民事判决书翻译常用词汇

(1)管辖(权):jurisdiction

领事裁判权 : consular jurisdication.

(准)对人管辖权: (quasic)jurisdiction in personam

(准)对物管辖权:(quasic)jurisdiction in rem

属人管辖权 :personal jurisdiction

属地管辖权:territorial jurisdiction .

由于各国对管辖权规定的不同,便很容易引起 Selection of court 选择法庭的现象。

(2)回避:withdrawal

(3)当事人:party

(4)诉讼代理人:agents ad litem

(5)证据:evidence

burden of proof 举证责任—-证明责任。

evidence-finding 取证

Burden of proof in reverse 举证责任倒置

documentary evidence书证

material evidence、物证:

(6)视听资料:audio-visual material

(7)证人证言:testimony of witnesses

(8)当事人陈述:statements of the parties

(9)鉴定结论:expert conclusions

(1o)勘验笔录:records of inpsection

(11)  诉讼时效 :Limitation of action

(12)期间:time periods

(13)送达:service

(14)调解:conciliation

(15)财产保全;property preservation

(16)先予执行:advance execution

(17) 强制措施:compulsory measures

specific performance 特定履行,强制执行

(18)诉讼费用:litigation costs/fees

(19)执行措施:execution measures

(20)执行中止和终结:suspension and termination of execution

(21)案由/诉由:cause of action

(22)诉讼请求:the claims

(23)争议的事实和理由:cause or causes of the dispute

(24)审判人员:judicial officers

(25)书记员:court clerk

(26)立案:docket/file a case

(27)组成合议庭开庭审理:form a collegial panel to conduct the trial

(28)上诉期间:the time limit for filing an appeal

(29)上诉的法院:the appellate court

(30)判决、裁定:judgments and written orders

(31)不服一审判决:refuse to accept the first-instance judgment

(32)发生法律效力的:legally effective

(33) 起诉状:a statement of complaint

(34)上诉状:the appeal petition

(35) 答辩状:the defence/anwser

(36) 裁定撤销原判决:make a written order to set aside the judgment

(37) 发回原审人民法院重审;remand the case t the original people’s court for retrial

刑事诉讼翻译制度有待细化

  刑事诉讼法第九条、第九十四条分别规定了诉讼参与人和聋、哑人的翻译制度;第二十八条至第三十一条规定了翻译人员的回避制度;第八十二条规定“诉讼参与人”包括翻译人员等。

  上述规定过于笼统和原则,在司法实践中产生了许多问题。主要有:

  1.翻译人员的选任渠道不统一,资格审查、回避制度难以实施。目前,司法机关一般聘请大专院校通晓外国语、民族语言的教师、学生或者聋哑学校教师担任翻译,有时也聘请涉外单位或者司法机关内部人员担任翻译工作。但翻译人员对其应承担的义务如回避、保密、不得接受当事人的请客送礼等,缺乏足够认识。在聘用手续上,司法人员仅靠一个电话,翻译人员即按约到来。没有以委托书这种程序性文书的形式履行聘请手续,且司法机关事前很少掌握翻译人员是否与案件有利害关系,翻译人员回避制度形同虚设。

  2.翻译内容准确性产生争议。由于目前还没有建立专门的法律翻译人才库,刑事诉讼中大多数由通晓外国语、民族语或者聋哑语的教师担任诉讼环节的翻译工作。由于其没有经过专门的法律语言学习,无法准确理解相关法律术语的含义,因而司法人员在对诉讼当事人进行讯问、取证时,翻译人员很难准确表达双方所要表述的内容,翻译质量无法得到根本性保证,甚至审判过程中被告人、证人以翻译未能准确表达其供述、证言乃至翻译错误为由翻供、变证、上诉。

  3.翻译人员约束性机制不健全,影响诉讼公正性。司法人员为节约诉讼成本,往往聘请一名翻译人员担任多名同案被告人或多名证人、被害人的翻译。有时各种相互矛盾的信息会影响翻译准确性,不利于维护当事人的合法权益。

  4.对翻译人员参与刑事诉讼缺乏必要监督。在刑事诉讼中,办案人员借助翻译进行讯(询)问,办案人员制作的笔录由翻译人员当场宣读后,由被讯(询)问人写明意见并签名捺印,形成一份书面证据材料。由于翻译人员凭借口头翻译,没有制作书面翻译件,司法人员无法知晓翻译内容的准确性。翻译人员可能出现用词不当、翻译不到位,或者出于情绪、情感、功利等因素,在翻译关键字句时做手脚或徇私枉法,办案人员也无法监督。

  5.被告人能否自行聘请翻译,法律规定不明确。被告人是否能够与民事诉讼中的当事人一样,可以自己聘请翻译并承担翻译费用?由于缺乏法律规定,实践中做法不一。检察机关为避免翻译人员资格审查不当,影响案件公正审理,不允许被告人自行聘请翻译,但公安机关也存在允许被告人自行聘请翻译人员担任案件翻译的情况。检察机关尽管认为这种做法欠妥,但囿于法律没有明文规定,而难以实施监督。

  鉴于此,笔者认为,当前,应完善刑事诉讼翻译制度,公、检、法、司可以根据刑事诉讼法对翻译制度的原则性规定,联合制定刑事诉讼中使用翻译的操作规则,其内容包括:

  1.规范法律翻译人员的资格,设立法律翻译人才库,并在司法行政管理部门备案。翻译人员不仅需要熟练掌握双语和口译技巧,更必须具备相应的法学知识,才能在诉讼中提供高质量的语言、文字或者手语翻译服务。为保证法律翻译的水准,可以由司法行政部门牵头,联合权威翻译机构对申请担任法律翻译工作的人员,通过审核或者统一考试的方式进行资格认证。在设定翻译人员条件的基础之上,建立专门的翻译人员人才库,翻译人员名单应在司法行政部门备案。需要翻译时,由司法机关从中随机性选择并由犯罪嫌疑人、被告人认可后确定。聘请翻译人员的费用标准,参照当地市场价格制定,翻译费用由司法机关提供并由财政负担。

  2.明确法律翻译人员的权利义务和责任追究。翻译人员有权获取相应报酬;为保证翻译质量,有权事先了解相关案情。翻译人员应当正确表达诉讼双方所要表述的内容;遵守保密义务;遵守回避规定。对翻译人员违背诉讼义务的行为,如故意作虚假翻译、徇私枉法,造成误裁误判,产生错案,除取消其翻译资格外,应根据情节,追究其民事、行政或刑事责任。

  3.建立翻译全程录音录像制度。刑事诉讼翻译大多数口头进行,对哑语还要通过动作、手势、姿态和表情进行,这种翻译的即时性,决定了这些语言和动作表意的转瞬即逝。因此,为事后检查翻译的正确性,对翻译活动进行全程录音录像极为必要。同时,要注意强化录音录像资料的建立和保存,以便对翻译工作及其质量进行检查,纠正错误或者疏漏之处,并防止翻译人员作弊,确保案件程序和实体公正。

  (作者单位:上海市人民检察院第二分院)

合同翻译经典句型荟萃 保险部分

合同翻译是法律翻译中最为常见的,为了使合同翻译变得更加专业和高效,特将合同中不同部分的中英文翻译整理归纳,其中包含大量经典句型和常用法律英语词汇,供大家学习参考。
税收 保密 转让 董事会
所有权 保险 陈述、保证和承诺 责任、赔偿、免责
责任和义务 不可抗力和通知 可分性和放弃 定义和解释
合营企业的设立 违约和侵权 完整协议、修改和语言 适用法律和争议的解决
职工和工会组织 财务会计和利润分配 税务、外汇管理和保险 购买物资和销售产品
用地及费用 经营管理机构 期限和终止 投资总额和注册资本

If, after the signing of this Agreement, the Chinese government either at the State, provincial, municipal or local level adopts any new law, regulation, decree or rule, amends or repeals any provision of any law, regulation, decree or rule, or adopts any different interpretation or method of implementation of any law, regulation, decree or rule, which contravenes this Agreement or which materially and adversely affects a party’s economic benefit under this Agreement, then upon written notice thereof from the affected party to the other Party, the Parties shall promptly consult and decide whether 如果本协议签署之后,中国国家、省、市或地方政府通过任何新的法律、法规、法令或条例,修改或废除任何法律、法规、法令或条例的任何条款,或对任何法律、法规、法令或条例给予不同的解释或采取不同的实施办法,导致与本协议相冲突,或对一方在本协议项下的经济利益造成实质性的不利影响,受到影响的一方经书面通知另一方后,双方应立即协商并决定是否

国际货物销售合同翻译模板

国际货物销售合同

International Sale Contract of Manufactured Goods

 

第一部分  特别条款

Part I   SPECIFIC CONDITIONS

该特别条款不限制当事人双方作出另外的约定。

These Specific Conditions does not prevent the parties from agreeing other terms or further details in box I-16 or in one or more annexes.

卖    方:                               买    方:

SELLER: ________________            BUYER: ______________________ 

地址(Address): ___________   地址(Address): ___________________      

电话(Tel): _____________      电话(Tel): ___________________  

传真(Fax): _____________           传真(Fax): ___________________ 

电邮(E-mail): ____________    电邮(E-mail): ___________________ 

联   系   人:                               联    系    人:

CONTACT PERSON: _________       CONTACT PERSON:_______________

地址(Address): ___________    地址(Address): ___________________          

电话(Tel): _____________       电话(Tel): ___________________ 

传真(Fax): _____________            传真(Fax): ___________________

电邮(E-mail): ____________     电邮(E-mail): ___________________ 

本销售合同由第一部分的特别条款(相应的栏目中应填写了内容)和第二部分的一般条款组成,并受该两部分的约束。

The present contract of sale will be governed by these Specific Conditions (to the extent that the relevant boxes have been completed) and by the General Conditions of Sale  which constitute part II of this document.

I-1  销售的货物

I-1  Goods sold

________________________

________________________

货物的品名及规格

description of the goods

若空白处不够填写,可使用附件。

an annex may be used If there is insufficient space.

I-2  合同价款(第4条)

I-2  CONTRACT PRICE (ART. 4)

货  币:

Currency:______________

用数字表述的金额:                         用文字表述的金额:

amount in numbers: _______               amount in letters:_______________

I-3  交货贸易术语

I-3  DELIVERY TERMS

推荐的贸易术语(依照《2000年国际贸易术语解释通则》)

Recommended terms (according to Incoterms 2000):

____   EXW  工厂交货(Ex Works)         指定地点(named place):                      

____   FCA    货交承运人(Free Carrier)    指定地点(named place):                      

____   CPT    运费付至(Carriage Paid To )指定目的地(named  place of destination):__          

____   CIP    运费、保险费付至            指定目的地:_________________________

(Carriage and Insurance Paid To)named place of destination:______

____   DAF   边境交货(Delivered At Frontier)指定地点( named place):________

____   DDU   未完税交货                   指定目的地:_______________________

(Delivered Duty Unpaid)    named place of destination:_________

____   DDP   完税后交货                   指定目的地: _______________________

(Delivered Duty Paid)        named place of destination:_________

其它贸易术语(依照《2000年国际贸易术语解释通则》)

Other terms (according to Incoterms 2000)

____   FAS    船边交货                    指定装运港:_______________________

(Free Alongside Ship)      named port of shipment:   __________

____   FOB   船上交货                    指定装运港:_______________________

(Free On Board)                named port of shipment:                      

____   CFR    成本加运费                  指定目的港:_______________________

(Cost and Freight)           named port of destination:__________

____   CIF    成本、运费加保险费           指定目的港:_______________________

(Cost Insurance and Freight )named port of destination:_________

____   DES   目的港船上交货               指定目的港:_______________________

(Delivered Ex Ship)          named port of destination:__________

____   DEQ   目的港码头交货               指定目的港:_______________________

(Delivered Ex Quay)          named port of destination:_________

其它交货贸易术语:

Other delivery terms

承运人(当需要时)

CARRIER (where applicable)

地址(Address): ___________                     

电话(Tel): _____________                            

传真(Fax): _____________                       

电邮(E-mail): _____________

联系人

CONTACT PERSON: _________              

地址(Address): ___________                         

电话(Tel): _____________                            

传真(Fax): _____________                       

电邮(E-mail): _____________

I-4   交货时间

I-4  TIME OF DELIVERY

(在此处注明卖方依照相应的贸易术语中第A4款的规定必须履行交付货物义务的日期或期限)

Indicate here the date or period (e.g. week or month) at which or within which the Seller must perform his delivery obligations according to clause A.4 of the respective Incoterm.

