民商事判决或仲裁裁决跨境执行业务指南
Guideline of the Cross-border Enforcement of Civil and Commercial Judgement or Arbitration Award
导语:德恒香港跨境执行业务中心于2025年3月成立。该中心依托香港区位和专业优势,整合境内外调查资源、执行资源,打造专业跨境执行法律服务团队,为境内外客户提供一站式跨境执行服务,为解决“执行难”问题开辟新路径。该中心邀请境外争议解决专业律师合作,组织编写了民商事判决或仲裁裁决在香港、澳门、美国、英国、加拿大、澳大利亚、新加坡等主流被执行人资产所在国家或地区的域外认可和执行的法律概况。本系列文章将按司法管辖区陆续更新。
Preamble:
In March2025, DeHeng Law Offices (Hong Kong) LLP established its Cross-border Enforcement Center ("Center"). Given the strategic location and professional expertise of Hong Kong, the Center aims to offer solutions for a connected world and a new approach to addressing the practical challenges of enforcing court judgments and arbitration awards. It will integrate diverse domestic and international resources, drawing upon the expertise of its global dispute resolution team, to provide clients with a one-stop, high-level comparative analysis of cross-border enforcement of court judgments and arbitration awards. The Center has cooperated with the expertise of its global dispute resolution team to provide the client a series of analysis on the extraterritorial recognition and enforcement of civil and commercial judgments or arbitral awards of the Chinese Mainland in Hong Kong, Macau, USA, UK,Canada,Australia, Singapore and other main jurisdictions where the assets of the debtor are kept. This series of analysis will be updated successively by jurisdiction.
专栏:跨境执行指南系列之英国篇(英格兰与威尔士)
Cross-Border Enforcement Guideline - UK (England and Wales)
CIVIL AND COMMERCIAL JUDGMENTS
民商事判决
(一)With which jurisdictions does this jurisdiction have reciprocal arrangements for enforcement of civil and commercial judgments?
本地区与哪些司法管辖区在执行民商事判决方面有互惠安排?
The United Kingdom enforces foreign civil and commercial judgments under several statutory frameworks and international treaties, with the applicable regime depending on the country of origin and the date proceedings were commenced.
英国根据若干成文法框架和国际条约执行外国民商事判决,适用的制度取决于判决作出国以及诉讼程序启动的日期。
The United Kingdom has reciprocal enforcement mechanisms for foreign civil and commercial judgments through several statutory frameworks and international treaties. Under the Administration of Justice Act 1920, the UK maintains enforcement arrangements with certain Commonwealth countries, including Australia, Canada, India, New Zealand, Pakistan, and various Caribbean nations (for a list of such countries, see the Administration of Justice Act 1920). The Foreign Judgments (Reciprocal Enforcement) Act 1933 extends similar recognition to judgments from Austria, Belgium, France, Germany, Israel, Italy, the Netherlands, Norway, and Suriname, among others.
英国通过多项法律框架和国际条约,与多个司法管辖区建立了民商事判决互惠执行机制。根据《1920年司法行政法》,英国与部分英联邦国家(包括澳大利亚、加拿大、印度、新西兰、巴基斯坦及多个加勒比国家(《1920年司法行政法》))保持判决互认安排。《1933年外国判决(互惠执行)法》进一步将互惠执行范围扩展至奥地利、比利时、法国、德国、以色列、意大利、荷兰、挪威和苏里南等国。
Post-Brexit, the UK no longer automatically enforces EU judgments under the Brussels I Regulation (Recast), but it has acceded to the 2019 Hague Judgments Convention, which facilitates enforcement with other contracting states, including Ukraine, Uruguay, and certain EU members (though not all have ratified it yet). Additionally, the UK has bilateral treaties with Canada (1984 UK-Canada Convention) and Israel (1971 UK-Israel Agreement). Judgments from Singapore may also be enforceable under common law or limited statutory recognition.
脱欧后,英国不再自动执行欧盟根据《布鲁塞尔条例(重订本)》作出的判决,但已加入《2019年海牙判决公约》,该公约有助于与缔约国(包括乌克兰、乌拉圭及部分欧盟成员国,尽管并非所有国家均已批准)之间的判决执行。此外,英国还与加拿大(1984年《英加公约》)和以色列(1971年《英以协定》)签有双边条约。新加坡的判决也可通过普通法或有限的成文法机制在英国获得承认与执行。
(二)If there is no reciprocal arrangement, is it still possible to enforce a foreign civil and commercial judgment?
如果没有互惠安排,是否仍有可能执行外国民商事判决?
Yes, foreign civil/commercial judgments (such as those from the United States or China) can be enforced in England and Wales under the common law regime when no reciprocal arrangements exist, but specific criteria apply:
是的,在不存在互惠安排的情况下,外国民商事判决(例如来自美国或中国的判决)可以在英格兰和威尔士根据普通法制度寻求执行,但需满足以下前提条件:
Fresh proceedings required: A new claim must be filed in the High Court under Part 74 of the Civil Procedure Rules, treating the foreign judgment as evidence of a debt. This process is more time-consuming than treaty-based enforcement.
需启动新诉讼程序:必须依据《民事诉讼规则》第74部分向高等法院提出新的诉讼请求,外国判决作为债权证据提交。该程序较互惠机制更耗时。
Key Criteria for Enforcement-The foreign judgment must be (1) Final and conclusive (no further appeals or revisions possible in the originating court); (2) For a definite sum of money (non-monetary judgments, fines, or tax penalties are excluded); (3) Determined on the merits (the foreign court must have assessed facts and applied legal principles); (4) From a court with jurisdiction: under English conflict-of-law rules (e.g., defendant was present in the foreign jurisdiction or submitted to its courts).
