美国破产法典第15章中英文版

2023年8月18日

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文章摘要：

美国破产法典第15章为“辅助程序和其他跨境破产案件”，赋予境外债务人或债权人通过其授权的境外代表，在境外已经启动破产程序的情况下，向美国联邦法院申请破产保护

CHAPTER15 ANCILLARY AND OTHER

CROSS-BORDER CASES

Sec.

Purpose and scope of application.

SUBCHAPTER I - GENERAL PROVISIONS

Definitions.
International obligations of the United States.
Commencement of ancillary case.
1505. Authorization to act in a foreign country.
Public policy exception.
Additional assistance.
Interpretation.

SUBCHAPTER II—ACCESS OF FOREIGN REPRESENTATIVES AND

CREDITORS TO THE COURT

Right of direct access.
Limited jurisdiction.

1511 . Commencement of case under section 301,302,or 303.

Participation of a foreign representative in a case under this title.
Access of foreign creditors to a case under this title.
Notification to foreign creditors concerning a case under this title.

SUBCHAPTER m—RECOGNITION OF A FOREIGN PROCEEDING AND RELIEF

Appliiccaattii on for recognition.
Presumptions concerning recogn山on.
1517. Order granting recognition.
1518. Subsequent information.

第15 章辅助程序和其他跨境破产案件

条目

适用的目的和范围

第一附章一般规定

定义
美国的国际义务
辅助程序的启动
在境外行动的授权
公共政策的例外
补充协助
法律解释

第二附章境外代表和债权人对本国法院的介入

直接介入的权利
限制性管辖
根据第301 、302 或303 条启动案件CD
境外代表参与本篇案件
境外债权人介入本篇案件
就本篇案件有关事项通知境外债权人

第三附章对境外程序的承认和救济

申请承认
关千承认的推定
准予承认的裁定
后续信息

United States Bankruptcy Code (Chinese-English bilingual version) Relief that may be granted upon filing petition for recognition. Effects of recognition of a foreign main proceeding.

Relief that may be granted upon recognition.

Protection of creditors and other interested persons. Actions to avoid acts detrimental to creditors. Intervention by a foreign representative.

SUBCHAPTER IV—COOPERATION WITH FOREIGN COURTS AND FOREIGN REPRESENTATIVES

Cooperation and direct communication between the court and foreign courts

or foreign representatives.

Cooperation and direct communication between the trustee and foreign courts

or foreign representatives.

Forms of cooperation.

SUBCHAPTER V—CONCURRENT PROCEEDINGS

Commencement of a case under this title after recognition of a foreign main

proceeding.

Coordination of a case under this title and a foreign proceeding.
Coordination of more than 1 foreign proceeding.
Presumption of insolvency based on recognition of a foreign main

proceeding.

Rule of payment in concurrent proceedings.

1501. Purpose and scope of application

(a) The purpose of this chapter is to incorporate the Model Law on Cross-Border

Insolvency so as to provide effective mechanisms for dealing with cases of cross-border

insolvency with the objectives of—

(1) cooperation between—

(A) courts of the United States, United States trustees, trustees, examiners, debtors,

and debtors in possession; and

(B) the courts and other competent authorities of foreign countries involved in

cross-border insolvency cases;

(2) greater legal certainty for trade and investment;

(3) fair and efficient administration of cross-border insolvencies that protects the

interests of all creditors, and other interested entities, including the debtor;

提交承认申请时可被授予的救济
承认境外主要程序的效力
准予承认时可被授予的救济
对债权人和其他利益相关方的保护
为避免有损于债权人的行为的诉讼
境外代表的干预

第四附章与境外法院和境外代表间的合作

本国法院与境外法院或境外代表间的合作与直接联系
托管人与境外法院或境外代表间的合作与直接联系
合作的形式

第五附章并行程序

承认境外主要程序后根据本篇而启动的破产案件
本篇案件与境外程序的协调
一项以上的境外程序的协调
基于对境外主要程序的承认而推定事实破产
多项程序并行时的偿付规则

第1501 条适用的目的和范围

(a) 本章的目的是引入《跨国界破产示范法》从而为处理跨境破产案件提供有效的机制并实现以下目标：

(1) 以下主体间的合作：

(A) 美国法院、联邦托管人、托管人、监督人、债务人以及经管债务人；和

(B) 参与跨境破产案件的境外法院或其他主管当局；

(2) 提高贸易和投资事项的法律确定性；

(3) 公平高效地处理跨境破产案件从而保护所有债权人以及包含债务人在内的

O 联合国国际贸易委员会制定的Model Law on Cross-Border Insolvency 的官方中文译本名称为《跨国界破产

示范法》。基于对特殊政治体制及政治实体的考量，在《美国破产法典》中相应的地方，笔者选择将“cross-border"

译为＂跨境＂，将“foreign" 译为＂境外” 。

640 United States Bankruptcy Code (Chinese-English bilingual version)

(4) protection and maximization of the value of the debtor's assets; and

(5) facilitation of the rescue of financially troubled businesses, thereby protecting investment and preserving employment.

(b) This chapter applies where—

(I) assistance is sought in the United States by a foreign court or a foreign representative in connection with a foreign proceeding;

(2) assistance is sought in a foreign country in connection with a case under this title;

(3) a foreign proceeding and a case under this title with respect to the same debtor are pending concurrently; or

(4) creditors or other interested persons in a foreign country have an interest in requesting the commencement of, or participating in, a case or proceeding under this title.

(I) a proceeding concerning an entity, other than a foreign insurance company, identified by exclusion in section I 09 (b) ;

(2) an individual, or to an individual and such individual's spouse, who have debts within the limits specified in section I 09 (e) and who are citizens of the United States or aliens lawfully admitted for permanent residence in the United States; or

(3) an entity subject to a proceeding under the Securities Investor Protection Act of 1970, a stockbroker subject to subchapter 川of chapter 7 of this title, or a commodity broker subject to subchapter W of chapter 7 of this title.

(d) The court may not grant relief under this chapter with respect to any deposit, escrow, trust fund, or other security required or permitted under any applicable State insurance law or regulation for the benefit of claim holders in the United States.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 135.)

