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卓纬 | 中国涉外民商事诉讼实务之四:外国法院判决、仲裁裁决的认可与执行

 丫胖子 2022-09-07 发布于上海

1、申请认可与执行香港特别行政区法院民商事判决

根据内陆与香港特别行政区商定的并于2008年生效的《关于内陆与香港特别行政区法院相互认可和执行当事人协议管辖的民商事案件判决的安排》,当事人向人民法院申请认可和执行的香港特别行政区法院作出的民商事生效判决包括判决书、命令和诉讼费评定证明书,须符合以下条件:

  • 该判决具有执行力,即为香港特别行政区终审法院、高等法院上诉法庭及原讼法庭和区域法院作出的生效判决;

  • 该判决需依据当事人协议管辖而由香港特别行政区法院作出。管辖协议是指当事人为解决与特定法律关系有关的已经发生或者可能发生的争议,从2008年8月1日起,约定香港特别行政区法院具有唯一管辖权的协议;

  • 判决系自2008年8月1日(含当日)作出的判决。

被申请人在香港和内陆均有财产的,申请人可以同时向两地法院分别提出申请。当事人申请认可和执行香港特别行政区法院作出的民商事判决期间为自该判决可强制执行之日起两年,该判决上注明的判决日期即为可强制执行之日,但判决对履行期间另有规定的,从规定的履行期间届满后开始计算。当事人可以选择向被申请人住所地、经常居住地或者财产所在地其中之一的中级人民法院提出申请。

当事人向法院申请认可和执行香港特别行政区法院作出的判决,应提交以下文件:

  • 请求认可和执行的申请书;

  • 经作出终审判决的法院盖章的判决书副本;

  • 作出终审判决的法院出具的证明书,证明该判决具有执行力的终审判决,在判决作出地可以执行;

  • 身份证明材料:1)申请人为自然人的,应当提交身份证或者经公证的身份证复印件;2)申请人为法人或者其他组织的,应当提交经公证的法人或者其他组织注册登记证书的复印件;3)申请人是外国籍法人或者其他组织的,应当提交相应的公证和认证材料。

2、申请认可与执行澳门特别行政区法院民商事判决

当事人向人民法院申请认可和执行的澳门特别行政区法院作出的民商事生效判决包括自2006年4月1日起生效的裁判、判决、确认和解的裁定、法官的决定或者批示,亦包括刑事案件中有关民事损害赔偿的判决、裁定。

被申请人在澳门和内陆均有财产的,申请人可以向一地法院提出执行申请,同时也可以向另一地法院申请查封、扣押或者冻结被申请人的财产。

当事人申请认可和执行澳门特别行政区法院作出的民商事判决的期间为两年。当事人可以选择向被申请人住所地、经常居住地或者财产所在地其中之一的中级人民法院提出申请。

当事人法院申请认可和执行澳门特别行政区法院作出的判决,应提交申请书,并附生效判决书副本,或者经作出生效判决的法院盖章的证明书:

  • 传唤属依法作出,但判决书已经证明的除外;

  • 无诉讼行为能力人依法得到代理,但判决书已经证明的除外;

  • 根据判决作出地的法律,判决已经送达当事人,并已生效;

  • 申请人为法人的,应当提供法人营业执照副本或者法人登记证明书;

  • 判决作出地法院发出的执行情况证明。

如果该判决未用中文制作,应当提供生效判决法院出具的中文译本。

3、申请认可台湾地区民事裁决

可申请认可的台湾地区有关法院民事判决,包括台湾地区有关法院对商事、知识产权、海事等民事纠纷案件作出的判决。

申请由申请人住所地、经常居住地或者被执行财产所在地中级人民法院受理。

申请人向被执行财产所在地中级人民法院申请认可的,应当提供被执行财产存在的相关证据。申请认可台湾地区有关法院民事判决的,应当在该判决效力确定后二年内提出。

申请人应提交申请书,并须附有不违反一个中国原则的台湾地区有关法院民事判决书正本或经证明无误的副本、证明该判决真实并且效力已确定的证明文件。

台湾地区有关法院民事判决具有下列情形之一的,裁定不予认可:

  • 申请认可的民事判决的效力未确定的;

  • 申请认可的民事判决,是在被告缺席又未经合法传唤或者在被告无诉讼行为能力又未得到适当代理的情况下作出的;

  • 案件系人民法院专属管辖的;

  • 案件的双方当事人订有仲裁协议的;

  • 案件系人民法院已作出判决,或者外国、境外地区法院作出判决或境外仲裁机构作出仲裁裁决已为人民法院所承认的;