执行的关键标准—外国判决必须满足:(1)具有终局性及确定性(在原审法院已不可上诉或变更);(2) 涉及确定金额的金钱给付义务(非金钱判决、罚款或税务罚金除外);(3) 基于案件实体问题作出(外国法院必须已评估事实并适用法律原则);(4) 由具有管辖权的法院作出(根据英国冲突法规则认定,例如被告身处该外国管辖区或已服从其法院管辖)。
(三)What is the approximate time required to register and enforce a foreign civil and commercial judgment if unopposed?
如果没有异议,登记和执行外国民商事判决大约需要多长时间?
If a foreign civil and commercial judgment is unopposed, the approximate time required to register and enforce it in England and Wales is 2 to 6 months. This time-frame generally applies to judgments that fall under statutory or treaty-based regimes, such as the Foreign Judgments (Reciprocal Enforcement) Act 1933 or the Administration of Justice Act 1920, where the process is more streamlined and involves registration rather than full litigation.
如果无异议,在英格兰和威尔士登记和执行所需的时间大约为 2至6个月。此估算通常适用于根据成文法或条约制度执行的判决(如《1933年外国判决(互惠执行)法》或《1920年司法管理法》),这些制度的程序更为精简,涉及登记程序而非完整的诉讼程序。
For judgments enforced under the common law regime (where no reciprocal arrangement exists), the process involves issuing a fresh claim in the English Court. While there is no explicit standard time-frame for common law enforcement, it is generally understood to be more time-consuming and costly than registration regimes, but if unopposed, it can often be completed in around a year’s time, depending on court schedules and service requirements.
对于根据普通法制度(即不存在互惠安排)执行的判决,该过程涉及在英国法院提起新的诉讼。虽然普通法执行没有明确的标准时间框架,但通常认为其较登记制度更耗时且成本更高;但如果无异议,通常可以在一年左右完成,具体取决于法院排期和送达要求。
(四)What is the approximate time required to register and enforce a foreign civil and commercial judgment if opposed?
如果有异议,登记和执行外国民商事判决大约需要多长时间?
While some opposed enforcement proceedings may be expected, the process may take 12–18 months or longer, especially if the case is complex or vigorously contested. Delays are not uncommon, and each case will depend on its specific facts and the court’s schedule. This is due to factors such as : (1) The time required for the judgment debtor to file objections or applications to set aside registration; (2) The need for the court to schedule and hear arguments from both parties, which can be delayed by court backlogs; (3) The possibility of complex legal arguments (such as jurisdictional challenges or public policy issues) that require additional hearings or evidence; and (4) Potential parallel applications for freezing injunctions and appeals, which can further prolong the process.
如果有异议,登记和执行外国民商事判决所需的时间会显著增加。虽然有些有异议的执行程序可能在 12至18个月或更长时间内完成,特别是当案件复杂或争议激烈时。延误并不少见,每个案件将取决于其具体事实和法院的日程安排。这是由于以下因素造成的:(1) 判决债务人提交异议或申请撤销登记所需的时间;(2) 法院需要安排时间听取双方辩论,这可能会因法院积压案件而延误;(3) 可能存在复杂的法律争论(例如管辖权异议或公共政策问题),需要额外的听证会或证据;(4) 潜在的平行资产冻结令申请或上诉,可能进一步延长程序。
(五)What is the approximate cost of registering and enforcing a foreign civil and commercial judgment (including court fees and other disbursements) if unopposed?
如果没有异议,登记和执行外国民商事判决的费用(包括法院费用和其他支出)大约是多少?
The cost of registering and enforcing a foreign civil and commercial judgment in England and Wales, if unopposed, is generally modest compared to contested proceedings. Court fees for registration are not always fixed and can depend on the amount of the claim, with higher-value judgments typically attracting higher court fees in line with the current court fee schedule, which is capped at GBP 10,000.00. In addition to court fees, the main expense will be legal fees for solicitors and barristers.
在英格兰和威尔士登记和执行无异议的外国民商事判决,其成本通常比有争议的程序要低。登记所需的法院费用并非总是固定,可能取决于索赔金额,价值较高的判决通常需要缴纳较高的法院费用,最高一万英镑封顶。除法院费用外,主要支出是事务律师及出庭大律师的律师费。
Other potential disbursements, such as translation costs or process server fees, may also arise but are generally not significant in simple cases. Overall, for an unopposed application, the total cost is usually manageable for most commercial parties, with the majority of the expense coming from legal fees rather than court charges. However, costs can increase if the case is unusually complex or requires additional professional input. For an accurate estimate tailored to a specific situation, it is advisable to consult a solicitor who is experienced in cross-border enforcement.
其他可能的支出,如翻译费或送达费,也可能产生,但在简单情况下通常数额不大。总体而言,对于无异议的申请,总成本对于大多数商业主体来说通常是可控的,大部分费用来自律师费而非法院费用。然而,如果案件异常复杂或需要额外的专业投入,成本可能会增加。如需针对具体情况获得准确估算,建议咨询在跨境执行方面经验丰富的事务律师。
(六)What is the approximate cost of registering and enforcing a foreign civil and commercial judgment (including court fees and other disbursements) if opposed?
