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Guiding Case No. 109: Anhui Foreign Economic Construction (Group) Co., Ltd. v. Inmobiliaria Palacio Oriental S.A. (dispute over guarantee fraud)
指导案例109号:安徽省外经建设(集团)有限公司诉东方置业房地产有限公司保函欺诈纠纷案
【法宝引证码】

Guiding Case No. 109: Anhui Foreign Economic Construction (Group) Co., Ltd. v. Inmobiliaria Palacio Oriental S.A. (dispute over guarantee fraud) 指导案例109号:安徽省外经建设(集团)有限公司诉东方置业房地产有限公司保函欺诈纠纷案
(Issued on February 25, 2019 as deliberated and adopted by the Judicial Committee of the Supreme People's Court) (最高人民法院审判委员会讨论通过 2019年2月25日发布)
Guiding Case No. 109 指导案例109号
Keywords 关键词
Civil; guarantee fraud; review of underlying transactions; principle of limitation and necessity; independent counter guarantee 民事/保函欺诈/基础交易审查/有限及必要原则/独立反担保函
Key Points of Judgment 裁判要点
1. Where it is necessary to review the underlying transaction for determination of an independent guarantee fraud, the principle of limitation and necessity should be followed and the review scope should be limited to whether the beneficiary knows that the opposing party of the underlying contract does not breach the contract under the underlying contract and whether the beneficiary knows that it does not have the right of claim for payment. 1.认定构成独立保函欺诈需对基础交易进行审查时,应坚持有限及必要原则,审查范围应限于受益人是否明知基础合同的相对人并不存在基础合同项下的违约事实,以及是否存在受益人明知自己没有付款请求权的事实。
2. The breach of contract by the beneficiary under the underlying contract does not affect the beneficiary's right to present documents and raise a claim in accordance with the provisions on an independent L/G. 2.受益人在基础合同项下的违约情形,并不影响其按照独立保函的规定提交单据并进行索款的权利。
3. In identifying whether there is a fraud under an independent counter guarantee L/G, even if there is a fraud under the independent L/G, where the bona fide payment has been made under the independent L/G, the people's court is not allowed to ruleto stop the payment of the fund under the independent counter guarantee L/G. 3.认定独立反担保函项下是否存在欺诈时,即使独立保函存在欺诈情形,独立保函项下已经善意付款的,人民法院亦不得裁定止付独立反担保函项下款项。
Legal Provisions 相关法条
Articles 8 and 44 of the Law of the People's Republic of China on Choice of Law for Foreign-Related Civil Relationships 中华人民共和国涉外民事关系法律适用法》第8条、第44条
Basic Facts 基本案情
On January 16, 2010, Inmobiliaria Palacio Oriental S.A. (hereinafter referred to as “Oriental S.A.”) as the developer, Anhui Foreign Economic Construction (Group) Co., Ltd. (hereinafter referred to as “AFECC”) as the contractor, and Chinafecc Central América S.A. as the construction party concluded a Contract for the Construction of the Lakeside Mansion Project (hereinafter referred to as the “Construction Contract”) in Costa Rica in San Jose, the Republic of Costa Rica and it was agreed in the Construction Contract that the contractor executed the construction of three 14-floored comprehensive commercial and residential buildings. On May 26, 2010, AFECC filed an application with Anhui Branch of China Construction Bank Co., Ltd. (hereinafter referred to as “Anhui Branch of CCB”) for issuing a performance guarantee to the beneficiary Oriental S.A. with Bank of Costa Rica as the reissuing bank and the guaranty matter being the Lakeside Mansion Project in Costa Rica. On May 28, 2010, Bank of Costa Rica issued a performance guarantee (No. G051225) with Anhui Branch of CCB as the guarantor, AFECC as the principal, and Oriental S.A. as the beneficiary, and the amount of guarantee was USD2,008,000, valid until October 12, 2011 and extended to February 12, 2012. Notes on the guarantee: It is an unconditional, irrevocable, obligatory, and demand guarantee. To perform this guarantee, the beneficiary should submit a credential in duplicate to the Department of Foreign Trade under the Central Office of Bank of Costa Rica, indicating the grounds for performing the guarantee. In addition, the beneficiary should issue a notarized statement, indicating the date when Chinafecc Central América S.A. was notified of this claim for breach of contract, affixed with the original guarantee and the issued modified version. Anhui Branch of CCB simultaneously issued a counter guarantee (No. 34147020000289) to Bank of Costa Rica and promised that it would pay the fund under the guarantee within 20 days upon receipt of the notice of Bank of Costa Rica. The counter guarantee was “unconditional and irrevocable, and demanded payment at any time” and it was agreed that it “should observe the Uniform Rules for Demand Guarantees (URDG458) published by the International Chamber of Commerce.” 