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5.08 Cover Instructions/Transmittal Letter
a. Instructions accompanying a presentation made under a
standby may be relied on to the extent that they are not contrary to
the terms or conditions of the standby, the demand, or these Rules.
b. Representations made by a nominated person accompanying a
presentation may be relied upon to the extent that they are not
contrary to the terms or conditions of a standby or these Rules.
с. Notwithstanding receipt of instructions, an issuer or
nominated person may pay, give notice, return the documents, or
otherwise deal directly with the presenter.
d. A statement in the cover letter that the documents are
discrepant does not relieve the issuer from examining the
presentation for compliance.
5.09 Applicant Notice of Objection
a. An applicant must timely object to an issuer's honour of a
noncomplying presentation by giving timely notice by prompt means.
b. An applicant acts timely if it objects to discrepancies by
sending a notice to the issuer stating the discrepancies on which
the objection is based within a time after the applicant's receipt
of the documents which is not unreasonable.
c. Failure to give a timely notice of objection by prompt means
precludes assertion by the applicant against the issuer of any
discrepancy or other matter apparent on the face of the documents
received by the applicant, but does not preclude assertion of that
objection to any different presentation under the same or a
different standby.
RULE 6
TRANSFER, ASSIGNMENT, AND TRANSFER BY OPERATION OF LAW
Transfer of Drawing Rights
6.01 Request to Transfer Drawing Rights
Where a beneficiary requests that an issuer or nominated person
honour a drawing from another person as if that person were the
beneficiary, these Rules on transfer of drawing rights ("transfer")
apply.
6.02 When Drawing Rights are Transferable
a. A standby is not transferable unless it so states.
b. A standby that states that it is transferable without
further provision means that drawing rights:
i. may be transferred in their entirety more than once;
ii. may not be partially transferred; and
iii. may not be transferred unless the issuer (including the
confirmer) or another person specifically nominated in the standby
agrees to and effects the transfer requested by the beneficiary.
6.03 Conditions to Transfer
An issuer of a transferable standby or a nominated person need
not effect a transfer unless:
a. it is satisfied as to the existence and authenticity of the
original standby; and
b. the beneficiary submits or fulfills:
i. a request in a form acceptable to the issuer or nominated
person including the effective date of the transfer and the name and
address of the transferee;
ii. the original standby;
iii. verification of the signature of the person signing for
the beneficiary;
iv. verification of the authority of the person signing for the
beneficiary;
v. payment of the transfer fee; and
vi. any other reasonable requirements.
6.04 Effect of Transfer on Required Documents
Where there has been a transfer of drawing rights in their
entirety:
a. a draft or demand must be signed by the transferee
beneficiary; and
b. the name of the transferee beneficiary may be used in place
of the name of the transferor beneficiary in any other required
document.
6.05 Reimbursement for Payment Based on a Transfer
An issuer or nominated person paying under a transfer pursuant
to Rule 6.03(a), (b)(i), and (b)(ii) is entitled to reimbursement as
if it had made payment to the beneficiary.
Acknowledgment of Assignment of Proceeds
6.06 Assignment of Proceeds
Where an issuer or nominated person is asked to acknowledge a
beneficiary's request to pay an assignee all or part of any proceeds
of the beneficiary's drawing under the standby, these Rules on
acknowledgment of an assignment of proceeds apply except where
applicable law otherwise requires.
6.07 Request for Acknowledgment
a. Unless applicable law otherwise requires, an issuer or
nominated person:
i. is not obligated to give effect to an assignment of proceeds
which it has not acknowledged; and
ii. is not obligated to acknowledge the assignment.
b. If an assignment is acknowledged:
i. the acknowledgment confers no rights with respect to the
standby to the assignee who is only entitled to the proceeds
assigned, if any, and whose rights may be affected by amendment or
cancellation; and
ii. the rights of the assignee are subject to:
(a) the existence of any net proceeds payable to the
beneficiary by the person making the acknowledgment;
(b) rights of nominated persons and transferee beneficiaries;
(c) rights of other acknowledged assignees; and
(d) any other rights or interests that may have priority under
applicable law.
6.08 Conditions to Acknowledgment of Assignment of Proceeds
An issuer or nominated person may condition its acknowledgment
on receipt of:
a. the original standby for examination or notation;
b. verification of the signature of the person signing for the
beneficiary;
c. verification of the authority of the person signing for the
beneficiary;
d. an irrevocable request signed by the beneficiary for
acknowledgment of the assignment that includes statements,
covenants, indemnities, and other provisions which may be contained
in the issuer's or nominated person's required form requesting
acknowledgment of assignment, such as:
i. the identity of the affected drawings if the standby permits
multiple drawings;
ii. the full name, legal form, location, and mailing address of
the beneficiary and the assignee;
iii. details of any request affecting the method of payment or
delivery of the standby proceeds;
iv. limitation on partial assignments and prohibition of
successive assignments;
v. statements regarding the legality and relative priority of
the assignment; or
vi. right of recovery by the issuer or nominated person of any
proceeds received by the assignee that are recoverable from the
beneficiary;
e. payment of a fee for the acknowledgment; and
f. fulfillment of other reasonable requirements.