如果有异议,登记和执行外国民商事判决的费用(包括法院费用和其他支出)大约是多少?
If the registration and enforcement of a foreign civil and commercial judgment in England and Wales is opposed, the total cost can be significant. Court fees themselves-such as for filing applications, additional hearings, and other procedural steps-are set by the court and can be incurred in addition to the main proceedings depending on the nature of the applications involved, with rates adjusted periodically for inflation.
如果在英格兰和威尔士登记和执行的外国民商事判决有异议,总成本可能非常高昂。法院费用本身(如提交申请、举行额外听证会和其他程序步骤的费用)由法院设定,并可能根据所涉申请的性质作为主诉讼程序的附加费用产生,费用标准随通货膨胀定期调整。
However, the primary driver of cost in opposed cases is legal fees, which can rise substantially due to the need for solicitors to prepare detailed submissions, respond to objections, manage evidence, and attend hearings. Barrister fees are also likely to be incurred for advocacy and advice, especially if the matter proceeds to a contested hearing, and these can add considerably to the overall expense.
然而,在有异议案件中成本的主要驱动因素是律师费,由于需要律师准备详细的意见书、回应异议、管理证据以及出席听证会,费用可能大幅上涨。辩护和咨询费也可能产生,特别是在案件进入有争议的听证会时,这会显著增加总费用。
In general, the total cost of an opposed enforcement action is often many times higher than an unopposed case and can quickly become substantial, especially if the proceedings are lengthy or involve complex legal or factual issues. For a precise estimate, it is essential to consult a solicitor, as the costs will depend on the circumstances, the complexity of the opposition, and the court’s timetable.
一般而言,有异议执行行动的总成本通常是无异议案件的数倍,并且数额可能迅速变得相当大,特别是在程序冗长或涉及复杂的法律或事实问题时。为了获得精确估算,务必咨询事务律师,因为成本取决于具体情况、异议的复杂程度以及法院的日程安排。
(七)Are there any unusual difficulties in enforcing a foreign civil and commercial judgment?
执行外国民商事判决方面是否存在特殊困难?
Enforcing a foreign civil and commercial judgment in England and Wales can present several significant and sometimes unusual difficulties, particularly for judgments from countries without a reciprocal enforcement regime or where the common law regime applies. The process is not always straightforward and often involves complex jurisdictional and procedural hurdles. For example, the English Court will only enforce a foreign judgment if the foreign court had jurisdiction over the defendant according to English law principles, not merely the foreign court’s own rules. This means the defendant must have been present in, or have submitted to, the foreign jurisdiction, or have agreed to it contractually.
在英格兰和威尔士执行外国民商事判决可能面临若干重大且有时是特殊的困难,特别是对于那些来自没有互惠执行制度国家或适用普通法制度的判决。该过程并非总是直截了当,通常涉及复杂的管辖权和程序障碍。例如,英国法院只有在外国法院根据英国法律原则(而不仅仅是外国法院自身的规则)对被告拥有管辖权时,才会执行该外国判决。这意味着被告必须身处该外国管辖区,或已服从其管辖,或通过合同约定接受该管辖。
Moreover, not every foreign judgment will be enforceable. There are several potential defences to enforcement, such as lack of proper notice to the defendant, denial of a fair hearing, fraud, or conflicts with English public policy. The judgment must also be final, conclusive, and for a definite sum of money. Given these complexities, early and careful scrutiny of both the judgment and the circumstances of the original proceedings is essential to assess enforceability and avoid wasted time and costs.
此外,并非所有外国判决都可执行。存在若干潜在的执行抗辩理由,例如未适当通知被告、未获公平聆讯机会、欺诈或与英国公共政策相冲突。判决还必须是终局的、确定性的,并且涉及确定数额的金钱给付义务。鉴于这些复杂性,及早并仔细审查判决书和原始诉讼程序的情况对于评估可执行性并避免浪费时间和成本至关重要。
(八)If there is no treaty or reciprocal arrangement, can the court of the relevant jurisdiction, through civil proceedings, recognise and enforce an effective judgment from Mainland of China?
如果没有协定或互惠安排,当地法院能否通过民事诉讼程序承认并执行中国大陆已生效的判决?
Yes, it is possible that the English Court may still recognise and enforce an effective judgment from Mainland of China through civil proceedings even if there is no formal agreement or reciprocal arrangement between the UK and Mainland of China. The UK and Mainland of China do not have a treaty or statutory regime for mutual recognition and enforcement of judgments. Instead, enforcement is governed by English common law principles.
是的,即使英国和中国之间没有正式的协议或互惠安排,英国法院仍可能通过民事诉讼程序承认与执行中国大陆生效判决。英国和中国之间没有关于相互承认和执行判决的条约或法定制度。在此情况下,执行受英国普通法原则规制。
Under this regime, a Chinese mainland judgment can be enforced in England and Wales by bringing fresh proceedings in the English Court. The Chinese mainland judgment serves as evidence of a debt, and the claimant must file a new claim seeking recognition and enforcement of that judgment. The English Court will consider whether the Chinese mainland Court had jurisdiction according to English law, whether the judgment is final and conclusive, and whether it is for a definite sum of money. The court will also ensure that enforcement would not be contrary to public policy, natural justice, or tainted by fraud.