  • 申请认可的民事判决具有违反国家法律的基本原则,或者损害社会公共利益情形的。

第九部分 申请认可和执行外国仲裁裁决

1、申请执行香港特别行政区仲裁裁决

在内陆或者香港特别行政区作出的仲裁裁决,一方当事人不履行仲裁裁决的,另一方当事人可以向被申请人住所地或者财产所在地的有关法院申请执行。

被申请人住所地或者财产所在地在内陆不同的中级人民法院辖区内的,申请人可以选择其中一个人民法院申请执行裁决,不得分别向两个或者两个以上人民法院提出申请。

被申请人的住所地或者财产所在地,既在内陆又在香港特别行政区的,申请人不得同时分别向两地有关法院提出申请。只有一地法院执行不足以偿还其债务时,才可就不足部分向另一地法院申请执行。两地法院先后执行仲裁裁决的总额,不得超过裁决数额。

申请人向有关法院申请执行在内陆或者香港特别行政区作出的仲裁裁决的,应当提交以下文书:

  • 执行申请书;

  • 仲裁裁决书;

  • 仲裁协议。

执行申请书应当以中文文本提出,裁决书或者仲裁协议没有中文文本的,申请人应当提交正式证明的中文译本。

2、申请认可和执行澳门特别行政区仲裁裁决

在内陆或者澳门特别行政区作出的仲裁裁决,一方当事人不履行的,另一方当事人可以向被申请人住所地、经常居住地或者财产所在地的有关法院申请认可和执行。

被申请人的住所地、经常居住地或者财产所在地分别在内陆和澳门特别行政区的,申请人可以向一地法院提出认可和执行申请,也可以分别向两地法院提出申请。

申请人向有关法院申请认可和执行仲裁裁决的,应当提交以下文件或者经公证的副本:

  • 申请书;

  • 申请人身份证明;

  • 仲裁协议;

  • 仲裁裁决书或者仲裁调解书。

上述文件没有中文文本的,申请人应当提交经正式证明的中文译本。

3、申请承认和执行外国仲裁裁决

当事人可依据《承认及执行外国仲裁裁决公约》(以下简称《1958年纽约公约》)的规定向法院申请承认外国仲裁裁决,但我国仅对《1958年纽约公约》在我国生效后,另一缔约国领土内作出的按照我国法律属于契约性和非契约性商事法律关系所引起的争议适用该公约。所谓“契约性和非契约性商事法律关系”,具体的是指由于合同、侵权或者根据有关法律规定而产生的经济上的权利义务关系,例如货物买卖、财产租赁、工程承包、加工承揽、技术转让、合资经营、合作经营、勘探开发自然资源、保险、信贷、劳务、代理、咨询服务和海上、民用航空、铁路、公路的客货运输以及产品责任、环境污染、海上事故和所有权争议等,但不包括外国投资者与东道国政府之间的争端。

申请期间为两年,从仲裁裁决规定履行期间的最后一日起计算;仲裁裁决规定分期履行的,从规定的每次履行期间的最后一日起计算;仲裁裁决未规定履行期间的,从申请人收到裁决书正本或者正式副本之日起计算。

当事人应向被申请人户籍所在地、居所地、主要办事机构所在地或者财产所在地中级人民法院提出申请。

申请承认和执行裁决的当事人应该在申请的时候提供:

  • 经正式认证的裁决正本或经正式证明的副本;

  • 仲裁协议或含有仲裁条款的协议正本或经正式证明的副本;

  • 如果上述裁决或协议不是用中文作成,申请承认和执行裁决的当事人应该提出这些文件的中文译文。译文经过相应的公证认证手续。

对于依内陆法律,争议事项不能以仲裁解决的或者在内陆认可和执行该仲裁裁决违反社会公共利益,法院可以裁定不予认可。

(本文原文为英文,中文版本由卓纬律师事务所陈曦翻译、刘泽枫律师审校。感谢两位!)

附英文原文:

Part VIII Recognition and Enforcement of Foreign Judgments

1. Recognition and Enforcement of Judgments of HKSAR courts

In accordance with the Arrangement between the Courts of Mainland and HKSAR on Mutual Recognition and Enforcement of Judgments of Civil and Commercial Cases under the Jurisdiction as Agreed to by the Parties Concerned issued by the Supreme People’s Court in 2008, the term 'judgments' to be recognized and enforced herein includes judgments, orders and legal cost appraisal certificates in the HKSAR, and must satisfy the following requirements:

  • The judgments are effective and enforceable, which are made by the Court of Final Appeal or the Court of Appeal of the High Court, the Court of First Instance of the High Court or the District Court;

  • The judgments are made by the District Court in accordance with a jurisdiction agreement between the parties; 'jurisdiction agreement' as used herein refers to an agreement concluded after August 1, 2008 by the parties concerned which expressly stipulates in writing that a HKSAR court has exclusive jurisdiction over any dispute related to a civil or commercial contract between the parties concerned that occurred or may occur.