SUBCHAPTER I—GENERAL PROVISIONS

1502. Definitions

For the purposes of this chapter, the term—

(1) "debtor" means an entity that is the subject of a foreign proceeding;

(2) "establishment" means any place of operations where the debtor carries out a nontransitory economic activity;

其他利益相关方的利益；

(4) 保护并最大化债务人资产的价值；以及

(5) 促进拯救陷入财务困境的企业，从而保护投资并保障就业。

(b) 本章适用于以下各项：

(1) 境外法院或境外代表就境外程序在美国寻求的协助；

(2) 就本篇案件在境外寻求的协助；

(3) 与同一债务人有关的境外程序或本篇案件正在同时进行；或

(4) 境外的债权人或其他利益相关方有意启动或参与本篇中的案件或程序。

(1) 有关第109 条(b) 中被排除的实体（不包括境外保险机构）的程序；

(2) 作为美国居民或依法获准在美国永久居留的境外人，其债务在第109 条(e)中限额内的个人或个人及其配偶；或

(3) 受《1970 年证券投资者保护法》中程序的约束的实体，受本篇第7 章第三附章规制的证券经纪人或受本篇第7 章第四附章规制的商品经纪商。

(d) 针对任何为美国债权人的利益而根据相应的州保险法律或法规要求或允许的押金、托管、信托资金或其他担保，本国法院不得根据本章提供救济。

［经Pub. L. 109-8, title VIII, §801 (a),Apr. 20, 2005, 119 Stat. 135. 增补］

第一附章一般规定

第1502 条定义

就本章而言，以下术语：

(1)"债务人”指境外程序所处理的实体；

(2)“ 营业所”指债务人进行非暂时性经济活动的任何营业场所；

642 United States Bankruptcy Code (Chinese-English bilingual version)

(3) "foreign court" means a judicial or other authority competent to control or

supervise a foreign proceeding;

(4) "foreign main proceeding" means a foreign proceeding pending in the country

where the debtor has the center of its main interests;

(5) "foreign nonmain proceeding" means a foreign proceeding, other than a foreign

main proceeding, pending in a country where the debtor has an establishment;

(6) "trustee" includes a trustee, a debtor in possession in a case under any chapter of

this title, or a debtor under chapter 9 of this title;

(7) "recognition" means the entry of an order granting recognition of a foreign main

proceeding or foreign nonmain proceeding under this chapter; and

(8) "within the territorial jurisdiction of the United States", when used with

reference to property of a debtor, refers to tangible property located within the territory

of the United States and intangible property deemed under applicable nonbankruptcy

law to be located within that territory, including any property subject to attachment or

garnishment that may properly be seized or garnished by an action in a Federal or State

court in the United States.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 135.)

1503. International obligations of the United States

To the extent that this chapter conflicts with an obligation of the United States arising

out of any treaty or other form of agreement to which it is a party with one or more other

countries, the requirements of the treaty or agreement prevail.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 136.)

1504. Commencement of ancillary case

A case under this chapter is commenced by the filing of a petition for recognition of a

foreign proceeding under section 1515.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 136.)

1505. Authorization to act in a foreign country

A trustee or another entity (including an examiner) may be authorized by the court

to act in a foreign country on behalf of an estate created under section 541. An entity

authorized to act under this section may act in any way permitted by the applicable foreign

law.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 136.)

1506. Public policy exception

Nothing in this chapter prevents the court from refusing to take an action governed

by this chapter if the action would be manifestly contrary to the public policy of the United

States.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 136.)

(3)"境外法院”指控制或监督境外程序的司法或其他主管当局；

(4) ＂境外主要程序”指在债务人的主要利益中心所在国正在进行的境外程序；

(5)" 境外非主要程序”指除境外主要程序外，在债务人的营业场所所在国正在进行的境外程序；

(6)“ 托管人“包括托管人、本篇任意章节案件中的经管债务人或本篇第9 章中的债务人；

(7)“ 承认”指根据本章正式作出承认境外主要程序或境外非主要程序的裁定；以及

(8)” 在美国地域管辖的范围内＂，当用千说明债务人财产时，指位于美国境内的有形财产以及根据可适用的非破产法，被视为位于美国境内的无形财产，包括可能通过在美国联邦或州立法院提起的诉讼而被正当扣押的任何财产。

［乡圣Pub. L. 109-8, title VIII, §801 (a) , Apr. 20, 2005, 119 Stat. 135 ．士曾衣卜］

第1503 条美国的国际义务

若本章与美国因其与一个或多个其他国家达成的任何条约或其他协议而产生的义务相抵触，则以该条约或协议的要求为准。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 136. 增补］

第1504 条辅助程序的启动

根据第1515 条提交承认境外程序的申请将启动本章程序。

［乡~ Pub. L. 109-8, title VIII, §801 (a),Apr. 20, 2005, 119 Stat. 136. ±曾补］

第1505 条在境外行动的授权

托管人或其他实体（包括监督人）可经本国法院授权，代表根据第541 条成立的破产实体在境外采取行动。根据本条被授权采取行动的实体可采取任何可适用的境外法律所允许的行动。

［乡圣Pub. L. 109-8, title VIII, §801 (a) ,Apr. 20, 2005, 119 Stat. 136. t曾卒卜］

第1506 条公共政策的例外

若受本章规制的行动将明显违反美国的公共政策，则本章中的任何规定均不妨碍本国法院拒绝采取该行动。

［乡圣Pub. L. 109-8, title VIII, §801 (a) , Apr. 20, 2005, 119 Stat. 136 ．士曾衣卜］

644 United States Bankruptcy Code (Chinese-English bilingual version)

1507. Addiittii onal assistance

(a) Subject to the specific limitations stated elsewhere in this chapter the court, if

recognition is granted, may provide additional assistance to a foreign representative under

this title or under other laws of the United States.

(b) In determining whether to provide additional assistance under this title or under

other laws of the United States, the court shall consider whether such additional assistance,

consistent with the principles of comity, will reasonably assure—

(1) just treatment of all holders of claims against or interests in the debtor's

property;

(2) protection of claim holders in the United States against prejudice and

inconvenience in the processing of claims in such foreign proceeding;

(3) prevention of preferential or fraudulent dispositions of property of the debtor;

(4) distribution of proceeds of the debtor's property substantially in accordance with

the order prescribed by this title; and

(5) if appropriate, the provision of an opportunity for a fresh start for the individual

that such foreign proceeding concerns.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 136.)