在此制度下,可以通过在英国法院提起新的诉讼来寻求中国判决的执行。中国判决作为债务证据,申请人必须提交新的诉讼请求,寻求承认和执行该判决。英国法院将根据英国法律审查中国法院是否具有管辖权、该判决是否具有终局性和确定性,以及是否涉及确定数额的金钱给付义务。法院还将确保执行不会违反公共政策、自然公正原则或存在欺诈情形。
(九)Which types of foreign civil and commercial judgments can be recognised and enforced in this jurisdiction?
在该司法管辖区可以承认和执行的外国民商事判决类型有哪些?
The types of foreign civil and commercial judgments that can be recognised and enforced in England and Wales are generally final monetary judgments-that is, judgments requiring the payment of a definite sum of money.
在英格兰和威尔士可以得到承认和执行的外国民商事判决类型通常是终局的金钱判决,即要求支付确定金额金钱的判决。
Non-monetary judgments-such as injunctions, declarations, or provisional measures-can be recognised for certain legal purposes but are not typically enforceable under English common law.
非金钱判决(如禁令、宣告性判决或临时措施)可能出于某些法律目的而被承认,但在英国普通法下通常不可执行。
In summary, final and conclusive monetary judgments from foreign courts, where the foreign court had proper jurisdiction, are the primary type recognised and enforced in English jurisdiction.
总之,在英国司法管辖区内,可获承认和执行的主要判决类型,是外国法院在其具有适当管辖权的情况下作出的、要求支付确定金额的终局性判决。
(十)What methods and channels are available for investigating the judgment debtor’s assets? What can lawyers do in relation to asset investigations?
在被执行人财产调查方面有什么做法和渠道?律师在财产调查方面可以做什么?
The process typically starts with searches of public databases: the Land Registry is used to identify real estate holdings, Companies House filings reveal company directorships and shareholdings, and vehicle and marine registries can confirm ownership of cars, boats, and other high-value assets etc. Court records and bankruptcy filings may also be checked for liens, judgments, or insolvency events.
财产调查通常始于检索公共数据库:土地注册处用于核查房地产持有情况,公司注册处文件可揭示公司董事任职和股份持有情况,车辆和船舶登记处可确认汽车、船只和其他高价值动产的所有权等。此外,检查法院记录和破产申请可查明是否存在留置权、相关判决或破产事件。
For more complex cases or where assets are suspected to be concealed, solicitors may advise to engage relevant personnel who may employ advanced asset tracing methods. These include reviewing bank transactions, tax filings, and property deeds, as well as analysing patterns of financial activity to detect transfers to offshore accounts or the use of trusts and shell companies to obscure ownership. When necessary, private investigators or forensic accountants are engaged to conduct in-depth analysis, leveraging both open-source intelligence and proprietary databases to track down assets in the UK and internationally.
对于案情更复杂或涉嫌资产隐匿的情况,事务律师可能会建议委托资产相关调查人员并可能会采用更进一步的资产追踪方法,这些方法包括审查银行交易、税务申报和财产契据,以及分析财务活动模式以检测向离岸账户的转移或利用信托和空壳公司来隐藏所有权。必要时,可聘请私家侦探或法务会计师进行深入分析,利用开源情报和专有数据库来追踪位于英国境内及境外的资产。
(十一)What is the framework and standard for attorneys’ fees for the enforcement of foreign civil and commercial judgments? Is contingency fee possible?
执行外国民商事判决的律师收费框架和标准是什么?可否风险代理?
Attorneys’ fees for enforcing foreign civil and commercial judgments in England and Wales are typically charged on an hourly basis, with total costs depending on the case’s complexity and the lawyers’ seniority. If enforcement is successful, the court may order the losing party to pay reasonable legal costs, but the recoverable amount is subject to the court’s assessment and may not cover all actual expenses. Additional disbursements, such as court and translation fees, are generally recoverable as well.
在英格兰和威尔士,就执行外国民商事判决提供服务的律师费通常按小时计收,总费用视案件复杂程度和律师的资历而定。如果执行成功,法院可下令由败诉方承担合理的法律费用,但法院核定的可追偿金额可能无法涵盖所有实际开支。其他支出,如诉讼费和翻译费,通常也可追偿。
Contingency fee arrangements-known as damages-based agreements (DBAs) in the UK-are theoretically possible for this type of work, allowing lawyers to take a percentage of the amount recovered if enforcement is successful. However, DBAs are strictly regulated and rare in practice. There are caps on the percentage lawyers can charge (typically up to 50% of the recovered sum). These agreements must comply with statutory requirements to be enforceable, and not all law firms offer them for judgment enforcement. Therefore, while contingency fees are possible in principle, they are not common but can be discussed in detail with potential legal representatives.
风险代理收费安排(在英国称为损害赔偿协议(DBA),从理论上可用于此类工作),如果执行成功,允许律师按实际追回金额的一定比例收取费用。然而,损害赔偿协议受到严格监管且实务中很少应用。此种模式对律师可收取的比例有上限(通常不超过追回金额的50%)。这些协议必须符合法定要求才可执行,且非所有律师事务所均就判决执行提供此类协议。因此,虽然风险代理费在原则上是可行的,但在实践中并不常见,具体安排可与潜在委托律师进行详细商洽。
ARBITRATION AWARDS
仲裁裁决
(十二)Is this jurisdiction a party to the New York Convention?
该司法管辖区是否为《纽约公约》缔约国?
