CONVENTION ON THE LAW APPLICABLE TO CERTAIN RIGHTS IN RESPECT OF SECURITIES HELD WITH AN INTERMEDIARY
（Concluded 13 December 2002） | | 海牙关于中间人持有证券特定权利的法律适用公约 |
| CHAPTER Ⅰ DEFINITIONS AND SCOPE OF APPLICATION | | 第一章 定义及适用范围 |
| Article 1 | | 第一条 定义及解释 |
| 1．In this Convention | | 1．本条约中， |
| （a）“securities”means any shares，bonds or other financial instruments or assets （other than cash），or any interest therein； | | （1）“证券”是指所有股票、债券或其他金融票据或金融资产（现金除外），或所有这类证券的利息凭据； |
| （b）“securities account”means an account maintained by an intermediary to which securities may be credited or debited； | | （2）“证券账户”系指由中间人掌管的并借此可使证券贷入或贷出的账户。 |
| （c）“intermediary”means a person that in the course of a business or other regular activity maintains securities accounts for others or both for others and for its own account and is acting in that capacity； | | （3）系指在商业活动或其他常规性活动中为他人管理或既为他人也为自己管理证券账户并具有相应资格的人。 |
| （d）“account holder”means a person in whose name an intermediary maintains a securities account； | | （4）“账户持有人”系指中间人以其本人的名义掌管证券账户。 |
| （e）“account agreement”means，in relation to a securities account，the agreement with the relevant intermediary governing that securities account； | | （5）“账户协议”系指与证券账户相关的由相关的证券中间人掌管证券账户的协议。 |
| （f）“securities held with an intermediary”means the rights of an account holder resulting from a credit of securities to a securities account； | | （6）“中间人持有证券”系指账户持有人因托管证券于证券账户而产生的权利。 |
| （g）“relevant intermediary”means the intermediary that maintains the securities account for the account holder； | | （7）“相关中间人”系指为账户持有人管理证券账户的中间人。 |
| （h）“disposition”means any transfer of title whether outright or by way of security and any grant of a security interest，whether possessory or non—possessory； | | （8）“转让”系指所有权的转移，不论是完全的还是通过证券方式和任何证券的衍生利益的转移；也不管是占有或非占有的证券权利。 |
| （i）“perfection”means completion of any steps necessary to render a disposition effective against persons who are not parties to that disposition； | | （9）“完备性”系指为使转让有效而必须履行程序的完全性，从而对抗无转让权利能力的有关主体。 |
| （j）“office”means，in relation to an intermediary，a place of business at which any of the activities of the intermediary are carded on，excluding a place of business which is intended to be merely temporary and a place of business of any person other than the intermediary； | | （10）“行”系指与中间人有关的中间人从事任何活动的营业所，包括临时性营业所和中间人以外的营业所。 |
| （k）“insolvency proceeding”means a collective judicial or administrative proceeding，including an interim proceeding，in which the assets and affairs of the debtor are subject to control or supervision by a court or other competent authority for the purpose of reorganization or liquidation； | | （11）“破产程序”系指集体的司法或管理程序，包括临时性程序在内，通过该程序将债务人的财产及事务纳入法院或有权机构的控制之下，以达到重组或清算目的。 |
| （l）“insolvency administrator”means a person authorised to administer the reorganization or liquidation，including one authorised on an interim basis，and includes a debtor in possession if permitted by the applicable insolvency law； | | （12）“破产管理人”系指被授权负责重组或清算的人，包括根据临时性协议被授权的人，如果破产准据法许可，还包括占有财产的债务人。 |
| （m）“Multi—unit State”means a State within which two or more territorial units of that State，or both the State and one or more of its territorial units，have their own rules of law in respect of any of the issues specified in Article 2（i）；and | | （13）“多法域国家”系指在一国内具有两个或两个以上法域的因家，或另有一个或一个以上法域的国家，且在公约第2条第1款所列的所有问题上均有独立的法律规定。 |
| （n）“writing”and“written”mean a record of information （including information communicated by teletransmission）which is in tangible or other form and is capable of being reproduced in tangible form on a subsequent occasion． | | （14）“书证”系指信息（包括电讯传输信息）的有形记录，或其他形式但在随后情况下能再生为有形的记录。 |
| 2．References in this Convention to a disposition of securities held with an intermediary include | | 2．本公约所称的对中间人持有证券的转让包括： |
| （a）a disposition of a securities account； | | （1）证券账户的转让； |
| （b）a disposition in favour of the account holder's intermediary；and | | （2）有利于作为账户持有人的中间人的转让； |
| （c）a lien by operation of law in favour of the account holder's intermediary in respect of any claim arising in connection with the maintenance and operation of a securities account． | | （3）涉及与证券账户的管理和经营有关的请求，作为账户持有人的中间人依法主张的留置权。 |
| 3．A person shall not be considered an intermediary for the purposes of this Convention merely because— | | 3．仅有以下情况的个人，不能成为公约所称的中间人： |
| （a）it acts as registrar or transfer agent for an issuer of securities；or | | （1）作为证券发行人的注册人或转让代理机构； |