________________________

________________________

I-5  买方对货物的检验(第3条)

I-5  INSPECTION OF THE GOODS BY BUYER (ART. 3)

     装运之前(Before shipment)____天(date)检验地(place of inspection): ______________

____ 其它(Other):     ________________

I-6  货物所有权的保留(第7条)

I-6  retention of title (ART. 7)

____ 是(YES)

____ 否(NO)

I-7  付款条件(第5条)

I-7  PAYMENT CONDITIONS (ART. 5)

     往来帐户付款(第5.1条)

____ Payment on open account (art. 5.1)

付款时间(如与第5.1条的规定不同)〔Time for payment (if different from art. 5.1) :开出发票之日起____ 天。 其它:_________

____days from date of invoice. Other: _____

__开立需要即期担保或备用信用证保证的帐户(第5.5条)

        __ Open account backed by demand guarantee or standby letter of credit (art. 5.5)

预先付款(第5.2条)

____ Payment in advance (art. 5.2)

     日期(如与第5.2条规定不同):_________      总价款_____  合同价款的___%

        Date (if different from art. 5.2): ________                  ____ Total price __  ____% of the price

      跟单托收(第5.5条)

____ Documentary Collection (art. 5.5)

    

        ___付款交单(D/P Documents against payment     )_________

承兑交单(D/A Documents against acceptance)_______

不可撤销的跟单信用证(第5.3条)

____ Irrevocable documentary credit (art. 5.3)             

___保兑(Confirmed)                ___ 非保兑(Unconfirmed)

发出地(如适用时)〔Place of issue (if applicable)〕: _________    

保兑地(如适用时)〔Place of confirmation (if applicable)〕: _________

        款项的取得(Credit available):             

        __ 即期付款(By payment at sight)                                    

        __ 延期付款(By deferred payment at): ___ 天(days)      

        __ 承兑汇票(By acceptance of drafts at): ___ 天(days)

        __ 议付(By negotiation)

     部分装运(Partial shipments):  __ 允许(Allowed)            __不允许(Not allowed)

转运(Transhipment): __ 允许(Allowed)      __ 不允许(Not allowed)

必须向卖方通知跟单信用证的日期(如果与第5.3条不同):

交货日前______天             其它:_______________

        Date on which the documentary credit must be notified to seller (if different from art. 5.3)

        __ ______ days before date of delivery    __ other: _____________

____ 其它(Other): _______________

        比如:采用支票、银行汇票、电子资金转让至卖方指定的银行帐户。 (e.g. cheque, bank draft, electronic funds transfer to designated bank account of seller)

I-8  单证

I-8  DOCUMENTS

在此处注明卖方提供的单证。建议当事人对照其在特别条款第I-3款中选定的贸易术语。

Indicate here documents to be provided by Seller. Parties are advised to check the Incoterm they have selected under I-3 of these Specific Conditions.

__ 装运单证Transport documents): 注明要求提交的装运单证的类型(indicate type of transport document required )_________

__ 商业发票Commercial Invoice)  __ 原产地证书(Certificate of origin)

__ 装箱单Packing list)              __ 检验证书Certificate of inspection)

__ 保险单Insurance document)    __ 其它单证Other): ____________

I-9  解除合同日期

I-9  CANCELLATION DATE

当双方要修改第10.3条时, 才应填写

to be completed only if the parties wish to modify article 10.3

不论何种原因(包括不可抗力),如果货物在____年___月___日之前不能交付,买方有权通知卖方立即解除合同。

If the goods are not delivered for any reason whatsoever (including force majeure) by (date) _______ the Buyer will be entitled to CANCEL THE CONTRACT IMMEDIATELY BY NOTIFICATION TO THE SELLER.

I-10  迟延交货责任(第10.1、10.4和11.3条)

I-10  LIABILITY FOR DELAY (art. 10.1, 10.4 AND 11.3)

(当双方当事人要修改第10.1、10.4和11.3条时, 才应填写)

to be completed only if the parties wish to modify art. 10.1, 10.4 or 11.3

迟延交付货物约定的损害赔偿金应为:迟延交付货物价款的______%/周,最高不超过迟延交付货物价款的______%。

Liquidated damages for delay in delivery shall be:

__  ____ % (of price of delayed goods) per week, with a maximum of ____ % (of price of delayed goods)

或者(or):

__  ________ (注明具体金额)(specify amount).

如果因迟延交货终止合同,卖方迟延交货应支付的赔偿金限制为未交付货物价款的_____%.

In case of termination for delay, Seller’s liability for damages for delay is limited to ____ % of the price of the non-delivered goods.

I-11  货物不符约定的责任限制(第11.5条)

I-11  limitation of liability for lack of conformity (art. 11.5)

(当双方当事人要修改第11.5条时, 才应填写)

to be completed only if the parties wish to modify art. 11.5.

卖方由于交付不符约定的货物应承担的损害赔偿金应为

应限于已证明的损失(包括导致的间接损失、利润损失等),不超出合同价款的______%;

Seller’s liability for damages arising from lack of conformity of the goods shall be:

___      limited to proven loss (including consequential loss, loss of profit, etc.) not exceeding ___ % of the contract price;

或者(or):

___      具体列举如下〔as follows (specify)〕:

____________________________________________________

I-12买方保留不符约定货物时的责任限制(第11.6条)

I-12  LIMITATION OF LIABILITY WHERE NON-CONFORMING GOODS ARE RETAINED BY THE BUYER (ART. 11.6)

(当双方当事人要修改第11.6条时, 才应填写)

to be completed only if the parties wish to modify art. 11.6

保留约定不符的货物所作出的价格减让应不超过:这些货物价款的_____%.

The price abatement for retained non-conforming goods shall not exceed:

___      ___% of the price of such goods。

或者(or):

___      ________ (列明具体的数额)(specify amount)

I-13   时间限制(第11.8条)

I-13  TIME-BAR (Art.11.8)

(当双方当事人要修改第11.8条时, 才应填写)

to be completed only if the parties wish to modify art. 11.8.

由于交付的货物与合同约定不符,买方应自货物到达目的港之日起不迟于_____天内提出诉求(第11.8条列明的情况)。

Any action for non-conformity of the goods (as defined in article 11.8) must be taken by the Buyer not later than __________ from the date of arrival of the goods at destination.

I-14(a), I-14(b)  适用的法律(第1.2条)

I-14(a), I-14(b)  APPLICABLE LAW (Art.1.2)

(当双方当事人想适用某国法律而不适用《联合国国际货物销售合同公约》时,才应填写)

以下的做法不予推荐

to be completed only if the parties wish to submit the sale contract to a national law instead of CISG. The solution hereunder is not recommended :

(a)本销售合同适用______________(国名)国内法。

(a) This sales contract is governed by the domestic law of __________ (country)

(当双方当事人对于《联合国国际货物销售合同公约》没有规定的事项不想适用卖方所在国法律时,才应填写)

To be completed if the parties wish to choose a law other than that of the seller for questions not covered by CISG

(b)《联合国国际货物销售合同公约》没有规定的任何事项,应适用______________(国名)法律。

(b) Any questions not covered by CISG will be governed by the law of ____________ (country).

I-15 其它事项

I-15  OTHER

第二部分  一般条款

Part II  general conditions

第一条  总则

Art. 1  GENERAL

1.1 这些一般条款与第一部分的特别条款一起适用于本国际货物销售合同,但也可以将这些一般条款加入其它任何的销售合同。当第二部分的一般条款独立于第一部分的特别条款使用时,第二部分对第一部分的任何援引应解释为对双方约定的对应的特别条款的援引。当这些一般条款与双方约定的任何特别条款相矛盾时,应以特别条款为准。

1.1 These General Conditions are intended to be applied together with the Specific Conditions (part I) of the International Sale Contract of Manufactured Goods, but they may also be incorporated on their own into any sale contract. Where these General Conditions (Part II) are used independently of the said Specific Conditions (Part I), any reference in Part II to Part I will be interpreted as a reference to any relevant specific conditions agreed by the parties. www.legaltranz.com In case of contradiction between these General Conditions and any specific conditions agreed upon between the parties, the specific conditions shall prevail.

1.2 合同自身(即指这些一般条款和双方当事人约定的特别条款)的规定中未明示或默示处理的与本合同有关的任何事项应适用:

A《联合国国际货物销售合同公约》(1980年维也纳公约,下称《销售公约》),和

B在《销售公约》未对这些事项作出规定时,适用卖方营业所在地国法律。

1.2 Any questions relating to this Contract which are not expressly or implicitly settled by the provisions contained in the Contract itself (i.e. these General Conditions and any specific conditions agreed upon by the parties) shall be governed:

A.  by the United Nations Convention on Contracts for the International Sale of Goods (Vienna Convention of 1980, hereafter referred to as CISG), and

B.  to the extent that such questions are not covered by CISG, by reference to the law of the country where the Seller has his place of business.

1.3 援引的任何贸易术语(比如:EXW,FCA 等)应视为国际商会出版的《国际贸易术语解释通则》中对应的贸易术语。

1.3 Any reference made to trade terms (such as EXW, FCA, etc.) is deemed to be made to the relevant term of Incoterms published by the International Chamber of Commerce.

1.4 援引的国际商会的出版物应视为达成本合同时最新的版本。

1.4 Any reference made to a publication of the International Chamber of Commerce is deemed to be made to the version current at the date of conclusion of the Contract.

1.5 除非达成书面协议或有书面证据证明,任何对本合同的修改均无效。但是,当另一方信赖该方所作出的行为时,该方由于其作出的行为而不得主张该款规定。

1.5 No modification of the Contract is valid unless agreed or evidenced in writing. However, a party may be precluded by his conduct from asserting this provision to the extent that the other party has relied on that conduct.

第2条 货物的特征

Art. 2 Characteristics of the goods

2.1 双方约定,与货物及其用途有关的任何资料,比如;包含在卖方的目录、说明书、函件、广告、图片和价目表中的重量、尺寸、容量、价格、颜色和其它数据不应作为生效的合同条款,除非在合同中明确作了约定。

2.1 It is agreed that any information relating to the goods and their use, such as weights, dimensions, capacities, prices, colours and other data contained in catalogues, prospectuses, circulars, advertisements, illustrations, price-lists of the Seller, shall not take effect as terms of the Contract unless expressly referred to in the Contract.

2.2 除非另有约定,买方不拥有购买的软件、制图等产品中的知识产权。卖方仍然是货物涉及的知识产权或工业产权的独占所有权人。

2.2 Unless otherwise agreed, the Buyer does not acquire any property rights in software, drawings, etc. which may have been made available to him. The Seller also remains the exclusive owner of any intellectual or industrial property rights relating to the goods.

第3条  货物装运前的检验

Art. 3  Inspection of the goods before shipment

如果双方约定买方有权在装运前对货物进行检验,卖方必须在装运前的合理时间内通知买方,货物在约定的地点已准备好进行检验。

If the parties have agreed that the Buyer is entitled to inspect the goods before shipment, the Seller must notify the Buyer within a reasonable time before the shipment that the goods are ready for inspection at the agreed place.

第4条  价格

Art. 4  Price

4.1 如果没有约定货物的价格,将适用达成合同时卖方最新列出的价格。若没有这样的最新列出的价格,将适用达成合同时这些货物的一般价格。

4.1 If no price has been agreed, the Seller’s current list price at the time of the conclusion of the Contract shall apply. In the absence of such a current list price, the price generally charged for such goods at the time of the conclusion of the Contract shall apply.

4.2 除非另有书面约定,货物价格不包含增值税,没有必要调整价格。

4.2 Unless otherwise agreed in writing, the price does not include VAT, and is not subject to price adjustment.

4.3 第I-2款(合同价款)注明的价款包括卖方按照本合同的约定收取的任何费用。但是,如果卖方承担了依照本合同的约定应由买方承担的费用(比如:EXW或FCA术语中的运输费或保险费),那么这些款项不应视为已包含在第I-2款项下注明的价款中,买方应予偿还。

4.3 The price indicated under I-2 (contract price) includes any costs which are at the Seller’s charge according to this Contract. However, should the Seller bear any costs which, according to this Contract, are for the Buyer’s account (e.g. for transportation or insurance under EXW or FCA), such sums shall not be considered as having been included in the price under I-2 and shall be reimbursed by the Buyer.

第5条   支付条件

Art. 5  Payment conditions

5.1 除非另有书面约定或者双方之间此前交易另有默契,买方应通过往来帐户向卖方支付价款和其它应付的款项,支付时间是开出发票之日起30日。除非另有约定,到期应付的款项应可在结算时远程转帐至卖方在其所在国开立的帐户,当相应的应付款项作为可立即存取的资金为卖方银行收到时,应视为买方履行了其付款义务。

5.1 Unless otherwise agreed in writing, or implied from a prior course of dealing between the parties, payment of the price and of any other sums due by the Buyer to the Seller shall be on open account and time of payment shall be 30 days from the date of invoice. The amounts due shall be transferred, unless otherwise agreed, by teletransmission to the Seller’s bank in the Seller’s country for the account of the Seller and the Buyer shall be deemed to have performed his payment obligations when the respective sums due have been received by the Seller’s bank in immediately available funds.