1508. Interpretation

In interpreting this chapter, the court shall consider its international origin, and the

need to promote an application of this chapter that is consistent with the application of

similar statutes adopted by foreign jurisdictions.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 137.)

SUBCHAPTER II —ACCESS OF FOREIGN

REPRESENTATIVES AND CREDITORS

TO THE COURT

1509. Right of direct access

(a) A foreign representative may commence a case under section 1504 by filing directly with the court a petition for recognition of a foreign proceeding under section

1515.

(b) If the court grants recognition under section 1517, and subject to any limitations that the court may impose consistent with the policy of this chapter—

(1) the foreign representative has the capacity to sue and be sued in a court in the

第1507条补充协助

(a) 在符合本章规定的具体限制的情况下，若境外程序已被准予承认，则本国法院可根据本篇或美国其他法律为境外代表提供补充协助。

(b) 在决定是否根据本篇或美国其他法律提供补充协助时，本国法院应考虑该协助是否能在符合礼让原则的情况下合理确保以下各项的实现：

(1) 公正对待所有就债务人财产享有债权或权益的主体；

(2) 保护美国债权人，使其在该类境外程序中处理其债权时免受歧视和不便；

(3) 防止对债务人财产的不公平或欺诈处置；

(4) 基本根据本篇规定的顺序分配债务人财产的收益；以及

(5) 在适当的情况下，为该境外程序中涉及的个人提供重新开始的机会。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 136. 增补］

第1508 条法律解释

在对本章进行解释时，本国法院应考虑其国际渊源以及促进本章适用的需要，且该适用应与境外法域对类似法律的适用相一致。

（经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 137. 增补）

第二附章境外代表和债权人对本国法院的介入

第1509 条直接介入的权利

(a) 境外代表可通过直接向本国法院根据第1515 条提交承认境外程序的申请从而根据第1504 条启动程序。

(b) 若法院根据第1517 条准予承认境外程序，则在遵守本国法院根据本章原则可施加的任何限制的情况下：

(1) 境外代表可在美国法院起诉和应诉；

646 United States Bankruptcy Code (Chinese-English bilingual version)

United States;

(2) the foreign representative may apply directly to a court in the United States for

appropriate relief in that court; and

(3) a court in the United States shall grant comity or cooperation to the foreign

representative.

United States other than the court which granted recognition shall be accompanied by a

certified copy of an order granting recognition under section 1517.

(d) If the court denies recognition under this chapter, the court may issue any

appropriate order necessary to prevent the foreign representative from obtaining comity or

cooperation from courts in the United States.

(e) Whether or not the court grants recognition, and subject to sections 306 and

1510, a foreign representative is subject to applicable nonbankruptcy law.

(f) Notwithstanding any other provision of this section, the failure of a foreign

representative to commence a case or to obtain recognition under this chapter does not

affect any right the foreign representative may have to sue in a court in the United States to

collect or recover a claim which is the property of the debtor.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 137.)

1510. Limited jurisdiction

The sole fact that a foreign representative files a petition under section 1515 does not

subject the foreign representative to the jurisdiction of any court in the United States for

any other purpose.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 138.)

1511. Commencement of case under section 301, 302, or 303

(a) Upon recognition, a foreign representative may commence—

(1) an involuntary case under section 303; or

(2) a voluntary case under section 301 or 302, if the foreign proceeding is a foreign

main proceeding.

(b) The petition commencing a case under subsection (a) must be accompanied

by a certified copy of an order granting recognition. The court where the petition for

recognition has been filed must be advised of the foreign representative's intent to

commence a case under subsection (a) prior to such commencement.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 138; amended

Pub. L. 111-327,§2 (a) (45), Dec. 22, 2010, 124 Stat. 3562.)

1512. Participation of a foreign representative in a case under this title

Upon recognition of a foreign proceeding, the foreign representative in the recognized

proceeding is entitled to participate as a party in interest in a case regarding the debtor

(2) 境外代表可直接向美国法院申请该法院的相应救济；并且

(3) 美国法院应对境外代表授予礼让或合作。

(d) 若本国法院根据本章拒绝予以承认，则法院可在必要的情况下签发任何相应的裁定从而阻止境外代表在美国法院获得礼让或合作。

(e) 无论本国法院是否准予承认，在遵守第306 条和第1510 条规定的情况下，境外代表均受可适用的非破产法的约束。

(f) 即使本条有任何其他规定，境外代表未能根据本章启动程序或获得境外程序的承认并不影响境外代表在美国法院提起诉讼从而就债务人享有的债权追偿或求偿的权利。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 137. 增补］

第1510 条限制性管辖

仅基于境外代表根据第1515 条提交申请的事实并未使该境外代表就其他事由而受美国法院的管辖。

［经Pub. L. 109-8, title VIII, §801 (a) , Apr. 20, 2005, 119 Stat. 138. 增补］

第1511 条根据第301 、302 或303 条启动案件

(a) 在境外程序得到承认时，境外代表可启动以下案件：

(1) 第303 条中的强制破产案件；或

(2) 若该境外程序为境外主要程序，则可启动第301 条或第302 条中的自愿破产案件。

(b) 启动附条(a) 中案件的申请必须附有准予承认的裁定的核证副本。在启动附条(a) 中的案件前，境外代表必须告知接收承认申请的法院其意图启动该案件。

[ 经圣Pub. L. 109-8, title VIII, §801( a), Apr. 20, 2005, 119 Stat. 138; amended Pub. L.

111-327,§2 (a) (45), Dec. 22, 2010, 124 Stat. 3562. 增补］

第1512 条境外代表参与本篇案件

境外程序得到承认时，该程序中的境外代表即有权作为利益相关方参与根据本篇而就债务人启动的案件。

648 United States Bankruptcy Code (Chinese-English bilingual version)

under this title.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 138.)

1513. Access of foreign creditors to a case under this title

(a) Foreign creditors have the same rights regarding the commencement of, and

participation in, a case under this title as domestic creditors.