| （b）it records in its own books details of securities credited to securities accounts maintained by an intermediary in the names of other persons for whom it acts as manager or agent or otherwise in a purely administrative capacity． | | （2）将自己账户上贷入的证券以他人名义记入由中间人掌管的证券账户中，为他人充当经理人或代理人或只是纯粹的行政管理机构。 |
| 4．Subject to paragraph（5），a person shall be regarded as an intermediary for the purposes of this Convention in relation to securities which are credited to securities accounts which it maintains in the capacity of a central securities depository or which are otherwise transferable by book entry across securities accounts which it maintains． | | 4．根据第5款，如果有关证券如果被贷入由中央证券机构持有的证券账户中，或者该证券通过由其持有的账户是可转让的，那么，该人可被认为是符合公约目的的中间人。 |
| 5．In relation to securities which are credited to securities accounts maintained by a person in the capacity of operator of a system for the holding and transfer of such securities on records of the issuer or other records which constitute the primary record of entitlement to them as against the issuer，the Contracting State under whose law those securities are constituted may，at any time，make a declaration that the person which operates that system shall not be an intermediary for the purposes of this Convention． | | 5．与被贷入由系统操作员持有的证券账户的证券相关，该系统操作员只作发行人对该证券的持有和转让记录或其他记录，该记录构成对证券应有权利的原始记录以对抗发行人，根据本国法构成这类证券的缔约国可以在任何时候宣布该系统操作员不是符合公约目的的中间人。 |
| Article 2 Scope of this Convention and of the applicable law | | 第二条 公约及准据法的适用范围 |
| 1．This Convention determines the law applicable to the following issues in respect of securities held with an intermediary | | 1．本公约所确定的准据法适用于以下由中间人持有证券的有关问题： |
| （a）the legal nature and effects against the intermediary and third parties of the rights resulting from a credit of securities to a securities account； | | （1）因贷入证券至证券账户而产生的对抗中间人及第三人权利的法律特征及效力； |
| （b）the legal nature and effects against the intermediary and against third parties of a disposition of securities held with an intermediary； | | （2）对抗中间人和第三人的、由中间人持有证券的转让的法律特征及效力； |
| （c）the requirements，if any，for perfection of a disposition of securities held with an intermediary； | | （3）如果有的话，中间人持有证券的转让条件： |
| （d）whether a person's interest in securities held with an intermediary extinguishes or has priority over another person's interest； | | （4）由中间人持有证券的衍生权益是否高于或已经高于其他人的权益； |
| （e）the duties，if any，of an intermediary to a person other than the account holder who asserts in competition with the account holder or another person an interest in securities held with that intermediary； | | （5）如果有的话，在债户持有人以外就中间人持有的证券权益向账户持有人或其他人主张权利时，中间人所负有的义务； |
| （f）the requirements，if any，for the realisation of an interest in securities held with an intermediary；and | | （6）如果有的话，实现中间人持有证券的权益的条件； |
| （g）whether a disposition of securities held with an intermediary extends to entitlements to dividends，income，or other distributions，or to redemption，sale or other proceeds． | | （7）中间人持有的证券的转让是否及于股息分配、利息或其他分红，或债务偿还、买卖或其他程序。 |
| 2．This Convention determines the law applicable to the issues referred to in paragraph（1）in relation to a disposition of or interest in securities held with an intermediary even where the rights resulting from the credit of those securities to a securities account are determined in accordance with paragraph（1）（a）to be contractual in nature． | | 2．本公约所确定的法律适用于与第1款规定的由中间人持有证券的转让或权益有关的问题，即使根据第1款第1项，依贷入证券至证券账户所产生的权利具有合同性质。 |
| 3．Subject to paragraph（2），this Convention does not determine the law applicable to | | 3．根据第2款，公约确定法律不适用于： |
| （a）the rights and duties arising from the credit of securities to a securities account to the extent that such rights or duties are purely contractual or otherwise purely personal； | | （1）因贷入证券至证券账户所产生的权利及义务纯属合同问题或其他人身问题； |
| （b）the contractual or other personal rights and duties of parties to a disposition of securities held with an intermediary；or | | （2）当事人在中间人持有证券转让方面的合同或其他人身权利及义务；或 |
| （c）the rights and duties of an issuer of securities or of an issuer's registrar or transfer agent，whether in relation to the holder of the securities or any other person． | | （3）证券发行人或发行人的注册人或转让代理机构的权利义务，无论是否涉及证券持有人或其他任何人。 |
| Article 3 Internationality | | 第三条 国际性 |
| This Convention apples in all cases involving a choice between the laws of different States． | | 公约适用于所有涉及不同国家法律选择的案件。 |
| CHAPTERⅡ DETERMINATION OF THE APPLICABLE LAW | | 第二章 法律适用 |
| Article 4 Primary rule | | 第四条 主要规则 |
