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中国证券期货市场场外衍生品交易主协议(2014年)

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.Book-Title{letter-spacing:0.25pt;font-family:Cambria;mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;font-weight:bold;font-variant:small-caps;} .TOC-Heading{page-break-inside:avoid;page-break-after:avoid;page-break-before:auto;line-height:1.15;margin-top:24.0pt;margin-bottom:0.0pt;margin-left:0.0pt;text-indent:0.0pt;border-top-style: none;border-left-style: none;border-right-style: none;border-bottom-style: none;color:#3B608D;font-size:14.0pt;font-family:Calibri;mso-fareast-font-family:'MS ゴシック';mso-bidi-font-family:'Times New Roman';lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;font-weight:bold;} </style></head><body style="pagewidth:612.0pt;pageheight:792.0pt;"><div class="Section0"><div style="min-height:72pt" /> <p class="Normal" style="text-align:center;"><span style="font-size:16.0pt;font-family:黑体;mso-fareast-font-family:黑体;mso-bidi-font-family:黑体;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">中国证券期货市场场外衍生品交易主协议(2014年版)</span></p> <br/><p class="Normal"><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">目录</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第一条 协议的构成、单一协议与协议效力等级 </span><span style="font-size:11.0pt;font-family:Cambria;mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">&nbsp;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第二条 支付与交付义务</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第三条 净额支付</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第四条 违约事件</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第五条 违约事件的处理</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第六条 终止事件</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第七条 终止事件的处理</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第八条 终止净额的计算</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第九条 利息、赔偿和费用</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第十条 陈述与保证 </span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第十一条 适用法律及争议解决 </span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第十二条 通知 </span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第十三条 其他 </span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第十四条 定义 </span><br/><span style="font-size:11.0pt;font-family:Cambria;mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">&nbsp;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">为明确交易双方在进行场外衍生品交易(下称“交易”)中的权利和义务,维护交易双方的合法权益,依据中华人民共和国相关法律法规并参照国际通行的商业规则, (“甲方”)和 (“乙方”)本着自愿协商、诚实信用的原则,签署本《中国证券期货市场场外衍生品交易主协议(2014年版)》(下称“主协议”)及《中国证券期货市场场外衍生品交易主协议补充协议》(下称“补充协议”)。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第一条 协议的构成、单一协议与协议效力等级</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">交易双方一致同意:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">1.1 交易双方在进行交易时应签署交易确认书,约定交易的相关条款,并明确该交易适用主协议。交易双方就具体类别交易签署的交易确认书可以约定适用相关行业自律组织颁布的标准交易条款(含其定期的修改或更新)。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">交易双方在进行交易时可以提供履约保障,所签署的履约保障协议为补充协议的附件。主协议、补充协议以及交易确认书统称本协议。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">1.2 本协议构成交易双方之间单一和完整的协议,交易双方之间的所有交易均受本协议约束。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">1.3 在补充协议与主协议出现不一致时,补充协议具有优先效力;就一笔交易而言,在主协议、补充协议和相关交易确认书出现不一致时,效力优先顺序如下:交易确认书、补充协议、主协议。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第二条 支付与交付义务</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">2.1 交易双方应当按照本协议的约定履行交易确认书下明确的支付或交付义务。