(b) (1) Subsection (a) does not change or codify present law as to the priority

of claims under section 507 or 726, except that the claim of a foreign creditor under those

sections shall not be given a lower priority than that of general unsecured claims without

priority solely because the holder of such claim is a foreign creditor.

(2) (A) Subsection (a) and paragraph (1) do not change or codify present law

as to the allowability of foreign revenue claims or other foreign public law claims in a

proceeding under this title.

(B) Allowance and priority as to a foreign tax claim or other foreign public law

claim shall be governed by any applicable tax treaty of the United States, under the

conditions and circumstances specified therein.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 138.)

1514. Notification to foreign creditors concerning a case under this title

(a) Whenever in a case under this title notice is to be given to creditors generally or

to any class or category of creditors, such notice shall also be given to the known creditors

generally, or to creditors in the notified class or category, that do not have addresses in the

United States. The court may order that appropriate steps be taken with a view to notifying

any creditor whose address is not yet known.

(b) Such notification to creditors with foreign addresses described in subsection

(a) shall be given individually, unless the court considers that, under the circumstances,

some other form of notification would be more appropriate. No letter or other formality is

required.

creditors, such notification shall—

(1) indicate the time period for filing proofs of claim and specify the place for filing

such proofs of claim;

(2) indicate whether secured creditors need to file proofs of claim; and

(3) contain any other information required to be included in such notification to

creditors under this title and the orders of the court.

(d) Any rule of procedure or order of the court as to notice or the filing of a proof of

claim shall provide such additional time to creditors with foreign addresses as is reasonable

under the circumstances.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 138.)

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 138. 增补］

第1513 条境外债权人介入本篇案件

(a) 就启动和参与本篇案件而言，境外债权人享有与本国债权人相同的权利。

(b) (1) 附条(a) 并不影响现行法律中第507 条或第726 条中对债权优先顺位的规定，但前述条文中境外债权人的债权不得仅因该债权的持有人为境外债权人而低于普通无担保非优先债权的顺位。

(2) (A) 附条(a) 和第(1) 款并不影响现行法律中针对境外税收债权或其他境外公法债权在本篇程序中的确认的规定。

(B) 境外税收债权或其他境外公法债权的确认和优先顺位，应在美国税收条约规定的条件和情形下，受可适用的税收条约的规制。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 138. 增补］

第1514 条就本篇案件有关事项通知境外债权人

(a) 在本篇案件中向本国全体债权人或任意组别的债权人发出的通知，也应向地址不在美国境内的巳知全体债权人或被通知组别的债权人发出。法院可裁定采取适当措施以通知尚未知悉其地址的任何债权人。

(b) 此类通知应分别发给附条(a) 中所述的地址在境外的债权人，除非法院认为在相应情况下以其他形式发出通知更为适当。该通知无须以信函或其他正式手续作出。

(1) 载明提交债权证明的期限及提交该债权证明的地点；

(2) 载明担保债权人是否需要提交债权证明；以及

(3) 载有根据本篇或法院的裁定，被要求载入向债权人发出的该类通知中的任何其他材料。

(d) 任何有关通知或提交债权证明的程序规则或法院的裁定均应在特定情形下为地址在境外的债权人提供额外的期限。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 138. 增补］

650 United States Bankruptcy Code (Chinese-English bilingual version)

SUBCHAPTER Ill—RECOGNITION OF A FOREIGN

PROCEEDING AND RELIEF

1515. Application for recognition

(a) A foreign representative applies to the court for recognition of a foreign

proceeding in which the foreign representative has been appointed by filing a petition for

recognition.

(b) A petition for recognition shall be accompanied by—

(1) a certified copy of the decision commencing such foreign proceeding and

appointing the foreign representative;

(2) a certificate from the foreign court affirming the existence of such foreign

proceeding and of the appointment of the foreign representative; or

(3) in the absence of evidence referred to in paragraphs (1) and (2), any other

evidence acceptable to the court of the existence of such foreign proceeding and of the

appointment of the foreign representative.

all foreign proceedings with respect to the debtor that are known to the foreign

representative.

(d) The documents referred to in paragraphs (1) and (2) of subsection (b) shall

be translated into English. The court may require a translation into English of additional

documents.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 139.)

1516. Presumptions concerning recognition

(a) If the decision or certificate referred to in section 1515 (b) indicates that

the foreign proceeding is a foreign proceeding and that the person or body is a foreign

representative, the court is entitled to so presume.

(b) The court is entitled to presume that documents submitted in support of the

petition for recognition are authentic, whether or not they have been legalized.

habitual residence in the case of an individual, is presumed to be the center of the debtor's

main interests.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 139.)__

第三附章对境外程序的承认和救济

第1515 条申请承认

(a) 境外代表通过提交承认申请，向法院申请承认其被任命为境外代表的境外程序。

(b) 承认申请应附有下列各项：

(1) 启动该境外程序及任命该境外代表的决定的核证副本；

(2) 境外法院出具的，确认该境外程序的存在及该境外代表的任命的证明；或

(3) 在没有第(1) 款和第(2) 款中提及的证明的情况下，应附有法院可接受的，证实该境外程序的存在和该境外代表的任命的任何其他证明。

(d) 附条(b) 的第（ 1) 款和第(2) 款中提及的文件应被翻译为英文。法院还可要求将其他文件翻译成英文。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 139. 增补］

第1516 条关千承认的推定

(a) 若第1515 条(b) 中提及的决定或证明表明，该境外程序是本篇中的境外程序，此人或该机构为本篇中的境外代表，则法院可作此推定。

(b) 无论支持该承认证明而被提交的文件是否经过公证，法院均有权推定其为真实文件。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 139. 增补］

652 United States Bankruptcy Code (Chinese-English bilingual version)

1517. Order granting recognition

(a) Subject to section 1506, after notice and a hearing, an order recognizing a

foreign proceeding shall be entered if—

(1) such foreign proceeding for which recognition is sought is a foreign main

proceeding or foreign nonmain proceeding within the meaning of section 1502;

(2) the foreign representative applying for recognition is a person or body; and

(3) the petition meets the requirements of section 1515.

(b) Such foreign proceeding shall be recognized—

(1) as a foreign main proceeding if it is pending in the country where the debtor has

the center of its main interests; or

(2) as a foreign nonmain proceeding if the debtor has an establishment within the

meaning of section 1502 in the foreign country where the proceeding is pending.

earliest possible time. Entry of an order recognizing a foreign proceeding constitutes

recognition under this chapter.

