2018-06-23
1405 
《船舶买卖》一书，原著由伊恩•戈德赖恩、马特•汉纳福德和保罗•特纳共同完成，中文版主要由魏长庚船长翻译而成，本微信公众号“海事商事法律报告 | CMCLR”经作者授权允许推送本书的部分内容，在此表示非常感谢。为方便编辑，相关注释已省略。
本次推送由本微信公众号执行编辑，武汉大学国际问题研究院2016级国际法硕士曾凤伟编辑与审校。
5.3 SELLERS AND BUYERS
5.3卖方和买方
5.3.4 Buyers: who are they?
5.3.4 买方：何为买方？
For the same reasons already mentioned with regard to the seller, the buyer will frequently be a special purpose company, newly formed for the sole purpose of owning the ship.
鉴于上述有关卖方的同样原因，买方经常是一个特殊用途的，以拥有船舶为唯一目的而新成立的公司。
Accordingly, a seller may have legitimate concerns about the financial substance of the entity that is contracting to buy its ship and may seek to have the buyer's payment obligations guaranteed by a parent company. However, this would be unusual particularly where the standard terms of Saleform 2012 apply with regard to the payment of a deposit within a specified number of days after the contract has been signed and the deposit account established.
相应地，卖方可能真正关注的是签订船舶购买合同的实体单位的金融资产，因此，可能会试图要求其母公司担保买方的付款义务。然而，这种情况比较罕见，特别是适用Saleform2012标准条款格式，关于在合同签字以及保证金账户设立之后规定的天数内支付保证金的情况。
In recent years there has been a movement towards greater transparency in ship sale and purchase transactions. This has been driven primarily by the legislative and regulatory initiatives to combat money-laundering activities. While the buyer and the seller of a ship can take some comfort from the fact that the professional advisors involved in ship sale and purchase transactions (including banks, lawyers and shipbrokers) should be carrying out their own “Know Your Client” or “KYC” checks as well as other necessary due diligence on the transaction, it would be a mistake to assume that this removes the need for independent investigation.
近年来出现了对船舶买卖交易更加透明的运动趋势。这主要是由立法和监管措施进行推动以打击洗钱活动。虽然船舶买方和船舶卖方可以得到从事船舶买卖交易的专业顾问（包括银行、律师和船舶经纪人）提供的一些协助，应当亲自进行核实并‘了解你的客户’或‘KYC’，以及同时在交易过程中小心谨慎地采取其它必要的措施，如果认为这会免去独立调查的需要，那将是大错特错。
Moreover, it should be noted that where any of the parties to a sale and purchase transaction change as a result of nominations there will be continuing disclosure obligations with respect to “Know Your Client” requirements in relation to the substitute parties.
此外，还应当指出的是，由于指定的原因，其中买卖交易的任何一方发生变更，鉴于替代合同当事人方面的有关‘理解你的客户’的规定，这仍将有持续信息披露义务。
5.3.5 Nomination of substitute buyers
5.3.5 指定替代的买方
A buyer will sometimes seek a contractual right to be released from its obligations under the contract by expressly providing that the original buyer is entitled to nominate a substitute buyer to take its place.
买方有时会通过在合同中明文规定，原来的买方有权指定一名替代买方取而代之，以试图获得‘免除原买方履约责任’的合同权利。
The most common reason for the use of this device is that, at the time when they sign the contract, the buying interests have not incorporated or acquired the corporate vehicle intended to be registered as the owner of the ship.
采用这一策略最常见的原因是，在他们签订合同当时，购买权益方还没有成立或拥有一个公司载体以预期登记为船舶所有人。
While practitioners may refer to these transfer rights as “nomination” or “nominee” clauses, the buyer is (usually) seeking to achieve a “novation” of the contract in favour of a substitute buyer.
虽然从业人员提到转让权利可能指的是‘指定’或‘指定代理人’条款，买方（一般）会更喜欢用替代买方，以试图达到‘变更’合同的目的。
Usually a transfer by novation is achieved through the cancellation and discharge of all the original rights and obligations owed to and by the original buyer and the assumption and acquisition by the substitute buyer of identical rights and obligations. Indeed, strictly speaking it is not a transfer at all but the simultaneous termination of the original contract (between the seller and the original buyer) and the creation of a new contract (between the seller and the substitute buyer).