2010年1月16日,东方置业房地产有限公司(以下简称东方置业公司)作为开发方,与作为承包方的安徽省外经建设(集团)有限公司(以下简称外经集团公司)、作为施工方的安徽外经建设中美洲有限公司(以下简称外经中美洲公司)在哥斯达黎加共和国圣何塞市签订了《哥斯达黎加湖畔华府项目施工合同》(以下简称《施工合同》),约定承包方为三栋各十四层综合商住楼施工。外经集团公司于2010年5月26日向中国建设银行股份有限公司安徽省分行(以下简称建行安徽省分行)提出申请,并以哥斯达黎加银行作为转开行,向作为受益人的东方置业公司开立履约保函,保证事项为哥斯达黎加湖畔华府项目。2010年5月28日,哥斯达黎加银行开立编号为G051225的履约保函,担保人为建行安徽省分行,委托人为外经集团公司,受益人为东方置业公司,担保金额为2008000美元,有效期至2011年10月12日,后延期至2012年2月12日。保函说明:无条件的、不可撤销的、必须的、见索即付的保函。执行此保函需要受益人给哥斯达黎加银行中央办公室外贸部提交一式两份的证明文件,指明执行此保函的理由,另外由受益人出具公证过的声明指出通知外经中美洲公司因为违约而产生此请求的日期,并附上保函证明原件和已经出具过的修改件。建行安徽省分行同时向哥斯达黎加银行开具编号为34147020000289的反担保函,承诺自收到哥斯达黎加银行通知后二十日内支付保函项下的款项。反担保函是“无条件的、不可撤销的、随时要求支付的”,并约定“遵守国际商会出版的458号《见索即付保函统一规则》”。
In the performance of the Construction Contract, on January 23, 2012, architects Jose Brenes and Mauricio Mora issued the Project Construction Inspection Report, which determined that there were “poor construction” and “inferior quality” in the construction project and circumstances where modification or repair was required. On February 7, 2012, with Oriental S.A. as the respondent, Chinafecc Central América S.A. submitted an arbitration claim to the Dispute Resolution Center of the Union of Architects and Engineers in Costa Rica, alleged that Oriental S.A. was in arrears of the payable project funds for the completed construction and the corresponding interest, and requested the rescission of the Construction Contract and the adjudication on Oriental S.A.'s compensation for losses. On February 8, Oriental S.A. submitted to Bank of Costa Rica such guarantee payment documents as the statement on the claim, the notice on breach of contract, and the Project Construction Inspection Report and required the performance of guarantee. On February 10, Bank of Costa Rica issued to Anhui Branch of CCB a teletext, stating that Oriental S.A. raised a claim for payment of the fund of USD2,008,000 under the bank guarantee (No. G051225) and Bank of Costa Rica thus required that Anhui Branch of CCB should pay the aforesaid fund before February 16, 2012. On February 12, upon application of Chinafecc Central América S.A., the No. 2 Tribunal of the Administrative Litigation Court of the Republic of Costa Rica issued the injunction of interim protection measure and ruled that Bank of Costa Rica should suspend the performance of the performance guarantee (No. G051225). 《施工合同》履行过程中,2012年1月23日,建筑师 Jose Brenes和Mauricio Mora出具《项目工程检验报告》。该报告认定了施工项目存在“施工不良”“品质低劣”且需要修改或修理的情形。2012年2月7日,外经中美洲公司以东方置业公司为被申请人向哥斯达黎加建筑师和工程师联合协会争议解决中心提交仲裁请求,认为东方置业公司拖欠应支付之已完成施工量的工程款及相应利息,请求解除合同并裁决东方置业公司赔偿损失。2月8日,东方置业公司向哥斯达黎加银行提交索赔声明、违约通知书、违约声明、《项目工程检验报告》等保函兑付文件,要求执行保函。2月10日,哥斯达黎加银行向建行安徽省分行发出电文,称东方置业公司提出索赔,要求支付G051225号银行保函项下2008000美元的款项,哥斯达黎加银行进而要求建行安徽省分行须于2012年2月16日前支付上述款项。2月12日,应外经中美洲公司申请,哥斯达黎加共和国行政诉讼法院第二法庭下达临时保护措施禁令,裁定哥斯达黎加银行暂停执行G051225号履约保函。