(d) The provisions of this subchapter do not prevent modification or termination of

recognition if it is shown that the grounds for granting it were fully or partially lacking

or have ceased to exist, but in considering such action the court shall give due weight to

possible prejudice to parties that have relied upon the order granting recognition. A case

under this chapter may be closed in the manner prescribed under section 350.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 139.)

1518. Subsequent information

From the time of filing the petition for recognition of a foreign proceeding, the

foreign representative shall file with the court promptly a notice of change of status

concerning—

(1) any substantial change in the status of such foreign proceeding or the status of

the foreign representative's appointment; and

(2) any other foreign proceeding regarding the debtor that becomes known to the

foreign representative.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 140.)

1519. Relief that may be granted upon filing petition for recognition

(a) From the time of filing a petition for recognition until the court rules on the

petition, the court may, at the request of the foreign representative, where relief is urgently

needed to protect the assets of the debtor or the interests of the creditors, grant relief of a

provisional nature, including—

(1) staying execution against the debtor's assets;

(2) entrusting the administration or realization of all or part of the debtor's assets

第1517 条准予承认的裁定

(a) 在符合第1506 条规定的情况下，经过通知和听证后，在下列情形中，应作出准予承认境外程序的裁定：

(1) 申请被承认的境外程序是第1502 条中的境外主要程序或境外非主要程序；

(2) 申请承认的境外代表是人或机构；并且

(3) 该申请符合第1515 条的要求。

(b) 该境外程序应被承认为：

(1) 若该境外程序系在债务人主要利益中心的所在国进行，则应被承认为境外主要程序；或

(2) 若该境外程序系在债务人拥有的第1502 条所述的营业所的所在国进行，则应被承认为境外非主要程序。

(d) 若被表明准予承认的证据已经完全或部分告缺，或者已经不存在，则本附章中的规定并不妨碍对承认的修改或终止，但法院在考虑修改或终止该承认时，应适当考虑已经信赖承认裁定的主体可能遭受的损害。本章案件应以第350 条规定的方式结案。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 139. 增补］

第1518 条后续信息

自提交承认境外程序的申请之时起，境外代表应及时就以下各项的变化向法院提交通知：

(1) 该境外程序或境外代表的任命发生的任何重大变化；以及

(2) 境外代表获知的针对该债务人的任何其他境外程序。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 140. 增补］

第1519 条提交承认申请时可被授予的救济

(a) 自提交承认申请之时至法院就该申请作出决定之时，法院应境外代表的请求，在债务人的资产或债权人的权益急需救济的情况下，法院可授予临时救济，包括以下各项：

(1) 冻结对债务人资产的执行；

(2) 委托境外代表或法院授权的其他人，包括监督人，管理或变卖债务人在美

654 United States Bankruptcy Code (Chinese-English bilingual version)

located in the United States to the foreign representative or another person authorized by

the court, including an examiner, in order to protect and preserve the value of assets that,

by their nature or because of other circumstances, are perishable, susceptible to devaluation

or otherwise in jeopardy; and

(3) any relief referred to in paragraph (3), (4), or (7) of section 1521 (a).

(b) Unless extended under section 1521 (a) (6), the relief granted under this

section terminates when the petition for recognition is granted.

interfere with the administration of a foreign main proceeding.

(d) The court may not enjoin a police or regulatory act of a governmental unit,

including a criminal action or proceeding, under this section.

(e) The standards, procedures, and limitations applicable to an injunction shall apply

to relief under this section.

(f) The exercise of rights not subject to the stay arising under section 362 (a)

pursuant to paragraph (6), (7), (17), or (27) of section 362 (b) or pursuant to

section 362 (o) shall not be stayed by any order of a court or administrative agency in

any proceeding under this chapter.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 140; amended

Pub. L. 111-327,§2 (a) (46), Dec. 22, 2010, 124 Stat. 3562.)

1520. Effects of recognition of a foreign main proceeding

(a) Upon recognition of a foreign proceeding that is a foreign main proceeding—

(1) sections 361 and 362 apply with respect to the debtor and the property of the

debtor that is within the territorial jurisdiction of the United States;

(2) sections 363, 549, and 552 apply to a transfer of an interest of the debtor in

property that is within the territorial jurisdiction of the United States to the same extent

that the sections would apply to property of an estate;

(3) unless the court orders otherwise, the foreign representative may operate the

debtor's business and may exercise the rights and powers of a trustee under and to the

extent provided by sections 363 and 552; and

(4) section 552 applies to property of the debtor that is within the territorial

jurisdiction of the United States.

(b) Subsection (a) does not affect the right to commence an individual action or

proceeding in a foreign country to the extent necessary to preserve a claim against the debtor.

to file a petition commencing a case under this title or the right of any party to file claims

or take other proper actions in such a case.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 141.)

国境内的全部或部分资产，从而保护并维持因其性质或其他情形而易于变质、可能贬值或遭受其他危险的资产的价值；以及

(3) 第1521 条(a) 的第(3) 、（ 4) 或(7) 款中提及的任何救济。

(b) 除非根据第1521 条(a) (6) 予以延期，否则根据本条被授予的救济将在对承认申请作出决定时终止。

(d) 法院不得根据本条禁止政府机构行使其治安或监管权的行为，包括刑事诉讼或程序。

(e) 适用于禁令的标准、程序和限制应适用于本条中的救济。

(f) 若某项权利的行使，根据第362 条(b) 的第(6) 、（ 7) 、（ 17) 或(27) 款或第362 条(o) 的规定，不受第362 条(a) 中冻结的约束，则其也不应因法院或行政机构在本章任何程序中作出的任何裁定而被冻结。

［经~ Pub. L. 109-8, title VIII, §801(a), Apr. 20, 2005, 119 Stat. 140; amended Pub. L.111-327,§2 (a) (46), Dec. 22, 2010, 124 Stat. 3562. 增补］

