香港第三者资助仲裁相关法律即将生效

 

一、香港第三者资助仲裁的立法历程

 

2017年1月11日，香港律政司在《2016年仲裁及调解法例（第三者资助）（修订）条例草案》（以下简称“《条例草案》”）公布后，向立法会提交了该《条例草案》，旨在修订《仲裁条例》（第609章）及《调解条例》（第620章）以“厘清第三者资助仲裁及第三者资助调解，均不受助讼及包揽诉讼的普通法法则禁止；及订立相关措施及保障”。

 

2017年6月23日，律政司正式公布了《2017年仲裁及调解法例（第三方资助）（修订）条例》（2017年第6号条例）（以下简称“新修订《仲裁条例》”），根据修订《仲裁条例》第3条，增补《仲裁条例》（第609章）第10A部“第三者资助仲裁”内容，为香港仲裁程序规定第三者资助的基本框架。

 

2018年8月30日，律政司根据《仲裁条例》（第609章）授权，就《第三者资助仲裁及调解实务守则》的拟稿（以下简称“《实务守则》拟稿”）展开为期2个月的公众咨询。针对各方对拟稿提出的多项建议，律政司对《实务守则》拟稿进行了一定修改和调整。

 

2018年12月3日，律政司公布《2018年〈2017年仲裁及调解法例（第三者资助）（修订）条例〉（生效日期）公告》（以下简称“《生效公告》”），指定2019年2月1日为该条例第3条（仅限于在该条范围关乎新订第10A部第3及5分部就该部所指的仲裁而适用的范围内）开始实施的日期。

 

2018年12月7日，根据《仲裁条例》（第609章）授权，律政司正式公布《第三者资助仲裁实务守则》（以下简称“《实务守则》”）。根据上述《生效公告》，2019年2月1日新修订《仲裁条例》及其《实务守则》将正式生效。

 

二、新修订《仲裁条例》及其《实务守则》的内容

 

根据香港新修订《仲裁条例》（第609章）第98G条规定，“第三者资助仲裁”是指由出资第三者根据资助协议向受资助方提供仲裁资助以为了在限定情况下收取财务利益的情形，若该仲裁按该资助协议所指属成功者，该出资第三者方可收取该等财务收益。此外，第98H条至98G条还对资助协议、受资助方和出资第三者进行了界定。根据第98Q条规定，依据第98P发出的实务守则应包括如下内容，第三方资助人必须确保其提供的推广资料清楚且无误导，资助协议必须列明其主要特点、风险以及相关条款，对于第三方资助人最低资本的要求、争议解决机制、处理利益冲突的程序。值得注意的是，第98S条规定，虽然在法庭和仲裁庭上实务守则本身或是违反实务守则的行为可以被采信，但是仅仅违反实务守则并不会导致被诉。即遵守《实务守则》并非强制性义务，但在某些情况下违反《实务守则》还是会产生影响。[i]

 

就内容而言，新修订《仲裁条例》对第三者资助仲裁进行了整体的规范，而《实务守则》则主要规定了第三者资助仲裁的标准和常规，具体包括：“附属公司及有联系实体的责任”（第2.1条）、“推广材料”（第2.2条）、“资助协议”（第2.3条）、“资本充足要求”（第2.5条）、“利益冲突”（第2.6条和第2.7条）、“保密性及法律专业保密权”（第2.8条）、“控制权”（第2.9条）、“披露”（第2.10条和第2.11条）、“费用与讼费方面的法律责任”（第2.12条）、“资助协议终止的理由”（第2.13条至2.16条）、“与资助协议有关的争议”（第2.17条）、“投诉程序”（第2.18条）及“周年报表”（第2.19条）。由此可见，《实务守则》的内容与新修订《仲裁条例》相关条款基本一致。

 

三、值得关注的几个问题

 

本文将对第三者资助仲裁中的“利益冲突”问题、“披露”问题以及“费用与诉费方面的法律责任”问题进行分析。

 