付款方应于支付日向收款方支付应付款项。以实物交付方式结算的,交付方应于交付日向对方完成交付,本协议另有约定的除外。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">2.2 交易一方履行上述支付或交付义务的先决条件为:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)交易对方不存在违约事件或潜在违约事件;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)就相关交易而言,未出现或未有效指定提前终止日;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(3)本协议约定的其他先决条件已获满足。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">2.3 若交易一方变更其用于接收付款或交付的账户,应在原定结算日前至少5个营业日向交易对方发出变更通知。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第三条 净额支付</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">3.1 当交易双方就同一交易在任一日互负支付义务时,交易双方对应支付金额进行轧差计算,即交易一方的应支付金额若超过另一方的应支付金额,则由应支付金额较大的一方向另一方支付轧差金额,交易双方在该交易下的支付义务即于当日履行完毕。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">3.2 交易双方可对两笔或两笔以上交易选择适用净额结算的方法履行支付义务,即交易双方应对该多笔交易下同一日应支付金额进行轧差计算,并由应支付金额较大的一方向另一方支付轧差金额,交易双方在该多笔交易下的支付义务即于当日履行完毕。交易双方应在补充协议或交易确认书中明确约定对多笔交易适用净额结算。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第四条 违约事件</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">交易一方、其履约保障提供方发生下列任何事件即构成该方的违约事件:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">4.1 未能支付或交付</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">交易一方未按本协议的约定支付,且在收到逾期通知后的1个营业日内仍未纠正的;或者未按第2.1条或第9.1.3条的约定履行交付义务,且在收到逾期通知后的1个交付日内仍未纠正的。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">4.2 违反协议、否认协议</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)除第4.1条规定外,交易一方未遵守本协议的约定(不包括本协议下发出终止事件通知的义务),且在收到违约通知后30日内仍未纠正。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)交易一方对本协议或其下相关交易的部分或全部予以否认,或对其有效性提出异议,或明示将拒绝履行。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">4.3 履约保障违约</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)交易一方或其履约保障提供方未按履约保障协议的规定遵守相关协议或履行相关义务,且在约定的宽限期届满后仍未纠正的。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(3)在与履约保障协议相关的任何交易下义务履行完毕前,未经另一方书面同意,交易一方的履约保障协议提前到期或终止,或者该方或其履约保障提供方为本协议之目的向另一方提供的任何履约保障全部或部分失效,但该履约保障协议按照其条款正常到期或终止的情况除外。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(3)交易一方或该方的履约保障提供方对履约保障协议的全部或部分予以否认,或者对履约保障协议的有效性提出异议。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">4.4 不实陈述</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">交易一方在本协议下或该方的履约保障提供方在履约保障协议下作出的某项陈述,被证实在作出之时或视为作出之时存在重大的不准确或误导内容。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">4.5 交叉违约</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">如补充协议明确约定适用交叉违约条款,则交叉违约指以下任何情形:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)交易一方、其履约保障提供方在特定债务下发生到期未支付的违约行为(且在宽限期内未予补救),所涉累计违约金额(单独或与第4.5.2条所述金额合计)达到补充协议规定的交叉违约触发金额。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)交易一方、其履约保障提供方在特定债务下发生违约行为并导致该特定债务被通知或可被通知提前到期,且所涉累计本金数额(单独或与第4.5.1条所述金额合计)达到补充协议规定的交叉违约触发金额。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(3)如果在特定债务下违约:(1)是因为在操作或处理方面失误、遗漏或疏忽而未能支付或交付所导致的,且(2)该方有资金或资产在到期时进行支付或交付,且(3)在对方就该等事实发出通知后的3个营业日内做出了支付或交付,则不构成主协议第4.5条下的交叉违约。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">4.6 破产</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">交易一方、该方的履约保障提供方发生下列任何情形:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)解散(因合并、重组导致的解散除外);</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)不能清偿到期债务,并且资产不足以清偿全部债务或明显缺乏清偿能力的;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(3)为其债权人利益就其全部或实质性资产达成转让协议或清偿安排,或就其全部或大部分债务的清偿事宜与债权人做出安排或达成和解协议;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(4)监管部门启动针对其的重整、和解、破产、清算、停业整顿、托管、接管、行政重组、撤销、关闭等行政或司法程序;或自身申请重整、和解、破产、清算程序;或其债权人启动针对其的接管、破产、清算等行政或司法程序,导致其被依法宣告破产、停业、清算或被接管,或上述程序在启动后30日内未被驳回、撤销、中止或禁止的;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(5)做出停业、清算或申请破产的决议;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(6)就自身或自身的全部或大部分资产寻求临时清算人、托管人、受托人、接管人或其他类似人员或任命、被任命了任何前述人员;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(7)其债权人作为担保权人采取行动取得了其全部或大部分资产,或使其全部或实质部分资产被查封、扣押、冻结、或强制执行,且上述情形在30日内未被相关权力机关撤销或中止;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(8)其他任何与第4.6.1条至第4.6.7条有类似效果的事件。