TPF Guidelines （保密）

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1 China Interna+onal Economic and Trade Arbitra+on Commission Hong Kong Arbitra+on Center Guidelines for Third Party Funding for Arbitra+on 1. Introduc+on 1.1 These Guidelines ( Guidelines ) set out certain principles of prac9ce and conduct which China Interna9onal Economic and Trade Arbitra9on Commission Hong Kong Arbitra9on Center ( CIETAC Hong Kong ) encourages par9es and arbitrators to observe in respect of actual or an9cipated arbitra9on proceedings administered by CIETAC Hong Kong in which there is or may be an element of third party funding ( Funding ). 1.2 Under the Guidelines, Funding arises when a person or en9ty who does not, or will not, have an interest recognized by law in the arbitra9on other than under the funding arrangement ( Funder ) contributes funds directly or indirectly, or provides other material support to a party in arbitra9on ("Funded Party") and has a direct economic interest in the award to be rendered in the arbitra9on. 1.3 Funding under the Guidelines may not be taken to be provided merely because a party arranges financial support from a group company; procures insurance; and/or obtains legal services on a deferred payment or con9ngency fee basis. 1.4 The Guidelines are voluntary. Accordingly, par9es and arbitrators shall not be deemed to have adopted all or any part of the Guidelines simply because of their par9cipa9on in arbitra9on proceedings in which there is an element of Funding. 1.5 The Guidelines reflect the understanding of the working group members listed in Schedule I to the Guidelines ( Working Group Members ) as to certain principles of interna9onal best prac9ce in rela9on to Funding. 1.6 The Guidelines may be cited as CIETAC Hong Kong TPF Guidelines. 2. Par+es seeking Funding 2.1 Funding Agreement: A party seeking Funding should ensure that the terms and condi9ons of any Funding arrangement are set out in a formal arbitra9on funding agreement ( Funding Agreement ). 2.2 Independent legal advice: Prior to entering into a Funding Agreement, a party seeking Funding should consider obtaining independent legal advice to, inter alia, establish the permissibility of Funding under the laws applicable to the arbitra9on and review the terms of the prospec9ve Funding Agreement.

2 2.3 Incorpora+on of Funder: If a prospec9ve Funder purports to be an incorporated company, a party seeking Funding should sa9sfy itself that the prospec9ve Funder is duly incorporated in accordance with applicable laws. 2.4 Capital adequacy of Funder: A party seeking Funding should sa9sfy itself that a prospec9ve Funder has reliable and sufficient available capital to meet the funding arrangements an9cipated in the terms of the prospec9ve Funding Agreement, apart from fulfilling other requirements set in any relevant codes of prac9ce and/or regula9ons. 2.5 Confiden+ality: A party seeking Funding should, in applying for or nego9a9ng the terms of any prospec9ve Funding Agreement, consider the effect of any applicable confiden9ality provisions or laws. In par9cular, it should give considera9on to any disclosure, rela9ng to the proceedings, which a prospec9ve Funder and/or its legal adviser may require pursuant to its decision to fund, or under the prospec9ve Funding Agreement. 2.6 Non-disclosure agreement: To further protect the confiden9ality of informa9on disclosed to any prospec9ve Funder and/or its legal adviser, a party seeking Funding should also consider entering into a non-disclosure agreement with the prospec9ve Funder and/or its legal adviser. 2.7 Privilege and disclosure: A party seeking Funding should consider whether communica9ons between itself and any prospec9ve Funder and/or its legal adviser may be disclosable in subsequent proceedings. If necessary, a party seeking Funding should take independent legal advice before providing any poten9ally confiden9al informa9on to the prospec9ve Funder and/or its legal adviser. 2.8 Financial liabili+es: A party seeking Funding should consider whether, and to what extent, a prospec9ve Funder will be liable for adverse costs, insurance premiums, security for costs and other financial liabili9es. 2.9 Control of proceedings: A party seeking Funding should carefully consider the nature and extent of any prospec9ve Funder s control over proceedings. Where the prospec9ve Funding Agreement an9cipates significant Funder consulta9on on case strategy and seclement, independent legal advice may need to be taken as to the implica9ons of such arrangements Withdrawal of Funding: A party seeking funding should consider carefully the nature and effect of the termina9on and withdrawal provisions (such as when, and on what basis a Funding Agreement may be terminated) under the prospec9ve Funding Agreement. 3. Funded Par+es 3.1 Disclosure of Funding Agreement: A Funded Party must give wricen no9ce to the arbitral tribunal and each party to the arbitra9on via the Arbitra9on Court of CIETAC Hong Kong