首先，关于利益冲突问题，《实务守则》第2.6条和第2.7条进行了的规定。根据第2.6条和第2.7条，出资第三者：（1）须在资助协议持续期间维持有效的程序，以管理因出资第三者就资助协议所从事的活动而可能产生的利益冲突；（2）须在资助协议持续期间维持识别及管理利益冲突的书面程序；以及（3）不得采取任何会引致或可引致受资助方的法律代表违反其专业职责而行事的步骤。其中第（2）项中的书面程序具体包括以下事宜的程序：（a）监察出资第三者的运作，以识别及评估潜在的利益冲突；（b）向受资助方及潜在受资助方披露利益冲突；（c）管理可能出现利益冲突的情况；（d）保障受资助方及潜在受资助方的利益；（e）处理出资第三者及受资助方或潜在受资助方行事的情况；（f）处理出资第三者、律师及受资助方（或潜在受资助方）相互之间有先前存在关系的情况；（g）检讨资助协议的条款，确保有关条款符合第609章第10A部及本《实务守别》;以及（h）向潜在受资助方进行推销。由上述规定可知，资助第三者在处理利益冲突问题时，其关键还是在于在资助协议持续期间建立有效的程序来识别并管理利益冲突，其中就包括对受资助方及潜在资助方就有关得利益冲突进行披露。

 

其次，关于披露问题，《实务守则》第2.10条和第2.11条进行了的规定。根据第2.10条，出资第三者须提醒受资助方，该方有责任根据第609章第98U及98V条披露有关第三者资助仲裁的资料。根据第609章第98U条规定，如订立资助协议，受资助方须就已订立资助协议一事及出资第三者的姓名或名称向仲裁另一方或仲裁机构发出书面通知。具体而言，如资助协议在仲裁进行期间或之前订立的，该书面通知应当在仲裁期间发出；如资助协议在仲裁程序之后订立的，则该书面通知应在资助协议订立之日起15日内发出。根据第98V条规定，如资助协议终止（因仲裁程序结束的情况除外），受资助方须就资助协议已终止一事以及具体的终止日期在终止之日起15日内向仲裁另一方和仲裁机构发出书面通知。由此可见，此处的披露对象是仲裁当事方接受第三者资助这一事实本身，即资助协议的存在，且披露对象为仲裁另一方当事人以及仲裁机构，因此与“利益冲突”中的披露义务不同。

 

最后，关于“费用与讼费方面的法律责任”问题，《实务守则》第2.12条进行了规定。根据该条规定，资助协议须述明出资第三者会否须为以下事项对受资助方负上法律责任（如须的话，所负法律责任的程度）:（1）承担不利费用或不利讼费的任何法律责任；（2）为取得费用保险而支付任何保费（包括保费税项）;（3）提供费用保证或讼费保证；以及（4）承担任何其他财务法律责任。本条仅就资助第三者根据资助协议向受资助方承担法律责任的情况进行了规定，即要求明确是否需要承担受资助方根据仲裁庭作出的费用担保裁定提供费用担保的责任，以及承担受自助方仲裁败诉需要承担的不利费用。

需要注意的问题：国际仲裁热议的第三者资助仲裁产生的相关费用的承担问题。即如果受资助方仲裁胜诉，仲裁败诉方除了需要承担通常的仲裁费用之外，是否还需同时承担受资助方因采用第三者资助而产生的高额费用（风险报酬）？该问题在仲裁实践中确实存在，而且争议很大，《实务守则》也无法就此问题进行规定，在香港第三者资助仲裁生效后，相关仲裁机构以及法院将如何处理该问题，值得我们保持密切关注。

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[i]卡罗琳・肯尼：“仲裁的创新与适应：国际仲裁中的第三方资助”，《商法》，2018年1月30日，具体可见：https://www.vantageasia.com/zh-hans/国际仲裁中的第三方资助/。

 

 

附录：《第三者资助仲裁实务守则》中英对照（官方译本）

 

第9048号公告

 

仲裁条例（第609章）

（根据第98P条所发出的公告）

第三者资助仲裁实务守则

 

现公布律政司司长作为《仲裁条例》（第609章）下的获授权机构，行使《仲裁条例》第98P条的规定于2018年12月7日发出下述附表列明的《第三者资助仲裁实务守则》。

