié)議，出租人按承租人就涉及其利益的部分所認(rèn)可的條件取得成套設(shè)備、資本貨物或其它設(shè)備（設(shè)備），并且，b. 同承租人訂立一項協(xié)議（租賃協(xié)議），以承租人支付租金為條件，授予承租人使用設(shè)備的權(quán)利。2 前款所指的融資租賃交易是一種包括以下特點(diǎn)的交易：a. 承租人指定設(shè)備和選擇供貨人，并且不主要地依賴出租人的技能和判斷；b. 出租人之取得設(shè)備是同某一租賃協(xié)議相關(guān)聯(lián)的，并且供貨人知悉該協(xié)議已經(jīng)或必將在出租人和承租人之間訂立，以及c. 該租賃協(xié)議項下應(yīng)付租金的計算是特別考慮了攤提設(shè)備的全部或大部分成本的。3 無論承租人是否已有或隨后取得購買該設(shè)備或憑另一租期的租賃協(xié)議占有該設(shè)備的任擇權(quán)，也無論是支付名義貨價還是支付租金，本公約均適用。4 本公約適用于涉及所有的設(shè)備的融資租賃交易，除非該設(shè)備將主要供承租人個人。家人或家庭使用。Article 2In the case of one or more sub-leasing transactions involving the same equipment, this Convention applies to each transaction which is a financial leasing transaction and is otherwise subject to this Convention as if the person from whom the first lessor (as defined in paragraph 1 of the previous article) acquired the equipment were the supplier and as if the agreement under which the equipment was so acquired were the supply agreement.第二條在涉及同一設(shè)備的一次或多次轉(zhuǎn)租賃交易的情況下，本公約適用于每筆是融資租賃交易因而本應(yīng)受本公約管轄的交易，如同（前條第1款所規(guī)定的）向第一出租人提供設(shè)備的是供貨人和據(jù)以取得設(shè)備的協(xié)議是供貨協(xié)議那樣。Article 31. This Convention applies when the lessor and the lessee have their places of business in different States and:a. Those States and the State in which the supplier has its place of business are Contracting States;b. Both the supply agreement and the leasing agreement are governed by the law of a Contracting State.2.A reference in this Convention to a partys place of business shall, if it has more than one place of business, mean the place of business which has the closest relationship to the relevant agreement and its performance having regard to the circumstance known to or contemplated by the parties at any time before or at the conclusion of that agreement.第三條1 本公約適用于出租人和承租人的營業(yè)地在不同的國家以及：a. 這些國家及供貨人有其營業(yè)地的國家是締約國；b. 供貨協(xié)議和租賃協(xié)議均受某一締約國的法律管轄。2 本公約所指的某一方的營業(yè)地，若是其有一個以上的營業(yè)地時，系指同相關(guān)協(xié)議及其履行關(guān)系最密切的那個營業(yè)地，但應(yīng)顧及各方在訂立該協(xié)議前任何時候或在訂立協(xié)議時已知或已設(shè)想到的情況。Article 41. The provisions of this Convention shall not cease to apply merely because the equipment has become a fixture to or incorporated to land.2. Any question whether or not the equipment has become a fixture to or incorporated to land, and if so the effect on the rights inter se of the lessor and a person having real rights in the land, shall be determined by the law of the State where the land is situated.第四條1 本公約的條款不得純粹由于設(shè)備已成為土地的附著物或已嵌入土地內(nèi)而終止適用。2 任何關(guān)于該設(shè)備是否已成為土地的附著物或已嵌入土地內(nèi)的問題以及如果該設(shè)備已成為土地的附著物或已嵌入土地內(nèi)時其對出租人以及對享有該土地的物權(quán)的人之間的權(quán)利的影響，應(yīng)由該土地所在國的法律確定。Article 51. The application of this Convention may be exclude only if each of the parties of the supply agreement and each of the parties of the leasing agreement agree to exclude it.2. Where the application of this Convention has not been excluded in accordance with the previous paragraph, the parties may in their relations with each other, derogete from or vary the effect of any of its provisions except as stated in Article 8(3) and 13(3)(b) and (4). 第五條1 除非供貨協(xié)議的每一方和租賃協(xié)議的每一方都同意排除本公約的適用，本公約才可排除適用。2 凡本公約的適用未按前款排除者，各方在其相互關(guān)系中可以減損或改變其任何條款的效力，但第八條第3款和第十三條第3（b）款和第4款除外。