China: 《关于内地与香港特别行政区法院就仲裁程序相互协助保全的安排》的解

Last Updated: 26 April 2019
Article by Kevin Shien
Most Read Contributor in China, July 2019

2019年4月2日下午,最高人民法院和香港特别行政区政府律政司在香港特区签署《关于内地与香港特别行政区法院就仲裁程序相互协助保全的安排》(以下简称《安排》),本文通过对比《安排》签署前后,内地与香港仲裁程序中当事人向另一法域申请保全的不同规定,重点解读《安排》签署后的一些新突破。

一、《安排》签署前,内地与香港仲裁程序中,当事人向另一法域申请财产保全的规定

(一)香港仲裁程序当事人向内地法院申请财产保全

1.法律依据

《中华人民共和国民事诉讼法》、《中华人民共和国仲裁法》、《最高人民法院关于人民法院办理财产保全案件若干问题的规定》以及《最高人民法院关于实施《中华人民共和国仲裁法》几个问题的通知》等规定了仲裁程序当事人可以向法院提出保全申请。但是,司法实践中普遍认为,上述规定所涉及的保全,仅适用于国内仲裁或者涉外仲裁程序中,而在香港等境外启动的仲裁程序,当事人能否向内地法院申请保全并无直接的规定。

2.实务案例

我们通过案例研究发现,香港仲裁程序的当事人向内地法院申请财产保全,除海事法院支持申请人的保全申请外,其他法院并无统一的做法。

(1)武汉海事法院支持了香港仲裁程序当事人提出的财产保全

参考案例:武汉海事法院(2016)鄂72财保427号申请保全案件

案情摘要:申请人海洋十一航运公司已经向已向香港国际仲裁中心申请仲裁,为保障将来生效的仲裁裁决的顺利执行,申请人向武汉海事法院请求对被申请人老挝开元矿业有限公司在大陆的财产采取财产保全措施。

裁判结果:武汉海事法院以《中华人民共和国仲裁法》第二十八条为依据,支持了申请人的财产保全申请。

(2)广州海事法院支持了申请人依据香港仲裁裁决申请诉前财产保全的申请

参考案例:广州海事法院(2016)粤72财保字第11号诉前财产保全案件

案情摘要:华夏航运(新加坡)有限公司(以下简称"华夏公司")与东海运输有限公司(以下简称"东海公司")因双方间租船合同发生纠纷,并依据仲裁协议于香港启动仲裁程序,以华夏公司胜诉。在获知东海公司在招商银行股份有限公司深圳总行账户可能有存款后,遂凭香港仲裁裁决书向广州海事法院申请诉前财产保全。

裁判结果:广州海事法院准许了华夏公司的诉前财产保全申请。

我们虽然检索到上述两起案件法院支持了香港仲裁程序的当事人向内地法院提出的保全申请,但是均是涉及海事法院的案件,海事法院的裁定在司法实践中并非具有普遍参考性,并不能据此得出国内法院支持香港仲裁程序当事人向内地法院提出保全申请的结论。因此,在《安排》签署前,司法实践中对于香港仲裁程序的当事人向内地法院申请财产保全并没有明确的法律规定。

(二)内地仲裁程序当事人向香港法院申请财产保全

1.法律依据

(1)《高等法院条例》第21M条的规定

若任何法律程序(1)已在或将会在香港以外地方展开及(2)该法律程序能产生一项可根据任何香港条例或普通法在香港强制执行的判决,香港法院即具有司法管辖权无条件地或有条件地委任接管人或批予临时济助。为确保该等命令的有效性,香港法院具有相同的权力作出任何附带命令或指示,包括委任接管人接管任何的香港公司及/或其股权、禁制任何法律程序的一方将位于香港境内的资产转移或以其他方式处理,及禁制土地损坏或侵入行为。

(2)《仲裁条例》第45条的规定

若某个已在或将会在香港或香港以外地方展开的任何仲裁程序:(1)该仲裁程序能引起一项可根据本条例或任何其他条例在香港强制执行的仲裁裁决(不论是临时裁决或最终裁决);(2)所寻求的临时措施,属香港法院可就仲裁程序而在香港批予的临时措施的类型或种类;及(3)除非所寻求的临时措施在当时是仲裁程序的标的,或香港法院认为由仲裁庭处理所寻求的临时措施更为适当,则香港法院都可因应任何一方的申请,就该仲裁程序批予临时措施。

据上述法例可见,若当事人在香港以外已经启动或者即将启动的仲裁程序,当事人可以向香港法院申请委任接管人或批予临时济助。

2.实务案例

参考案例:陈宏庆与宓敬田香港公司投票权争议案

案情摘要:申请人陈某与被申请人宓某就一家香港公司股权的投票权发生争议,该争议于2017年2月提交中国国际经济贸易仲裁委员会仲裁。一个月后,申请人发现被申请人与第三方签订协议,拟转让该等股权。为维护权益,申请人向香港法院申请就该等股权委任临时接管人及禁制令禁止各被告人转让股权。