5.2 如双方约定预先付款,则无须作出进一步的表示,支付的预先付款应指全部的价款,除非另有约定。而且预先付款必须作为可立即存取的资金,在约定的交货日期或者约定的交货期限内最早的一天之前至少30日为卖方银行收到。如果双方约定仅预先支付部分合同价款,剩余价款的支付条件将按照本条款中规定的规则确定。

5.2 If the parties have agreed on payment in advance, without further indication, it will be assumed that such advance payment, unless otherwise agreed, refers to the full price, and that the advance payment must be received by the Seller’s bank in immediately available funds at least 30 days before the agreed date of delivery or the earliest date within the agreed delivery period. If advance payment has been agreed only for a part of the contract price, the payment conditions of the remaining amount will be determined according to the rules set forth in this article.

5.3 如果双方约定通过跟单信用证付款,除非另有约定,买方必须按照国际商会出版的《跟单信用证统一惯例》的规定安排一家著名的银行开出一张以卖方为受益人的跟单信用证,并且在约定交货日之前至少30日或者在约定的交货期限内最早一天前至少30日作出通知。除非另有约定,跟单信用证应为即期、允许部分装运和转运。

5.3 If the parties have agreed on payment by documentary credit, then, unless otherwise agreed, the Buyer must arrange for a documentary credit in favour of the Seller to be issued by a reputable bank, subject to the Uniform Customs and Practice for Documentary Credits published by the International Chamber of Commerce, and to be notified at least 30 days before the agreed date of delivery or at least 30 days before the earliest date within the agreed delivery period. Unless otherwise agreed, the documentary credit shall be payable at sight and allow partial shipments and transhipments.

5.4 如果双方约定通过跟单托收付款,那么,除非另有约定,单证应在付款时交付(付款交单),单证的交付无论如何应受国际商会出版的《托收统一规则》支配。

5.4 If the parties have agreed on payment by documentary collection, then, unless otherwise agreed, documents will be tendered against payment (D/P) and the tender will in any case be subject to the Uniform Rules for Collections published by the International Chamber of Commerce.

5.5 在双方约定付款需要银行担保支持的情况下,在约定的交货日之前至少30日或者在约定的交货期限内最早日期之前至少30日,买方应按照国际商会出版的《即期担保统一规则》的规定提供一份即期银行担保,或者按照该规则或国际商会出版的《跟单信用证统一惯例》的规定提供一份备用信用证,在两种情况下,均应由一家著名的银行开出。

5.5 To the extent that the parties have agreed that payment is to be backed by a bank guarantee, the Buyer is to provide, at least 30 days before the agreed date of delivery or at least 30 days before the earliest date within the agreed delivery period, a first demand bank guarantee subject to the Uniform Rules for Demand Guarantees published by the International Chamber of Commerce, or a standby letter of credit subject either to such Rules or to the Uniform Customs and Practice for Documentary Credits published by the International Chamber of Commerce, in either case issued by a reputable bank.

第6条 迟延付款时的利息

Art. 6  Interest in case of delayed payment

6.1 如果一方未支付到期款项,另一方有权从该款项到期应支付之日起对该笔款项计算利息。

6.1 If a party does not pay a sum of money when it falls due the other party is entitled to interest upon that sum from the time when payment is due to the time of payment.

6.2 除非另有约定,利率应高于付款货币在付款地适用于一般借款人的平均的银行短期贷款利率的2%,或者若在付款地没有这种利率时,适用付款货币国的相同的利率。如果在这两个地方均不存在该种利率,利率应是依照付款货币国法律确定的适当的利率。

6.2 Unless otherwise agreed, the rate of interest shall be 2% above the average bank short-term lending rate to prime borrowers prevailing for the currency of payment at the place of payment, or where no such rate exists at that place, then the same rate in the State of the currency of payment. In the absence of such a rate at either place the rate of interest shall be the appropriate rate fixed by the law of the State of the currency of payment.

第7条 货物所有权的保留

Art. 7  Retention of title

如果双方对于货物所有权的保留作了有效的约定,卖方对货物保留所有权直到价款支付完毕为止,或者依另外的约定。

If the parties have validly agreed on retention of title, the goods shall remain the property of the Seller until the complete payment of the price, or as otherwise agreed.

第8条 合同的交货贸易术语

Art. 8  Contractual term of delivery

除非另有约定,应采用“工厂交货”(EXW)方式交货。

Unless otherwise agreed, delivery shall be “Ex Works” (EXW).

第9条 单证

Art. 9  Documents

除非另有约定,卖方必须提供适用的国际贸易术语中要求的单证(如有的话),或者如果没有适用的国际贸易术语,则按照先前交易过程确定。

Unless otherwise agreed, the Seller must provide the documents (if any) indicated in the applicable Incoterm or, if no Incoterm is applicable, according to any previous course of dealing.

第10条 迟延交货、不交货及其补偿

Art. 10  Late-delivery, non-delivery and remedies therefor

10.1 当迟延交付货物时,若买方将延迟的情形通知了卖方,则每延迟一个完整周,买方有权索要迟延交付货物价款0.5%或约定的其它比例的约定的赔偿金。如果买方从约定的交货日起15日内向卖方发出这样的通知,损害赔偿金从约定的交货日起或在约定的交货期限内的最后一日起算。如果买方从约定的交货之日起15日内向卖方发出这样的通知,损害赔偿金从通知之日起算。约定的迟延赔偿金不得超过迟延交付的货物价款的5%或约定的其它补偿金的最高数额。

10.1 When there is delay in delivery of any goods, the Buyer is entitled to claim liquidated damages equal to 0.5% or such other percentage as may be agreed of the price of those goods for each complete week of delay, provided the Buyer notifies the Seller of the delay. Where the Buyer so notifies the Seller within 15 days from the agreed date of delivery, damages will run from the agreed date of delivery or from the last day within the agreed period of delivery. www.legaltranz.com Where the Buyer so notifies the Seller after 15 days of the agreed date of delivery, damages will run from the date of the notice. Liquidated damages for delay shall not exceed 5% of the price of the delayed goods or such other maximum amount as may be agreed.

10.2 如果双方当事人在第I-9条中就合同解除日期达成一致,基于货物由于任何原因(包括不可抗力事件)未能在解除合同日期前交付,买方有权通知卖方解除合同。

10.2 If the parties have agreed upon a cancellation date in Box I-9, the Buyer may terminate the Contract by notification to the Seller as regards goods which have not been delivered by such cancellation date for any reason whatsoever (including a force majeure event).

10.3  当第10.2条不适用,并且卖方在买方依照第10.1条的规定有权获得最高数额的约定赔偿金日为止仍未能交付货物时,如果货物未在卖方收到该通知之日起5日内交付给买方,买方基于这些货物的原因有权书面通知卖方解除合同。

10.3  When article 10.2 does not apply and the Seller has not delivered the goods by the date on which the Buyer has become entitled to the maximum amount of liquidated damages under article 10.1, the Buyer may give notice in writing to terminate the Contract as regards such goods, if they have not been delivered to the Buyer within 5 days of receipt of such notice by the Seller.

10.4 如果合同依照第10.2条或第10.3条解除,那么除了依照第10.1条已付或应付的款项外,买方有权索要不超过未交付货物价款10%的其它损失的赔偿金。

10.4 In case of termination of the Contract under article 10.2 or 10.3 then in addition to any amount paid or payable under article 10.1, the Buyer is entitled to claim damages for any additional loss not exceeding 10% of the price of the non-delivered goods.

10.5 本条款项下的补偿不包括迟延交货或不交货时的其它补偿。

10.5 The remedies under this article are exclusive of any other remedy for delay in delivery or non-delivery.

第11条  货物不符约定

Art. 11  Non-conformity of the goods

11.1 买方应在货物到达目的港之后尽快检验货物,并应在买方发现或应该发现货物不符之日起15日内,将货物不符约定的情况书面通知卖方。无论如何买方将无权因货物不符约定要求补偿,如果买方未能在货物到达约定目的港之日起12个月内将货物不符约定的情况书面通知卖方。

11.1 The Buyer shall examine the goods as soon as possible after their arrival at destination and shall notify the Seller in writing of any lack of conformity of the goods within 15 days from the date when the Buyer discovers or ought to have discovered the lack of conformity. In any case the Buyer shall have no remedy for lack of conformity if he fails to notify the Seller thereof within 12 months from the date of arrival of the goods at the agreed destination.

11.2尽管在特定的贸易或双方之间交易当中存在一些常见的细微差异,货物仍将视为与合同相符,但买方有权获得因这些细微差异在这种贸易或交易当中通常的价款减让。

11.2    Goods will be deemed to conform to the Contract despite minor discrepancies which are usual in the particular trade or through course of dealing between the parties but the Buyer will be entitled to any abatement of the price usual in the trade or through course of dealing for such discrepancies.

11.3 当货物与合同约定不符时(并且买方依照第11.1条的规定已发出了货物不符约定的通知,而买方未在通知中选择保留货物的情况下),卖方有权选择:

(a)用符合合同约定的货物替换不符的货物,而买方无须支付额外的费用,或者

(b)修复不符约定的货物,而买方无须支付额外的费用,或者

(c)向买方偿还不符约定货物的已付价款,并由于货物不符合同约定而终止合同。

在依照第11.1条规定发出货物不符通知和依照上述第11.3(a)的规定提供替代货物或依照第11.3(b)的规定修复货物的日期之间,每过一个完整周,买方有权依照第10.1条的规定获得约定的赔偿金。这些赔偿金应与第10.1条项下应付的赔偿金(如有的话)累计,但无论如何不得超过这些货物价款总额的5%。

11.3    Where goods are non-conforming (and provided the Buyer, having given notice of the lack of conformity in compliance with article 11.1, does not elect in the notice to retain them), the Seller shall at his option:

 (a)     replace the goods with conforming goods, without any additional expense to the Buyer, or

 (b)     repair the goods, without any additional expense to the Buyer, or

 (c)     reimburse to the Buyer the price paid for the non-conforming goods and thereby terminate the Contract as regards those goods.

The Buyer will be entitled to liquidated damages as quantified under article 10.1 for each complete week of delay between the date of notification of the non-conformity according to article 11.1 and the supply of substitute goods under article 11.3(a) or repair under article 11.3(b) above. Such damages may be accumulated with damages (if any) payable under article 10.1, but can in no case exceed in the aggregate 5% of the price of those goods.

11.4 如果卖方在买方依照第11.3条的规定有权获得最高额约定的赔偿金之日为止,未能依照第11.3条的规定履行义务,买方基于货物与合同不符,有权书面通知卖方解除合同,除非卖方在收到该通知之日起5日内提供了替代货物或修复了货物。

11.4 If the Seller has failed to perform his duties under article 11.3 by the date on which the Buyer becomes entitled to the maximum amount of liquidated damages according to that article, the Buyer may give notice in writing to terminate the Contract as regards the non-conforming goods unless the supply of replacement goods or the repair is effected within 5 days of receipt of such notice by the Seller.

11.5 当合同依照第11.3(c)条或第11.4条的规定终止时,除了依照第11.3条支付的或应付的退款和迟延损害赔偿金外,买方有权获得不超过不符约定货物价款10%的附加损失的损害赔偿金。

11.5 Where the Contract is terminated under article 11.3(c) or article 11.4, then in addition to any amount paid or payable under article 11.3 as reimbursement of the price and damages for any delay, the Buyer is entitled to damages for any additional loss not exceeding 10% of the price of the non-conforming goods.

11.6 买方选择保留不符约定的货物的,买方有权获得相当于若货物与合同相符时在约定目的地的货物价格与实际交付时在同一地的价格之间的差价。这些差价不应超过不符约定货物价款的15%。

11.6 Where the Buyer elects to retain non-conforming goods, he shall be entitled to a sum equal to the difference between the value of the goods at the agreed place of destination if they had conformed with the Contract and their value at the same place as delivered, such sum not to exceed 15% of the price of those goods.

11.7 除非另有书面约定,第11条中约定的补偿不包括任何因货物不符约定的其它救济。

11.7 Unless otherwise agreed in writing, the remedies under this article 11 are exclusive of any other remedy for non-conformity.

11.8 除非另有书面约定,在货物到达之日起两年之后,买方不得向法院或仲裁机构提出货物不符约定的诉求。双方明确约定,在该两年期限届满之后,卖方以不履行合同为由向买方提出诉求时,买方不得在答辩中主张货物不符约定,或据此提出反请求。

11.8 Unless otherwise agreed in writing, no action for lack of conformity can be taken by the Buyer, whether before judicial or arbitral tribunals, after 2 years from the date of arrival of the goods. It is expressly agreed that after the expiry of such term, the Buyer will not plead non-conformity of the goods, or make a counter-claim thereon, in defence to any action taken by the Seller against the Buyer for non-performance of this Contract.

第12条 双方的合作

Art. 12  Cooperation between the parties

12.1 买方应将其顾客或第三方提出的关于交付的货物或涉及货物的知识产权的索赔即时通知卖方。

12.1 The Buyer shall promptly inform the Seller of any claim made against the Buyer by his customers or third parties concerning the goods delivered or intellectual property rights related thereto.