Article 61. In the interpretation of this Convention, regard is to be had to its subject and purpose as set forth in the preamble, to its international character and to the need to promote uniformity to its application and the observance to the good faith in international trade.2. Questions concerning matters governed by this Convention which are not expressly settled in it are to be settled in conformity with the general principle on which it is based or, in the absence of such principles, in conformity with the law applicable by virtue of the rules of private international law.第六條1 在解釋本公約時，應(yīng)顧及前言中所申明的本公約的目標(biāo)和宗旨，顧及其國際性質(zhì)以及顧及促進(jìn)其適用時的一致性和在國際貿(mào)易中遵守誠信的需要。2 涉及到由本公約管轄的事宜而未在本公約中明確解決的問題，應(yīng)按照本公約所依據(jù)的總原則來解決，或是在沒有這種總原則時，應(yīng)按照國際私法規(guī)則所確定的適用法律來解決。CHAPTER II - RIGHTS AND DUTIES OF THE PARTIES第二章 各方的權(quán)利和義務(wù)Article 71.a. The lessors real right in the equipment shall be valid against the lessees trustee in bankruptcy and creditors, including creditors who have obtained an attachment or execution.b. For the purpose of this paragraph “trustee in bankruptcy”includes a liquidator, administrator or other person appointed to administer the lessees estate for the benefit of the general body or creditors.2. Where by the applicable law the lessors real rights in the equipment are valid against a person referred to in the previous paragraph only on compliance with the rules as to public notice, those rights shall be valid against that person only if there has been compliance with such rules. 3. For the purpose of previous paragraph the applicable law is the law of the State which, at the time when a person referred to in paragraph 1 becomes entitled to invoke the rules referred to in the previous paragraph, is :a. in the case of a registered ship, the State in which it is registered in the name of the owner (for the purpose of this sub-paragraph a bareboat charterer is deemed not to be the owner);b. in the case of an aircraft which is registered pursuant to the Convention on International Civil Aviation done at Chicago on December 7,1944, the State in which it is so registered;c. in the case of other equipment of a kind normally moved from one State to another, including an aircraft engine, the State in which the lessee has its principal place of business;d. in the case of other equipment, the State in which the equipment is situated.4. Paragraph 2 shall not affect the provisions of any other treaty under which the lessors real rights in the equipment are required to be recognized. 5. This article shall not affect the priority of any creditor having:a. a consensual or non-consensual lien or security interest in the equipment arising otherwise than by virtue of an attachment or execution, or b. any right of arrest, detention or deposition conferred specifically in relation to ship or aircraft under the law applicable by virtue of the rules of private international law. 第七條1a. 出租人對設(shè)備的物權(quán)應(yīng)可有效地對抗承租人的破產(chǎn)受托人及債權(quán)人，包括已得到扣押令狀和執(zhí)行令狀的債權(quán)人。b.就本款而言，“破產(chǎn)受托人”包括清算人、管理人或被指定為債權(quán)人的全體的利益而管理承租人財產(chǎn)的其他人。2凡按照適用法律只有在符合于公告的規(guī)定時出租人對設(shè)備的物權(quán)才可有效地對抗前款所指的人者，則只有如果符合此種規(guī)定時，這些權(quán)利才可有效地對抗該人。3.就前款而言，適用法律是當(dāng)?shù)?款所指的人有權(quán)援引前款所指規(guī)則時下述國家的法律：a. 