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">4.7 特定交易下违约</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">若交易双方在补充协议中约定适用本条款,则在已有效达成的特定交易下,交易一方或该交易一方的履约保障提供方发 生下列任一情形的,构成该交易一方对本协议的违约:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)对该特定交易予以否认或明示将拒绝履行;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)未按约定履行支付义务,且该不履约行为导致该特定交易发生清算、被提前终止或义务被宣告加速到期的情形;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(3)未按约定在该特定交易的支付日履行支付义务,或未支付与该特定交易的提前终止有关的任何款项,且在适用的宽限期届满时仍未纠正的;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(4)未按约定履行任何交付义务, 且在适用的宽限期届满时仍未纠正的,导致该特定交易所属协议下的全部交易发生清算、被提前终止或义务被宣告加速到期。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">但若上述第4.7.2条至第4.7.4条的情形是由于主协议第6.1条所述事件导致的除外。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">4.8 不承担债务之合并</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">在交易一方或该交易一方的履约保障提供方发生分立后仍然存续,或与另一实体联合、合并或重组,或把其实质性资产转移到另一实体的情况下,该最终存续、承继或受让的实体未能履行或明示将不履行前述交易一方或履约保障提供方在本协议或原履约保障协议下的义务,或未经另一方同意,该最终存续、承继或受让的实体履行本协议下的义务未获得原履约保障协议的保障。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第五条 违约事件的处理</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">5.1 确定提前终止日</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)当发生第四条所述违约事件且该违约事件仍然持续,守约方有权书面通知违约方该违约事件的发生,并指定提前终止日。指定的提前终止日应为该通知生效之日起10个工作日内的任一日,且一旦被指定后即不可撤销或更改。所有被终止交易将在提前终止日终止。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)若交易双方在补充协议中约定适用“自动提前终止”条款,则(1)若交易一方发生了第4.6.1条、第4.6.3条、第4.6.5条、第4.6.6条所述违约事件或在与之类似的范围内发生了第4.6.8条约定的违约事件,所有被终止交易于该违约事件发生之日自动终止,提前终止日为该违约事件发生之日;或(2)若交易一方发生了第4.6.4条所述违约事件或在与之类似的范围内发生了第4.6.8条约定的违约事件,提前终止日为相关请求提出或相关程序提起之日,所有被终止交易立即于相关请求提出或相关程序提起之前自动终止。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(3)在提前终止日按照第5.1.1条或第5.1.2条被有效指定或发生后,交易双方在本协议下的所有被终止交易适用终止净额,即交易双方均无须按照第三条的约定进行被终止交易下的支付或交付,而须按照第5.2条和第5.3条的约定在轧差计算被终止交易的公允市场价值的基础上计算并支付提前终止款项。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">5.2 违约事件下提前终止款项的计算</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">确定提前终止日后,守约方作为终止净额计算方,应本着诚实信用和商业合理原则,以基准日为基准,就提前终止款项进行计算。提前终止款项的计算公式为:P=V+(A-B)。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">上述公式中,P指提前终止款项;V指守约方就每笔或每组被终止交易计算出的一笔或多笔终止净额的总和;A指违约方所欠守约方的未付款项;B指守约方所欠违约方的未付款项。如P为正数,应由违约方向守约方支付;如P为负数,应由守约方向违约方支付。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">5.3 计算报告</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">终止净额计算方须在提前终止日(若适用“自动提前终止”,则为其知晓或应知晓提前终止日发生之日)后的3个工作日内向另一方提交计算报告。该计算报告须明确列示提前终止应付款方、提前终止款项,说明计算的细节及依据(包括在计算中使用的任何报价、市场数据或内部信息)、收款账户的详细信息。提前终止应付款方应在提前终止款项付款日支付该计算报告提及的提前终止款项及其利息。本条下的提前终止款项付款日为付款通知生效日之后的第1个营业日。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">5.4 自动提前终止的调整</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">在补充协议中约定适用“自动提前终止”条款的情况下,若在提前终止日起至第5.3条所述的提前终止款项付款日止的期间内,交易一方在本协议下向另一方支付或交付了款项或实物且为另一方保留,则需对计算报告计算得出的提前终止款项进行相应调整。