12.2 卖方应即时将可能涉及买方产品责任的索赔通知买方。

12.2 The Seller will promptly inform the Buyer of any claim which may involve the product liability of the Buyer.

第13条 不可抗力

Art. 13  Force majeure

13.1  一方对于不履行义务不必承担责任,只要其能证明:

(a)不履行义务是由于其不能控制的阻碍,及

(b)在达成合同时,尽其所能也不能合理地预见该阻碍和其影响,及

(c)其不能合理地避免或克服该阻碍或其影响。

13.1 A party is not liable for a failure to perform any of his obligations in so far as he proves:

     (a)     that the failure was due to an impediment beyond his control, and

     (b)     that he could not reasonably be expected to have taken into account the impediment and its effects upon his ability to perform at the time of the conclusion of the Contract, and

     (c)     that he could not reasonably have avoided or overcome it or its effects.

13.2 主张免责的一方,尽其所能在知道该阻碍及其影响时,只要可行应将该阻碍及其影响通知另一方。当免责事由消除时,也要发出通知。

13.2 A party seeking relief shall, as soon as practicable after the impediment and its effects upon his ability to perform become known to him, give notice to the other party of such impediment and its effects on his ability to perform. Notice shall also be given when the ground of relief ceases.

未发出两种通知中任一种通知的一方,应对本应可以避免的损失承担损害赔偿责任。

Failure to give either notice makes the party thus failing liable in damages for loss which otherwise could have been avoided.

13.3 在不违反第10.2条的前提下,本条款规定的免责事由使不能履行义务的一方免除了支付损害赔偿金、罚金和其它合同制裁的责任,但只要该事由存在并持续,对于支付拖欠款项利息的责任则不能免除。

13.3 Without prejudice to article 10.2, a ground of relief under this clause relieves the party failing to perform from liability in damages, from penalties and other contractual sanctions, except from the duty to pay interest on money owing as long as and to the extent that the ground subsists.

13.4 如果免责的事由持续存在超过六个月,任何一方均有权通知解除合同。

13.4 If the grounds of relief subsist for more than six months, either party shall be entitled to terminate the Contract with notice.

第14条  争议的解决

Art. 14  Resolution of disputes

14.1 除非另有书面约定,凡因本合同产生的或与本合同有关的任何争议,均应提交中国国际经济贸易仲裁委员会华南分会,按照申请仲裁时该会现行有效的仲裁规则进行仲裁。仲裁裁决是终局的,对双方均有约束力。

14.1 Unless otherwise agreed in writing, all disputes arising in connection with the present Contract shall be submitted to China International Economic and Trade Arbitration Commission, South China Sub-Commission for arbitration, which shall be conducted in accordance with the Commission’s arbitration rules in effect at time of applying for arbitration. The arbitral award is final and binding upon both parties.

卖方签字                                           买方签字

seller                                                     buyer

signature                                                signature

__________________________________              

地点(place)____ 日期(date)___          地点(place)____       日期(date)______    

商务合同翻译必须紧记的两个要求

根据英语商务合同的文体特征,在进行商务合同翻译时必须注意以下两个方面:

一、用词准确严谨 

商务合同是经过认真推敲的,所表达的意义往往十分准确, 措词和句法结构大都很严谨. 英文商务合同的翻译也应将”准确严谨”作为首要标准提出,译文要准确无误地表达原文的内容. 词语是合同构成的基本单位, 译者应根据专业特点和搭配关系等方面判断确定具体的词义. 有些词汇在合同文本中与其中生活中常用意思有所不同, 有时同一个单词在不同的合同文本中所表达的意思也有差别.

例:

1. 合同中经常出现的Trade and Payments Agreement中的payment在日常生活中可译为 “付款”,agreement可译为 “同意”, 但只有译为 “支付协定” 才符合商务合同措辞.

2. The Sales Company is given the same power with reference to apportioning the commission.关于佣金的分配的问题, 应授予销售公司同样的权利.

3. The Buyers asked for credit and have given the Bank of China, Beijing Branch as a reference.买方要求记账交易, 并提出中国银行北京分行作为资信备询人.

两句中的reference意义不同, 例2中的with reference to是”关于”的意思,例3中则是”资信备询人”的意思.

其次,商务合同翻译涉及到各方的经济利益,译者在翻译时对合同条款细节尤其是名称、符号、数据等应逐一看清弄明,以免误译.同一概念的译词或词组在同一份合同中应前后统一, 在不同的上下文中绝不任意更动, 除非合同中另有解释, 或另有措词.

比如 profit这个词可能作 “收益” 解,也可能是 “利润”、 “利润率”或”红利”等词义.若从一开始按原意译成”利润”,就应保持一致性, 将合同中的这个词一律译为 “利润”, 不能时而译成 “利润”时而又译成”收益”等,搅混了商务合同双方的概念.

二、规范得体

英语商务合同属于庄重性文体,不允许文字上的随意性,翻译时要规范得体, 用合乎合同语言要求的中文表达出来.

例:

1.A confirmed irrevocable letter of credit shall be established within 15 days after the conclusion of the contract and such letter of credit shall be maintained at least 15days after the month of shipment for the negotiation of the relative draft.

该句中的confirmed irrevocable letter of credit, conclusion of the contract, shipment, negotiation都应按合同规范翻译. 全句应译为:保兑的和不可撤消的信用证须在合约签订之后十五天内开立.而且,该信用证须在货物付运月份之后至少十五天内继续有效,以便议付有关汇票.

2 : If any contract party is prevented from performing all or part of its obligations owing to Force Majeure, it shall be relieved all of or part of its obligations. 如果此句译为 “合同当事人因不可抗力事故不能执行合同的全部或者部分义务的, 解除其全部或部分责任。” 则有三处不妥:该句中的 “不可抗力事故”、 “执行合同”、 “解除其全部或部分责任” 应分别译作“不可抗力事件”、 “履行合同”、 “免除其全部或部分责任”才符合商务合同语言之要求,用语正式得体。

总之,每一份英语合同的翻译对促成和确保每一笔业务的签定和顺利履行都是十分重要的。所以译员应牢记合同英语翻译所应该注意的两个主要要求:

1、忠实于原文的内容,将原文的内容充分表达出来,无任意增减删略或歪曲背离。

2、使用规范的译文语言形式,力求简明易懂、文理正确、严谨通顺,无生硬晦涩之处。

在这两个要求的基础上贯通理顺每一份合同所涉及的专业背景和文化背景,先将着眼点放在对原文的忠实、准确的理解上,然后再尽可能精确地翻译出每一项条款,尤其是具体条款的真正涵义。为了准确翻译,避免理解歧义,业务人员往往在合同的一开始就使用大量的定义条款,把合同中的重要名词的含义加以界定,给予充分解释,以免日后发生分歧。这种在草拟合同时严谨的做法,对合同的翻译有很大帮助,并有助于双方顺利达成交易。而理解对于翻译的重要性是毋庸置疑的。翻译中理解常常是第一位的,没有对合同每一项条款准确、到位的把握和理解,就很难有忠实、精确的翻译表达。

为此,仅有扎实的语言基本功在英语合同翻译中是远远不够的,更需要有一定的专业知识背景,以及对不同合同翻译中的错误所造成业务上的损失等文化背景的了解,这样才可能尽力避免由于不具备一定专业背景知识,不了解文化差异所造成的合同翻译中的错误。

Contracts That Must Be in Writing 必须以书面订立的合同

 

Contracts That Must Be in Writing 必须以书面订立的合同
I agree to mow your lawn. You agree to pay me $25. I mow your lawn you give me $15. I threaten to sue. After all, we did have an oral contract. Is it enforceable? Usually, it is, but the party seeking to enforce it must establish the existence of the contract as well as its actual terms. Naturally, when the parties have no written documents or memoranda about the contract, only oral testimony can be used in court to establish the existence of the terms of the contract. The problem with oral testimony is that parties are sometimes willing to perjure themselves in order to win lawsuits. This led to an early English statue that some contracts must be in writing to be enforceable. This act was known as “an act for the prevention of frauds and perjuries.” It became more commonly known as the statute of frauds. 我同意替你刈(yi)草坪。你答应付给我25美元。我刈了你的草坪。你给了15美元。我以起诉要挟。我们之间毕竟是有个口头合同的。这个合同能强制执行吗?通常是能强制执行的,但要求执行的一方必须证明合同以及合同实际条款之存在。很自然,当事人没有有关合同的书面文件或备忘录时,法庭上能使用口头证言以证实合同条款的存在。这就导致英国早年的一项制定法:某些合同必须是书面的才能执行。这项由国会通过的法律称作《欺诈与伪证防治法》。该法后来就通称为“欺诈防治条例”了。
   
Today, almost every state has a statute of frauds, modeled after the English act. The actual name is misleading since it neither applies to fraud nor invalidates any type of contract. Rather, it denies enforceability to certain contracts that do not comply with its requirements. Although the statutes vary slightly from state to state, with certain exceptions they all require the following types of contracts to be in writing or evidenced by a written memorandum: 时至今日,美国诸州均有其以该英国法为模式的欺诈防治法。这个实际上在使用的名称是令人误解的,因为它即与欺诈无涉,又不使任何一种合同无效。它只是对某些不符合该法规定的合同不予强制执行而已。虽然这种欺诈防治法各州略有不同,但除某些例外情况,各州无不规定下列各种合同必须以书面订立或由书面的备忘录佐证:
1. Contracts involving an interest in land 1. 涉及土地利益的合同;
2. Contracts that cannot by their terms be performed within one year from date of formation 2. 按条款规定不能在订立之日起一年内履行的各种合同;
3. Collateral contracts such as promises to answer for the debt or duty of another and promises by the administrator or executor of an estate to pay a debt of the estate personally, that is, out of his or her own pocket 3. 诸如允诺为他人债务或义务作保或遗产管理人、遗产执行人允诺有个人(即自己掏腰包)偿还遗产债务等伴随合同;
4. Promises made in consideration of marriage 4. 以结婚为原因的允诺;
5. Contracts for the sale of goods for more than $500 5. 价金超过500美元的商品买卖合同。
   
A contract calling for the sale of land is not enforceable unless it is in writing or evidenced by a written memorandum. Land is real property and includes all physical objects that are permanently attached to the soil, such as building, plants trees, and the soil itself. The statute of frauds operates as a defense to the enforcement of an oral contract for the sale of land. If S contracts orally to sell Blackacre to B but later decides not to sell, B cannot enforce the contract. Likewise, if B refuses to close the deal, S cannot force B to pay for the land by bringing a lawsuit. The statute of frauds is a defense to the enforcement of this type of oral contract. 规定要进行土地买卖的合同,非以书面订立或由书面备忘录佐证,不得强制执行。土地为不动产,包括永久附属于土地的一切实物,如建筑物、植物、树木和土壤本身。欺诈防治法的作用就是针对要求执行口头土地买卖合同而提出抗辩。如果S口头约定把勃勒克格产业出售给B后又决定不卖了,那么B是不能强制执行该合同的。同样,如果B已拒不成交,S也不能提起诉讼强制B某支付地价。欺诈防治法,是有人对这类口头合同要求强制执行而提出辩护的依据。
   
The statute of frauds applied not only to the sale of land but also to the sale or transfer of any interest in land. A life estate is an ownership interest in land as security for the repayment of a loan. The transfer of this security interest is also required to be in writing to be enforceable. 欺诈防治法不仅适用于土地买卖,而且也适用于任何土地权利的出售或转让。终身产权是保证返还贷款的土地所有权利益。这一担保利益的转让也必须以书面形式为之使能强制执行。
   
An easement is a legal right to use land without owning it. Easements are created expressly or implicitly. An express easement arises when the owner of land expressly agrees to allow another person to use the land. To be enforceable, this agreement must be in writing. Implied easements can arise from past conduct of the parties, and by its nature, implied, such an easement need not be in writing to be enforceable. 地役权是在对土地不拥有所有权的情况下使用土地的一种法律上的权利。地役权的设定或出于明示,或出于默示。土地所有人以明示同意准许他人使用其土地者为明示的地役权。这种协议,须以书面为之,使得强制执行。默示的地役权则来自双方当事人过去的行为而且按其性质是默示的,这种地役权毋需书面就能执行。
   
A lease is a transfer of possession of real estate for certain periods of time. Most states have statutes dealing specifically with leases apart from the statute of frauds and exempt leases of less than one year from the writing requirement, so that any lease lasting more than one year must be in writing. Some states extend this period. For example, Indiana allows lease to be oral for up to three years. 租赁是以一定的期限转让不动产的占有。大多数州除欺诈防治法外都有专门处理租赁的法律,并规定不满一年的租赁可不采取书面形式;这样,凡为其在一年以上的租赁都必须以书面订立。有些州延长了上述期限。如印第安纳州允许租期在三年内的口头租赁合同。
   
Since the statute of frauds is a defense against enforcement of an oral contract for the sale of land or an interest in land, problems arise when an oral contract has been partially performed. If the seller of land conveys title to the buyer, then the buyer’s oral promise to pay is enforceable. Conversely, if the buyer has paid part of the purchase price and taken possession of the premises or made permanent improvements to the property will be enforceable. 欺诈防治法是对要求强制执行口头的出售土地或土地利益合同的一种辩护理由,那么,当一份口头合同业已部分履行时,问题就出现了。如果土地出售人把产权转让给买方了,那么买方给付地价的口头允诺就可以强制执行。反过来说,如买方已给付部分买价并占有了上述地产或对该产业作了永久性的加工改良,那么卖方转让产权的口头允诺就能强制执行了。
   