3 of: (i) the fact that a Funding Agreement has been entered into; and (ii) the name of the Funder. 3.2 No+ce of termina+on of Funding Agreement: Should a Funding Agreement end (other than because of the end of the arbitra9on) no9ce must be given by the Funded Party to the arbitral tribunal and each party to the arbitra9on via the Arbitra9on Court of CIETAC Hong Kong aeer the Funding Agreement ends of: (i) the fact that the Funding Agreement has ended; and (ii) the date when the Funding Agreement ended. 4. Arbitral tribunal 4.1 Disclosure: Where the arbitral tribunal considers it appropriate, it may invite, or in certain cases direct, any Funded Party to disclose its Funding. An order that a Funded Party disclose its Funding may require disclosure by the Funded Party of the fact that it is funded; the name and address of the Funder; and any other informa9on required by applicable laws or rules or which the arbitral tribunal otherwise considers necessary. 4.2 Conflicts of interest: Upon becoming aware of the existence of Funding in respect of any proceedings, the arbitral tribunal should posi9vely consider its own independence and impar9ality in light of this informa9on and take any such steps as are required under applicable laws or rules. 4.3 Security for costs: An arbitral tribunal may, to the extent permiced by applicable laws or rules, consider whether the existence and extent of Funding is a relevant factor when considering any applica9on for security for costs. Schedule I. Working group members Dr. Nicolas Wiegand, and Dr. Dorothee Ruckteschler, CMS Hasche Sigle (Hong Kong/Germany) Paul Starr, and James McKenzie, King & Wood Mallesons James Rogers, Norton Rose Fulbright Machew Townsend, Fangda Partners Christopher Boog, Schellenberg WiCmer Robert Rhoda, Bird & Bird Andrew Aglionby, ArbitraFon Chambers Cameron Hassall, Clifford Chance

4 中国国际经济贸易仲裁委员会香港仲裁中心第三方资助仲裁指引 ( 中译本 ) 1. 引言 1.1 中国国际经济贸易仲裁委员会香港仲裁中心 ( 贸仲香港 ) 列出了若干实务和行为规范并据此制定了本指引 ( 指引 ) 贸仲香港鼓励仲裁当事人和仲裁员在其管理的涉及或预期涉及第三方资助 ( 资助 ) 的案件中遵循本指引进行仲裁程序 1.2 本指引所指的资助源于自然人或法人 ( 资方 ) 资方对一个仲裁案件享有的或将享有的获法律认可的利益仅源于其与该仲裁案件一方的仲裁当事人 ( 受资方 ) 的有关安排基于该安排, 资方向受资方直接或间接提供资金或其他实质性的支持, 以期获得仲裁裁决带来的直接经济利益 1.3 下述行为不必然构成本指引所指的资助 : (1) 集团公司成员之间的资金支持 ; (2) 仲裁当事人购买保险 ; 及 / 或 (3) 仲裁当事人迟延支付或通过风险代理模式支付法律服务费用 1.4 本指引非强制性规范因此, 如果仲裁案件中含有资助, 并不视为仲裁当事人及仲裁员已当然地适用本指引的全部或部分内容 1.5 本指引反映了由附件一所列的工作小组成员对于资助的有关国际最佳做法的原则性理解 1.6 本指引可被引称为贸仲香港第三方资助仲裁指引 2. 寻求资助的仲裁当事人 2.1 资助协议 : 寻求资助的仲裁当事人应确保与资助安排有关的条款和条件以正式的资助仲裁协议 ( 资助协议 ) 的形式固定 2.2 独立法律意见 : 订立资助协议前, 寻求资助的仲裁当事人应考虑寻求独立法律意见独立法律意见应涵盖适用于仲裁案件的相关法律是否允许资助以及对拟签订的资助协议的具体条款的意见 2.3 法人形式的资方 : 有资助意向的资方系以法人形式存在的, 寻求资助的仲裁当事人应确保该有资助意向的资方系依法设立 2.4 资方资金充裕度 : 寻求资助的仲裁当事人应确保有资助意向的资方具有可靠且充足的资金, 在满足针对资方的有关业务守则或规范的要求的基础上, 同时满足拟签订的资助协议对资金的预期需求 2.5 保密义务 : 寻求资助的仲裁当事人参与协商拟签订的资助协议有关条款时, 特别是当面对有资助意向的资方或资方的律师要求其根据拟签订的资助协议进行资料披露或表示将依据披露的信息以决定是否资助时, 应注意与仲裁案件有关的协议或适用法律中所涉保密义务 2.6 保密协议 : 寻求资助的仲裁当事人应考虑与有资助意向的资方或资方的律师达成保密协议, 以进一步保护其披露的资料的保密性