Yes, English jurisdiction (England and Wales) is a party to the 1958 New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards. This means that arbitral awards made in other Convention countries can be recognised and enforced in England and Wales, and vice versa.
是的,英国司法管辖区(英格兰和威尔士)是《纽约公约》的缔约国。这意味着在其他公约国作出的仲裁裁决可以在英格兰和威尔士得到承认和执行,反之亦然。
The UK has incorporated the Convention into its domestic law, and the English Court regularly enforces international arbitration awards under this framework. This status is unaffected by Brexit, and the New York Convention remains the primary legal basis for the enforcement of foreign arbitral awards in England and Wales.
英国已将《纽约公约》纳入其国内法律体系,英国法院经常根据其框架执行国际仲裁裁决。这一地位不受英国脱欧影响,《纽约公约》仍然是英格兰和威尔士执行外国仲裁裁决的主要法律依据。
(十三)What is the approximate time required to register and enforce a foreign arbitration award if unopposed?
如果没有异议,登记和执行外国仲裁裁决大约需要多长时间?
If unopposed, registering and enforcing a foreign arbitration award in England and Wales is generally a straightforward and efficient process, with enforcement typically proceeding quickly once the court grants permission and no objections are raised. Delays are rare unless complications arise.
如果无异议,在英格兰和威尔士登记和执行外国仲裁裁决通常是一个简单且高效的过程,一旦法院批准执行且无异议,执行通常会迅速进行。除非出现复杂情况,延误很少见。
(十四)What is the approximate time required to register and enforce a foreign arbitration award if opposed?
如果有异议,登记和执行外国仲裁裁决大约需要多长时间?
If the enforcement of a foreign arbitration award in England and Wales is opposed, the process becomes significantly longer and more complex than an unopposed case. The court will need to consider the grounds of opposition, which may include challenges to the validity of the arbitration agreement, allegations of procedural irregularity, or arguments that enforcement would be contrary to public policy, as set out in Article V of the New York Convention and section 103 of the Arbitration Act 1996.
如果在英格兰和威尔士执行外国仲裁裁决有异议,该过程将比无异议案件显著更长且更复杂。法院需要审议异议理由,这些理由可能包括对仲裁协议有效性的质疑、程序不规范的指控,或认为执行将违反公共政策的论点,如《纽约公约》第5条和《1996年仲裁法》第103条所规定。
(十五)What is the approximate cost of registering and enforcing a foreign arbitration award (including court fees and other disbursements) if unopposed?
如果没有异议,登记和执行外国仲裁裁决的费用(包括法院费用和其他支出)大约是多少?
The basic court fee for registering a foreign arbitration award is GBP 54, and this does not vary with the value of the award. Additional fixed fees may apply for specific enforcement actions if needed.
登记外国仲裁裁决的基本法院费用为54英镑,该费用不随裁决金额变化。如果需要采取特定的执行行动,可能还需支付额外的固定费用。
For unopposed enforcement of a foreign arbitration award in England and Wales, the applicant is expected to pay a court fee for the initial application, with additional fixed fees for specific enforcement steps if needed. Legal fees are typically less than enforcing a judgment from a foreign court and depend on the complexity and efficiency of the case.
对于在英格兰和威尔士无异议执行外国仲裁裁决,申请人预计需为初始申请支付法院费用,如果需要采取具体的执行步骤,还需支付额外的固定费用。律师费通常低于执行外国法院判决所需费用,具体金额取决于案件的复杂性和效率。
(十六)What is the approximate cost of registering and enforcing a foreign arbitration award (including court fees and other disbursements) if opposed?
如果有异议,登记和执行外国仲裁裁决的费用(包括法院费用和其他支出)大约是多少?
When enforcement of a foreign arbitration award in England is opposed, the costs can increase significantly compared to an unopposed case. The main driver of cost is legal fees, as opposed proceedings often require substantial solicitor involvement, preparation of evidence, written submissions, and potentially multiple court hearings. Disbursements such as court fees, process server fees, translation costs, and expert reports may also add to the total, but court fees themselves remain relatively modest and fixed for each step.
当在英国执行外国仲裁裁决有异议时,与无异议案件相比,成本会显著增加。成本的主要驱动因素是律师费,因为有异议的程序通常需要律师参与,准备证据、书面意见书,并可能参加多次法院听证会。其他支出如法院费用、送达费、翻译费和专家报告费也可能增加总成本,但法院费用本身对于每个步骤而言仍然相对较低且固定。
(十七)Are there any unusual difficulties in enforcing a foreign arbitration award?
执行外国仲裁裁决方面是否存在特殊困难?
Enforcing a foreign arbitration award in the English Court is generally straightforward due to the supportive approach of English law and the UK’s commitment to the New York Convention. However, unusual difficulties can arise. These include situations where enforcement would be contrary to UK public policy, such as cases involving breaches of consumer protection or statutory rights. Awards may also face delays or refusal if they are being challenged or have been set aside in the country where they were made. Additionally, strict procedural requirements must be met, and enforcement can become more complex if assets are located in multiple jurisdictions. While such obstacles are relatively rare, they can present significant challenges in certain cases.