6.09 Conflicting Claims to Proceeds
If there are conflicting claims to proceeds, then payment to an
acknowledged assignee may be suspended pending resolution of the
conflict.
6.10 Reimbursement for Payment Based on an Assignment
An issuer or nominated person paying under an acknowledged
assignment pursuant to Rule 6.08(a) and (b) is entitled to
reimbursement as if it had made payment to the beneficiary. If the
beneficiary is a bank, the acknowledgment may be based solely upon
an authenticated communication.
Transfer by Operation of Law
6.11 Transferee by Operation of Law
Where an heir, personal representative, liquidator, trustee,
receiver, successor corporation, or similar person who claims to be
designated by law to succeed to the interests of a beneficiary
presents documents in its own name as if it were the authorised
transferee of the beneficiary, these Rules on transfer by operation
of law apply.
6.12 Additional Document in Event of Drawing in Successor's
Name
A claimed successor may be treated as if it were an authorised
transferee of a beneficiary's drawing rights in their entirety if it
presents an additional document or documents which appear to be
issued by a public official or representative (including a judicial
officer) and indicate:
a. that the claimed successor is the survivor of a merger,
consolidation, or similar action of a corporation, limited liability
company, or other similar organization;
b. that the claimed successor is authorised or appointed to act
on behalf of the named beneficiary or its estate because of an
insolvency proceeding;
c. that the claimed successor is authorised or appointed to act
on behalf of the named beneficiary because of death or incapacity;
or
d. that the name of the named beneficiary has been changed to
that of the claimed successor.
6.13 Suspension of Obligation upon Presentation by Successor
An issuer or nominated person which receives a presentation
from a claimed successor which complies in all respects except for
the name of the beneficiary:
a. may request in a manner satisfactory as to form and
substance:
i. legal opinion;
ii. an additional document referred to in Rule 6.12 (Additional
Document in Event of Drawing in Successor's Name) from a public
official;
iii. statements, covenants, and indemnities regarding the
status of the claimed successor as successor by operation of law;
iv. payment of fees reasonably related to these determinations;
and
v. anything which may be required for a transfer under Rule
6.03 (Conditions to Transfer) or an acknowledgment of assignment of
proceeds under Rule 6.08 (Conditions to Acknowledgment of Assignment
of Proceeds);
but such documentation shall not constitute a required document
for purposes of expiry of the standby.
b. Until the issuer or nominated person receives the requested
documentation, its obligation to honour or give notice of dishonour
is suspended, but any deadline for presentation of required
documents is not thereby extended.
6.14 Reimbursement for Payment Based on a Transfer by Operation
of Law
An issuer or nominated person paying under a transfer by
operation of law pursuant to Rule 6.12 (Additional Document in Event
of Drawing in Successor's Name) is entitled to reimbursement as if
it had made payment to the beneficiary.
RULE 7
CANCELLATION
7.01 When an Irrevocable Standby is Cancelled or Terminated
A beneficiary's rights under a standby may not be cancelled
without its consent. Consent may be evidenced in writing or by an
action such as return of the original standby in a manner which
implies that the beneficiary consents to cancellation. A
beneficiary's consent to cancellation is irrevocable when
communicated to the issuer.
7.02 Issuer's Discretion Regarding a Decision to Cancel
Before acceding to a beneficiary's authorization to cancel and
treating the standby as cancelled for all purposes, an issuer may
require in a manner satisfactory as to form and substance:
a. the original standby;
b. verification of the signature of the person signing for the
beneficiary;
c. verification of the authorization of the person signing for
the beneficiary;
d. a legal opinion;
e. an irrevocable authority signed by the beneficiary for
cancellation that includes statements, covenants, indemnities, and
similar provisions contained in a required form;
f. satisfaction that the obligation of any confirmer has been
cancelled;
g. satisfaction that there has not been a transfer or payment
by any nominated person; and
h. any other reasonable measure.
RULE 8
REIMBURSEMENT OBLIGATIONS
8.01 Right to Reimbursement
a. Where payment is made against a complying presentation in
accordance with these Rules, reimbursement must be made by:
i. an applicant to an issuer requested to issue a standby; and
ii. an issuer to a person nominated to honour or otherwise give
value.
b. An applicant must indemnify the issuer against all claims,
obligations, and responsibilities (including attorney's fees)
arising out of:
i. the imposition of law or practice other than that chosen in
the standby or applicable at the place of issuance;
ii. the fraud, forgery, or illegal action of others; or
iii. the issuer's performance of the obligations of a confirmer
that wrongfully dishonours a confirmation.
c. This Rule supplements any applicable agreement, course of
dealing, practice, custom or usage providing for reimbursement or
indemnification on lesser or other grounds.