5 2.7 保密特权及披露 : 寻求资助的仲裁当事人应考虑到与有资助意向的资方或资方的律师的通讯有可能在仲裁程序中被要求披露如有必要, 寻求资助的仲裁当事人在向有资助意向的资方或资方的律师提供任何保密性的资料前, 应事先独立咨询相关法律意见 2.8 责任的划分 : 寻求资助的仲裁当事人应考虑有资助意向的资方是否应承担或承担多少败诉时胜诉方的仲裁费用保险费仲裁费用保证金及其他费用 2.9 程序的控制 : 寻求资助的仲裁当事人应审慎考虑有资助意向的资方对仲裁程序介入和干预的情形和程度如果拟签订的资助协议中约定涉及关于仲裁案件的策略与和解问题须与资方重点协商, 寻求资助的仲裁当事人可以考虑咨询独立法律意见, 了解这些安排可能产生的后果 2.10 资助的撤回 : 寻求资助的仲裁当事人应审慎考虑拟签订的资助协议中撤回资助条款的性质和后果 ( 例如, 资助可被撤回的情形和时间 ) 3. 受资方 3.1 资助协议的披露 : 受资方与资方在达成资助协议后, 应毫不迟延地将达成资助协议这一情况和资方的姓名或名称告知贸仲香港仲裁院仲裁庭和其他各方当事人 3.2 资助协议终止的通知 : 若资助协议于仲裁程序终结前终止, 受资方应毫不迟延地将资助协议终止这一情况和终止时间告知贸仲香港仲裁院仲裁庭和其他各方当事人 4. 仲裁庭 4.1 披露 : 仲裁庭可根据案件情况, 邀请或要求受资方披露资助披露范围可包括受资方受资助的事实资方的姓名或名称及地址, 以及其他相关法律或规则所要求的或仲裁庭认为必要的其他资料 4.2 利益冲突 : 仲裁庭知悉其案件含资助的, 应主动考虑于该资助是否会影响其保持独立性和公正性, 并依照适用法律和规则采取相应的措施 4.3 仲裁费用保证金 : 在法律和规则允许的情况下, 仲裁庭在审核仲裁费用保证金申请时, 可将资助的存在和程度作为考虑因素附件一 : 工作小组成员 Dr. Nicolas Wiegand, and Dr. Dorothee Ruckteschler, CMS Hasche Sigle (Hong Kong/Germany) Paul Starr, and James McKenzie, King & Wood Mallesons James Rogers, Norton Rose Fulbright Machew Townsend, Fangda Partners Christopher Boog, Schellenberg WiCmer Robert Rhoda, Bird & Bird Andrew Aglionby, ArbitraFon Chambers Cameron Hassall, Clifford Chance

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