 

附表

[第三者资助仲裁实务守则]

 

2018年12月7日

律政司司长郑若骅

 

G.N. 9048

 

Arbitration Ordinance (Chapter 609)

 (Notice under Section 98P)

CODE OF PRACTICE FOR THIRD PARTY FUNDING OF ARBITRATION

 

It is hereby notified that, in exercise of the power conferred by section 98P of the Arbitration Ordinance (Chapter 609), the Secretary for Justice, as the authorized body under the Arbitration Ordinance, has issued the Code of Practice for Third Party Funding of Arbitration as set out in the Schedule on 7 December 2018.

 

SCHEDULE

[Code of Practice for Third Party Funding of Arbitration]

 

7 December 2018 

 

Teresa Y. W. CHENG Secretary for Justice

 

前言

根据《仲裁条例》（第609章）第10A部，获授权机关可发出实务守则，列出在通常情况下，期望第609章下的仲裁（包括紧急仲裁员程序、调解及法院程序）中的出资第三者在香港进行与第三者资助仲裁相关的活动方面，须遵从的常规和标准。现发出实务守则，并名为《第三者资助仲裁实务守则》（“《实务守则》”）。

 

Preamble

The authorized body is empowered under Part 10A of the Arbitration Ordinance(Cap. 609) to issue a code of practice setting out the practices and standards with which third party funders of arbitration (including emergency arbitrator proceedings, mediation and court proceedings under Cap. 609, are ordinarily expected to comply in carrying on activities in connection with third party funding of arbitration in Hong Kong. The code is now issued and named the Code of Practice for Third Party Funding of Arbitration("Code").

 

与《仲裁条例》的关系

本《实务守则》应与第609章一并阅读；若出现不明确的情况或与本《实务守则》有所抵触，概以第609章为准。在本《实务守则》中使用的词语，凡在第609章中有所界定者（包括为施行第609章第10A部而界定者），其含义应与第609章或其第10A部（视情况而定）所界定的相同。

 

Relationship with the Arbitration Ordinance

This Code should be read in conjunction with Cap. 609, which Ordinance shall prevail in the event of uncertainty or inconsistency with this Code The terms used in this Code, where they are defined in Cap. 609 (including for the purposes of Part 10A of Cap. 609), are intended to carry the same meanings as for Cap. 609 or Part 10A as the case may be.

 

适用

除第609章第98O（1）条指明的情况外，本《实务守则》适用于第609章第10A部第2分部所指的出资第三者。

 

Application

Exceptin the circumstances specified in section 98O (1) of Cap. 609, this Code applies to all third party funders within the meaning of Division 2 of Part 10A of Cap. 609.

 

目的 

本《实务守则》的目的是列出在通常情况下，期望出资第三者在香港进行与第三者资助仲裁相关的活动方面须遵从的常规和标准。

 

Purpose

The purpose of this Code is to set out the practices and standards that third party funders are ordinarily expected to comply in carrying on activities in connection with third party funding of arbitration in Hong Kong.

 

《实务守则》 

The Code

1. 引言

1.Introduction

释义

Interpretation

1.1 本《实务守则》藉提述纳人采用第609章（特别是在第10A部）所界定的词语。

1.1 The terms defined in Cap. 609 (in particular in its Part 10A) are incorporated by reference into this Code.

 

《实务守则》的涵盖范围

1.2 本《实务守则》适用于任何在本生效日期当日或之后开始生效或订立的资助协议，而该资助协议是由出资第三者与受资助方（包括潜在受资助方）为第三者资助仲裁而签订的。

 

Scope of Code

1.2This Code applies to any funding agreement commenced or entered into on or after the date of commencement of the Code between a third party funder and a funded party (including a potential funded party) for third party funding of Arbitration.