On the other hand, when the purchase price has been paid, but the buyer has not taken possession, the parties can be returned to their original positions, so the courts will usually not grant specific performance. The test of whether specific performance will be granted is whether the parites can be returned to their original positions. If not, the courts will maneuver to find a contract that is enforceable outside the statute of frauds. 另一方面,买价虽已付清,但买方尚未取得占有,则双方都能恢复原状,法院通常不会判决实际履行。是否准予实际履行的测试标准,是双方当事人能否恢复原状。如不能恢复,法院会设法认定一个可在《欺诈防治法》之外强制执行的合同。
   
Contracts that cannot, by their own terms, be performed within one year from the date the contract is formed must be in writing to be enforceable. Since disputes over such contracts are unlikely to occur until some time after the contracts are made, resolution of these disputes is difficult unless the contract terms have been put in writing. 合同按其本身之条款不能在合同成立之日起一年内履行者,非以书面订立不得强制执行。由于这种合同纠纷在合同订立后经过一段时间才会发生,所以合同条款如未经书面订立,纠纷就难以解决。
   
In order for a particular contract to fall into this category, contract performance must be objectively impossible within a year from the date of contract formation. If the contract, by its terms, is possible (not probable) to perform within the year, the contract is not within the statute of frauds and need not be in writing. 某一个具体的合同要列入这种合同的范畴,必须是在合同成立之日起一年内客观上履行不能。如果该合同根据其条款可能(而不是大概)会在一年之内履行,那么它就不在《欺诈防治法》规定的范围之内,从而就不必用书面形式了。
   
In summary, the test to determine whether an oral contract is enforceable under the one-year rule of the statute of fraud is not whether an agreement is likely to be performed within a year from the date of making the contract. Rather, the question revolves around whether performance within a year is possible. Conversely, when performance of an oral contract is impossible during a one-year period, this provision of the statute of frauds will bar recovery on an oral contract. 总之,根据《欺诈防治法》的一年规则来判定一项口头合同能否强制执行,其测试标准不是协议能否在订约之日起一年内履行。问题的关键在于一年内履行是否可能。反过来说,如某口头合同在一年期限内是不可能履行的,那么《欺诈防治法》的这项规定就会制止根据一项口头合同而进行的追索。

lawful和legal这两个词可以互换吗?

lawful和legal是两个词义不同的词,而许多词典都把这两个词解释为可以互换的同义词。事实上,lawful和legal只在极少数情况下才能够互换使用。

 lawful:allowed by law;according to law, legitimate,译为合法的、法定的、依法的、法律允许的、不违反法律的,如lawful acts(合法的行为),the lawful heir(合法的继承人),the lawful ruler(合法的统治者)等。

legal:connected with,in accordance with, authorizedorrequired by the law,译为法律上的、合法的、法律明确承认的、法律要求的、法定的、依法实施的,如legal af- fairs(法律事务),legal adviser(法律顾问),take legal action against sb.(对某人提起诉讼),a legal offence(违法),legal aid(法律援助)等。

从以上对两个词的分析可以看出,lawful和legal这两个词貌似相同,其实差异很大。 lawful指为法律所允许或道德标准所认可的,例如,合法的年龄、手续或要求等。而legal则指为法律所承认、合乎法律要求的,有法定的意思。

1lawful常用在宗教的规范上。如:At one time it was not lawful for the town people to eat beef on Sundays.(有一个时期,那座城里的人在周日吃牛肉被视为是不道德的。)这句话里lawful的意思是:不道德的,即immoral。再如:

It is lawful for a Christian to fight for a just cause.(基督徒为正义而战是符合教义的。)

He is the lawful heir of the governor.(他是总督的合法继承人。)

2lawful指国家法律,一般只用于固定词组中,如lawful ruler(合法统治者)等。在婚礼上用到lawful一词时,既指教会法律,又指民法。如:

Do you take this woman to be your lawful wedded wife?你愿娶这个女人为合法妻子吗?

It is a lawful marriage.这是合法婚姻。

3legal一词指的法律是某国家的法律或国际法。如: October 1st is a legal holiday in China.十月一日是中国的法定假日。

He is the legal person of our company.他是我们公司的法人。

He is a member of the legal profession.他是干律师这行儿的。

This may involve a legal action.这可能引起一场官司。

Are you the legal guardian of this boy?你是这男孩儿法律上的保护人吗?

4legal比lawful与法律的联系更为紧密,可从以下几个例子加以证明,如a lawful adviser译为合法的顾问,而a legal adviser则译为法律顾问&qu

lawful和legal是两个词义不同的词,而许多词典都把这两个词解释为可以互换的同义词。事实上,lawful和legal只在极少数情况下才能够互换使用。

lawful和legal是两个词义不同的词,而许多词典都把这两个词解释为可以互换的同义词。事实上,lawful和legal legaltranz.com只在极少数情况下才能够互换使用。

顺便提一句,以上对lawful和legal的分析同样适用于它们的反义词unlawful和illegal。还有一词legitimate,译为正统的、嫡系的,合法的、正当的。如: He was the legitimate king of England.他是英格兰正统的国王。The boy is her illegitimate son.那男孩是她的私生子。

国内法律术语翻译的研究及问题

法律术语是用于表达法律概念,指称和反映法律领域特有的或与法律相关事物的现象和本质属性的法律行业专门用语。法律术语具有法定的语义,有法定的适用对象或支配对象,要求特定的语境,是代表性的法律语言核心词汇。每个行业都有代表本行业基本特点的专门术语,即使这些术语与社会通用语有一定的重叠。它们所表达的概念也是不同的了。法律术语所表达的概念限定在法律范围内,所指称或反映的现象和本质是从法律角度观察和理解的。法律术语用于特定的语境,因此,在应该使用法律术语的语境中随便改用其他语词,所表达内容的特点也将随之改变。

法律术语的正确使用是法律严肃性和准确性的保证。法律术语代表完整的法律概念,这一法律概念是一系列元素经过长期的积累沉淀,经过演变、淘汰,最后凝缩而成。法律概念又是法律系统的基本组成部分,某一概念与其他概念存在有机的联系,它们相互依存,相互制约。因此,理解和使用法律术语必须以整个法律系统为参照系,以法律概念为支持。

国内对法律术语的研究主要是静止孤立地对比分析具体术语的翻译方法。

有的论述主要集中于个别的具体术语的对比分析,通过追溯源语术语的词典意思,相关法律资料和文献来寻找其意义和用法,并提出对应译文。陈忠诚先生是典型的代表。其优点是从对比法学的角度寻找对等译文,缺点是孤立地分析,而不考虑系统语境阐述:没有从语言学理论的高度分析法律术语翻译的问题。致使我们并不知晓其中的决策过程和方法。

有的论者从翻译对等结合语义学的角度具体分析法律术语翻译中的不对等现象,提出不对等的分类和相应的翻译对策或方法。

现有的法律翻译研究同然给我们提供了不少有益的启示,他们把注意力集中在语义和文本层次,在绝大多数情况下具有可操作性。然而,现有的关于英汉汉英法律术语翻译研究还没有从系统的、理论的高度来进行。没有把握法律术语的翻译的本质,没有把它放到现实的语境中来研究,更别提从译文接受者的角度分析问题了。从以上的分析可以看出,现有的研究不能给我们提供关于法律术语翻译的译者思维和决策过程的知识。因此,我们尚不能从学理上清楚了解法律术语翻译决策过程的全貌。

法律英语中使用句号的四种情形

英国英语管句号叫full stop, 而美国英语称之为period. 句号主要在以下四个场合使用。

第一种场合:在非疑问句和感叹句的句尾。通常句号后面的下一个字母是有大写字母开头。

第二种场合:在缩写后。如:’Sun. 10 August’.

第三种场合:当句子以引用语结尾,并且该引用语自身已经带了句号,问号或者是感叹号,那么这里就不再需要使用另一个句号了。但是,如果引用语本身很短,而且整句话比引用语更加重要的时候,可以在引号外面加一个句号。如:

On the door were written the words ‘no entry’.

第四种场合:连续三个句号表示下文的省略。这个时候如果加上第四个句号则表示整句话的结束。如: ‘legaltranz.com … is exceptionally useful … I visit it every day.’

上市公司治理准则 Code of Corporate Governance for Listed Companies in China

上市公司治理准则 中英文对照
Code of Corporate Governance for Listed Companies in China
  

         导言

  为推动上市公司建立和完善现代企业制度,规范上市公司运作,促进我国证券市场健康发展,根据《公司法》、《证券法》及其它相关法律、法规确定的基本原则,并参照国外公司治理实践中普遍认同的标准,制订本准则。

  本准则阐明了我国上市公司治理的基本原则、投资者权利保护的实现方式,以及上市公司董事、监事、经理等高级管理人员所应当遵循的基本的行为准则和职业道德等内容。

  本准则适用于中国境内的上市公司。上市公司改善公司治理,应当贯彻本准则所阐述的精神。上市公司制定或者修改公司章程及治理细则,应当体现本准则所列明的内容。本准则是评判上市公司是否具有良好的公司治理结构的主要衡量标准,对公司治理存在重大问题的上市公司,证券监管机构将责令其按照本准则的要求进行整改。

  第一章 股东与股东大会

  第一节 股东权利

  第一条 股东作为公司的所有者,享有法律、行政法规和公司章程规定的合法权利。上市公司应建立能够确保股东充分行使权利的公司治理结构。

  第二条 上市公司的治理结构应确保所有股东,特别是中小股东享有平等地位。股东按其持有的股份享有平等的权利,并承担相应的义务。

  第三条 股东对法律、行政法规和公司章程规定的公司重大事项,享有知情权和参与权。上市公司应建立和股东沟通的有效渠道。

  第四条 股东有权按照法律、行政法规的规定,通过民事诉讼或其他法律手段保护其合法权利。股东大会、董事会的决议违反法律、行政法规的规定,侵犯股东合法权益,股东有权依法提起要求停止上述违法行为或侵害行为的诉讼。董事、监事、经理执行职务时违反法律、行政法规或者公司章程的规定,给公司造成损害的,应承担赔偿责任。股东有权要求公司依法提起要求赔偿的诉讼。

  第二节 股东大会的规范

  第五条 上市公司应在公司章程中规定股东大会的召开和表决程序,包括通知、登记、提案的审议、投票、计票、表决结果的宣布、会议决议的形成、会议记录及其签署、公告等。

  第六条 董事会应认真审议并安排股东大会审议事项。股东大会应给予每个提案合理的讨论时间。

  第七条 上市公司应在公司章程中规定股东大会对董事会的授权原则,授权内容应明确具体。

  第八条 上市公司应在保证股东大会合法、有效的前提下,通过各种方式和途径,包括充分运用现代信息技术手段,扩大股东参与股东大会的比例。股东大会时间、地点的选择应有利于让尽可能多的股东参加会议。

  第九条 股东既可以亲自到股东大会现场投票,也可以委托代理人代为投票,两者具有同样的法律效力。

  第十条 上市公司董事会、独立董事和符合有关条件的股东可向上市公司股东征集其在股东大会上的投票权。投票权征集应采取无偿的方式进行,并应向被征集人充分披露信息。

  第十一条 机构投资者应在公司董事选任、经营者激励与监督、重大事项决策等方面发挥作用。

  第三节 关联交易

  第十二条 上市公司与关联人之间的关联交易应签订书面协议。协议的签订应当遵循平等、自愿、等价、有偿的原则,协议内容应明确、具体。公司应将该协议的订立、变更、终止及履行情况等事项按照有关规定予以披露。

  第十三条 上市公司应采取有效措施防止关联人以垄断采购和销售业务渠道等方式干预公司的经营,损害公司利益。关联交易活动应遵循商业原则, 关联交易的价格原则上应不偏离市场独立第三方的价格或收费的标准。公司应对关联交易的定价依据予以充分披露。

  第十四条 上市公司的资产属于公司所有。上市公司应采取有效措施防止股东及其关联方以各种形式占用或转移公司的资金、资产及其他资源。上市公司不得为股东及其关联方提供担保。

  第二章 控股股东与上市公司

  第一节 控股股东行为的规范

  第十五条 控股股东对拟上市公司改制重组时应遵循先改制、后上市的原则,并注重建立合理制衡的股权结构。

  第十六条 控股股东对拟上市公司改制重组时应分离其社会职能,剥离非经营性资产,非经营性机构、福利性机构及其设施不得进入上市公司。

  第十七条 控股股东为上市公司主业服务的存续企业或机构可以按照专业化、市场化的原则改组为专业化公司,并根据商业原则与上市公司签订有关协议。从事其他业务的存续企业应增强其独立发展的能力。无继续经营能力的存续企业,应按有关法律、法规的规定,通过实施破产等途径退出市场。企业重组时具备一定条件的,可以一次性分离其社会职能及分流富余人员,不保留存续企业。