由于英国法律的支持态度和英国对《纽约公约》的承诺,在英国法院执行外国仲裁裁决通常较为直接。然而,可能会出现特殊的困难。这些情况包括:执行将违反英国公共政策的情形(例如涉及违反消费者保护或法定权利的案件)。如果裁决在其作出国正在受到异议或被撤销,也可能面临延迟或拒绝执行。此外,必须满足严格的程序要求,如果资产位于多个司法管辖区,执行可能变得更加复杂。虽然此类障碍相对罕见,但在某些案件中可能构成重大挑战。
LIMITATION
时效
(十八)What is that limitation period of the enforcement of foreign civil and commercial judgments or arbitration in this jurisdiction?
在本司法辖区申请执行外国民商事判决或仲裁裁决的诉讼时效是多久?
The limitation period for enforcing a foreign civil and commercial judgment in English jurisdiction is generally six years from the date the foreign judgment became enforceable. This applies under common law and section 2(1) of the Foreign Judgments (Reciprocal Enforcement) Act 1933. The six-year period is a consistent rule for most foreign judgments, but always check the specific regime that applies to the judgment’s country of origin.
在英国司法管辖区申请执行外国民商事判决的时效期限通常为六年,自外国判决可予执行之日起算。这适用于普通法和《1933年外国判决(互惠执行)法》第二条第一款下的执行。六年期限是适用于大多数外国判决的固定规则,但应检查适用于判决来源国的具体制度。
The limitation period for enforcing a foreign arbitration award in English jurisdiction is also six years from the date the cause of action accrued, which is typically the date the award became enforceable.
在英国司法管辖区申请执行外国仲裁裁决的时效期限同为六年,自诉因产生之日起算,该日期通常为裁决可予执行之日。
ENFORCEMENT
执行
(十九)What papers will be needed for the enforcement of a foreign judgement or arbitration award in this jurisdiction?
在本司法管辖区执行外国民商事判决或仲裁裁决需要提供哪些文件?
To enforce a foreign judgment in English jurisdiction, the applicant must provide an authenticated or certified copy of the foreign judgment, and if the judgment is not in English, a certified translation must also be supplied. Alongside these, a witness statement is required, detailing the parties involved, the grounds for enforcement, the amount outstanding, and any interest claimed. The documents must demonstrate that the judgment is final and conclusive, and include information about pending appeals or stays of execution (if any). These materials are submitted as part of the application to the High Court of England and Wales, following the procedures set out in the Civil Procedure Rules Part 74.
要在英国司法管辖区执行外国判决,申请人必须提供经核证的外国判决副本,如果判决不是英文,还必须提供经认证的翻译件。除此之外,还需要一份证人陈述书,详细说明涉案各方、执行依据、未偿付金额以及任何主张的利息。文件必须证明该判决具有终局性及确定性,并包含有关任何未决上诉或执行中止的信息。这些材料需按照《民事诉讼规则》第74部分规定的程序,作为向英格兰及威尔士高等法院申请的一部分提交。
To enforce an arbitration award in the English jurisdiction, the applicant must submit an arbitration claim form (usually Form N8) to the court, accompanied by written evidence. This evidence must include the original arbitration award or a duly certified copy, the original arbitration agreement or a certified copy, and, if these documents are not in English, certified translations. The written evidence should also state the names and last known addresses of both parties and confirm whether the award has been complied with or, if not, the extent of non-compliance. These requirements are set out in the Civil Procedure Rules (CPR 62.18) and are essential for the court to consider the application for enforcement of the award in the same manner as a judgment or order of the court.
要在英国司法管辖区执行仲裁裁决,申请人必须向法院提交仲裁申请表格(通常为表格N8),并附上书面证据。该证据必须包括原始仲裁裁决书或经正式核证的副本、原始仲裁协议或经核证的副本,如果这些文件不是英文,还需经认证的翻译件。书面证据还应列明双方当事人的姓名和最后为人所知的地址,并说明该裁决是否已获履行,如未获履行,则说明未获履行的程度。这些要求载于《民事诉讼规则》(CPR 62.18),是法院考虑该申请以与法院判决或命令相同方式执行裁决所必需的。
(二十)What are the general procedures and methods for assisting the enforcement of a foreign civil and commercial judgement in this jurisdiction (e.g. Third Party Debt Order, Charging Order, Stop Orders, Enforcement of charging order by sale, Writ of Control, Examination of judgment debtor, Winding-up Petition, etc)?
在该司法管辖区辅助执行外国民商事判决的一般流程和主要方式有哪些(如第三债务人法律程序、押记令、停止命令、强制执行押记令、扣押财产令状、对债务人进行询问、清盘呈请等)?
The primary enforcement mechanisms available to judgment creditors in England and Wales are as follows:
在英格兰和威尔士,债权人可用的主要执行机制和方法如下:
(a)
第三方债务令 Third-Party Debt Orders
Third-party debt orders enable a creditor to recover funds directly from a third party who owes money to the judgment debtor. Under CPR Part 72 and section 40 of the Senior Courts Act 1981, a creditor may apply for an order compelling the third party (often a bank or debtor’s customer) to pay funds held on behalf of the debtor directly to the creditor, effectively bypassing the debtor. This is a common and effective tool for accessing funds held in bank accounts or owed by other parties.
第三方债务令允许债权人直接向对判决债务人负有债务的第三方追偿资金。根据《民事诉讼规则》(CPR)第72部分及《1981年高等法院法》第40条,债权人可申请一项命令,强制第三方(通常为银行或债务人的客户)将代债务人持有的资金直接支付给债权人,从而有效绕过债务人。这是获取银行账户资金或其他方所欠资金的一种常用且有效的工具。
(b)
押记令 Charging Order
A charging order secures a judgment debt against specified assets of the debtor, such as land, shares, or securities. Once granted under the Charging Orders Act 1979 and CPR Part 73, the order prevents the debtor from disposing of or dealing with the asset without satisfying the debt. The asset is thus effectively encumbered to protect the creditor’s interest.