不遵从《实务守则》的后果

1.3 第609章第98S条载述不遵从《实务守则》的后果。

 

Consequences of non-compliance with the Code 

1.3 Section 98S of Cap. 609 sets out the consequences of failing to comply with the Code.

2. 第三者资助仲裁的标准和常规

 

2.Standards and practices in third party funding of arbitration

附属公司及有联系实体的责任

2.1 出资第三者须就其附属公司、有联系实体及任何担任其代理人的投资顾间遵从本《实务守则》一事承担责任。

 

Responsibility for Subsidiaries and Associated Entities

2.1A third party funder shall accept responsibility for compliance with this Code by its subsidiaries and associated entities and any investment advisors acting as its agent.

推广材料

2.2 出资第三者须确保其推广材料均属清楚及不具误导性。

Promotional Materials

2.2 A third party funder must ensure its promotional materials are clear and not misleading.

资助协议

2.3 出资第三者须：

（1）采取合理步骤，确保能使受资助方在订立资助协议前已知悉就该协议寻求独立法律意见的权利；

（2）在资助协议中提供在香港的送达地址，送达方式可与受资助方议定；

（3）在资助协议中列出及清楚解释所违议的资助及资助协议的所有主要特点及条款，包括但不限于第609章第10A部及本《实务守则》所列的事宜；以及

（4）列出根据第609章第10A部负责监察及检讨第三者资助的运作的咨询机构的姓名或名称及联络详情。

The Funding Agreement

2.3The third party funder must:

（1）take steps to ensure that the funded party is made aware of the right to seek independent legal advice on the funding agreement before entering into it;

（2）provide a HongKong address for service in the funding agreement subject to such mode of service as may be agreed with the funded party;

（3） set out and explain clearly in the funding agreement all the key  features and terms of the proposed funding and the funding agreement including, without limitation, the matters set out in Part 10A of Cap. 609 and in this Code: and

（4）set out the name and contact details of the advisory body responsible for monitoring and reviewing the operation of third party funding under Part 10A of Cap.609.

2.4 如受资助方以书面向出资第三者确认其在订立资助协议前，已就该协议取得独立法律意兄，即已遵从第2.3（1）段所指的责任。 

 

2.4The obligation under paragraph 2.3(1) is satisfied if the funded party confirms in writing to the third party funder that the funded party has taken independent legal advice on the funding agreement before entering into it.

 

资本充足要求

2.5出资第三者须：

（1）确保本身持续有能力：

（a）在所有债项到期支付及须清缴时支付该等债项；以及

（b）在至少36个月期间承担根据其所有资助协议的所有总体出资负债；

（2）借有至少港币2,000万元的可用资本；

（3）向咨询机构提供以下其中一项：

（a）就出资第三者最近期的周年财务报表（但不须包括相关财务报表）作出的审计意见的文本，该文本须在收到有关意见后的一个月内及在任何情况下须在每个财政年度完结后的六个月内提交；或

（b）由合资格的第三者（以核数师为佳，但第三者管理人或银行亦可）提供的合理证据，以证明出资第三者符合第（2）分段所列的最低资本要求；以及

（4）根据每一份资助协议，接受就其资本充足程度有持续的披露责任，包括：

（a）如因情况有变，出资第三者相信其按《实务守则》的规定对受资助方就其资本充足程度作出的陈述不再有效，则出资第三者有特定责任及时通知受资助方；以及

（b）作出明确承诺，如果有关任何审计期的审计意见附带保留意见（不包括因相关争议解决资助投资估值方面的不确定性而强调的任何事宜），或该审计意见对出资第三者继续营运的能力提出疑间，则：

（i）该出资第三者会迅速将有关保留意见或疑间告知受资助方；以及

（ii）受资助方有权就有关保留意见或疑间作进一步查询及采取其认为适当的进一步行动。

 

Capital Adequacy Requirements

2.5A third party funder must:

（1）ensure that it maintains the capacity to:

     (a)pay all debts when they become due and payable: and

     (b)cover all of its aggregate funding liabilities under all of its funding agreements for a minimum period of 36 months;

（2）maintain accessto a minimum of HK$20 million of capital;

（3）provide the advisory body with either : 

   (a) a copy of the audit opinion on the third party funder's most recent annual financial statements (but not the underlying financial statements) within 1 month of receipt of the opinion and in any case within 6 months of the end of each fiscal year; or

