国际融资租赁公约(原文译文对照)

1 Unidroit Convention on International financial leasing 国际统一私法协会 国际融资租赁公约 中国于 1988 年加入并签署 国际融资租赁公约 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 本公约各当事国 认识到在保持国际融资租赁交易各方的公正平衡的同时 消除对设备国际融资租赁的某些法 律障碍的重要性 意识到使国际融资租赁得以更多地使用的需要 意识到管辖着传统的租借合同的那些法规需要适应于融资租赁交易所造成的特有的三边关系 这一事实 因而认识到有必要制订出某些主要与国际融资租赁的民法和商法方面有关的统一规则 兹协议如下 CHAPTER I SPHERE OF APPLICATION AND GENERAL PROVISIONS 第一章 适用范围和总则 Article 1 1 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 and b 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 and 2 c 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 第一条 1 本公约管辖第 2 款所指的融资租赁交易 其中 一方 出租人 a 按照另一方 承租人 的规格要求同某个第三方 供货人 订立一项协议 根据该协议 出租人按承租人就涉及其利益的部分所认可的条件取得不动产 厂场或其它设备 设备 并且 b 同承租人订立一项协议 租赁协议 以承租人支付租金为条件 授予承租人使用设备的 权利 2 前款所指的融资租赁交易是一种包括以下特点的交易 a 承租人指定设备和选择供货人 并且不主要地依赖出租人的技能和判断 b 出租人之取得设备是同某一租赁协议相关联的 并且供货人知悉该协议已经或必将在出租 人和承租人之间订立 以及 c 该租赁协议项下应付租金的计算是特别考虑了摊提设备的全部或大部分成本的 3 无论承租人是否已有或随后取得购买该设备或凭另一租期的租赁协议占有该设备的任择 权 也无论是支付名义货价还是支付租金 本公约均适用 4 本公约适用于涉及所有的设备的融资租赁交易 除非该设备将主要供承租人个人 家人 或家庭使用 Article 2 In 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 第二条 在涉及同一设备的一次或多次转租赁交易的情况下 本公约适用于每笔是融资租赁交易因而 本应受本公约管辖的交易 如同 前条第 1 款所规定的 向第一出租人提供设备的是供货人 和据以取得设备的协议是供货协议那样 Article 3 1 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 party s 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 3 第三条 1 本公约适用于出租人和承租人的营业地在不同的国家以及 a 这些国家及供货人有其营业地的国家是缔约国 b 供货协议和租赁协议均受某一缔约国的法律管辖 2 本公约所指的某一方的营业地 若是其有一个以上的营业地时 系指同相关协议及其履 行关系最密切的那个营业地 但应顾及各方在订立该协议前任何时候或在订立协议时已 知或已设想到的情况 Article 4 1 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 第四条 1 本公约的条款不得纯粹由于设备已成为土地的附着物或已嵌入土地内而终止适用 2 任何关于该设备是否已成为土地的附着物或已嵌入土地内的问题以及如果该设备已成为 土地的附着物或已嵌入土地内时其对出租人以及对享有该土地的物权的人之间的权利的 影响 应由该土地所在国的法律确定 Article 5 1 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 第五条 1 除非供货协议的每一方和租赁协议的每一方都同意排除本公约的适用 本公约才可排除 适用 2 凡本公约的适用未按前款排除者 各方在其相互关系中可以减损或改变其任何条款的效 力 但第八条第 3 款和第十三条第 3 b 款和第 4 款除外 Article 6 1 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 第六条 1 在解释本公约时 应顾及前言中所申明的本公约的目标和宗旨 顾及其国际性质以及顾 及促进其适用时的一致性和在国际贸易中遵守诚信的需要 4 2 涉及到由本公约管辖的事宜而未在本公约中明确解决的问题 应按照本公约所依据的总 原则来解决 或是在没有这种总原则时 应按照国际私法规则所确定的适用法律来解决 CHAPTER II RIGHTS AND DUTIES OF THE PARTIES 第二章 各方的权利和义务 Article 7 1 a The lessor s real right in the equipment shall be valid against the lessee s 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 lessee s estate for the benefit of the general body or creditors 2 Where by the applicable law the lessor s 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 lessor s 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 第七条 1 a 出租人对设备的物权应可有效地对抗承租人的破产受托人及债权人 包括已得到扣押 令状和执行令状的债权人 b 就本款而言 破产受托人 包括清算人 管理人或被指定为债权人的全体的利益而管理 承租人财产的其他人 2 凡按照适用法律只有在符合于公告的规定时出租人对设备的物权才可有效地对抗前款所 指的人者 则只有如果符合此种规定时 这些权利才可有效地对抗该人 3 就前款而言 适用法律是当第 1 款所指的人有权援引前款所指规则时下述国家的法律 a 如系经注册的船舶 是以船主名义注册的国家 就本款而言 光船租船人不视为船主 b 如系按 1944 年 12 月 7 日于芝加哥制订的国际民航公约注册的航空器 是据此注册的国家 c 如系通常从一国向另一国移动的那类其它设备 包括飞机引擎 是承租人设有其主营业地 的国家 5 d 如系其它设备 是设备所在的国家 4 第 2 款不得影响任何其它需据以承认出租人对设备的物权的条约的规定 5 本条不得影响享有以下权利的任何债权人的优先权 a 拥有非由于扣押令状或执行令状而引起的 经同意或非经同意的对设备的留置权或担保 利益 或 b 根据国际私法规则确定的适用法律对特别是船舶或飞机拥有的任何扣留 扣押或处置的 权利 Article 8 1 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 lessor s skill and judgment and of the lessor s 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 