  第十八条 控股股东应支持上市公司深化劳动、人事、分配制度改革,转换经营管理机制,建立管理人员竞聘上岗、能上能下,职工择优录用、能进能出,收入分配能增能减、有效激励的各项制度。

  第十九条 控股股东对上市公司及其他股东负有诚信义务。控股股东对其所控股的上市公司应严格依法行使出资人的权利,控股股东不得利用资产重组等方式损害上市公司和其他股东的合法权益,不得利用其特殊地位谋取额外的利益。

  第二十条 控股股东对上市公司董事、监事候选人的提名,应严格遵循法律、法规和公司章程规定的条件和程序。控股股东提名的董事、监事候选人应当具备相关专业知识和决策、监督能力。控股股东不得对股东大会人事选举决议和董事会人事聘任决议履行任何批准手续;不得越过股东大会、董事会任免上市公司的高级管理人员。

  第二十一条 上市公司的重大决策应由股东大会和董事会依法作出。控股股东不得直接或间接干预公司的决策及依法开展的生产经营活动,损害公司及其他股东的权益。

  第二节 上市公司的独立性

  第二十二条 控股股东与上市公司应实行人员、资产、财务分开,机构、业务独立,各自独立核算、独立承担责任和风险。

  第二十三条 上市公司人员应独立于控股股东。上市公司的经理人员、财务负责人、营销负责人和董事会秘书在控股股东单位不得担任除董事以外的其他职务。控股股东高级管理人员兼任上市公司董事的,应保证有足够的时间和精力承担上市公司的工作。

  第二十四条 控股股东投入上市公司的资产应独立完整、权属清晰。控股股东以非货币性资产出资的,应办理产权变更手续,明确界定该资产的范围。上市公司应当对该资产独立登记、建帐、核算、管理。控股股东不得占用、支配该资产或干预上市公司对该资产的经营管理。

  第二十五条 上市公司应按照有关法律、法规的要求建立健全的财务、会计管理制度,独立核算。控股股东应尊重公司财务的独立性,不得干预公司的财务、会计活动。

  第二十六条 上市公司的董事会、监事会及其他内部机构应独立运作。控股股东及其职能部门与上市公司及其职能部门之间没有上下级关系。控股股东及其下属机构不得向上市公司及其下属机构下达任何有关上市公司经营的计划和指令,也不得以其他任何形式影响其经营管理的独立性。

  第二十七条 上市公司业务应完全独立于控股股东。控股股东及其下属的其他单位不应从事与上市公司相同或相近的业务。控股股东应采取有效措施避免同业竞争。

  第三章 董事与董事会

  第一节 董事的选聘程序

  第二十八条 上市公司应在公司章程中规定规范、透明的董事选聘程序,保证董事选聘公开、公平、公正、独立。

  第二十九条 上市公司应在股东大会召开前披露董事候选人的详细资料,保证股东在投票时对候选人有足够的了解。

  第三十条 董事候选人应在股东大会召开之前作出书面承诺,同意接受提名,承诺公开披露的董事候选人的资料真实、完整并保证当选后切实履行董事职责。

  第三十一条 在董事的选举过程中,应充分反映中小股东的意见。股东大会在董事选举中应积极推行累积投票制度。控股股东控股比例在30%以上的上市公司,应当采用累积投票制。采用累积投票制度的上市公司应在公司章程里规定该制度的实施细则。

  第三十二条 上市公司应和董事签订聘任合同,明确公司和董事之间的权利义务、董事的任期、董事违反法律法规和公司章程的责任以及公司因故提前解除合同的补偿等内容。

  第二节 董事的义务

  第三十三条 董事应根据公司和全体股东的最大利益,忠实、诚信、勤勉地履行职责。

  第三十四条 董事应保证有足够的时间和精力履行其应尽的职责。

  第三十五条 董事应以认真负责的态度出席董事会,对所议事项表达明确的意见。董事确实无法亲自出席董事会的,可以书面形式委托其他董事按委托人的意愿代为投票,委托人应独立承担法律责任。

  第三十六条 董事应遵守有关法律、法规及公司章程的规定,严格遵守其公开作出的承诺。

  第三十七条 董事应积极参加有关培训, 以了解作为董事的权利、义务和责任, 熟悉有关法律法规, 掌握作为董事应具备的相关知识。

  第三十八条 董事会决议违反法律、法规和公司章程的规定,致使公司遭受损失的,参与决议的董事对公司承担赔偿责任。但经证明在表决时曾表明异议并记载于会议记录的董事除外。

  第三十九条 经股东大会批准,上市公司可以为董事购买责任保险。但董事因违反法律法规和公司章程规定而导致的责任除外。

  第三节 董事会的构成和职责

  第四十条 董事会的人数及人员构成应符合有关法律、法规的要求,确保董事会能够进行富有成效的讨论,作出科学、迅速和谨慎的决策。

  第四十一条 董事会应具备合理的专业结构,其成员应具备履行职务所必需的的知识、技能和素质。

  第四十二条 董事会向股东大会负责。上市公司治理结构应确保董事会能够按照法律、法规和公司章程的规定行使职权。

  第四十三条 董事会应认真履行有关法律、法规和公司章程规定的职责,确保公司遵守法律、法规和公司章程的规定,公平对待所有股东,并关注其他利益相关者的利益。

  第四节 董事会议事规则

  第四十四条 上市公司应在公司章程中规定规范的董事会议事规则,确保董事会高效运作和科学决策。

  第四十五条 董事会应定期召开会议,并根据需要及时召开临时会议。董事会会议应有事先拟定的议题。

  第四十六条 上市公司董事会会议应严格按照规定的程序进行。董事会应按规定的时间事先通知所有董事,并提供足够的资料,包括会议议题的相关背景材料和有助于董事理解公司业务进展的信息和数据。当2名或2名以上独立董事认为资料不充分或论证不明确时,可联名以书面形式向董事会提出延期召开董事会会议或延期审议该事项,董事会应予以采纳。

  第四十七条 董事会会议记录应完整、真实。董事会秘书对会议所议事项要认真组织记录和整理。出席会议的董事、董事会秘书和记录人应在会议记录上签名。董事会会议记录应作为公司重要档案妥善保存,以作为日后明确董事责任的重要依据。

  第四十八条 董事会授权董事长在董事会闭会期间行使董事会部分职权的,上市公司应在公司章程中明确规定授权原则和授权内容,授权内容应当明确、具体。凡涉及公司重大利益的事项应由董事会集体决策。

  第五节 独立董事制度

  第四十九条 上市公司应按照有关规定建立独立董事制度。独立董事应独立于所受聘的公司及其主要股东。独立董事不得在上市公司担任除独立董事外的其他任何职务。

  第五十条 独立董事对公司及全体股东负有诚信与勤勉义务。独立董事应按照相关法律、法规、公司章程的要求,认真履行职责,维护公司整体利益,尤其要关注中小股东的合法权益不受损害。独立董事应独立履行职责,不受公司主要股东、实际控制人、以及其他与上市公司存在利害关系的单位或个人的影响。

  第五十一条 独立董事的任职条件、选举更换程序、职责等,应符合有关规定。

  第六节 董事会专门委员会

  第五十二条 上市公司董事会可以按照股东大会的有关决议,设立战略、审计、提名、薪酬与考核等专门委员会。专门委员会成员全部由董事组成,其中审计委员会、提名委员会、薪酬与考核委员会中独立董事应占多数并担任召集人,审计委员会中至少应有一名独立董事是会计专业人士。

  第五十三条 战略委员会的主要职责是对公司长期发展战略和重大投资决策进行研

  究并提出建议。

  第五十四条 审计委员会的主要职责是:(1)提议聘请或更换外部审计机构;(2)监督公司的内部审计制度及其实施;(3)负责内部审计与外部审计之间的沟通;(4)审核公司的财务信息及其披露;(5)审查公司的内控制度。

  第五十五条 提名委员会的主要职责是:(1)研究董事、经理人员的选择标准和程序并提出建议;(2)广泛搜寻合格的董事和经理人员的人选;(3)对董事候选人和经理人选进行审查并提出建议。

  第五十六条 薪酬与考核委员会的主要职责是:(1)研究董事与经理人员考核的标准,进行考核并提出建议;(2)研究和审查董事、高级管理人员的薪酬政策与方案。

  第五十七条 各专门委员会可以聘请中介机构提供专业意见,有关费用由公司承担。

  第五十八条 各专门委员会对董事会负责,各专门委员会的提案应提交董事会审查决定。

  第四章 监事与监事会

  第一节 监事会的职责

  第五十九条 上市公司监事会应向全体股东负责,对公司财务以及公司董事、经理和其他高级管理人员履行职责的合法合规性进行监督,维护公司及股东的合法权益。

  第六十条 监事有了解公司经营情况的权利,并承担相应的保密义务。监事会可以独立聘请中介机构提供专业意见。

  第六十一条 上市公司应采取措施保障监事的知情权,为监事正常履行职责提供必要的协助,任何人不得干预、阻挠。监事履行职责所需的合理费用应由公司承担。

  第六十二条 监事会的监督记录以及进行财务或专项检查的结果应成为对董事、经理和其他高级管理人员绩效评价的重要依据。

  第六十三条 监事会发现董事、经理和其他高级管理人员存在违反法律、法规或公司章程的行为,可以向董事会、股东大会反映,也可以直接向证券监管机构及其他有关部门报告。

  第二节 监事会的构成和议事规则

  第六十四条 监事应具有法律、会计等方面的专业知识或工作经验。监事会的人员和结构应确保监事会能够独立有效地行使对董事、经理和其他高级管理人员及公司财务的监督和检查。

  第六十五条 上市公司应在公司章程中规定规范的监事会议事规则。监事会会议应严格按规定程序进行。

  第六十六条 监事会应定期召开会议,并根据需要及时召开临时会议。监事会会议因故不能如期召开,应公告说明原因。

  第六十七条 监事会可要求公司董事、经理及其他高级管理人员、内部及外部审计人员出席监事会会议,回答所关注的问题。

  第六十八条 监事会会议应有记录,出席会议的监事和记录人应当在会议记录上签字。监事有权要求在记录上对其在会议上的发言作出某种说明性记载。监事会会议记录应作为公司重要档案妥善保存。

  第五章 绩效评价与激励约束机制

  第一节 董事、监事、经理人员的绩效评价

  第六十九条 上市公司应建立公正透明的董事、监事和经理人员的绩效评价标准和程序。

  第七十条 董事和经理人员的绩效评价由董事会或其下设的薪酬与考核委员会负责组织。独立董事、监事的评价应采取自我评价与相互评价相结合的方式进行。

  第七十一条 董事报酬的数额和方式由董事会提出方案报请股东大会决定。在董事会或薪酬与考核委员会对董事个人进行评价或讨论其报酬时,该董事应当回避。

  第七十二条 董事会、监事会应当向股东大会报告董事、监事履行职责的情况、绩效评价结果及其薪酬情况,并予以披露。

  第二节 经理人员的聘任

  第七十三条 上市公司经理人员的聘任,应严格按照有关法律、法规和公司章程的规定进行。任何组织和个人不得干预公司经理人员的正常选聘程序。

  第七十四条 上市公司应尽可能采取公开、透明的方式,从境内外人才市场选聘经理人员,并充分发挥中介机构的作用。

  第七十五条 上市公司应和经理人员签订聘任合同,明确双方的权利义务关系。

  第七十六条 经理的任免应履行法定的程序,并向社会公告。

  第三节 经理人员的激励与约束机制

  第七十七条 上市公司应建立经理人员的薪酬与公司绩效和个人业绩相联系的激励机制,以吸引人才,保持经理人员的稳定。

  第七十八条 上市公司对经理人员的绩效评价应当成为确定经理人员薪酬以及其它激励方式的依据。

  第七十九条 经理人员的薪酬分配方案应获得董事会的批准,向股东大会说明,并予以披露。

  第八十条 上市公司应在公司章程中明确经理人员的职责。经理人员违反法律、法规和公司章程规定,致使公司遭受损失的,公司董事会应积极采取措施追究其法律责任。

  第六章 利益相关者

  第八十一条 上市公司应尊重银行及其它债权人、职工、消费者、供应商、社区等利益相关者的合法权利。

  第八十二条 上市公司应与利益相关者积极合作,共同推动公司持续、健康地发展。

  第八十三条 上市公司应为维护利益相关者的权益提供必要的条件,当其合法权益受到侵害时,利益相关者应有机会和途径获得赔偿。

  第八十四条 上市公司应向银行及其它债权人提供必要的信息,以便其对公司的经营状况和财务状况作出判断和进行决策。

  第八十五条 上市公司应鼓励职工通过与董事会、监事会和经理人员的直接沟通和交流,反映职工对公司经营、财务状况以及涉及职工利益的重大决策的意见。

  第八十六条 上市公司在保持公司持续发展、实现股东利益最大化的同时,应关注所在社区的福利、环境保护、公益事业等问题,重视公司的社会责任。

  第七章 信息披露与透明度

  第一节 上市公司的持续信息披露

  第八十七条 持续信息披露是上市公司的责任。上市公司应严格按照法律、法规和公司章程的规定,真实、准确、完整、及时地披露信息。

  第八十八条 上市公司除按照强制性规定披露信息外,应主动、及时地披露所有可能对股东和其它利益相关者决策产生实质性影响的信息,并保证所有股东有平等的机会获得信息。

  第八十九条 上市公司披露的信息应当便于理解。上市公司应保证使用者能够通过经济、便捷的方式(如互联网)获得信息。

  第九十条 上市公司董事会秘书负责信息披露事项,包括建立信息披露制度、接待来访、回答咨询、联系股东,向投资者提供公司公开披露的资料等。董事会及经理人员应对董事会秘书的工作予以积极支持。任何机构及个人不得干预董事会秘书的工作。