如系經(jīng)注冊的船舶，是以船主名義注冊的國家（就本款而言，光船租船人不視為船主）；b. 如系按1944年12月7日于芝加哥制訂的國際民航公約注冊的航空器，是據(jù)此注冊的國家；c. 如系通常從一國向另一國移動的那類其它設(shè)備，包括飛機(jī)引擎，是承租人設(shè)有其主營業(yè)地的國家；d. 如系其它設(shè)備，是設(shè)備所在的國家。4第2款不得影響任何其它需據(jù)以承認(rèn)出租人對設(shè)備的物權(quán)的條約的規(guī)定。5本條不得影響享有以下權(quán)利的任何債權(quán)人的優(yōu)先權(quán)a 擁有非由于扣押令狀或執(zhí)行令狀而引起的、經(jīng)同意或非經(jīng)同意的對設(shè)備的留置權(quán)或擔(dān)保利益，或b 根據(jù)國際私法規(guī)則確定的適用法律對特別是船舶或飛機(jī)擁有的任何扣留、扣押或處置的權(quán)利。Article 81. a. Except as otherwise provided by this Convention or stated in the leasing agreement, the lessor shall not incur any liability to the lessee in the respect of the equipment save to the extent that the lessee has suffered the loss as the result of its reliance on the lessors skill and judgment and of the lessors intervention in the selection of the supplier or the specifications of the equipment.b. The lessor shall not, in its capacity of lessor, be liable to third parties for death, personal injury or damage to property caused by the equipment.c. The above provision of this paragraph shall not govern any liability of the lessor in any other capacity, for example as owner.2. The lessor warrants that the lessees quiet possessions will not be disturbed by a person who has a superior title or right, or who claim a superior title or right and act under the authority of a court where such title, right or claim is not derived from an act or omission of the lessee.3. The parties may not derogate from or vary the effect of the provisions of the previous paragraph in so far as the superior title, right or claim is from an intentional or grossly negligent act or omission of the lessor.4. The provisions of paragraph 2 and 3 shall not affect any broader warranty of quiet possession by the lessor which is mandatory under the law applicable by virtue of the rules of private international law.第八條1a除非本公約另有約定或租賃協(xié)議中另有說明，出租人不應(yīng)對承租人承擔(dān)設(shè)備方面的任何責(zé)任，只要承租人不是由于依賴出租人的技能和判斷以及由于出租人干預(yù)對供貨人的選擇或?qū)υO(shè)備的指定而受到損失。c. 出租人不應(yīng)以其出租人身份而對第三方承擔(dān)因設(shè)備所造成的死亡、人身傷害和財產(chǎn)損失的責(zé)任。d. 本款的上述規(guī)定不適用于出租人以任何別的身份，例如所有權(quán)人的身份，所應(yīng)承擔(dān)的任何責(zé)任。2出租人擔(dān)保承租人的平靜占有將不受享有優(yōu)先所有權(quán)或權(quán)利，或者主張享有優(yōu)先權(quán)或權(quán)利并受法院授權(quán)行動的人的侵?jǐn)_，只要這種所有權(quán)、權(quán)利或主張不是由于承租人的作為或不作為所致。3 只要這種所有權(quán)、權(quán)利或主張是由于出租人的故意的或嚴(yán)重疏忽的作為或不作為所致，各方就不得減損或變更前款中的規(guī)定的效力。4 第2和3款的規(guī)定不得影響出租人根據(jù)國際私法所規(guī)定的適用法律所作出的對平靜占有的強(qiáng)制性的更廣泛的擔(dān)保。Article 91. The lessee shall take proper care of the equipment, uses it in a reasonable manner and keep it in the condition in which it was delivered, subject to fair wear and tear and to any modification of the equipment agreed by the lessor.2. When the leasing agreement comes to an end the lessee, unless exercising a right to buy the equipment or to hold the equipment for lease for a further period, shall return the equipment to the lessor in the condition specified in the previous paragraph. 第九條1 承租人應(yīng)妥善照看設(shè)備，以合理的方式使用設(shè)備并使之保持交付時的狀態(tài)，但合理損耗及各方商定的對設(shè)備的任何改裝除外。2 當(dāng)租賃協(xié)議終止時，承租人除非行使購買權(quán)或行使憑另一租期的租賃協(xié)議而持有設(shè)備的權(quán)利，否則應(yīng)以前款規(guī)定的狀態(tài)把設(shè)備退還給出租人。