  • The judgments shall be made after August 1, 2008.

The time limit for a party to apply for the recognition and enforcement of a judgment of a HKSAR court shall be two years from the time the judgment becomes enforceable. Where the place of domicile, the place of habitual residence and the locality of the property of the respondent concerned under the jurisdiction of different intermediate people's courts, the party concerned may choose any of them to file an application, and shall not file an application with two or more people's courts at the same time. When property of the respondent concerned is under the jurisdiction of both the mainland and the HKSAR, the applicant concerned may file the application with the competent courts of both places simultaneously.

To apply to a competent court for the recognition and enforcement of a judgment of a HKSAR court, a party shall submit the following documents:

  • An application form;

  • A counterpart of the final judgment affixed with the seal of the court which made the final judgment;

  • A supporting document issued by the court which made the final judgment, proving that the said judgment is a final judgment and it can be enforced at the place where it is made;

  • Identity documentation:(1) In the case of an individual, the identity card or a notarized photocopy thereof shall be submitted; (2) In the case of a legal entity, a notarized photocopy of its registration certificate shall be submitted; and(3) In the case of a foreign legal entity, appropriate notarization and authentication materials shall be submitted.

2. Recognition and Enforcement of Judgments of MCSAR courts

The Arrangement for Mutual Recognition and Enforcement of Civil and Commercial Judgments between Mainland and MCSAR was adopted by the Supreme People’s Court in 2006. For the purposes of this Arrangement, 'judgments' include judgments, verdicts, reconciliation rulings, and the decisions or instructions of judges in Macao which shall take effective since April 1, 2006. 'Judgments' shall also include judgments and verdicts regarding civil damages awarded in criminal cases.

Where the party against whom the petition is filed has property in both the mainland China and in Macao on which execution of the judgment may be carried out, the petitioner may file a petition for seizure, impounding, or freezing of the property of the person subject to the enforcement with the court of the other location.

The time limit for an applicant to apply for the recognition and enforcement of judgment of a MCSAR court shall be two years. Where the place of domicile, the place of habitual residence and the locality of the property of the respondent concerned under the jurisdiction of different intermediate people's courts, the applicant concerned may choose any of them to file an application.

The petition documents shall include a copy of the valid judgment or a stamped certification from the court that handed down the judgment as well as the relevant documents issued by said court or competent legal institution that can demonstrate the following:

  • Summons was been lawfully delivered, unless it is demonstrated in the judgment.

  • Persons legally incapable of participating in legal proceedings had an agent ad litem, unless it is demonstrated in the judgment.

  • Pursuant to the law of the locality where the judgment was rendered, the parties involved were formally notified of the judgment, and the judgment is in force.

  • A copy of the business license or corporate registration certificate has been supplied if the petitioner is a legal entity.

  • The certification of execution of the judgment issued by the court that rendered the judgment has been provided.

Petitions shall be written in Chinese. In the case where attached court documents or relevant documentation are not written in Chinese, a Chinese translation shall be provided. If the judgment handed down by the court was not written in Chinese, a Chinese translation, issued by the court, shall be provided.

3. Recognition and Enforcement of Judgments of Taiwan courts

Generally speaking, the civil judgments made by courts of Taiwan Region to be recognized by the people's courts shall include the judgments for civil disputes concerning business, intellectual property, admiralty, etc.

Similarly, where the place of domicile, the place of habitual residence and the locality of the property of the respondent concerned are under the jurisdiction of different intermediate people's courts, the applicant concerned may choose any of them to file an application.

Where the applicants apply for recognition to the intermediate people's courts at the place where the properties to be enforced are located, they shall provide the relevant evidences to prove the existence of the properties to be enforced. Applications for recognition of civil judgments made by the courts of Taiwan Region shall be raised within 2 years as of the confirmation of the effectiveness of the judgments.

An applicant shall submit a written application together with the original copy or a verified duplicate of the civil judgments that are rendered by courts in Taiwan and other supporting documents that do not violate the one-China principle.