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第六条 终止事件</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">终止事件包括交易一方、其履约保障提供方发生的下述不可抗力事件、因合并造成的资信降低和其他终止事件:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">6.1 不可抗力事件</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">本协议生效且交易达成后,由于不可抗力或政府行为或法律、法规、监管规则的变化导致如下任一情形:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)交易一方( “受影响方”)本应履行该交易下支付、交付、收款、收付的义务或本可行使的相关权利变得不能履行或行使,或本协议下与该交易有关的任何其它重大条款无法遵守,或上述履约或收受变得不可能或不切实际。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)交易一方(“受影响方”)或其履约保障提供方履行与该交易有关的履约保障协议中规定的支付、交付、收款、收付的义务或本可行使的相关权利变得不能履行或行使,或履约保障协议中的任何重大条款变得不可履行,或上述履约、收受变得不可能或不切实际。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">上述不可抗力或政府行为或法律、法规、监管规则的变化是指不能预见、不能避免、不能克服的客观事件,且该事件超出受影响方或其履约保障提供方(视情况而定)的控制能力,即使受影响方或其履约保障提供方在尽所有合理努力后仍无法克服。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">6.2 因合并造成的资信降低</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">如交易双方在补充协议中约定本条款适用于交易一方,则该交易一方或其履约保障提供方发生补充协议约定的合并事件,虽未构成主协议项下的违约事件,但最终存续、承继或受让的实体在该合并事件刚发生后的资信状况(在考虑了适用的履约保障协议的情况下)与上述交易一方或其履约保障提供方在该合并事件即将发生时的资信状况相比严重降低(该交易一方或最终存续、承继或受让的实体为“受影响方”)。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">6.3 其他终止事件</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">如果在补充协议或任何交易确认书中明确约定适用 “其他终止事件”,则需规定此类事件的发生情形及其受影响方。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第七条 终止事件的处理</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">7.1 通知</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">若发生不可抗力事件等终止事件,受影响方在获悉该终止事件后,应立即通知非受影响方该终止事件的发生及所有受影响交易的明细,并在发出通知后的5个工作日内提供相关证明材料。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">在非受影响方获悉终止事件,且未收到受影响方的终止事件通知时,非受影响方有权通知受影响方;受影响方应在通知生效后2个工作日内予以回应,并在通知生效后5个工作日内提供相关证明材料。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">7.2 指定提前终止日</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)交易一方有权按下述方式书面通知另一方,指定受影响交易的提前终止日:(2)在发生不可抗力事件时,为任何一方;(2)在发生其他终止事件且有两个受影响方时,为任一受影响方;(3)在发生因合并造成的资信降低或其他终止事件且只有一个受影响方时,为非受影响方。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(3)提前终止日应为该通知生效之日起15个工作日内的任一日。全部受影响交易将在该提前终止日终止。若交易双方均有权发出书面通知,以先生效的通知中指定的提前终止日为准。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(4)在提前终止日被有效指定后,交易双方在本协议下的所有受影响交易适用终止净额,即交易双方均无须按照第3条的约定进行被终止交易下的支付或交付,而须按照第7.3.1条的约定在轧差计算被终止交易的公允市场价值的基础上计算并支付提前终止款项。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">7.3 终止事件下提前终止款项的计算与支付</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)终止净额计算方按照第5.2条和第5.3条的约定计算提前终止款项。若非受影响方为终止净额计算方,第5.2条所述的“守约方”为非受影响方、“违约方”为受影响方;若交易双方均为终止净额计算方,第5.2条所述的“守约方”为进行计算的一方,“违约方”为另一方。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)若非受影响方为终止净额计算方,适用于本条的提前终止款项付款日为计算报告生效日后第3个营业日;若交易双方均为终止净额计算方且对计算结果无异议,提前终止款项付款日为后一份生效的计算报告的生效日后第3个营业日。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(3)若交易双方均为终止净额计算方且对计算结果有异议,交易双方可协商确定提前终止款项,或共同指定第三方作为计算代理人,依照第5.2条和第5.3条的约定,在交易双方同意的期限内计算提前终止款项。若交易双方协商不成,或未能就计算代理人的指定或计算期限达成一致,或交易一方对计算代理人的计算结果有异议,任一方可依据第11条的约定申请仲裁。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">7.4 迟延支付及交付</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">如本协议下的交易已发生第6.1条规定的不可抗力事件且处于持续状态,则该交易下的各项支付或交付将迟延至以下时间:涉及支付的,不迟于该事件发生后的第6个营业日;涉及交付的,不迟于该事件发生后的第6个交付日。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第八条 终止净额的计算</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">8.1 在计算一笔或一组被终止交易的终止净额时,终止净额计算方应在基准日本着诚实信用原则,以商业上合理的方式确定替代被终止交易或者为获得相同经济效果而产生的损失及成本或收益。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">在确定上述损失及成本或收益时,应考虑下述因素:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)若未出现相关提前终止日,假设满足第2.2条规定的先决条件,在该日期后应已履行的该笔或该组被终止交易的重大条款,包括第2.1条下各方有关该笔或该组被终止交易的支付和交付;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)各方就该笔或该组被终止交易本可享有的选择权利。