  第二节 公司治理信息的披露

  第九十一条 上市公司应按照法律、法规及其他有关规定,披露公司治理的有关信息,包括但不限于:(1)董事会、监事会的人员及构成;(2)董事会、监事会的工作及评价;(3)独立董事工作情况及评价,包括独立董事出席董事会的情况、发表独立意见的情况及对关联交易、董事及高级管理人员的任免等事项的意见;(4)各专门委员会的组成及工作情况;(5)公司治理的实际状况,及与本准则存在的差异及其原因;(6)改进公司治理的具体计划和措施。

  第三节 股东权益的披露

  第九十二条 上市公司应按照有关规定,及时披露持有公司股份比例较大的股东以及一致行动时可以实际控制公司的股东或实际控制人的详细资料。

  第九十三条 上市公司应及时了解并披露公司股份变动的情况以及其它可能引起股份变动的重要事项。

  第九十四条 当上市公司控股股东增持、减持或质押公司股份,或上市公司控制权发生转移时,上市公司及其控股股东应及时、准确地向全体股东披露有关信息。

  第八章 附则

  第九十五条 本准则自发布之日起施行。

  Code of Corporate Governance for Listed Companies in China

  Issued by:

  China Securities Regulatory Commission

  State Economic and Trade Commission

  January 7, 2001

  (Zhengjianfa No.1 of 2002)

  Code of Corporate Governance for Listed Companies

  Preface

  In accordance with the basic principles of the Company Law, the Securities Law and other relevant laws and regulations, as well as the commonly accepted standards in international corporate governance, the Code of Corporate Governance for Listed Companies (hereinafter referred to as “the Code”) is formulated to promote the establishment and improvement of modern enterprise system by listed companies, to standardize the operation of listed companies and to bring forward the healthy development of the securities market of our country.

  The Code sets forth, among other things, the basic principles for corporate governance of listed companies in our country, the means for the protection of investors’ interests and rights, the basic behavior rules and moral standards for directors, supervisors, managers and other senior management members of listed companies.

  The Code is applicable to all listed companies within the boundary of the People’s Republic of China. Listed companies shall act in the spirit of the Code in their efforts to improve corporate governance. Requirements of the Code shall be embodied when listed companies formulate or amend their articles of association or rules of governance. The Code is the major measuring standard for evaluating whether a listed company has a good corporate governance structure, and if major problems exist with the corporate governance structure of a listed company, the securities supervision and regulation authorities may instruct the company to make corrections in accordance with the Code.

  Chapter 1. Shareholders and Shareholders’ Meetings

  (1) Rights of Shareholders

  1. As the owner of a company, the shareholders shall enjoy the legal rights stipulated by laws, administrative regulations and the company’s articles of association. A listed company shall establish a corporate governance structure sufficient for ensuring the full exercise of shareholders’ rights.

  2. The corporate governance structure of a company shall ensure fair treatment toward all shareholders, especially minority shareholders. All shareholders are to enjoy equal rights and to bear the corresponding duties based on the shares they hold.

  3. Shareholders shall have the right to know about and the right to participate in major matters of the company set forth in the laws, administrative regulations and articles of association. A listed company shall establish efficient channels of communication with its shareholders.

  4. Shareholders shall have the right to protect their interests and rights through civil litigation or other legal means in accordance with laws and administrative regulations. In the event the resolutions of shareholders’ meetings or the resolutions of the board of directors are in breach of laws and administrative regulations or infringe on shareholders’ legal interests and rights, the shareholders shall have the right to initiate litigation to stop such breach or infringement. The directors, supervisors and managers of the company shall bear the liability of compensation in cases where they violate laws, administrative regulations or articles of association and cause damages to the company during the performance of their duties. Shareholders shall have the right to request the company to sue for such compensation in accordance with law.

  (2) Rules for Shareholders’ Meetings

  5. A listed company shall set out convening and voting procedures for shareholders’ meetings in its articles of association, including rules governing such matters as notification, registration, review of proposals, voting, counting of votes, announcement of voting results, formulation of resolutions, recording of minutes and signatories, public announcement, etc.

  6. The board of directors shall earnestly study and arrange the agenda for a shareholders’ meeting. During a shareholders’ meeting, each item on the agenda shall be given a reasonable amount of time for discussion.

  7. A listed company shall state in its articles of association the principles for the shareholders’ meeting to grant authorization to the board of directors. The content of such authorization shall be explicit and concrete.

  8. Besides ensuring that shareholders’ meetings proceed legally and effectively, a listed company shall make every effort, including fully utilizing modern information technology means, to increase the number of shareholders attending the shareholders’ meetings. The time and location of the shareholders’ meetings shall be set so as to allow the maximum number of shareholders to participate.

  9. The shareholders can either be present at the shareholders’ meetings in person or they may appoint a proxy to vote on their behalf, and both means of voting possess the same legal effect.

  10. The board of directors, independent directors and qualified shareholders of a listed company may solicit for the shareholders’ right to vote in a shareholders’ meeting. No payments shall be made to the shareholders for such solicitation, and adequate information shall be provided to persons whose voting rights are being solicited.

  11. Iinstitutional investors shall play a role in the appointment of company directors, the compensation and supervision of management and major decision-making processes.

  (3) Related Party Transactions

  12. Written agreements shall be entered into for related party transactions among a listed company and its connected parties. Such agreements shall observe principles of equality, voluntarity, and making compensation for equal value. The contents of such agreements shall be specific and concrete. Matters such as the signing, amendment, termination and execution of such agreements shall be disclosed by the listed company in accordance with relevant regulations.

  13. Efficient measures shall be adopted by a listed company to prevent its connected parties from interfering with the operation of the company and damaging the company’s interests by monopolizing purchase or sales channels. Related party transactions shall observe commercial principles. In principle, the prices for related party transactions shall not deviate from an independent third party’s market price or charging standard. The company shall fully disclose the basis for pricing for related party transactions.

  14. The assets of a listed company belong to the company. The company shall adopt efficient measures to prevent its shareholders and their affiliates from misappropriating or transferring the capital, assets or other resources of the company through various means. A listed company shall not provide financial guarantees for its shareholders or their affiliates.

  Chapter 2. Listed Company and Its Controlling Shareholders

  (1) Behavior Rules for Controlling Shareholders

  15. During the restructuring and reorganization of a company that plans to list, the controlling shareholders shall observe the principle of “first restructuring, then listing”, and shall emphasize the establishment of a reasonably balanced shareholding structure.

  16. During the restructuring and reorganization of a company that plans to list, the controlling shareholders shall sever the company’s social functions and strip out non-operational assets. Non-operational institutions, welfare institutions and their facilities shall not be included in the listed company.

  17. Controlling shareholders’ remaining enterprises or institutions that provide services for the major business of the listed company may be restructured into specialized companies in accordance with the principles of specialization and market practice, and may enter into relevant agreements with the listed company in accordance with commercial principles. Remaining enterprises engaged in other businesses shall increase their capability of independent development. Remaining enterprises not capable to continue operation shall exit the market, through such channels as bankruptcy, in accordance with relevant laws and regulations. Enterprises meeting certain requirements during restructuring may sever all their social functions and disperse surplus employees at one time and keep no remaining enterprises.

  18. The controlling shareholders shall support the listed company to further reform labor, personnel and distribution systems, to transform operational and managerial mechanisms, and to establish such systems as: management selection through bidding and competition, with the chance for both promotion and demotion; employment of employees on the basis of competitive selection, with the chance for both employment and termination of employment; income distribution scheme that provides sufficient incentive, with the chance to both increase and decrease the remuneration; etc.

  19. The controlling shareholders owe a duty of good faith toward the listed company and other shareholders. The controlling shareholders of a listed company shall strictly comply with laws and regulations while exercising their rights as investors, and shall be prevented from damaging the listed company’s or other shareholders’ legal rights and interests, through means such as assets restructuring, or from taking advantage of their privileged position to gain additional benefit.

  20. The controlling shareholders shall nominate the candidates for directors and supervisors in strict compliance with the terms and procedures provided for by laws, regulations and the company’s articles of association. The nominated candidates shall possess certain relevant professional knowledge and the capability to make decisions or supervise. The resolutions made by the shareholders’ meetings electing personnel or the board of directors’ resolutions appointing personnel shall not be subjected to approval procedures by the controlling shareholders. The controlling shareholders are forbidden to appoint senior management personnel by circumventing the shareholders’ meetings or the board of directors.

  21. The important decisions of a listed company shall be made through a shareholders’ meeting or board of directors’ meeting in accordance with law. The controlling shareholders shall not directly or indirectly interfere with the company’s decisions or business activities conducted in accordance with laws; nor shall they impair the listed company’s or other shareholders’ rights and interests.

  (2) Independence of Listed Company

  22. A listed company shall be separated from its controlling shareholders in such aspects as personnel, assets and financial affairs, shall be independent in institution and business, shall practice independent business accounting, and shall independently bear risks and obligations.

  23. The personnel of a listed company shall be independent from the controlling shareholders. The management, financial officers, sales officers and secretary of the board of directors of the listed company shall not take posts other than as a director in a controlling shareholder’s entities. In the case where a member of a controlling shareholder’s senior management concurrently holds the position of director of the listed company, such member shall ensure adequate time and energy to perform the work for the listed company.

  24. The assets invested by a controlling shareholder in a listed company shall be independent, complete and with clear indication of ownership. Where controlling shareholders invest non-cash assets into a listed company, ownership transfer procedures shall be completed and explicit boundaries for such assets shall be clarified. The listed company shall independently register such assets, independently set up account for such assets, and independently carry out business accounting and management for such assets. The controlling shareholders shall not misappropriate or control such assets or interfere with the listed company’s management of such assets.

  25. A listed company shall establish sound financial and accounting management systems in accordance with laws and regulations and shall conduct independent business accounting. Controlling shareholders shall respect the financial independence of the company and shall not interfere with the financial and accounting activities of the company.

  26. The board of directors, the supervisory committee and other internal offices of a listed company shall operate in an independent manner. There shall be no subordination relationship between, on the one hand, a listed company or its internal offices and, on the other hand, the company’s controlling shareholders or their internal offices, and the latter shall not give plans or instructions concerning the listed company’s business operation to the former, nor shall the latter interfere with the independent operation of the former in any other manner.

  27. A listed company’s business shall be completely independent from that of its controlling shareholders. Controlling shareholders and their subsidiaries shall not engage in the same or similar business as that of the listed company. Controlling shareholders shall adopt efficient measures to avoid competition with the listed company.

  Chapter 3. Directors and Board of Directors

  (1) Election Procedures for Directors

  28. A company shall establish a standardized and transparent procedure for director election in its articles of association, so as to ensure the openness, fairness, impartialness and independence of the election.

  29. Detailed information regarding the candidates for directorship shall be disclosed prior to the convening of the shareholders’ meeting to ensure adequate understanding of the candidates by the shareholders at the time of voting.

  30. Candidates for directorship shall give written undertakings to accept their nomination, to warrant the truthfulness and completeness of the candidate’s information that has been publicly disclosed and to promise to earnestly perform their duties once elected.

  31. The election of directors shall fully reflect the opinions of minority shareholders. A cumulative voting system shall be earnestly advanced in shareholders’ meetings for the election of directors. Listed companies that are more than 30% owned by controlling shareholders shall adopt a cumulative voting system, and the companies that do adopt such a system shall stipulate the implementing rules for such cumulative voting system in their articles of association.

  32. Appointment agreements shall be entered into by a listed company and its directors to clarify such matters as the rights and obligations between the company and the director, the term of the directorship, the director’s liabilities in case of breach of laws, regulations or articles of association, and the compensation from the company in case of early termination of the appointment agreement for cause by the company.

  (2) The Duties and Responsibilities of Directors

  33. Directors shall faithfully, honestly and diligently perform their duties for the best interests of the company and all the shareholders.

  34. Directors shall ensure adequate time and energy for the performance of their duties.

  35. Directors shall attend the board of directors meetings in a diligent and responsible manner, and shall express their clear opinion on the topics discussed. When unable to attend a board of directors meeting, a director may authorize another director in writing to vote on his behalf and the director who makes such authorization shall be responsible for the vote.