Article 101. The duties of the supplier under the supply agreement shall also be owed to the lessee as if it were a party of the agreement and the equipment were to be supplied directly to the lessee. However, the supplier shall not liable to both the lessor and the lessee in respect of the same damage.2. Nothing in this article shall entitle the lessee to terminate or rescind the supply agreement without the consent of the lessor.第十條1 供貨人在供貨協(xié)議項下的義務(wù)也應(yīng)及于承租人，如同承租人是該協(xié)議的一方以及如同設(shè)備是直接供給承租人的一樣。但是，供貨人不應(yīng)就同一損害同時對出租人和承租人負(fù)責(zé)。2 本條絲毫不應(yīng)使承租人有權(quán)不經(jīng)出租人同意而終止或撤銷供貨協(xié)議。Article 11 The lessees right derived form the supply agreement under this Convention shall not be affected by a variation of any term of the agreement previously approved by the lessee unless it consented to that variation. 第十一條承租人根據(jù)本公約的來自供貨協(xié)議的權(quán)利，不得因原先經(jīng)承租人認(rèn)可的供貨協(xié)議的任何條款發(fā)生變更而受到影響，除非承租人同意此變更。Article 121. Where the equipment is not delivered or is delivered late or fails to conform to the supply agreement:a. the lessee has the right as against the lessor to reject the equipment or to terminate the leasing agreement ;and b. the lessor has the right to remedy its failure to tender equipment in conformity with the supply agreement, as if the lessee had agreed to buy the equipment from the lessor under the same terms as those as the supply agreement.2. A right conferred by the previous paragraph shall be exercisable in the same manner and shall be lost in the same circumstances as if the lessee had agreed to buy the equipment from the lessor under the same terms as those of the supply agreement.3. The lessee shall be entitled to withhold rental payable under the leasing agreement until the lessor has remedied its failure to tender equipment in conformity with the supply agreement or the lessee has lost the right to reject the equipment.4. Where the lessee has exercised a right to terminate the leasing agreement , he lessee shall be entitled to recover the rentals and other sums paid in advance, less a reasonable sum for any benefits the lessee has derived from the equipment. 5. The lessee shall have no other claim against the lessor for non-delivery, delay in delivery or delivery of non-conforming equipment except to the extent to which this results from the act or omission of the lessor.6. Nothing in this article shall affect the lessees right against the supplier under Article 10.第十二條1 凡是設(shè)備未交付或遲交付或與供貨協(xié)議不符時：a. 承租人有權(quán)針對出租人拒收設(shè)備或終止租賃協(xié)議；以及b. 出租人有權(quán)按供貨協(xié)議提交設(shè)備作為違約補(bǔ)救，如同承租人已同意按供貨協(xié)議的同樣條款從出租人那里購買設(shè)備一樣。2 前款所賦予的權(quán)利應(yīng)如同承租人已同意按供貨協(xié)議的同樣條款從出租人那里購買設(shè)備那樣，以相同的方式行使和在同樣情況下喪失。3 承租人應(yīng)有權(quán)提留租賃協(xié)議項下的應(yīng)付租金，直到出租人已補(bǔ)救其過失和提交了符合供貨協(xié)議的設(shè)備或承租人已喪失拒收設(shè)備的權(quán)利時止。4 凡是承租人已行使其終止租賃協(xié)議的權(quán)利時，承租人應(yīng)有權(quán)收回任何預(yù)付的租金及其它款項，但應(yīng)減去承租人已從該設(shè)備取得的任何利益的合理金額。5 承租人不得因不交付、交付遲延或不合格設(shè)備的交付而對出租人有任何別的主張，除非這些是由于出租人的作為或不作為所致。6 本條絲毫不影響承租人依第十條而享有的針對供貨人的權(quán)利。