押记令系针对债务人的特定资产(如土地、股份或证券)对判决债务设立的担保措施。根据《1979年押记令法》及《民事诉讼规则》(CPR)第73部分获批后,该令状将阻止债务人在未清偿债务的情况下处分或处置相关资产。由此,该资产被有效设定负担,以保障债权人的权益。
(c)
停止令 Stop Orders
In civil judgment enforcement, a stop order is a court order issued under CPR Part 73.11 which is used to restrain a third party—most commonly a bank, company, or registrar where these interests are registered and held/controlled —from making payments or transferring assets (such as shares or securities) to the judgment debtor. This safeguards the creditor's interest by preventing dissipation of assets under the instruction of the judgment debtor to these third parties while the debt remains unpaid. Stop orders frequently accompany charging orders, providing an added layer of protection to the creditor’s interests, particularly in relation to securities governed by the Charging Orders Act 1979, s.5(4) and the Companies Act 2006, s.794.
在民事判决执行中,停止令系根据《民事诉讼规则》(CPR)第73.11部分发布的法院命令,其作用是限制第三方(最常见为银行、公司或相关权益已登记并持有/控制的登记官)向判决债务人支付款项或转移资产(如股份或证券)。通过在债务未清偿期间阻止债务人指示此类第三方转移资产,该命令可有效保护债权人的权益。停止令常与押记令配合使用,为债权人利益提供额外保护,尤其针对受《1979年押记令法》第5(4)条及《2006年公司法》第794条规管的证券权益。
(d)
押记令的执行——出售令 Enforcement of Charging Orders – Order for Sale
Following the grant of a charging order, the creditor may seek an order for sale of the charged asset under CPR Part 73.10 and Charging Orders Act 1979, s.3(4). The court exercises discretion in ordering the sale, considering factors such as the debtor’s circumstances, the nature of the asset, and fairness to all parties.
在押记令获批后,债权人可根据《民事诉讼规则》(CPR)第73.10部分及《1979年押记令法》第3(4)条,申请针对已设定押记资产的出售令。法院在批准出售令时行使自由裁量权,会综合考虑债务人的具体状况、资产性质以及对各方当事人的公平性等因素。
(e)
控制令 Writs of Control
Writs of control (formerly known as writs of fieri facias until the change effective 6 April 2014 under Tribunals, Courts and Enforcement Act 2007, s.62) empower High Court Enforcement Officers (“HCEOs”) to take control of and sell a debtor’s goods to satisfy the judgment debt. These enforcement proceedings are governed by CPR Part 83 and the Taking Control of Goods Regulations 2013. The writ authorises seizure and sale of tangible assets, and HCEOs may also exercise statutory powers, such as forced entry into commercial premises.
控制令(根据《2007年裁判所、法院与执行法》第62条,2014年4月6日起生效的修订前原称“扣押令”(writs of fieri facias))授权高等法院执行官员(“HCEOs”)接管并出售债务人的财产,以清偿判决债务。此类执行程序受《民事诉讼规则》(CPR)第83部分及《2013年控制财产条例》规制。该令状授权扣押并出售债务人的有形资产,高等法院执行官员还可行使法定权力,例如在商业场所强行进入。
(f)
判决债务人询问程序 Judgment Debtor Examinations
Creditors may apply under CPR Part 71 and the County Courts Act 1984, s.110 to summon judgment debtors for examination. The debtor will then be required to disclose details of their assets, liabilities, income, and financial position under oath in a court hearing. Non-compliance can result in court sanctions, including committal for contempt, which could potentially make this a possible tool for gathering enforcement intelligence.
债权人可根据《民事诉讼规则》(CPR)第71部分及《1984年郡法院法》第110条,申请传唤判决债务人接受询问。随后,债务人需在法庭听证中宣誓,披露其资产、负债、收入及财务状况的详细信息。若债务人不配合,可能面临法院制裁(包括因藐视法庭而被收监),这使得该程序成为收集执行相关信息的一项潜在有效工具。
(g)
清算申请 Winding-Up Petitions
As a last measure, where the judgment debtor is a company and is unable to pay its debts, the creditor may petition for compulsory liquidation under Insolvency Act 1986, s.122. This remedy may be appropriate when other enforcement actions have failed to secure payment and is subject to strict procedural and substantive requirements, including proving the debtor’s insolvency.
作为最后手段,当判决债务人为公司且无力偿债时,债权人可根据《1986年破产法》第122条申请强制清算。当其他执行措施未能实现清偿时,该救济手段可能适用,但需满足严格的程序和实体要求(包括证明债务人资不抵债)。
If an individual debtor fails to satisfy a judgment debt and cannot pay their creditors, a creditor may initiate bankruptcy proceedings by presenting a bankruptcy petition to the court, generally where the debt is at least £5,000. The statutory framework for bankruptcy under the Insolvency Act 1986, Part IX governs this process. In particular, section 267 sets out the grounds on which a creditor may petition for bankruptcy, usually based on the debtor’s inability to pay debts as defined in section 268. The procedure and consequences of bankruptcy orders—including estate administration, asset realisation, and discharge—are detailed in sections from 278 onwards. Bankruptcy places the debtor’s assets under the control of a trustee, who realises them for the benefit of creditors, and imposes restrictions on the debtor, making it a serious enforcement remedy of last resort.