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">确定终止净额时不应将任何被终止交易的未付款项和第9.4条所述律师费及实付费用计算在内。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">8.2 为确定终止净额,终止净额计算方应考虑下述相关报价或市场数据:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)由一个或多个第三方提供的相关报价。该第三方在提供上述报价时可考虑终止净额计算方的信用状况,以及终止净额计算方与其之间的包括履约保障协议在内的相关文件的条款;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)由一个或多个第三方提供的相关市场数据或信息,包括但不限于相关利率、价格、收益、收益曲线、波动性、利差、相关性或相关市场上的其他相关市场信息。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">上述第三方包括但不限于相关市场中的交易所、交易商、相关产品的最终用户、信息提供商或经纪商。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">若终止净额计算方善意合理地确信上述报价、相关市场数据或信息无法获得或者无法满足第8.1条的要求,终止净额计算方可使用来源于内部(包括终止净额计算方的关联方)的上述第(1)或(2)项所述类型的信息,该信息应是终止净额计算方在日常商业过程中为类似交易估值时所使用的同类信息。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">8.3 在不重复计算的前提下,终止净额计算方可将其资金的成本,及其为终止、清算或重建与被终止交易相关的任何对冲风险安排而合理产生的损失、成本或收益纳入终止净额计算。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第九条 利息、赔偿和费用</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">9.1 未发生或指定提前终止日</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">在未发生或指定提前终止日的情形下,按本条约定的方式就支付和交付义务计息:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)因交易对方违反履约先决条件而暂停支付的计息</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">由于交易对方违反了第2.2条约定的履约先决条件,交易一方因而暂停履行其根据第2.1条本应履行的支付义务,则应交易对方的要求(且在该交易一方可主张暂停履行支付义务的原因消除之后),该交易一方应就该款项向交易对方支付利息。计息期自该交易一方原应履行支付义务之日(含)起,至该交易一方在上述原因消除之后实际应履行支付义务之日(不含)止。利率为银行间利率。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)未按时支付的计息</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">交易一方未按时履行其在本协议下的任何支付义务(第9.1.1条规定的情形除外),则应交易对方的要求,该交易一方应就该款项向交易对方支付利息。计息期自交易一方本应履行支付义务之日(含)起,至该交易一方实际支付之日(不含)止,利率为违约利率。但是,若第6.1条所述的一项情形导致该交易一方未履行上述支付义务, 则计息期自该交易一方因为此项情形而未履行上述义务之日(含)起,至该情形停止存在之日(不含)止,利率为银行间利率。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)与交付义务有关的计息</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">由于交易对方违反了第2.2条约定的履约先决条件,交易一方因而暂停履行其根据第2.1条本应履行的交付义务,则其应本着诚实信用原则、根据第9.1.1条的约定,就交付物在原定结算日的公允市场价值进行利息的计算与支付。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">在其他情况下,若交易一方未按时履行其在本协议下任何交付义务,其应本着诚实信用原则、根据第9.1.2条的约定,就交付物在原定结算日的公允市场价值进行利息计算与支付。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">9.2 发生或指定提前终止日</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">在发生或指定提前终止日的情形下,按本条约定的方式就支付和交付义务计息:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">9.2.1 未付款项的计息</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">根据第5.2条和第7.3条计算的未付款项的计息期自交易一方本应履行支付或交付义务之日(含)起,至提前终止日(不含)止。利率确定如下:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)对于原应由违约方支付的款项,为违约利率;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)对于原应由守约方支付的款项,为银行间利率;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(3)对于原应由受影响方或非受影响方支付的款项,为银行间利率。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">9.2.2 提前终止款项的计息</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">就交易一方根据第5.2条、第5.3条和第7.3条约定应支付的提前终止款项,应按照以下原则计算利息:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)自提前终止日(含)起、至提前终止款项付款日(不含)止的计息期,按下述方式确定利率:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">A:由违约方支付的,为违约利率;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">B:由守约方支付的,为守约利率;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">C:由受影响方或非受影响方支付的,为银行间利率。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)自提前终止款项付款日(含)起、至(不含)实际支付日止的计息期,按下述方式确定利率:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">A:除下述第A段约定的部分,为违约利率;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">B:若提前终止款项的任何部分未被支付是由于第6.1条所述的一项情形或由于不可归咎于付款方的原因所导致的,自该部分金额因该情形而未被支付之日(含)起、至该情形停止存在之日(不含)止的期间,为银行间利率。