lessee s 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 第八条 1 a 除非本公约另有约定或租赁协议中另有说明 出租人不应对承租人承担设备方面的任 何责任 只要承租人不是由于依赖出租人的技能和判断以及由于出租人干预对供货人的选择 或对设备的指定而受到损失 c 出租人不应以其出租人身份而对第三方承担因设备所造成的死亡 人身伤害和财产损失的 责任 d 本款的上述规定不适用于出租人以任何别的身份 例如所有权人的身份 所应承担的任何 责任 2 出租人担保承租人的平静占有将不受享有优先所有权或权利 或者主张享有优先权或权 利并受法院授权行动的人的侵扰 只要这种所有权 权利或主张不是由于承租人的作为或不 作为所致 3 只要这种所有权 权利或主张是由于出租人的故意的或严重疏忽的作为或不作为所致 各方就不得减损或变更前款中的规定的效力 4 第 2 和 3 款的规定不得影响出租人根据国际私法所规定的适用法律所作出的对平静占有 的强制性的更广泛的担保 Article 9 1 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 6 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 第九条 1 承租人应妥善照看设备 以合理的方式使用设备并使之保持交付时的状态 但合理损耗 及各方商定的对设备的任何改装除外 2 当租赁协议终止时 承租人除非行使购买权或行使凭另一租期的租赁协议而持有设备的 权利 否则应以前款规定的状态把设备退还给出租人 Article 10 1 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 第十条 1 供货人在供货协议项下的义务也应及于承租人 如同承租人是该协议的一方以及如同设 备是直接供给承租人的一样 但是 供货人不应就同一损害同时对出租人和承租人负责 2 本条丝毫不应使承租人有权不经出租人同意而终止或撤销供货协议 Article 11 The lessee s 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 第十一条 承租人根据本公约的来自供货协议的权利 不得因原先经承租人认可的供货协议的任何条款 发生变更而受到影响 除非承租人同意此变更 Article 12 1 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 7 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 lessee s right against the supplier under Article 10 第十二条 1 凡是设备未交付或迟交付或与供货协议不符时 a 承租人有权针对出租人拒收设备或终止租赁协议 以及 b 出租人有权按供货协议提交设备作为违约补救 如同承租人已同意按供货协议的同样条款 从出租人那里购买设备一样 2 前款所赋予的权利应如同承租人已同意按供货协议的同样条款从出租人那里购买设备那 样 以相同的方式行使和在同样情况下丧失 3 承租人应有权提留租赁协议项下的应付租金 直到出租人已补救其过失和提交了符合供 货协议的设备或承租人已丧失拒收设备的权利时止 4 凡是承租人已行使其终止租赁协议的权利时 承租人应有权收回任何预付的租金及其它 款项 但应减去承租人已从该设备取得的任何利益的合理金额 5 承租人不得因不交付 交付迟延或不合格设备的交付而对出租人有任何别的主张 除非 这些是由于出租人的作为或不作为所致 6 本条丝毫不影响承租人依第十条而享有的针对供货人的权利 Article 13 1 In the event of the default by the lessee the lessor may recover accrued unpaid rentals together with interest and damage 2 Where the lessee s 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 and b 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 第十三条 1 若遇承租人违约 出租人可以收取到期未付租金 连同利息及损失赔偿 8 2 若承租人根本违约 则若租赁协议如此规定 则出租人还可以在第 5 款的条件下要求加 速支付未到期租金的金额 或可以终止协议 并在该终止后 a 收回对设备的占有 以及 b 收取将使出租人处于如同承租人按租赁协议的条款履行租赁协议时本应取得的地位的损失 赔偿 3 a 租赁协议可以规定按第 2 b 收取损失赔偿时的计算方法 b 此种规定在各方间应是强制性的 除非它会使损失赔偿大大超过第 2 b 款所规定的损失 赔偿 各方不得减损或变更本款的规定的效力 4 凡出租人已终止租赁协议者 它不应有权强制执行租赁协议中规定的加速支付未到期租 金的条款 但在按第 2 b 款和第 3 款计算损失赔偿时 可以把这种租金的金额考虑在 内 各方不得减损或变更本款的规定的效力 5 在违约可以补救的情况下 除非出租人已经给了承租人以补救违约的合理机会 否则出 租人不得行使第 2 款所规定的加速支付权或终止权 6 就出租人未采取一切合理的步骤以减轻其损失的部分而言 出租人不得收取损失赔偿 Article 14 1 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 第十四条 1 出租人可以转让或以其它方式处理其对设备的或凭租赁协议所享有的全部或任何权利 这种转让不应解除出租人在租赁协议项下的任何义务或改变租赁协议的性质或本公约所 规定的其法定待遇 2 承租人只有在出租人同意和不损害第三方权利时才可以转让其对设备的使用权或在租赁 协议项下的任何其它权利 CHAPTER III FINAL PROVISIONS 第三章 最后条款 Article 15 1 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 it 3 This Convention is open for accession by all States which are not signatory States as from the date it is open for signature 4 Ratification acceptance approval or accession is effected by the deposit of a formal instrument to that effect with the depositary 第十五条 1 本公约在通过国际统一私法协会国际保付代理公约草案和国际融资租赁公约草案的外交 9 会议闭幕会上开放签署并直至 1990 年 12 月 31 日仍在渥太华开放签署 2 本公约需经签署国批准 接受或核准 3 本公约自开放签署之日起开放给非签署国的所有国家加入 4 批准 接受 核准或加入通过向保管人交存具有该效力的正式文件而生效 Article 16 1 This Convention enters into force on the first day of the month following the expiration of si