 (b)reasonable evidence from a qualified third party (preferably from an auditor, but alternatively from a third party administrator or bank) that the third party funder satisfies the minimum capital requirement set out in subparagraph (2); and 

（4）accept a continuous disclosure obligation under each funding agreement in respect of its capital adequacy, including: 

  (a) a specific obligation to give timely notice to the funded party if the third party funder believes that its representations to the funded party in respect of its capital adequacy as required by the Code are no longer valid because of changed circumstances; and 

    (b) a specific undertaking that if an audit opinion provided for any audit period 15 qualified (except as to any emphasis of matters relating to the uncertainty of valuing relevant dispute resolution funding investments) or expresses any question as to the ability of the third party funder, to continue as a going concern: 

        (i) it will promptly inform the funded party;and 

      (ii) the funded party enquire further into will be entitled to the qualification or question expressed and take any further action deems appropriate.

 

利益冲突

2.6 出资第三者：

（1）须在资助协议持续期间维持有效的程序，以管理因出资第三者就资助协议所从事的活动而可能产生的利益冲突；

（2）须在资助协议持续期间依循第2.7段所述的书面程序；以及

（3）不得采取任何会引致或可引致受资助方的法律代表违反其专业职责而行事的步骤。

 

Conflicts of Interest

2.6The third party funder must: 

(1) maintain, for the duration of the funding agreement, effective procedures for managing any conflict of interest that may arise in relation to activities undertaken by the third party funder in relation to the funding agreement; 

(2)follow the written procedures mentioned in paragraph 2.7 for the duration of the funding agreement; and 

(3)not take any steps that cause or may cause the funded party’s legal representative to act in breach of its professional duties. 

 

2.7 就第2.6（2）段而言，出资第三者如能以文件证明已采取以下步骤，即属已设立有效程序管理可能产生的利益冲突：

（1）出资第三者已检讨其有关资助协议的业务运作，以识别及评估潜在的利益冲突；

（2）出资第三者；

（a）设有识别及管理利益冲突的书面程序；以及

（b）已执行有关程序；

（3）每隔不超过12个月检讨有关书面程序一次；

（4）有关书面程序包括有关以下事宜的程序：

（a）监察出资第三者的运作，以识别及评估潜在的利益冲突；

（b）向受资助方及潜在受资助方披露利益冲突；

（c）管理可能出现利益冲突的情况；

（d）保障受资助方及潜在受资助方的利益；

（e）处理出资第三者及受资助方或潜在受资助方行事的情况；

（f）处理出资第三者、律师及受资助方（或潜在受资助方）相互之间有先前存在关系的情况；

（g）检讨资助协议的条款，确保有关条款符合第609章第10A部及本《实务守别》：以及

（h）向潜在受资助方进行推销；

（5）检讨资助协议的条款，确保有关条款符合第609章第10A部及本《实务守则》；以及

（6）由下列人士实施、监察及管理第（1）至（5）分段所述的事宜（包括第（4)（a）至（h）分段所述的程序）:

（a）如出资第三者是实体而非个人，则是该出资第三者的高级管理人员或合伙人；或

（b）如出资第三者是代表某实体的个人，则是该实体的高级管理人员或合伙人。

 

2.7 For paragraph 2.6(2), the third party funder has effective procedures for managing a conflict of interest that may arise if it can show through documentation that: 

(1) the third party funder has conducted a review of its business operations that relate to the funding agreement to identify and assess potential conflicting interests; 

(2) the third party funder: 

  (a) has written procedures for identifying and managing conflicts of interest; and

     (b) has implemented the procedures;

(3) the written procedures are reviewed at intervals no greater than 12 months; 

(4) the written procedures include procedures about the following:

     (a)  monitoring the third party funder’s operations to identify and assess potential conflicting interests; 

  (b) disclosing conflicts of interest to funded parties and potential funded parties; 

    (c) managing situations in which interests may conflict;

    (d) protecting the interests of funded parties potential funded parties; 

    (e) dealing with situations in which a lawyer acts for both the third party funder and a funded party or potential funded party; 