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">9.3 本条约定的利息按照复利逐日计算。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">9.4 相关费用。应守约方要求,违约方应赔偿守约方为执行和保障本协议或任何履约保障协议下的权利,或由于任何交易提前终止而产生的合理费用(包括但不限于律师费、签署费、相关税费及催收费用)。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第十条 陈述与保证</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">交易双方分别向对方陈述与保证如下:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">10.1 其为依法设立并有效存续的实体,或为适格的自然人。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">10.2 其具有从事本协议下交易所必需的业务资格并保持业务资格持续有效(如适用)。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">10.3 其有权或已获得必要授权签署本协议。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">10.4 其签署并履行本协议下的义务,不违反相关法律法规、自律规则,亦不违反其与第三方已签署的其他协议。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">10.5 其在本协议下应交付的资产在交割时未设置抵押、质押等担保或第三方权利(法律另有规定的除外),亦不存在其他任何权利瑕疵。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">10.6 不存在本协议规定的违约事件或潜在违约事件,且就其所知不存在本协议规定的终止事件。履行本协议或履约保障协议下的义务亦不会导致上述事件的发生。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">10.7 就其所知,其自身或履约保障提供方不存在任何可能影响本协议合法性、有效性、可执行性及其履约能力的诉讼、仲裁或其他司法及行政程序。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">10.8 其依本协议规定向另一方提供的所有信息,包括补充协议下的具体信息,在所有实质方面均为真实、准确、完整。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">10.9 其在本协议下的所有交易均为其自身订立,而非代理其他第三方订立,交易双方另有约定的除外。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">10.10 其已经充分理解和审慎评估本协议下交易的性质、条款、风险,愿意接受并有能力承担相关交易风险。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">上述所有陈述与保证在本协议签署日作出,及在每一笔交易达成时视为重复做出,并在本协议有效期内持续有效。如交易一方知悉其所作的上述陈述与保证存在不真实、不准确的情形或发生重大变化,应当及时通知对方。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第十一条 适用法律及争议解决</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">11.1 本协议适用中华人民共和国(为本协议之目的,不包括香港特别行政区、澳门特别行政区及台湾地区)法律,应当根据中华人民共和国法律进行解释。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">11.2 除非交易双方在补充协议中另行约定,因本协议引起的或与本协议有关的任何争议,均应提交中国国际经济贸易仲裁委员会依照其届时有效的仲裁规则进行仲裁。仲裁地在北京(开庭地交易双方可另行约定)。仲裁裁决是终局的,对交易双方均有约束力。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第十二条 通知</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">12.1 除非补充协议另有规定,有关本协议的任何通知和其他通讯往来可采用下列方式发送至对方提供的通信地址、电传或传真号码、电子邮箱等电子信息系统(详见补充协议),并根据下述规定确定生效日:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)以书面文件方式由专人或快递服务交送的,以文件送达之日为生效日;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)以电传方式发送的,以收到收件人的应答之日为生效日;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(3)以传真方式发送的,以传真正常发至收件人指定的传真号码且收件人确认收到清晰可读的传真件之日为生效日;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(4)以挂号信方式或其他要求提供回执的邮递方式发送的,以送达之日为生效日;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(5)以电子邮件等电子信息系统发送的,以通知进入对方指定的电子信息系统之日为生效日。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">若上述通知送达或接收的时间为非工作日或当日工作时间结束后,则相关通知的生效日为该日后的首个工作日。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">12.2 交易一方可以书面方式通知对方,变更其接收通知和其他通讯往来的通信地址、电传或传真号码、电子邮箱等电子信息系统。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第十三条 其他</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">13.1 本协议构成交易双方就本协议所涉事项达成的全部约定。各方在此确认,其签订本协议未依赖任何本协议规定之外的口头或书面的陈述或保证。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">13.2 对于本协议的任何修订、修改或弃权均应以书面形式做出。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">书面方式包括传真、电传、电子邮件或其他电子信息交换方式。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">13.3 在不影响第2.2条、第5.1.3条和第7.2.3条的前提下,交易双方在本协议下的义务在任何交易终止后仍应持续有效。