裁判结果:香港法庭根据《高等法院条例》第21M条及《仲裁条例》第45条规定,认为接管人有足够专业及独立性暂时处置涉案资产,以维持现状及保存资产权益,而若不委任接管人及随后原告人在仲裁中胜诉,被转移的资产将使原告人失去可供执行仲裁裁决资产的保障,故委任接管人以保全资产为必要措施,确保不会对正进行的仲裁程序造成不公平损害。

参考上述相关案例,签署《安排》前,内地仲裁程序当事人可以依据香港现行法例向香港法院申请保全协助。

二、《安排》签署后,内地与香港仲裁程序中,当事人向另一法域申请保全新的突破

(一)明确了香港仲裁程序的当事人可以向内地法院申请保全

《安排》签署前,根据香港特区《高等法院条例》、《仲裁条例》的规定,香港可以对包括内地在内的域外仲裁提供保全协助,但是,根据《中华人民共和国民事诉讼法》、《中华人民共和国仲裁法》等相关法律规定,除海事案件外,并没有直接的法律规定内地法院对包括香港在内的域外仲裁提供保全协助。也就是说,即使不签署本安排,内地仲裁机构和当事人也可以依据香港现行法律规定向香港法院申请保全协助,而香港仲裁程序的当事人向内地法院申请保全并没有直接的法律依据,因此《安排》签署的最大意义在于直接明确了香港仲裁程序的当事人可以向内地法院申请保全。

(二)明确了"保全"的范围包括财产保全、证据保全、行为保全

《安排》明确规定了无论是香港仲裁程序的当事人向内地法院申请保全,抑或是内地仲裁程序的当事人向香港法院申请保全,均可申请财产保全、证据保全、行为保全。

《安排》签署前,《中华人民共和国仲裁法》、《中华人民共和国民事诉讼法》等国内的法律明确规定的保全范围仅包括财产保全与证据保全,对于仲裁程序中行为能否保全,并未作出明确的规定,实践中也没有形成统一的做法。但是《安排》明确规定了无论是香港程序的当事人,还是内地仲裁程序的当事人,均可在另一法域请求财产保全、证据保全与行为保全。

(三)明确了香港仲裁程序的当事人与内地仲裁程序当事人向另一法域保全申请的提交方式分别为转递与直接递交

香港仲裁程序的当事人向内地法院申请财产保全采用"由香港仲裁程序的机构或者常设办事处转递"的方式,内地仲裁程序的当事人向香港法院申请财产保全采用"直接递交"的方式。

香港仲裁程序的当事人在有关机构或者常设办事处受理仲裁申请后向内地法院提出保全申请的,应当由该机构或者常设办事处转递其申请。内地仲裁程序的当事人应当依据香港特别行政区相关法律规定,直接向香港特别行政区高等法院提交申请材料。

(四)香港仲裁程序当事人向内地法院申请保全需要提交"香港仲裁机构或者常设办事处已受理有关仲裁案件的证明函件"

《安排》规定,香港仲裁程序的当事人向内地法院申请保全的,在有关机构或者常设办事处受理仲裁案件后申请保全的,提交的申请材料中除包含基本的仲裁申请文件、相关证据材料外,还包括该机构或者常设办事处出具的已受理有关仲裁案件的证明函件等。若仲裁程序启动前向内地法院申请仲裁前财产保全,应当于内地人民法院采取保全措施后30日内提交有关机构或者常设办事处出具的"已受理仲裁案件的证明函件"。

"已受理有关仲裁案件的证明函件"类似于内地仲裁程序中,由仲裁委员会或者仲裁庭签发"《财产保全提请函》",香港仲裁程序的当事人向内地法院申请保全,香港仲裁机构或者常设办事处并非将申请材料直接转递内地法院,同样需要香港仲裁机构或者常设办事处出具相关函件,内地法院才可以进一步审查,作出裁定。

三、结 语

《安排》是内地与香港签署的第一份有关仲裁程序保全协助的文件。在此之前,内地仲裁程序的当事人就可以根据香港的相关法例向香港法院申请临时救济措施。但是,由于我国司法实践中缺乏法律依据,除海事案件外,香港仲裁程序的当事人向内地法院申请保全并无明确的法律规定。

《安排》首次对于香港仲裁程序的当事人向内地法院申请保全提供了依据,安排生效后,香港仲裁程序的当事人可以向内地法院申请采取包括财产保全、证据保全、行为保全在内的临时救济措施,以保障将来仲裁裁决的顺利执行。

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