   (f) dealing with a situation in which there is a pre-existing relationship between any of the third party funder, a lawyer and afunded party (or potential funded party); 

    (g) reviewing the terms of a funding agreement to ensure the terms are consistent with Part 10A of Cap. 609 and this Code; and 

    (h) marketing to potential funded parties; 

(5)  the terms of the funding agreement are reviewed to ensure the terms are consistent with Part 10A of Cap. 609 and this Code; and

(6) the matters mentioned in subparagraphs (1) to (5) (including those procedures mentioned in subparagraph (4) (a) to (h)) are implemented, monitored and managed by: 

  (a) if the third party funder is an entity other than anindividual - the senior management or partners of the third party funder; or

  (b) if the third party funder is an individual that represents anentity - the senior management or partners of the entity. 

 

保密性及法律专业保密权

2.8 出资第三者须在香港法律及其他适用法律准许的情况下，为所有涉及有关仲裁及资助协议主要内容的资料和文件保密，并遵从有关法律专业保密权的规定。

 

Confidentiality and Legal Professional Privilege

2.8A third party funder will observe the confidentiality and privilege of all information and documentation relating to the arbitration and the subject of the funding agreement to the extent that Hong Kong law, or other applicable law, permits. 

 

控制权

2.9 资助协议须清楚列明：

（1）出资第三者不会寻求影响受资助方或受资助方的法律代表，令其将有关仲裁的控制权或操作事宜给予出资第三者，惟在法律准许的情况下则除外；

（2）出资第三者不会采取任何会引致或可能会引致受资助方的法律代表违反专业职责而行事的步骤以及

（3）出资第三者不会寻求影响第609章第98F条所指的“仲裁机构”以及任何所涉管理仲裁的机构。

 

Control

2.9The funding agreement shall set out clearly: 

（1）that the third party funder will not seek to influence the funded party or the funded party's legal representative to give control or conduct of the arbitration to the third party funder except to the extent permitted by law ; 

（2）that the third party funder will not take any steps that cause or are likely to cause the funded party‘s legal representative to act in breach of professional duties ;and 

（3）that the third party funder will not seek to influence the arbitration body and any arbitral institution involved . 

 

披露

2.10出资第三者须提醒受资助方，该方有责任根据第609章第98U及98V条披露有关第三者资助仲裁的资料。

 

Disclosure

2.10 The third party funder must remind the funded party of its obligation to disclose information about the third party funding of arbitration under sections 98U and 98V of Cap. 609. 

2.11为免生疑间，除非资助协议有所规定，或仲裁中的仲裁机构有所命令，或法律另有规定，否则仲裁的受资助方没有责任披露资助协议的详情。

 

2.11 To avoid doubt, the funded party to an arbitration does not have any obligation to disclose details of the funding agreement except as required by the funding agreement, or as ordered by the arbitration body in an arbitration, or as otherwise required by law .

 

费用和诉费方面的法律责任

2.12资助协议须述明出资第三者会否须为以下事项对受资助方负上法律责任（如须的话，所负法律责任的程度）:

（1）承担不利费用或不利讼费的任何法律责任；

（2）为取得费用保险而支付任何保费（包括保费税项）;

（3）提供费用保证或讼费保证；以及

（4）承担任何其他财务法律责任。

 

Liabilityfor Costs

2.12The funding agreement must state whether (and if so to what extent) the third party funder is liable to the funded party to: 

(1) meet any liability for adverse costs;

(2)pay any premium (including insurance premium tax) to obtain costs insurance; 

(3)provide security for costs; and

(4) meet any other financial liability.

 

终止的理由

2.13资助协议须述明出资第三者是否可以（如可以的括，则以何方式）在下述各种情况终止资助协议：

（1）出资第三者合理地不再信纳有关仲裁的理据；

（2）出食第三者合理地相信受资助方在有关仲裁中的腾算或成功追讨的可能性有重大不利转变；

（3）出资第三者合理地相信受资助方已严重违反资助协议。

 

Groundsfor Termination

2.13The funding agreement must state whether (and if so, how) the third party funder may terminate the funding agreement in the event that the third party funder: 

(1)reasonably ceases to be satisfied about the merits of the arbitration；

(2)reasonably believes that there has been a material adverse change of prospects to the funded party, s success in the arbitration or recovery on success; or

(3)reasonably believes that the funded party has committed a material breach of the funding agreement.