  36. The board of directors shall abide by relevant laws, regulations, rules and the company’s articles of association, and shall strictly fulfill the undertakings they made publicly.

  37. Directors shall earnestly attend relevant trainings to learn about the rights, obligations and duties of a director, to familiarize themselves with relevant laws and regulations and to master relevant knowledge necessary for acting as directors.

  38. In cases where the resolutions of board of directors violate laws or regulations or a listed company’s articles of association and cause losses to the listed company, directors responsible for making such resolutions shall be liable for compensation, except those proved to have objected and the objections of whom have been recorded in the minutes.

  39. After approval by the shareholders’ meeting, a listed company may purchase liability insurance for directors. Such insurance shall not cover the liabilities arising in connection with directors’ violation of laws, regulations or the company’s articles of association.

  (3) Duties and Composition of the Board of Directors

  40. The number of directors and the structure of the board of directors shall be in compliance with laws and regulations and shall ensure the effective discussion and efficient, timely and prudent decision-making process of the board of directors.

  41. The board of directors shall possess proper professional background. The directors shall possess adequate knowledge, skill and quality to perform their duties.

  42. The board of directors shall be made accountable to shareholders. A listed company’s corporate governance framework shall ensure that the board of directors can exercise its power in accordance with laws, administrative regulations and the company’s articles of association.

  43. The board of directors shall earnestly perform its duties as stipulated by laws, regulations and the company’s articles of association, shall ensure that the company complies with laws, regulations and its articles of association, shall treat all the shareholders equally and shall be concerned with the interests of stakeholders.

  (4) Rules and Procedure of the Board of Directors

  44. A listed company shall formulate rules of procedure for its board of directors in its articles of association to ensure the board of directors’ efficient function and rational decisions.

  45. The board of directors shall meet periodically and shall convene interim meetings in a timely manner when necessary. Each board of directors’ meeting shall have a pre-decided agenda.

  46. The meetings of the board of directors of a listed company shall be conducted in strict compliance with prescribed procedures. The board of directors shall send notice to all directors in advance, at the stipulated time, and shall provide sufficient materials, including relevant background materials for the items on the agenda and other information and data that may assist the directors in their understanding of the company’s business development. When two or more independent directors deem the materials inadequate or unclear, they may jointly submit a written request to postpone the meeting or to postpone the discussion of the related matter, which shall be granted by the board of directors.

  47. The minutes of the board of directors’ meetings shall be complete and accurate. The secretary of the board of directors shall carefully organize the minutes and the records of discussed matters. Directors that have attended the meetings and the person who drafted the minutes shall sign the minutes. The minutes of the board of directors’ meetings shall be properly maintained and stored as important records of the company, and may be used as an important basis for clarifying responsibilities of individual directors in the future.

  48. In the case of authorization to the chairman of the board of directors to exercise part of the board of directors’ power of office when the board of directors is not in session, clear rules and principles for such authorization shall be stated in the articles of association of the listed company. The content of such authorization shall be clear and specific. All matters related to material interests of the company shall be submitted to the board of directors for collective decision.

  (5) Independent Directors

  49. A listed company shall introduce independent directors to its board of directors in accordance with relevant regulations. Independent directors shall be independent from the listed company that employs them and the company’s major shareholders. An independent director may not hold any other position apart from independent director in the listed company.

  50. The independent directors shall bear the duties of good faith and due diligence toward the listed company and all the shareholders. They shall earnestly perform their duties in accordance with laws, regulations and the company’s articles of association, shall protect the overall interests of the company, and shall be especially concerned with protecting the interests of minority shareholders from being infringed. Independent directors shall carry out their duties independently and shall not subject themselves to the influence of the company’s major shareholders, actual controllers, or other entities or persons who are interested parties of the listed company.

  51. Relevant laws and regulations shall be complied with for matters such as the qualifications, procedure of election and replacement, and duties of independent directors.

  (6) Specialized Committees of the Board of Directors

  52. The board of directors of a listed company may establish a corporate strategy committee, an audit committee, a nomination committee, a remuneration and appraisal committee and other special committees in accordance with the resolutions of the shareholders’ meetings. All committees shall be composed solely of directors. The audit committee, the nomination committee and the remuneration and appraisal committee shall be chaired by an independent director, and independent directors shall constitute the majority of the committees. At least one independent director from the audit committee shall be an accounting professional.

  53. The main duties of the corporate strategy committee shall be to conduct research and make recommendations on the long-term strategic development plans and major investment decisions of the company.

  54. The main duties of the audit committee are (1) to recommend the engagement or replacement of the company’s external auditing institutions; (2) to review the internal audit system and its execution; (3) to oversee the interaction between the company’s internal and external auditing institutions; (4) to inspect the company’s financial information and its disclosure; and (5) to monitor the company’s internal control system.

  55. The main duties of the nomination committee are (1) to formulate standards and procedures for the election of directors and make recommendations; (2) to extensively seek qualified candidates for directorship and management; and (3) to review the candidates for directorship and management and make recommendations.

  56. The main duties of the remuneration and appraisal committee are (1) to study the appraisal standard for directors and management personnel, to conduct appraisal and to make recommendations; and (2) to study and review the remuneration policies and schemes for directors and senior management personnel.

  57. Each specialized committee may engage intermediary institutions to provide professional opinions, the relevant expenses to be borne by the company.

  58. Each specialized committee shall be accountable to the board of directors. All proposals by specialized committees shall be submitted to the board of directors for review and approval.

  Chapter 4. The Supervisors and the Supervisory Board

  (1) Duties and Responsibilities of the Supervisory Board

  59. The supervisory board of a listed company shall be accountable to all shareholders. The supervisory board shall supervise the corporate finance, the legitimacy of directors, managers and other senior management personnel’s performance of duties, and shall protect the company’s and the shareholders’ legal rights and interests.

  60. Supervisors shall have the right to learn about the operating status of the listed company and shall have the corresponding obligation of confidentiality. The supervisory board may independently hire intermediary institutions to provide professional opinions.

  61. A listed company shall adopt measures to ensure supervisors’ right to learn about company’s matters and shall provide necessary assistance to supervisors for their normal performance of duties. No one shall interfere with or obstruct supervisors’ work. A supervisor’s reasonable expenses necessary to perform their duties shall be borne by the listed company.

  62. The record of the supervisory committee’s supervision as well as the results of financial or other specific investigations shall be used as an important basis for performance assessment of directors, managers and other senior management personnel.

  63. The supervisory board may report directly to securities regulatory authorities and other related authorities as well as reporting to the board of directors and the shareholders’ meetings when the supervisory board learns of any violation of laws, regulations or the company’s articles of association by directors, managers or other senior management personnel.

  (2) The Composition and Steering of the Supervisory Board

  64. Supervisors shall have professional knowledge or work experience in such areas as law and accounting. The members and the structure of the supervisory board shall ensure its capability to independently and efficiently conduct its supervision of directors, managers and other senior management personnel and to supervise and examine the company’s financial matters.

  65. A listed company shall formulate in its articles of association standardized rules and procedures governing the steering of the supervisory board. The supervisory board’s meetings shall be convened in strict compliance with the rules and procedures.

  66. The supervisory board shall meet periodically and shall convene interim meetings in a timely manner when necessary. If for any reason a supervisory board meeting cannot be convened as scheduled, an explanation shall be publicly announced.

  67. The supervisory board may ask directors, managers and other senior management personnel, internal auditing personnel and external auditing personnel to attend the meetings of supervisory board and to answer the questions that the supervisory board is concerned with.

  68. Minutes shall be drafted for the meetings of the supervisory board, which shall be signed by the supervisors that attended the meetings and the person who drafted the minutes. The supervisors shall have the right to request to record in the minutes explanatory notes to their statements in the meetings. Minutes of the meetings of the supervisory board shall be properly maintained and stored as important records of the company.

  Chapter 5. Performance Assessments and Incentive and Disciplinary Systems

  (1) Performance Assessment for Directors, Supervisors and Management Personnel

  69. A listed company shall establish fair and transparent standards and procedures for the assessment of the performance of directors, supervisors and management personnel.

  70. The evaluation of the directors and management personnel shall be conducted by the board of directors or by the remuneration and appraisal committee of the board of directors. The evaluation of the performance of independent directors and supervisors shall be conducted through a combination of self-review and peer review.

  71. The board of directors shall propose a scheme for the amount and method of compensation for directors to the shareholders’ meeting for approval. When the board of directors or the remuneration and appraisal committee reviews the performance of or discusses the compensation for a certain director, such director shall withdraw.

  72. The board of directors and the supervisory board shall report to the shareholder meetings the performance of the directors and the supervisors, the results of the assessment of their work and their compensation, and shall disclose such information.

  (2) Selection of Management Personnel

  73. The recruiting of management personnel of a listed company shall be conducted in strict observation with relevant laws and regulations and the company’s articles of association. No institution or individual shall interfere with a listed company’s normal recruiting procedure for management personnel.

  74. The recruiting of management personnel of a listed company shall, to the extent possible, be carried out in a fair and transparent manner, through domestic and international markets for professional management, making full use of intermediary agencies.

  75. Employment agreements shall be entered into by a listed company and its management personnel to clarify each party’s rights and obligations.

  76. The appointment and removal of managers shall be in compliance with legal procedure and shall be publicly announced.

  (3) Incentive and Disciplinary Systems for Management

  77. To attract qualified personnel and to maintain the stability of management, a listed company shall establish rewarding systems that link the compensation for management personnel to the company’s performance and to the individual’s work performance.

  78. The performance assessment for management personnel shall become a basis for determining the compensation and other rewarding arrangements for the person reviewed.

  79. The results of the performance assessment shall be approved by the board of directors, explained at the shareholders’ meetings and disclosed.

  80. A listed company shall specify management personnel’s duties and responsibilities in its articles of association. If management personnel violate laws, regulations or the company’s articles of association and cause damages to the company, the board of directors of the company shall actively investigate and pursue such personnel’s legal liabilities.

  Chapter 6. Stakeholders

  81. A listed company shall respect the legal rights of banks and other creditors, employees, consumers, suppliers, the community and other stakeholders.

  82. A listed company shall actively cooperate with its stakeholders and jointly advance the company’s sustained and healthy development.

  83. A company shall provide the necessary means to ensure the legal rights of stakeholders. Stakeholders shall have opportunities and channels for redress for infringement of rights.

  84. A company shall provide necessary information to banks and other creditors to enable them to make judgments and decisions about the company’s operating and financial situation.

  85. A company shall encourage employees’ feedback regarding the company’s operating and financial situations and important decisions affecting employee’s benefits through direct communications with the board of directors, the supervisory board and the management personnel.

  86. While maintaining the listed company’s development and maximizing the benefits of shareholders, the company shall be concerned with the welfare, environmental protection and public interests of the community in which it resides, and shall pay attention to the company’s social responsibilities.

  Chapter 7. Information Disclosure and Transparency

  (1) Listed Companies’ Ongoing Information Disclosure

  87. Information disclosure is an ongoing responsibility of listed companies. A listed company shall truthfully, accurately, completely and timely disclose information as required by laws, regulations and the company’s articles of association.

  88. In addition to disclosing mandatory information, a company shall also voluntarily and timely disclose all other information that may have a material effect on the decisions of shareholders and stakeholders, and shall ensure equal access to information for all shareholders.

  89. Disclosed information by a listed company shall be easily comprehensible. Companies shall ensure economical, convenient and speedy access to information through various means (such as the Internet).

  90. The secretary of the board of directors shall be in charge of information disclosure, including formulating rules for information disclosure, receiving visits, providing consultation, contacting shareholders and providing publicly disclosed information about the company to investors. The board of directors and the management shall actively support the secretary’s work. No institutions or individuals shall interfere with the secretary’s work.

  (2) Disclosure of Information Regarding Corporate Governance

  91. A listed company shall disclose information regarding its corporate governance in accordance with laws, regulations and other relevant rules, including but not limited to: (1) the members and structure of the board of directors and the supervisory board; (2) the performance and evaluation of the board of directors and the supervisory board; (3) the performance and evaluation of the independent directors, including their attendance at board of directors’ meetings, their issuance of independent opinions and their opinions regarding related party transactions and appointment and removal of directors and senior management personnel; (4) the composition and work of the specialized committees of the board of directors; (5) the actual state of corporate governance of the company, the gap between the company’s corporate governance and the Code, and the reasons for the gap; and (6) specific plans and measures to improve corporate governance.

  (3) Disclosure of Controlling Shareholder’s Interests

  92. A company shall timely disclose detailed information about each shareholder who owns a comparatively large percentage of shares of the company, the shareholders who actually control the company when acting in concert and the company’s actual controllers in accordance with relevant regulations.

  93. A listed company shall learn about and disclose in a timely manner, changes in the shareholding of the company and other important matters that may cause changes in the shareholding of the company.

  94. When controlling shareholders increase or decrease their shareholding or pledge the company’s shares, or when the actual control of the company transfers, the company and its controlling shareholders shall timely and accurately disclose relevant information to all shareholders.

  Chapter 8. Supplementary Article

  95. This Code shall come into effect on the date of issuance.