A civil judgment rendered by a court in Taiwan shall not be recognized in any of the following circumstances:

  • The effectiveness of the civil judgment in the application for recognition is not determined;

  • The civil judgment in the application for recognition is rendered in the absence of the defendant who has not been lawfully summoned or who has no capacity of legal acts while failing to obtain a proper agent ad litem;

  • The case is under the exclusive jurisdiction of the people's court;

  • The parties concerned in the civil case have previously entered into an arbitration agreement;

  • The case has had a ruling rendered by a relevant people's court, or a judgment rendered by a foreign or overseas court or an arbitration award rendered by an overseas arbitration institution which has been recognized by a relevant people's court;

  • The civil judgment in the application for recognition violates the basic principles of the national laws and regulations, or harms the social public interest.

Part IX Recognition and Enforcement of Foreign Arbitration Awards

1. Recognition and Enforcement of Arbitration Award made in HKSAR

For an arbitration award made in the HKSAR in accordance with Arbitration Ordinance, if one party concerned refuses to comply with it, the other party can apply to the competent court at the place of domicile, or the locality of the property of the party against whom the application for enforcement is filed.

If the place of domicile or the locality of the property of the party against whom an application is filed is within the jurisdiction of different intermediate people's courts in the mainland, the applicant can choose one intermediate people's court to apply for enforcement, but shall not file application respectively at two or more than two intermediate people's courts.

If the place of domicile or the locality of the property of the party against whom an application is filed is both in the mainland and the HKSAR, the applicant shall not file applications at the competent courts of the two places at the same time. Where enforcement of the court at one place is inadequate to pay up the debts, application for enforcement of the difference can only be filed at the competent court at another place. The total amount of the arbitration award enforced by the courts at the both places in succession may not exceed the amount prescribed in the award.

To apply for enforcement of an arbitration award made in HKSAR from the competent court, an applicant shall submit the following documents:

  • Application for Enforcement Form;

  • Arbitral Award; and

  • Arbitration Agreement.

The application for enforcement shall be filed in Chinese. If the arbitral award or the arbitration agreement has no Chinese version, the applicant shall submit a formal Chinese version for reference.

2. Recognition and Enforcement of Arbitration Award made in MCSAR

For an arbitration award made in the Macau Special Administrative Region, where one party refuses to comply with it, the other party may apply to the intermediate people's court at the place of domicile, the place of residence or the locality of the property of the party against whom the application for admission and enforcement is filed.

Where the place of domicile, the place of residence or the locality of the property of the party against whom an application is filed are at both the mainland and the Macau Special Administrative Region, the applicant may file the application for admission and enforcement with the competent court in one place or the competent courts in both places.

Where an applicant applies to the competent court for admitting and enforcing an arbitration award, the applicant shall submit the following documents or the notarized duplicates of the following documents:

  • Application form;

  • Identity certificate of the applicant;

  • Arbitration agreement; and

  • Arbitration award or written arbitration meditation.

Where any of the above-mentioned documents is not prepared in Chinese, a translated version in Chinese which has been officially notarized must be submitted by the applicant.

3. Recognition and Enforcement of Foreign Arbitration Award

Parties may, in accordance with the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (hereinafter referred to as the 1958 New York Convention), apply for the recognition of a foreign arbitration award. This Convention shall only apply to the disputes arising from contractual and non-contractual commercial legal relationship. 'Contractual and non-contractual commercial legal relationship' specifically refers to the economic rights and obligations resulted from contract, infringement or arising according to law, such as sale of goods, lease of property, project contracting, processing, technology assignment, equity joint venture, cooperative joint venture, exploration and development of natural resources, insurance, credit, labor service, agent, consultation service, marine/civil aviation/railway/road passenger and cargo transportation, product liability, environment pollution, marine accident, dispute over ownership, etc., and it does not include the dispute between foreign investors and the host government.

The time limit applicable to applications to execute a decision is two years, and shall commence from the last day of the time limit for satisfaction of the decision specified in the arbitration award; where the arbitration award provides for satisfaction of the decision in stages, the time limit shall commence from the last day of the period for satisfaction of the decision at each stage; where the arbitration award does not provide a time limit for satisfaction of the decision, the time limit shall commence from the date of receipt of the original document or the certified copy of the arbitration award.

The party may apply to the intermediate people's court at the place of domicile, the place of residence, the place where its main administrative office is located the locality of the property of the party against whom the application for admission and enforcement is filed.

To obtain the recognition and enforcement, the party shall, at the time of the application, supply:

  • The duly authenticated original award or a duly certified copy thereof;

  • The original agreement or a duly certified copy thereof.

  • If the said award or agreement is not made in Chinese, the party shall produce a translation of these documents into Chinese. The translation shall be certified by an official or sworn translator or by a diplomatic or consular agent.

The application shall be refused if the recognition or enforcement of foreign arbitration award is contrary to the public policy of China.

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