8.02 Charges for Fees and Costs
a. An applicant must pay the issuer's charges and reimburse the
issuer for any charges that the issuer is obligated to pay to
persons nominated with the applicant's consent to advise, confirm,
honour, negotiate, transfer, or to issue a separate undertaking.
b. An issuer is obligated to pay the charges of other persons:
i. if they are payable in accordance with the terms of the
standby; or
ii. if they are the reasonable and customary fees and expenses
of a person requested by the issuer to advise, honour, negotiate,
transfer, or to issue a separate undertaking, and they are
unrecovered and unrecoverable from the beneficiary or other
presenter because no demand is made under the standby.
8.03 Refund of Reimbursement
A nominated person that obtains reimbursement before the issuer
timely dishonours the presentation must refund the reimbursement
with interest if the issuer dishonours. The refund does not preclude
the nominated person's wrongful dishonour claims.
8.04 Bank-to-Bank Reimbursement
Any instruction or authorization to obtain reimbursement from
another bank is subject to the International Chamber of Commerce
standard rules for bank-to-bank reimbursements.
RULE 9
TIMING
9.01 Duration of Standby
A standby must:
a. contain an expiry date; or
b. permit the issuer to terminate the standby upon reasonable
prior notice or payment.
9.02 Effect of Expiration on Nominated Person
The rights of a nominated person that acts within the scope of
its nomination are not affected by the subsequent expiry of the
standby.
9.03 Calculation of Time
a. A period of time within which an action must be taken under
these Rules begins to run on the first business day following the
business day when the action could have been undertaken at the place
where the action should have been undertaken.
b. An extension period starts on the calendar day, following
the stated expiry date even if either day falls on a day when the
issuer is closed.
9.04 Time of Day of Expiration
If no time of day is stated for expiration, it occurs at the
close of business at the place of presentation.
9.05 Retention of Standby
Retention of the original standby does not preserve any rights
under the standby after the right to demand payment ceases.
RULE 10
SYNDICATION/PARTICIPATION
10.01 Syndication
If a standby with more than one issuer does not state to whom
presentation may be made, presentation may be made to any issuer
with binding effect on all issuers.
10.02 Participation
a. Unless otherwise agreed between an applicant and an issuer,
the issuer may sell participations in the issuer's rights against
the applicant and any presenter and may disclose relevant applicant
information in confidence to potential participants.
b. An issuer's sale of participations does not affect the
obligations of the issuer under the standby or create any rights or
obligations between the beneficiary and any participant.
Международная практика резервных обязательств
ПРАВИЛО 1
ОБЩИЕ ПОЛОЖЕНИЯ
Сфера применения, определения, интерпретация настоящих Правил
1.01 Сфера применения
а. Настоящие Правила применяются к резервным аккредитивам
(включая финансовые резервные аккредитивы, резервные аккредитивы
исполнения и безусловного платежа).
b. Резервный аккредитив или другое подобное обязательство, вне
зависимости от наименования, а также от того, предназначены ли они
для внутреннего или международного применения, могут быть подчинены
настоящим Правилам при наличии ясного на то указания.
с. Применение настоящих Правил может быть ясно выраженным
образом изменено или исключено обязательством, подчиненным этим
Правилам.
d. Обязательство, подчиненное настоящим Правилам, далее по
тексту именуется "резервное обязательство".
1.02 Взаимосвязь с законом и другими правилами
а. Настоящие Правила дополняют применяемое законодательство в
той степени, в которой это не запрещено указанным законодательством.
b. Настоящие Правила заменяют противоречащие им положения
других правил и обычаев, которым также подчинены резервные
аккредитивы.
1.03 Принципы толкования Правил
Толкование настоящих Правил для коммерческого применения должно
производиться с учетом:
а. сущности резервного обязательства как надежного и
эффективного обязательства платежа;
b. повседневной банковской и деловой практики и терминологии;
с. соответствия системе международных банковских и коммерческих
операций; и
d. единообразия их толкования и применения во всех странах.
1.04 Действие Правил
Если иное не следует из контекста документа и при отсутствии
прямых оговорок об изменении или исключении положений Правил,
настоящие Правила применяются как условия, включенные в резервное
обязательство, подтверждение, авизо, полномочия, изменение, перевод,
заявление о выставлении или другое соглашение:
i. эмитента;
ii. бенефициара в той степени, в которой он использует
резервное обязательство;
iii. любого авизующего лица;
iv. любого подтверждающего лица;
v. лица, которое получило полномочия по резервному
обязательству и действует или согласилось действовать в соответствии
с ними; и
vi. приказодателем, который предоставляет полномочия на
выставление резервного обязательства или иным образом соглашается на
применение настоящих Правил.
1.05 Неприменимость Правил в случаях ненадлежащего выставления,
мошенничества или подлога
Настоящие Правила не определяют и никаким иным образом не
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