第1520 条承认境外主要程序的效力

(a) 一旦承认了作为境外主要程序的境外程序，将产生以下效力：

(1) 第361 条和第362 条将适用于债务人以及位于美国地域管辖范围内债务人的财产；

(2) 第363 、549 条和第552 条将适用于位于美国地域管辖范围内债务人财产上权益的转让，并且其适用的程度与其适用于破产财产的程度相同。

(3) 除非法院作出其他裁定，否则境外代表可经营债务人的商事业务，并且可根据第363 条和第552 条，在其规定的范围内行使托管人的权利和权力；以及

(4) 第552 条将适用于位于美国地域管辖范围内的债务人的财产。

(b) 附条(a) 并不影响在必要的情况下，为维护对债务人享有的债权而在境外启动个人诉讼或程序的权利。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 141. 增补］

656 United States Bankruptcy Code (Chinese-English bilingual version)

1521. Relief that may be granted upon recognition

(a) Upon recognition of a foreign proceeding, whether main or nonmain, where

necessary to effectuate the purpose of this chapter and to protect the assets of the debtor

or the interests of the creditors, the court may, at the request of the foreign representative,

grant any appropriate relief, including-

(1) staying the con皿encement or continuation of an individual action or proceeding

concerning the debtor's assets, rights, obligations or liabilities to the extent they have not

been stayed under section 1520 (a) ;

(2) staying execution against the debtor's assets to the extent it has not been stayed

under section 1520 (a) ;

(3) suspending the right to transfer, encumber or otheiwise dispose of any assets of

the debtor to the extent this right has not been suspended under section 1520 (a) ;

(4) providing for the examination of witnesses, the taking of evidence or the delivery

of information concerning the debtor's assets, affairs, rights, obligations or liabilities;

(5) entrusting the administration or realization of all or part of the debtor's assets

within the territorial jurisdiction of the United States to the foreign representative or

another person, including an examiner, authorized by the court;

(6) extending relief granted under section 1519 (a) ; and

(7) granting any additional relief that may be available to a trustee, except for relief

available under sections 522, 544, 545, 547, 548, 550, and 724 (a).

(b) Upon recognition of a foreign proceeding, whether main or nonmain, the court

may, at the request of the foreign representative, entrust the distribution of all or part of the

debtor's assets located in the United States to the foreign representative or another person,

including an examiner, authorized by the court, provided that the court is satisfied that the

interests of creditors in the United States are sufficiently protected.

proceeding, the court must be satisfied that the relief relates to assets that, under the law of

the United States, should be administered in the foreign norunain proceeding or concerns

information required in that proceeding.

(d) The court may not enjoin a police or regulatory act of a governmental unit,

including a criminal action or proceeding, under this section.

(e) The standards, procedures, and limitations applicable to an injunction shall apply

to relief under paragraphs (1), (2), (3), and (6) of subsection (a).

(f) The exercise of rights not subject to the stay arising under section 362 (a)

pursuant to paragraph (6), (7), (17), or (27) of section 362 (b) or pursuant to

section 362 (o) shall not be stayed by any order of a court or administrative agency in

any proceeding under this chapter.

第1521条准予承认时可被授予的救济

(a) 在准予承认境外程序时，无论其为主要程序或非主要程序，出于实现本章目的以及保护债务人资产或债权人权益的需要，法院可应境外代表的请求，授予任何适当的救济，其中包括以下各项：

(1) 在尚未根据第1520 条(a) 而被冻结的范围内，冻结涉及债务人的资产、权利、义务或责任的个人诉讼或程序的启动或继续；

(2) 在尚未根据第1520 条(a) 而被冻结的范围内，冻结对债务人资产的执行；

(3) 在尚未根据第1520 条(a) 而被中止的范围内，中止转让、抵押或对债务人的任何资产作出其他处置的权利；

(4) 准予就债务人的资产、事务、权利、义务或责任对证人进行询问、取证或传递信息；

(5) 委托境外代表或法院授权的其他人，包括监督人，管理或变卖债务人在美国地域管辖范围内的全部或部分资产；

(6) 延长根据第1519 条(a) 被授予的救济；以及

(7) 授予托管人可取得的任何补充救济，但不包括根据第522 、544 、545 、547 、548 、550 以及724 (a) 条可取得的救济。

(b) 在准予承认境外程序时，无论其为主要程序或非主要程序，法院可应境外代表的请求，委托境外代表或法院授权的其他人，包括监督人，分配债务人在美国境内的全部或部分资产，但前提是法院确信美国债权人的权益已经得到充分保护。

(d) 法院不得根据本条禁止政府机构行使其治安或监管权的行为，包括刑事诉讼或程序。

(e) 适用于禁令的标准、程序和限制应适用于附条(a) 中第(1) 、(2) 、（ 3) 或(6)款中的救济。

(f) 若某项权利的行使，根据第362 条(b) 的第(6) 、(7 入(17) 或(27) 款或第362 条(o) 的规定，不受第362 条(a) 中冻结的约束，则其也不应因法院或行政机构在本章任何程序中作出的任何裁定而被冻。

658 United States Bankruptcy Code (Chinese-English bilingual version)

(Added Pub. L. 109-8, title VIII, § 801 (a), Apr. 20, 2005, 119 Stat. 141; amended

Pub. L. 111-327,§2 (a) (47), Dec. 22, 2010, 124 Stat. 3562.)

1522. Protection of creditors and other interested persons

(a) The court may grant relief under section 1519 or 1521, or may modify or

terminate relief under subsection (c), only if the interests of the creditors and other

interested entities, including the debtor, are sufficiently protected.

(b) The court may subject relief granted under section 1519 or 1521, or the

operation of the debtor's business under section 1520 (a) (3), to conditions it considers

appropriate, including the giving of security or the filing of a bond.

relief granted under section 1519 or 1521, or at its own motion, modify or terminate such relief.

(d) Section 1104 (d) shall apply to the appointment of an examiner under this

chapter. Any examiner shall comply with the qualification requirements imposed on a

trustee by section 322.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 142.)

1523. Actions to avoid acts detrimental to creditors

(a) Upon recognition of a foreign proceeding, the foreign representative has standing

in a case concerning the debtor pending under another chapter of this title to initiate actions

under sections 522, 544, 545, 547, 548, 550, 553, and 724 (a).

(b) When a foreign proceeding is a foreign nonmain proceeding, the court must be

satisfied that an action under subsection (a) relates to assets that, under United States

law, should be administered in the foreign nonmain proceeding.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 142.)