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">13.4 协议文本及确认</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)本协议可签署一式多份,经交易双方签字盖章后生效,各份均为原件,具有同等效力。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)交易双方自达成(不论以口头或其他方式)交易时起即受其约束。在实际可行的情况下,交易双方应尽快签署交易确认书。交易确认书可通过书面签署、传真、电传、电子邮件或其他电子信息交换方式做出。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">13.5 未行使、迟延行使本协议下的任何权利不应被视为放弃该等权利,单独或部分行使任何权利不应被视为放弃后续行使或进一步行使该等权利或放弃行使其他任何权利。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">13.6 本协议中的标题仅为方便阅读,不影响对本协议内容的解释。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">13.7 保密</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">13.7.1 交易双方同意,对有关本协议以及本协议下交易的信息应承担保密义务,除以下情形外,未经对方事先书面同意,不得向任何其他方披露:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)交易一方按照法律法规、监管机构、行业自律组织的要求进行披露;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)交易一方按照法院、仲裁机构或者任何司法程序的要求进行披露;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(3)交易一方向其委托的会计师事务所、律师事务所、财务顾问等中介机构进行披露,但该方应促使该中介机构承诺承担保密义务。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">在上述情形下,交易一方仅应提供法律法规、司法程序、监管机构、行业自律组织或者中介机构要求披露的那部分信息。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">13.7.2 交易一方根据第13.7.1条规定进行披露后,应当在法律法规或司法程序允许的范围内及时将披露情况通知对方。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">13.8 合同权利义务的转让</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">在不违反相关法律法规的前提下,未经对方事先书面同意,任何一方不得转让其在本协议或本协议下的任何权益、义务,否则该转让无效,但一方转让违约方向其支付的提前终止款项的全部或部分权益、与该权益相关的任何应付金额以及与第9条下权益有关的其他权利除外。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">13.9 抵销</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)在有一个违约方的情况下,或者发生了使本协议下全部交易成为被终止交易的终止事件并且只有一个受影响方的情况下,守约方或非受影响方有权选择(无需提前通知违约方或受影响方)将一方(“付款方”)应向另一方(“收款方”)支付的任何提前终止款项与收款方应向付款方支付的任何其他金额(“其他金额”)(无论是否产生于本协议下,无论是否到期,无论其币种、支付地和入账地点如何)进行抵销。就被如此抵销的其他金额而言,该等其他金额的义务立即被全部解除。守约方或非受影响方(依实际情况而定)应当向违约方或受影响方(依实际情况而定)按照主协议第12.1.1条的规定就抵销发送通知。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)如果任何债务未确定,守约方或非受影响方(依实际情况而定)有权根据诚实信用原则对债务进行估算并以估算的数值进行抵销,但在该债务确定时另一方有权复核。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(3)本第13条的约定不具有创设抵押或其他担保权益的效力,不影响且独立于任何一方于任何时间享有的(法律、合同或其他约定下)任何抵押权、留置权或其他类似的权利和要求。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">13.10 电话录音</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">交易一方可根据交易双方在补充协议中电话录音相关事项的约定,对交易双方之间就本协议项下交易或任何潜在交易的电话交谈进行录音,并可在不违反中国法律的前提下在争议解决过程中出具该等录音作为证据。 </span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">第十四条 定义</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">交易确认书:指交易双方交换的用以确认或证明一笔交易的书面文件或电子文件、包括但不限于成交单、电子确认书、电子邮件、电报、电传、传真、合同书和信件。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">被终止交易:就某个提前终止日而言,指以下情形的交易:(1)若因不可抗力事件导致,指根据第7.1条规定发出的通知所指明的所有受影响交易;(2)若因其他的终止事件导致,指所有受影响交易;(3)若因违约事件导致,指在载明提前终止日的通知生效之前仍然存续的所有交易,或在适用自动提前终止的情形下该提前终止日之前仍然存续的所有交易。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">工作日:指交易双方的正常办公日期,法定节假日、周末除外。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">关联方:除补充协议另有约定外,就交易一方而言,指直接或间接被其控制的实体、直接或间接对其进行控制的实体、或直接或间接与其受同一控制人控制的实体。本定义中的“控制”是指控制方拥有被控制方的多数投票权。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">基准日:指提前终止日。若终止净额计算方诚信地认为以提前终止日为基准进行本协议下所有被终止交易的计算不具有商业合理性,则为商业上可合理进行计算的提前终止日之后尽可能早的一个或多个日期。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">交叉违约触发金额:指补充协议中所列明的金额(如有)。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">交付日:指负有登记结算职能的相关机构能够办理并完成本协议下交付的日期,或交易双方根据相关交易确认书的约定应办理实物交割的日期。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">履约保障提供方:指补充协议中约定的提供履约保障的相关主体。