一般是通过取消和免除原购买方拥有的所有初始权利和承担的所有初始义务，同时由替代买方获得和承担相同的权利和义务，以实现变更合同转让权利的目的。事实上，严格来说，它根本不是一个权利转让，而是终止原合同（卖方和原买方之间）的同时，又产生了一个新的合同（卖方和替代买方之间）。
An essential feature of novation is that it cannot be achieved unless both parties to the original contract so agree. If the contract is silent on this point, the buyer may be able to transfer its rights under the contract to a third party (by way of assignment), but without the seller's consent the original buyer will not be able to transfer its obligations to another party. The use of a type-added provision in the contract expressly contemplating a substitute buyer (or “nominee”) achieves the result of obtaining the seller's consent to the novation at the time when the contract is signed.
变更合同，其中一个重要特色是，除非原合同双方约定同意，否则无法实现合同变更。如果合同没有提及这一点，买方也能够（通过转让的方式）将其合同的权利转让给第三方，但未经卖方的同意，原买方无法将其义务转让给另一方。在合同中采用机打的附加条款，明显是考虑到在签署合同当时获得卖方的同意变更合同以达到替代买方的结果。
The wording of such a provision will vary from case to case and, in its simplest form, is sometimes achieved by the addition of the words “or their nominee” after the name of the buyer in the preamble.
这种条款的措辞将根据不同情况而各有差异，有时，其最简单的形式是，在开头绪论买方的名字之后添加‘或他们的指定代理人’这些词语来实现。
However, the seller will often seek to exercise certain controls over the buyer's substitution rights. These may include the following:
·the seller may wish to restrict the identity of the substitute buyer to affiliates or wholly owned subsidiaries of the original buyer;
·the nomination is often made conditional upon the original buyer guaranteeing the performance of the substitute buyer or otherwise remaining responsible to the seller despite the substitution. The seller will be well advised to adopt this approach if (as is often the case) the original buyer is more substantial than the substitute buyer;
·the seller will often seek a contractual right of control over the time at which the original buyer can make the nomination. The seller will wish to have sufficient time in advance of delivery to prepare the bill of sale (and other delivery documents) in favour of the substitute buyer.
然而，卖方往往对买方的替代权利，试图进行一定的控制。可能包括以下内容：
(1) 卖方可能希望将替代买方的身份限制为原买方拥有的附属子公司或全资子公司；
(2) 指定通常是有条件的，即原买方保证替代买方履行合同，或，尽管替代了原买方，其仍然承担履约责任。如果（经常是这样的情况）原购买方比替代买方实质上更为富有，卖方最好明智地采用这种方法；
(3) 卖方通常希望拥有这一合同权利，以试图掌控原购买方进行指定替代买方的时间。卖方希望在交船之前有足够的时间准备好‘以替代买方的名称为抬头’的船舶卖据（和其他交船文件）。
A novation must also be accepted by the intended substitute buyer.
合同的变更，也必须得到预期的替代买家的同意。
The original buyer should also be aware that the novation of a contract will not necessarily take place at the time when it nominates a substitute buyer, if on the facts, it cannot be established that there was an acceptance by the substitute buyer at the time of its nomination.
最初的买方也应该知道，如果，根据事实情况，在指定当时不能确认替代买方已经同意接受该指定，那么，在指定替代买方的时候，就不一定会发生变更合同的情况。
Where the buyer nominates a substitute buyer after the deposit has been lodged, appropriate steps need to be taken to ensure that the deposit still fulfils its role as security for the seller in case of buyer's breach and that the deposit can be released to the seller at delivery.
如果是在存入保证金之后，买方才指定替代买方的，对于卖方来说，需要采取适当的步骤，以确定这笔保证金在买方违约的情况下仍然履行作为其担保的职责，而且该保证金也能够在交船时释放给卖方。
译者简介
魏长庚船长出生于河南商丘睢县，1996-2000 年在大连海事大学学习，获得航海技术专业学士学位。具有16年海上船舶航行经验，做过7条船(包括20多万吨的Cape size船舶)远洋船长，目前任职于华洋海事中心。魏长庚船长一直热爱海商法（重点是英国海商法）的学习，并致力海商法的翻译工作，包括Informa出版的Bill of Lading（提单），Laytime and Demurrage《装卸时间与滞期费》（中英文对照--第7版）等书籍。
海运圈聚焦专栏作者 魏长庚船长（微信号CaptWei）