| 1．The law applicable to all the issues in Article 2（1），is the law in force in the State expressly agreed in the account agreement as the State whose law governs the account agreement or，if the account agreement expressly provides that another law is applicable to all such issues，that other law．The law designated in accordance with this provision applies only if the relevant intermediary has，at the time of the agreement，an office in that State，which— | | 1．适用于公约第二条第1款规定的所有问题的法律为账户协议明示选择的成员国现行的法律，该法律支配账户协议。或者，适用账户协议明确规定的另外国家的法律。根据本规定，该被选择法律的适用仅在账户协议签订时相关中间人在该国有分支机构，且通过该分支机构在该国： |
| （a）alone or together with other offices of the relevant intermediary or with other persons acting for the relevant intermediary in that or another State | | （1）单独或伙同该中间人的其他分支机构或其他人在该国或其他国家充当相关的中间人 |
| （i）effects or monitors entries to securities accounts； | | （a）实施或管理证券账户； |
| （ii）administers payments or corporate actions relating to securities held with the intermediary；or | | （b）负责支付或者从事与中间人持有证券有关的公司行为；或 |
| （iii）is otherwise engaged in a business or other regular activity of maintaining securities accounts；or | | （c）另外从事营业活动或其他管理账户的日常活动；或 |
| （b）is identified by an account number，bank code，or other specific means of identification as maintaining securities accounts in that State． | | （2）根据账号、密码或其他证明方式证明该分支机构在该国管理账户 |
| 2．For the purposes of paragraph（1）（a），an office is not engaged in a business or other regular activity of maintaining securities accounts | | 2．根据第1款规定，下列情况下，分支机构并不属于从事营业活动或其他管理账户的日常活动的机构： |
| （a）merely because it is a place where the technology supporting the bookkeeping or data processing for securities accounts is located； | | （1）仅仅是为保存账户或数据处理提供技术支持的所在地； |
| （b）merely because it is a place where call centres for communication with account holders are located or operated； | | （2）仅仅是为与账户持有人进行通讯联系的所在地或实施地； |
| （c）merely because it is a place where the mailing relating to securities accounts is organised or file rooms are located；or | | （3）仅仅是为与账户有关的邮件、文件、档案的组织地或所在地； |
| （d）if it engages solely in representational functions or administrative functions．other than those related to the opening or maintenance of securities accounts，and does not have authority to make any binding decision to enter into any account agreement． | | （4）如果主要从事的是代理职能或管理职能，而与证券账户的开户和管理无关，以及无权签订任何有约束力的账户协议。 |
| 3．In relation to a disposition by an account holder of securities held with a particular intermediary in favour of that intermediary，whether or not that intermediary maintains a securities account on its own records for which it is the account holder，then for the purposes of this Convention | | 3．对于为了特定的持有证券的中间人而通过账户持有人的转让，无论该中间人是否根据其记录管理该证券账户，该中间人即是公约所称的账户持有人： |
| （a）that intermediary is the relevant intermediary； | | （1）该中间人是该相关中间人； |
| （b）the account agreement between the account holder and that intermediary is the relevant account agreement；and | | （2）账户持有人和中间人之间的账户协议即是该相关的账户协议； |
| （c）the securities account for the purposes of Article 5（2）and（3）is the securities account to which the securities are credited immediately prior to the disposition． | | （3）符合公约第五条第2至3款的证券账户即是在证券被转让之前被及时贷入证券的账户。 |
| Article 5 Fall—back rules | | 第五条 备用规则 |
| 1．If the applicable law is not determined under Article 4，but it is expressly and unambiguously stated in a written account agreement that the relevant intermediary entered into the account agreement through a particular office，then the law applicable to all the issues specified in Article 2（1），is the law in force in the State，or the territorial unit of a Multi—unit State，in which that office was then located，provided that such office then satisfied the conditions referred to in the second sentence of Article 4（1）．In determining whether an account agreement expressly and unambiguously states that the relevant intermediary entered into the account agreement through a particular office，none of the following shall be considered | | 1．如果根据第四条不能确定准据法，但中间人在书面性账户协议中明确指出要通过一个特定营业所管理账户的，那么，适用于公约第二条第1款所列各类问题的法律即是在公约第四条第1款中所规定的营业所所在国家或多法域国家法域的现行法。在确定账户协议是否明确规定相关中间人通过特定营业所管理账户时，不需考虑以下情况： |
| （a）a provision that notices or other documents shall or may be served on the relevant intermediary at that office； | | （1）关于通知或其他文件将要或可以送达到该相关中间人营业所的规定； |
| （b）a provision that legal proceedings may be instituted against the relevant intermediary in a particular State or in a particular territorial unit of a Multi—unit State； | | （2）关于将要或可以在特定国家或特定多法域国家法域针对相关中间人实施法律程序的规定； |
（c）a provision that any statement or other document is to be provided by the relevant intermediary from that office；
．．．．．． | | （3）关于任何陈述或其他文件将要或可以由相关中间人在该营业所提供的规定； |
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