2002年版ISDA主协议中英文对照

such in the Schedule.

“Transaction” has the meaning specified in the preamble.

“Unpaid Amounts” owing to any party means, with respect to an Early Termination Date, the aggregate of (a) in respect of all Terminated Transactions, the amounts that became payable (or that would have become payable but for Section 2(a)(iii) or due but for Section 5(d)) to such party under Section 2(a)(i) or 2(d)(i)(4) on or prior to such Early Termination Date and which remain unpaid as at such Early Termination Date, (b) in respect of each Terminated

“交易”其含義如前言之規定。

“未付款項”對於提前終止日而言,指積欠任何一方之下列各項之總和:(a)就所有己終止交易而言,指按第2(a)(i)或2(d)(i)(4)條應於該提前終止日當日或之前支付予該方但在該提前終止日仍未付(或原本應付,但因第2(a)(iii)條未付或第5(d)款到期未付)之數額,及(b)對於每一筆已終止交易,就第2(a)(i)條之下之每一項需在該終止日或之前向該方交付而未交付(或本應交付但因第Transaction, for each obligation under Section 2(a)(i) which was (or would have been but for Section 2(a)(iii) or 5(d)) required to be settled by delivery to such party on or prior to such Early Termination Date and which has not been so settled as at such Early Termination Date, an amount equal to the fair market value of that which was (or would have been) required to be delivered and (c) if the Early Termination Date results from an Event of Default, a Credit Event Upon Merger or an Additional Termination Event in respect of which all outstanding Transactions are Affected Transactions, any Early Termination Amount due prior to such Early Termination Date and which remains unpaid as of such Early Termination Date, in each case together with any amount of interest accrued or other compensation in respect of that obligation or deferred obligation, as the case may be, pursuant to Section 9(h)(ii)(1) or (2), as appropriate. The fair market value of any obligation referred to in clause (b) above will be determined as of the originally scheduled date for delivery, in good faith and using commercially reasonable procedures, by the party obliged to make the determination under Section 6(e) or, if each party is so obliged, it will be the average of the Termination Currency Equivalents of the fair market values so determined by both parties.

“Waiting Period” means:―

(a) in respect of an event or circumstance under Section 5(b)(i), other than in the case of Section 5(b)(i)(2) where the relevant payment, delivery or compliance is actually required on the relevant day (in which case no Waiting Period will apply), a period of three Local Business Days (or days that would have been Local Business Days but for the occurrence of that event or circumstance) following the occurrence of that event or circumstance; and

(b) in respect of an event or circumstance under Section 5(b)(ii), other than in the case of Section 5(b)(ii)(2) where the relevant payment, delivery or compliance is actually required on the relevant day (in which case no Waiting Period will apply), a period of eight Local Business Days (or days that would have been Local Business Days but for the occurrence of that event or circumstance) following the occurrence of that event or circumstance.

IN WITNESS WHEREOF the parties have executed this document on the respective dates specified below with effect from the date specified on the first page of this document.

2(a)(iii)條或第5(d)條而未交付)之義務而言,指應該或原本應該在原定交付日交付之實物之公平市值,以及(c)如因違約事件、因合併造成之信用事件或其他終止事件導致提前終止日,致所有未完成交易變成受影響交易,指該提前終止日前到期,而截至該提前終止日仍未清償之任何提前終止款項。於以上任何一種情況下均包括根據第9(h)(ii)(1)或(2)條(視情況而定)決定之有關該義務或遲延履行之義務(視情況而定)累計之利息或其他補償。上述(b)款所指之任何義務之公平市值將由根據第6(e)條由有義務為決定之一方以善意並使用合理之商業程序於原定交付日確定,或如各方均有責任,則為各方按上述辦法確定之公平市值之平均終止貨幣等值額。

“等待期間”指:—

(a) 除第5(b)(i)(2)條實際上於當日要求有關付款、交付或遵守協議(此時不適用等待期間)之情況以外,就第5(b)(i)條下之事件或情況而言,指發生事件或情況之後之三個當地營業日(或若非該事件或情況之發生本應為當地營業日之日);及

(b) 除第5(b)(ii)(2)條規定之實際上於當日要求有關付款、交付或遵守規定(此時不適用等待期間)之情況以外,就第5(b)(ii)條事件或情況而言,指發生事件或情況後之八個當地營業日(或若非該事件或情況之發生本應為當地營業日之日)。

茲證明雙方已於下列日期簽署本文件,生效日為本文件首頁載明之日期。

____________________ (Name of Party)

By: _________________ Name: Title: Date:

____________________ (Name of Party)

By: _________________

Name: Title: Date:

____________________ (簽署方名稱)

簽名:______________ 姓名: 職位: 日期:

____________________

(簽署方名稱)

簽名:______________

姓名: 職位: 日期:

ISDA?

International Swaps and Derivatives Association, Inc.