Article 131. In the event of the default by the lessee, the lessor may recover accrued unpaid rentals, together with interest and damage.2. Where the lessees default is substantial, then subject to paragraph 5 the lessor may also require accelerated payment of the value of the future rentals, where the leasing agreement so provides, or may terminate the leasing agreement and after such termination:a. recover possession of the equipment; andb. recover such damages as will place the lessor in the position in which it would have been had the lessee performed the leasing agreement in accordance with its terms.3. a. The leasing agreement may provide for the manner in which the damages recoverable under paragraph 2(b) are to be computed.b. Such provision shall be enforceable between the parties unless it would result in damages substantially in excess of those provide for under paragraph 2(b). The parties may not derogate from or vary the effect of the provision of the present sub-paragraph.4. Where the lessor has terminated the leasing agreement, it shall not be entitled to enforce a term of that agreement providing for acceleration of payment of future rentals, but the value of such rentals may be taking into account in computing damage under paragraph 2(b) and 3. The parties may not derogate from or vary the effect of the provision of the present paragraph.5. The lessor shall not be entitled to exercise its right of acceleration or its right of termination under paragraph 2 unless it has by notice given the lessee a reasonable opportunity of remedying the defaults so far as the same may be remedied.6. The lessor shall not be entitled to recover damage to the extent that it has failed to take all reasonable steps to mitigate its loss.第十三條1 若遇承租人違約，出租人可以收取到期未付租金，連同利息及損失賠償。2 若承租人根本違約，則若租賃協(xié)議如此規(guī)定，則出租人還可以在第5款的條件下要求加速支付未到期租金的金額，或可以終止協(xié)議，并在該終止后a. 收回對設(shè)備的占有；以及b. 收取將使出租人處于如同承租人按租賃協(xié)議的條款履行租賃協(xié)議時本應(yīng)取得的地位的損失賠償。3 a.租賃協(xié)議可以規(guī)定按第2(b) 收取損失賠償時的計算方法。b.此種規(guī)定在各方間應(yīng)是強(qiáng)制性的，除非它會使損失賠償大大超過第2（b）款所規(guī)定的損失賠償。各方不得減損或變更本款的規(guī)定的效力。4 凡出租人已終止租賃協(xié)議者，它不應(yīng)有權(quán)強(qiáng)制執(zhí)行租賃協(xié)議中規(guī)定的加速支付未到期租金的條款，但在按第2（b）款和第3款計算損失賠償時，可以把這種租金的金額考慮在內(nèi)。各方不得減損或變更本款的規(guī)定的效力。5 在違約可以補(bǔ)救的情況下，除非出租人已經(jīng)給了承租人以補(bǔ)救違約的合理機(jī)會，否則出租人不得行使第2款所規(guī)定的加速支付權(quán)或終止權(quán)。6 就出租人未采取一切合理的步驟以減輕其損失的部分而言，出租人不得收取損失賠償。Article 141. The lessor may transfer or otherwise deal with all or any of its rights in the equipment or under the leasing agreement. Such a transfer shall not be relieve the lessor of any of its duties under the leasing agreement or alter either the nature of the leasing agreement or its legal treatment as provided in this Convention.2. The lessee may transfer the right to the use of the equipment or any other rights under the leasing agreement only with the consent of the lessor and subject to the rights to the third parties.第十四條1 出租人可以轉(zhuǎn)讓或以其它方式處理其對設(shè)備的或憑租賃協(xié)議所享有的全部或任何權(quán)利。這種轉(zhuǎn)讓不應(yīng)解除出租人在租賃協(xié)議項下的任何義務(wù)或改變租賃協(xié)議的性質(zhì)或本公約所規(guī)定的其法定待遇。2 承租人只有在出租人同意和不損害第三方權(quán)利時才可以轉(zhuǎn)讓其對設(shè)備的使用權(quán)或在租賃協(xié)議項下的任何其它權(quán)利。CHAPTER III-FINAL PROVISIONS第三章 最后條款A(yù)rticle 151. This Convention is open for signature at the concluding meeting of the Diplomatic Conference for the adoption of the draft Unidroit Conventions on International Factoring and International Financial Leasing and remain open for signature by all States at Ottawa until December 31,1990.2. This Convention is subject to ratification, acceptance or approval by States which has signed