1524. Intervention by a foreign representative

Upon recognition of a foreign proceeding, the foreign representative may intervene in any

proceedings in a State or Federal court in the United States in which the debtor is a party.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 142.)

SUBCHAPTER IV—COOPERATION WITH FOREIGN

COURTS AND FOREIGN REPRESENTATIVES

1525. Cooperation and direct communication between the court and foreign

courts or foreign representatives

(a) Consistent with section 1501, the court shall cooperate to the maximum extent

[ 经圣Pub. L. 109-8, title VIII, §801( a), Apr. 20, 2005, 119 Stat. 141; amended Pub. L.

111-327,§2 (a) (47), Dec. 22, 2010, 124 Stat. 3562. 增补］

第1522 条对债权人和其他利益相关方的保护

(a) 仅当债权人和包括债务人在内的其他利益相关方的权益得到充分保护时，法院才可根据第1519 条或第1521 条授予救济，或根据附条(c) 修改或终止救济。

(b) 法院可对根据第1519 条或第1521 条而被授予的救济，或根据第1520 条(a)

(3) 运营债务人的商事业务施加其认为适当的条件，包括提供担保或交纳保证金。

(d) 第1104 条（ d) 应适用于本章中对监督人的任命。任何监督人均应符合第322 条中对托管人施加的资格要求。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 142. 增补］

第1523 条为避免有损千债权人的行为的诉讼

(a) 在准予承认境外程序后，境外代表在涉及债务人的本篇其他章节的待审案件中，即有权根据第522 、544 、545 、547 、548 、550 、553 条和第724 (a) 条提起诉讼。

(b) 当境外程序为境外非主要程序时，法院必须确信，根据附条(a) 提起的诉讼所涉及的资产，系根据美国法律而应在境外非主要程序中得以管理的资产。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 142. 增补］

第1524条境外代表的干预

在准予承认境外程序后，境外代表可干预在美国州立或联邦法院中债务人为当事方的任何程序。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 142. 增补］

第四附章与境外法院和境外代表间的合作

第1525 条本国法院与境外法院或境外代表间的合作与直接联系

(a) 根据第1501 条的规定，法院应直接或通过托管人，与境外法院或境外代

660 United States Bankruptcy Code (Chinese-English bilingual version)

possible with a foreign court or a foreign representative, either directly or through the

trustee.

(b) The court is entitled to communicate directly with, or to request information or

assistance directly from, a foreign court or a foreign representative, subject to the rights of

a party in interest to notice and participation.

(Added Pub. L. 109-8, title VIII, § 801 (a), Apr. 20, 2005, 119 Stat. 143.)

1526. Cooperation and direct communication between the trustee and

foreign courts or foreign representatives

(a) Consistent with section 1501, the trustee or other person, including an examiner,

authorized by the court, shall, subject to the supervision of the court, cooperate to the

maximum extent possible with a foreign court or a foreign representative.

(b) The trustee or other person, including an examiner, authorized by the court is

entitled, subject to the supervision of the court, to communicate directly with a foreign

court or a foreign representative.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 143.)

1527. Forms of cooperation

Cooperation referred to in sections 1525 and 1526 may be implemented by any

appropriate means, including—

(1) appointment of a person or body, including an examiner, to act at the direction of

the court;

(2) communication of information by any means considered appropriate by the

court;

(3) coordination of the administration and supervision of the debtor's assets and

affairs;

(4) approval or implementation of agreements concerning the coordination of

proceedings; and

(5) coordination of concurrent proceedings regarding the same debtor.

(Added Pub. L. 109-8, title VIII, § 801 (a), Apr. 20, 2005, 119 Stat. 143.)

SUBCHAPTER V—CONCURRENT PROCEEDINGS

1528. Commencement of a case under this title after recognition of a foreign

main proceeding

After recognition of a foreign main proceeding, a case under another chapter of this

表进行最大限度的合作。

(b) 法院在尊重利益相关方通知和参与的权利的情况下，有权与境外法院或境外代表直接联系，或直接要求其提供材料或协助。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 143. 增补］

第1526条托管人与境外法院或境外代表间的合作与直接联系

(a) 根据第1501 条的规定，托管人或法院授权的包括监督人在内的其他人，在法院的监督下，应与境外法院或境外代表进行最大限度的合作。

(b) 托管人或法院授权的包括监督人在内的其他人，在法院的监督下，有权与境外法院或境外代表直接联系。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 143. 增补］

第1527条合作的形式

第1525条和第1526 条中的合作可通过任何适当的方式实施，包括以下各项：

(1) 指定包括监督人在内的个人或机构按法院的指示行事；

(2) 以法院认为适当的任何方式传递信息；

(3) 协调对债务人资产和事项的管理与监督；

(4) 批准或实施有关协调各程序的协议；以及

(5) 对债务人并行程序的协调。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 143. 增补］

第五附章并行程序

第1528条承认境外主要程序后根据本篇而启动的破产案件在准予承认境外主要程序后，仅当债务人在美国境内拥有资产时，才可根据本

662 United States Bankruptcy Code (Chinese-English bilingual version)

title may be commenced only if the debtor has assets in the United States. The effects

of such case shall be restricted to the assets of the debtor that are within the territorial

jurisdiction of the United States and, to the extent necessary to implement cooperation and

coordination under sections 1525, 1526, and 1527, to other assets of the debtor that are

within the jurisdiction of the court under sections 541 (a) of this title, and 1334 (e) of

title 28, to the extent that such other assets are not subject to the jurisdiction and control of

a foreign proceeding that has been recognized under this chapter.

(Added Pub. L. 109-8, title VIII, § 801 (a), Apr. 20, 2005, 119 Stat. 143.)

1529. Coordination of a case under this title and a foreign proceeding

If a foreign proceeding and a case under another chapter of this title are pending

concurrently regarding the same debtor, the court shall seek cooperation and coordination

under sections 1525, 1526, and 1527, and the following shall apply:

(1) If the case in the United States is pending at the time the petition for recognition

of such foreign proceeding is filed—

(A) any relief granted under section 1519 or 1521 must be consistent with the relief

granted in the case in the United States; and

(B) section 1520 does not apply even if such foreign proceeding is recognized as a

foreign main proceeding.