SCHEDULE

to the

2002 Master Agreement

dated as of ...............................................

between ________________ and _____________________ (“Party A”) (“Party B”)

[established as a [COUNTERPARTY TYPE]] [established as a [COUNTERPARTY TYPE]]

[with company number [NUMBER]] [with company number [NUMBER]] [under the laws of [JURISDICTION]] [under the laws of [JURISDICTION]]

[acting through its [BRANCH]]

#

[acting through its [BRANCH]]

#

Part 1. Termination Provisions. (a) “Specified Entity” means in relation to Party A for the purpose of:― Section 5(a)(v), .............................................................. Section 5(a)(vi), ............................................................. Section 5(a)(vii), ............................................................ Section 5(b)(v), ............................................................. and in relation to Party B for the purpose of:― Section 5(a)(v), .............................................................. Section 5(a)(vi), ............................................................. Section 5(a)(vii), ............................................................ Section 5(b)(v), ............................................................. (b) “Specified Transaction” [will have the meaning specified in Section 14 of this Agreement.][means ....... ..................................................................................... ]*

(c) The “Cross-Default” provisions of Section 5(a)(vi) [will][will not]* apply to Party A

[will][will not]* apply to Party B

[“Specified Indebtedness” [will have the meaning specified in Section 14 of this Agreement.][means ....... .................................................................................... ]*

“Threshold Amount” means ......................................... ....................................................................................]** (d) The “Credit Event Upon Merger” provisions of Section 5(b)(v) [will][will not]* apply to Party A

[will][will not]* apply to Party B

ISDA?

國際掉期及衍生工具協會

2002主協議附約

_____年_____月_____日

________________________與______________________ (“A方”) (“B方”)

[成立之[有關方之類型]] [成立之[有關方之類型]]

[公司號碼[號碼]]

[公司號碼[號碼]] [依照[司法管轄區]法律]

[依照[司法管轄區]法律]

[透過其[辦事處]交易]# [透過其[辦事處]交易]#

第一部分 終止條款。

(a) “特定機構” 就A方而言,為下列條款之目的

指:–

第5(a)(v)條, .................................................................. 第5(a)(vi)條, ................................................................. 第5(a)(vii)條, ................................................................ 第5(b)(v)條, .................................................................. 就B方而言,為以下條款之目的指:– 第5(a)(v)條, .................................................................. 第5(a)(vi)條, ................................................................. 第5(a)(vii)條, ................................................................ 第5(b)(v)條, ..................................................................

(b) “特定交易”[其含義如本協議第14條之規定。][指 ...

.....................................................................................]*

(c) 第5(a)(vi)條“交叉違約” [將會][不會]*適用於A

方 [將會][不會]*適用於B方

[“特定負債”[其含義如本協議第14條之規定。][指 .. .....................................................................................]*

“門檻金額”指 ................................................................ ...................................................................................]**

(d) 第5(b)(v)條“因合併造成之信用事件”

[將會][不會]*適用於A方 [將會][不會]*適用於B方 (e) The “Automatic Early Termination” provision of

Section 6(a) [will][will not]* apply to Party A [will][will not]* apply to Party B

(f) “Termination Currency” [will have the meaning

specified in Section 14 of this Agreement.][means ....... ..................................................................................... ]*

(g) Additional Termination Event [will][will not]* apply.

[The following will constitute an Additional Termination Event:― ..................................................... (e) (f)

第6(a)條“自動提前終止” [將會][不會]*適用於A方 [將會][不會]*適用於B方

“終止貨幣”[其含義如本協議第14條之規定。][指 ... .....................................................................................]*

(g) 其他終止事件[將會][不會]*適用。[下列事件構成其

他終止事件:– .............................................................. ........................................................................................ ....................................................................................... ....................................................................................... .......................................................................................

For the purpose of the foregoing Termination Event, the Affected Party or Affected Parties will be:― ................. .................................................................................. ]***

Part 2. Tax Representations.****

(a) Payer Representations. For the purpose of Section 3(e)

of this Agreement[, Party A and Party B do not make any representations.][:―

[[(i)] [Party A] [and] [Party B] [each] make[s] the

following representation:―

It is not required by any applicable law, as modified by the practice of any relevant governmental revenue authority, of any Relevant Jurisdiction to make any deduction or withholding for or on account of any Tax from any payment (other than interest under Section 9(h) of this Agreement) to be made by it to the other party under this Agreement. In making this representation, it may rely on (i) the accuracy of any representations made by the other party pursuant to Section 3(f) of this Agreement, (ii) the satisfaction of the agreement contained in Section 4(a)(i) or 4(a)(iii) of this Agreement and the accuracy and effectiveness of any document provided by the other party pursuant to Section 4(a)(i) or 4(a)(iii) of this Agreement and (iii) the satisfaction of the agreement of the other party contained in Section 4(d) of this Agreement, except that it will not be a breach of this representation where reliance is placed on clause (ii) above and the other party does not deliver a form or document under Section 4(a)(iii) by reason of material prejudice to its legal or commercial position.]*

[[(ii)] [Party A] [and] [Party B] [each] make[s] the

following representation[s]:― ..........................

........................................................................... ........................................................................... ....................................................................... ]]*

(b) Payee Representations. For the purpose of Section 3(f)

of this Agreement[, Party A and Party B do not make any representations.][:―

[[(i)] [Party A] [and] [Party B] [each] make[s] the

........................................................................................ ........................................................................................