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">履约保障协议:指本协议中规定为履约保障协议的任何协议或文件。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">其他终止事件:指补充协议和交易确认书中约定的其他终止事件。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">潜在违约事件:指任何通过发送通知或随时间推移(或两种情况均发生)即可构成违约事件的任何事件。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">受影响交易:(1)在发生一项不可抗力事件时,指所有受该终止事件影响的交易(若相关履约保障协议特指某些交易,则指该等交易;若相关履约保障协议构成一笔交易的交易确认书,则指该笔交易),及(2)在发生任何其他的终止事件时,指所有交易。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">特定交易:指交易一方(或其履约保障提供方)与交易另一方(或其履约保障提供方)之间当前存续或今后达成的本协议管辖范围之外的以一对一方式进行的任何衍生产品交易或交易双方约定的其他交易。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">守约利率:指守约方合理证明的其作为资金拆入方从相关银行间市场上的一家主要银行得到的隔夜拆放利率,该银行由守约方选择,但其报价应是能够合理反映守约方在相关市场上资金拆借成本的有代表性报价。若守约利率高于银行间利率,则守约利率为银行间利率。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">特定债务:指与借款有关的任何义务,不论是现在的或将来的、或有的或已发生的、作为主债、担保或其他形式的义务,除非补充协议另有约定。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">未付款项:指就一个提前终止日而言,任何一方欠付对方的款项应为以下各项之和:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(1)就所有被终止交易而言,指根据第2.1条应于该提前终止日(含当日)之前向对方支付而未支付的款项,或原本应付但由于第2.2条的规定而未付的款项,或由于第7.4条的规定而延迟支付的款项;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(2)就每一笔被终止交易而言,对于第2.1条下每一笔应在该提前终止日(含当日)之前向对方交付而未交付的义务 (或本应交付但因第2.2条或第7.4条而未交付),指相等于原本应交付的标的物的公允价值的金额;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(3)如果提前终止日是由违约事件或其他终止事件导致,并且所有未完成交易成为受影响交易,则指该提前终止日前到期并截止该提前终止日尚未支付的任何提前终止款项。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">上述各项的未付款项均应包括根据第9条计算的利息和应作出的其他补偿。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">前述第(2)款所指的任何交付标的物的公允价值为根据第5.2条和第7.3条关于提前终止的付款规定,由终止净额计算方以善意的方式并经合理的商业程序确定的该等交付标的物在原定结算日的公允价值。如交易双方均为终止净额计算方,则为交易双方按上述方法确定的公允价值的平均数。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">违约利率:指相当于在收款人为取得有关资金而支付的年利率的基础上再加1%的利率。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">银行间利率:就每一个计息日而言,指中国人民银行授权全国银行间同业拆借中心发布的上海银行间同业拆放利率(Shibor)中的隔夜利率。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">营业日:指商业银行正常对外营业的日期。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">原定结算日:指根据第2.1条就某一交易需进行支付或交付的日期。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">终止净额计算方:在发生违约事件时,指守约方;在发生终止事件时,指非受影响方(若交易双方均为受影响方,则指任一方)。</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">终止事件:指一项不可抗力事件、因合并造成的资信降低或其他终止事件。</span><br/><span style="font-size:11.0pt;font-family:Cambria;mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">&nbsp;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">甲方:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(公章)</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">授权代表签字:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">授权代表职务:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">日期:</span><br/><span style="font-size:11.0pt;font-family:Cambria;mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">&nbsp;</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">乙方:</span><span style="font-size:11.0pt;font-family:Cambria;mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">&nbsp;&nbsp;&nbsp;</span><a id="_GoBack" /><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">(公章)</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">授权代表签字:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">授权代表职务:</span><br/><span style="font-size:11.0pt;font-family:'MS 明朝';mso-fareast-font-family:'MS 明朝';mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;">日期:</span></p> </div></body></html>

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