 

2.14资助协议不得为出资第三者设定酌情决定权，让其可在没有出现第2.13段所述的情况下终止资助协议。

 

2.14The funding agreement must not establish a discretionary right for a third party funder to terminate the funding agreement in the absence of the circumstances described in paragraph 2.13.

 

2.15资助协议须证明，如出资第三者终止资助协议，仍须承担累算至终止日期的所有资助责任，但若有关终止是因第2.13（3）段提述的严重违反资助协议一事而导致，则属例外。

 

2.15The funding agreement must provide that if the third party funder terminates the funding agreement, the third party funder is to remain liable for all funding obligations accrued to the date of termination unless the termination is due to a material breach as mentioned in paragraph 2.13(3).

 

2.16资助协议须订明，如受资助方合理地相信出资第三者已严重违法《实务守则》或资助协议而可导致不可补救的损害，可终止资助协议。

 

2.16 The funding agreement must provide that the funded party may terminate the funding agreement if it reasonably believes that the third party funder has committed a material breach of the Code or the funding agreement which may lead to irreparable damage. 

 

与资助协议有关的争议

2.17资助协议须订明一个中立、独立及有效的争议解决机制，以解决出资第三者与受资助方之间在资助协议下出现的争议或关乎资助协议而出现的争议。

 

Dispute regarding Funding Agreement 

2.17 The funding agreement must provide a neutral, independent and effective dispute resolution mechanism for settlement of any dispute arising under or in connection with the funding agreement between the third party founder and the funded party. 

 

投诉程序 

2.18出资第三者须订有以下有效程序，以处理针对出资第三者而提出的投诉：

（1）出资第三者须确保以适时和适当的方式，处理受资助方在资助协议下（或关乎资助协议）所提出的投诉；

（2）须采取步骤，适时对投诉作出调查和回应；

（3）如接到投诉，须适当地检视投诉的标的事宜；

（4）如投诉未获迅速补救，出资第三者须将受资助方根据资助协议、《实务守则》及《仲裁条例》可采取的其他步骤，告知受资助方；以及

（5）如投诉的标的事宜带出影响更广泛的问题，出资第三者须采取步骤对有关问题作出调查和补救，即使其他受资助方没有提出投诉亦然。

Complaints Procedure

2.18 The third party funder must maintain an effective procedure for addressing complaints against it as follows:

(1) the third party funder must ensure that complaints from a funded party under or in connection with the funding agreement are handled in a timely and appropriate way; 

(2) steps must be taken to investigate and respond to complaint in a timely way; 

(3) if a complaint has been received, the subject matter of the complaint must be properly reviewed; 

(4) if a complaint is not remedied promptly, the third party funder must advise the funded party of any further steps which may be available to the funded party under the funding agreement, the Code and the Ordinance; and

(5) if the subject matter of the complaint raises issues of more general concern, the third party funder must take steps to investigate and remedy such issues, even if other funded parties may not have complained. 

 

周年报表

2.19出资第三者须：

(1）就以下事项，向咨询机构提交周年报表：

（a）于报告期内收到的、受资助方针对出资第三者而提出的任何投诉；以及

（b）法院或仲裁庭裁断出资第三者于报告期内没有遵从《实务守则》或第609章第10A部的第5分部；以及

（2）回应咨询机构就任何事宜所要求的进一步资料或澄清。

 

Annual Returns

2.19The third party founder must:

(1) submit annual returns to the advisory body of:

 (a) any complaints against it by funded parties received during the reporting period; and

 (b) any findings by a court or arbitral tribunal of its failure to comply with the Code or Division 5 of Part 10A of Cap. 609 duringthe reporting period; and 

(2) respond to any request from the advisory body for further information or clarification concerning any matter.

 

 

 

                                                                                                             来源：微信公众号 临时仲裁ADA