(2) If a case in the United States under this title commences after recognition, or

after the date of the filing of the petition for recognition, of such foreign proceeding一

(A) any relief in effect under section 1519 or 1521 shall be reviewed by the court

and shall be modified or terminated if inconsistent with the case in the United States; and

(B) if such foreign proceeding is a foreign main proceeding, the stay and suspension

referred to in section 1520 (a) shall be modified or terminated if inconsistent with the

relief granted in the case in the United States.

(3) In granting, extending, or modifying relief granted to a representative of a

foreign nonmain proceeding, the court must be satisfied that the relief relates to assets

that, under the laws of the United States, should be administered in the foreign nonmain

proceeding or concerns information required in that proceeding.

(4) In achieving cooperation and coordination under sections 1528 and 1529, the

court may grant any of the relief authorized under section 305.

(Added Pub. L. 109-8, title VIII, § 801 (a), Apr. 20, 2005, 119 Stat. 144; amended

Pub. L. 111-327,§2 (a) (48), Dec. 22, 2010, 124 Stat. 3562.)

1530. Coordination of more than 1 foreign proceeding

In matters referred to in section 1501, with respect to more than 1 foreign proceeding

regarding the debtor, the court shall seek cooperation and coordination under sections

1525, 1526, and 1527, and the following shall apply:

篇其他章节启动破产案件。该案件的效力应限于债务人在美国地域管辖范围内的资产，并且出于实施第1525 、1526 和1527 条中规定的合作与协调的必要，也及于根据本篇第541 条(a) 和《美国联邦法典》第28篇第1334 条(e) 受本国法院管辖的债务人的其他资产，但仅限于根据本章而被准予承认的境外程序中不受该境外程序的管辖和控制的资产。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 143. 增补］

第1529条本篇案件和境外程序的协调

若针对同一债务人的境外程序和本篇其他章节中的案件正在同时进行，则法院应根据第1525、1526 及1527 条寻求合作与协调，并应适用以下各项：

(1) 当提交承认该境外程序的申请时，若美国案件尚在进行中：

(A) 则根据第1519 条或第1521 条被授予的救济必须与在美国案件中被授予的救济相一致；并且

(B) 即使该境外程序被承认为境外主要程序，也不得适用第1520 条。

(2) 若在美国根据本篇启动的案件系在该境外程序被予以承认或提交承认该境外程序的申请后才被启动：

(A) 则第1519 条或第1521 条中的任何有效救济，均应由法院重新审议，并在与美国案件不一致的情况下，应予修改或终止；并且

(B) 若该境外程序为境外主要程序，在与美国案件中被授予的救济不一致的情况下，应对第1520 条(a) 中的冻结和中止予以修改或终止。

(3) 在授予、延长或修改已授予境外非主要程序代表的救济时，法院必须确信该救济与根据美国法律应在境外非主要程序中得以管理的资产有关，或与在境外非主要程序中所要求的资料有关。

(4) 在根据第1528 条和第1529 条达成合作与协调时，法院可授予任何第305条中规定的救济。

[ 经圣Pub. L. 109-8, title VIII, §801 ( a ), Apr. 20, 2005, 119 Stat. 144; amended Pub. L.

111-327,§2 (a) (48), Dec. 22, 2010, 124 Stat. 3562. 增补］

第1530 条一项以上的境外程序的协调

对于第1501 条中提及的事项，针对一项以上对债务人进行的境外程序，法院应根据第1525 、1526 及1527 条寻求合作与协调，并应适用以下各项：

664 United States Bankruptcy Code (Chinese-English bilingual version)

(1) Any relief granted under section 1519 or 1521 to a representative of a foreign

nonmain proceeding after recognition of a foreign main proceeding must be consistent

with the foreign main proceeding.

(2) If a foreign main proceeding is recognized after recognition, or after the filing

of a petition for recognition, of a foreign nonmain proceeding, any relief in effect under

section 1519 or 1521 shall be reviewed by the court and shall be modified or terminated if

inconsistent with the foreign main proceeding.

(3) If, after recognition of a foreign nomnain proceeding, another foreign nonmain

proceeding is recognized, the court shall grant, modify, or terminate relief for the purpose

of facilitating coordination of the proceedings.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 144.)

1531. Presumption of insolvency based on recognition of a foreign main

proceeding

In the absence of evidence to the contrary, recognition of a foreign main proceeding

is, for the purpose of commencing a proceeding under section 303, proof that the debtor is

generally not paying its debts as such debts become due.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 144.)

1532. Rule of payment in concurrent proceedings

Without prejudice to secured claims or rights in rem, a creditor who has received

payment with respect to its claim in a foreign proceeding pursuant to a law relating to

insolvency may not receive a payment for the same claim in a case under any other chapter

of this title regarding the debtor, so long as the payment to other creditors of the same class

is proportionately less than the payment the creditor has already received.

(Added Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 145.)

(1) 在境外主要程序被准予承认后，根据第1519 条或第1521 条授予境外非主要程序代表的任何救济必须与境外主要程序相一致。

(2) 若境外主要程序系在境外非主要程序被准予承认或提交承认该境外非主要程序的申请后才被准予承认，则第1519 条或第1521 条中的任何有效救济，均应由法院重新审议，并在与境外主要程序不一致的情况下，应予修改或终止。

(3) 若在境外非主要程序被予以承认后又承认了其他境外非主要程序，则法院

应授予、修改或终止救济从而促进各程序的协调。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 144. 增补］

第1531条基于对境外主要程序的承认而推定事实破产

在没有相反证据的情况下，针对根据第303 条启动破产程序而言，境外主要程序的承认即证明债务人整体上未能清偿其到期债务。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 144. 增补］

第1532 条多项程序并行时的偿付规则

在不损害担保债权或物权的情况下，已从根据境外破产法律而进行的境外程序中就其债权获得偿付的债权人，只要同一小组的其他债权人获得的偿付依比例低于该债权人已经获得的偿付，则不得就同一债权在债务人本篇其他章节的案件中获得偿付。

［经Pub. L. 109-8, title VIII, §801 (a), Apr. 20, 2005, 119 Stat. 145. 增补］

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