為上述終止事件之目的,受影響方指:– ................... ................................................................................. ]***

第二部分 稅務陳述****

(a) 付款人陳述。為本協議第3(e)條之目的[,A方及B

方不為任何陳述。][:–

[[(i)] [A方][及][B方][各自] 陳述如下:–

經有關政府財稅部門之慣例修改之任何有關管轄地之任何適用之法律均不要求自該方根據本協議向另一方支付之任何款項(本協議第9(h)條下之利息除外)中扣減或預扣任何稅捐。在作出此項陳述時,該方可以依賴:(i)另一方按本協議第3(f)條所為任何陳述之正確性;(ii)本協議第4(a)(i)條或4(a)(iii)條中所載之約定之履行,以及另一方按本協議第4(a)(i)條或4(a)(iii)條所提供之任何文件之正確性及有效性;及(iii)本協議第4(d)條中所載另一方約定之履行,但是,若該方依賴上述第(ii)款時,另一方為免對其法律或商業地位造成嚴重損害而未遞交第4(a)(iii)條項下之表格或文件則不構成對本陳述之違反。]*

[[(ii)] [A方][及][B方][各自] 陳述如下:– ............... ............................................................................ ............................................................................ ....................................................................... ]]*

(b) 收款人陳述。為本協議第3(f)條之目的[,A方及B

方不為任何陳述。][:–

[[(i)] [A方][及][B方][各自] 陳述如下:–

following representation:―

It is fully eligible for the benefits of the “Business Profits” or “Industrial and Commercial Profits” provision, as the case may be, the “interest” provision or the “Other Income” provision, if any, of the Specified Treaty with respect to any payment described in such provisions and received or to be received by it in connection with this Agreement and no such payment is attributable to a trade or business carried on by it through a permanent establishment in the Specified Jurisdiction.

“Specified Treaty” means with respect to Party A ........ .......................................................................................

“Specified Jurisdiction” means with respect to Party A .......................................................................................

“Specified Treaty” means with respect to Party B ........ .......................................................................................

“Specified Jurisdiction” means with respect to Party B ..................................................................................... ]*

[[(ii)] [Party A] [and] [Party B] [each] make[s] the

following representation:―

Each payment received or to be received by it in connection with this Agreement will be effectively connected with its conduct of a trade or business in the Specified Jurisdiction.

“Specified Jurisdiction” means with respect to Party A .......................................................................................

“Specified Jurisdiction” means with respect to Party B .................................................................................... ]*

[[(iii)] [Party A] [and] [Party B] [each] make[s] the

following representation:―

It is a “U.S. person” (as that term is used in section 1.1441-4(a)(3)(ii) of United States Treasury Regulations) for United States federal income tax purposes.]*

[[(iv)] [Party A] [and] [Party B] [each] make[s] the

following representation:―

It is a “non-U.S. branch of a foreign person” (as that term is used in section 1.1441-4(a)(3)(ii) of United States Treasury Regulations) for United States federal income tax purposes.]*

[[(v)] [Party A] [and] [Party B] [each] make[s] the

following representation:―

With respect to payments made to an address outside the United States or made by a transfer of funds to an account outside the United States, it is a “non-U.S. branch of a foreign person” (as that term is used in section 1.1441-4(a)(3)(ii) of United States Treasury

該方具有完全資格取得適用於本協議下收到或將收到之款項之特定條約中規定之“營業利潤”或“工商業利潤”條款(視情況而定),及“利息”條款或“其他收入”條款(如有)所賦予之利益,並且該款項與該方在特定司法管轄區之永久營業地從事之商業或貿易並無任何關連。

“特定條約”就A方而言,指 ........................................ ........................................................................................

“特定司法管轄區”就A方而言,指 ............................ ........................................................................................

“特定條約”就B方而言,指 ........................................ ........................................................................................

“特定司法管轄區”就B方而言,指 ............................ .....................................................................................]*

[[(ii)] [A方][及][B方][各自] 陳述如下:–

其就本協議收到或將收到之每一筆款項將會與該方於特定司法管轄區從事之貿易或商業行為具有實際關連。

“特定司法管轄區”就A方而言,指 ............................. ........................................................................................

“特定司法管轄區”就B方而言,指 ............................. .....................................................................................]*

[[(iii)] [A方][及][B方][各自] 陳述如下:–

就美國聯邦稅務目的而言,其為“美國人”(其含義如美國財政法規第1.441-4(a)(3)(ii)條之規定)]*

[[(iv)] [A方][及][B方][各自] 陳述如下:–

就美國聯邦稅務目的而言,其為一“外國人之非美國辦事處”(其含義如美國財政法規第1.441-4(a)(3)(ii)條之規定)]*

[[(v)] [A方][及][B方][各自] 陳述如下:–

有關向美國以外之地址為付款或向美國以外之帳戶匯入資金事宜,就美國聯邦稅務目的而言,其為一“外國人之非美國辦事處”(其含義如美國財政法規第1.441-4(a)(3)(ii)條之規定)]*

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