On February 23, AFECC filed a lawsuit about dispute over guarantee fraud with the Intermediate People's Court of Hefei City, Anhui Province and applied for suspending the payment of the fund under the guarantees (No. G051225 and No. 34147020000289). On February 27, the court of first instance entered a ruling (No. 00005-1 [2012], First, Civil Division IV, IPC, Hefei) that the payment of the fund under the guarantees (No. G051225 and No. 34147020000289) should be suspended. On February 28, it served the aforesaid ruling upon Anhui Branch of CCB. On February 29, Anhui Branch of CCB sent a teletext to Bank of Costa Rica and notified Bank of Costa Rica of the matters in the ruling and on the same day, it mailed the duplicate of the aforesaid ruling to Bank of Costa Rica. On March 5, Bank of Costa Rica received the duplicate of the aforesaid ruling. 2月23日,外经集团公司向合肥市中级人民法院提起保函欺诈纠纷诉讼,同时申请中止支付G051225号保函、34147020000289号保函项下款项。一审法院于2月27日作出(2012)合民四初字第00005-1号裁定,裁定中止支付G051225号保函及34147020000289号保函项下款项,并于2月28日向建行安徽省分行送达了上述裁定。2月29日,建行安徽省分行向哥斯达黎加银行发送电文告知了一审法院已作出的裁定事由,并于当日向哥斯达黎加银行寄送了上述裁定书的复印件,哥斯达黎加银行于3月5日收到上述裁定书复印件。
On March 6, the No. 2 Tribunal of the Administrative Litigation Court of the Republic of Costa Rica entered a judgment that Chinafecc Central América S.A. lost the lawsuit regarding its application for the preventive measure and the injunction of interim protection measure was relieved. On March 20, as required by Bank of Costa Rica, Anhui Branch of CCB extended the validity term of the guarantee (No. 34147020000289). On March 21, Bank of Costa Rica paid Oriental S.A. the fund under the guarantee (No. G051225). 3月6日,哥斯达黎加共和国行政诉讼法院第二法庭判决外经中美洲公司申请预防性措施败诉,解除了临时保护措施禁令。3月20日,应哥斯达黎加银行的要求,建行安徽省分行延长了34147020000289号保函的有效期。 3月21日,哥斯达黎加银行向东方置业公司支付了G051225号保函项下款项。
On July 9, 2013, the Union of Architects and Engineers in Costa Rica entered an arbitral award, which determined that Oriental S.A. has seriously breached the contract in the performance of contract and ruled to terminate the Construction Contract, Oriental S.A. should pay Chinafecc Central América S.A. the progress payments for projects No. 1 to No. 18, a total of USD800,058.45 and the interest thereof; since the project No. 19 was not accepted by the developer, the relevant claim for the project fund was not supported; since the fund under the guarantee (No. G051225) has been paid, the claim of Chinafecc Central América S.A. for returning the guarantee should not be supported. 2013年7月9日,哥斯达黎加建筑师和工程师联合协会做出仲裁裁决,该仲裁裁决认定东方置业公司在履行合同过程中严重违约,并裁决终止《施工合同》,东方置业公司向外经中美洲公司支付1号至18号工程进度款共计800058.45美元及利息;第19号工程因未获得开发商验收,相关工程款请求未予支持;因G051225号保函项下款项已经支付,不支持外经中美洲公司退还保函的请求。
Judgment 裁判结果
On April 9, 2014, the Intermediate People's Court of Hefei City, Anhui Province entered a Civil Judgment (No. 00005 [2012], First, Civil Division IV, IPC, Hefei) that: (1) the claim of Oriental S.A. against the performance guarantee (No. G051225) constituted a fraud; (2) Anhui Branch of CCB should terminate the payment of the fund of USD2,008,000 under the bank guarantee (No. 34147020000289) to Bank of Costa Rica; and (3) other claims of AFECC should be dismissed. Oriental S.A. refused to accept the judgment of first instance and appealed. On March 19, 2015, the Higher People's Court of Anhui Province entered a Civil Judgment (No. 00389 [2014], Final, Civil Division II, HPC, Anhui) to dismiss the appeal and affirm the original judgment. Oriental S.A. refused to accept the judgment of second instance and filed an application for retrial with the Supreme People's Court. On December 14, 2016, the Supreme People's Court entered a Civil Judgment (No. 134 [2017], Retrial, Civil Division, SPC) that: (1) the Civil Judgment (No. 00389 [2014], Final, Civil Division II, HPC, Anhui) entered by the Higher People's Court of Anhui Province and the Civil Judgment (No. 00005 [2012], First, Civil Division IV, IPC, Hefei) entered by the Intermediate People's Court of Hefei City, Anhui Province should be set aside; and (2) the claims of AFECC should be dismissed.
......
 安徽省合肥市中级人民法院于2014年4月9日作出(2012)合民四初字第00005号民事判决:一、东方置业公司针对G051225号履约保函的索赔行为构成欺诈;二、建行安徽省分行终止向哥斯达黎加银行支付编号为34147020000289的银行保函项下2008000美元的款项;三、驳回外经集团公司的其他诉讼请求。东方置业公司不服一审判决,提起上诉。安徽省高级人民法院于2015年3月19日作出(2014)皖民二终字第00389号民事判决:驳回上诉,维持原判。东方置业公司不服二审判决,向最高人民法院申请再审。最高人民法院于2017年12月14日作出(2017)最高法民再134号民事判决:一、撤销安徽省高级人民法院(2014)皖民二终字第00389号、安徽省合肥市中级人民法院(2012)合民四初字第00005号民事判决;二、驳回外经集团公司的诉讼请求。
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