若债务人未能履行判决债务且无法向债权人清偿,债权人可向法院提交破产申请以启动破产程序(通常要求债务金额至少为5,000英镑)。该程序受《1986年破产法》第九部分规定的破产法定框架规制。具体而言,第267条列明了债权人可申请破产的依据(通常基于第268条所定义的债务人无力偿债情形)。破产令的程序及后果(包括破产财产管理、资产变现及免责等)在第278条及后续条款中详细规定。破产程序将债务人的资产置于受托人控制之下(由受托人为债权人利益进行变现),并对债务人施加限制,因此是一种严厉的、作为最后手段的强制执行措施。
(二十一)How to recover the fees and costs of enforcement?
如何取回执行费用和成本?
If the applicants successfully enforce a foreign civil or commercial judgment in England and Wales, they are generally entitled to recover the reasonable enforcement costs and fees from the judgment debtor. This includes court fees, enforcement agent (High Court Enforcement Officer) fees, some legal costs for the applications, and reasonable disbursements such as search or registration fees.
如果申请人在英格兰和威尔士成功执行了外国民商事判决,通常有权从判决债务人处追偿合理的执行成本和费用。这包括法院费用、执行人员(高等法院执法人员)费用、申请的部分法律费用以及合理的支出,如查询或登记费。
These costs would be included in the enforcement application, and the court will typically order that they be added to the judgment debt. However, only costs that are reasonable and properly incurred will be recoverable, and if enforcement is unsuccessful, the applicants may be responsible for their own costs plus the costs of the opposing side.
这些费用将被包含在执行申请中,法院通常会命令将其加入判决债务。但是,只有合理且有适当产生的费用才可追偿,如果执行不成功,申请人不仅需要自行承担相关费用,还需支付对方的法律费用。
RATING
难度
(二十二)Overall, is enforcement of foreign civil and commercial judgments in this jurisdiction easy, moderate or difficult?
总体而言,在本司法管辖区执行外国判决的难度是容易、中等还是困难?
Overall, enforcement of foreign civil and commercial judgments in England and Wales is generally considered moderate in difficulty. The process is not automatic: a foreign judgment must first be recognised by the English Court before it can be enforced, and this typically involves issuing fresh proceedings or applying for registration, depending on the originating country and applicable legal regime. The courts apply strict requirements regarding jurisdiction, finality, and compliance with English public policy and natural justice, but once these hurdles are cleared, the grounds for resisting enforcement are limited and the courts are generally supportive of enforcement actions.
总体而言,在英格兰和威尔士执行外国民商事判决通常被认为是中等难度。该过程并非自动进行:外国判决必须先得到英国法院的承认,然后才能执行,这通常取决于判决来源国和适用的法律制度,通常涉及提起新的诉讼或申请登记。法院对管辖权、终局性以及公共政策和自然公正符合性方面适用严格的要求,然而一旦满足上述要求,债务人可据以抗辩执行的理由即颇为有限,并且法院通常持支持执行立场。
*Note regarding time/cost estimates throughout this questionnaire:
All time/costs estimates are based on the assumption that the other party fully cooperates with the relevant legal procedures, which rarely happens in practice. Even without opposition, enforcement can face unexpected delays due to changing legislation or bureucratic hold-ups. Additionally, as litigation in this jurisdiction is adversarial in nature, when litigation is involved, the actual time and costs of the relevant legal procedures are in large part determined by the parties' litigation strategies. As such, it is almost impossible to provide a general but accurate cost/time estimate, and clients should instead seek a case-by-case evaluation for more specifically accurate estimates.
关于本问卷中时间/费用估算的说明:
时间和费用的估算是基于对方完全配合相关法律程序的假设,而这种情况在实践中很少发生。即使没有争议,执行工作也有可能会因立法变化或繁冗程序而面临预测以外的延误。此外,由于法院的诉讼具有对抗性,当涉及诉讼时,相关法律程序的实际持续时间和费用取决于当事人的诉讼策略。因此,几乎不可能提供一个通用但准确的费用/时间估算。客户应寻求逐案评估,以获得更具体准确的估算。
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特别感谢:
本篇文章特别感谢英国沃资律师事务所(Wozi Law Firm,“沃资”)的大力协助和支持。沃资是一家经英国律师监管局(SRA)注册并批准的律师事务所,其核心团队由曾在国际大型律所任职的资深华人律师组成,拥有中英及其他法域的双重或多重执业资格,专注于诉讼与公司法领域。沃资长期为央企、国企、上市公司及大型私人企业提供服务,在跨境交易与争议解决方面积累了丰富经验。沃资在重大案件中亦与顶尖出庭大律师紧密合作,确保为客户提供最高水准的法律支持与战略保障。沃资致力于成为连接中国与英国商业与法律体系的桥梁,为客户在国际市场中提供切实可行的法律解决方案。
作者简介
张伟民,德恒北京办公室顾问,具有澳大利亚新南威尔士州、香港、英国英格兰与威尔士、美国纽约州律师资格。专注涉外业务,经常代表中资公司进行海外投融资项目,以及为众多跨国公司在中国的投资,重组及合规项目提供法律服务。主要执业领域为跨境投融资、并购、合规及争议解决等业务领域。
王厚盛,德恒香港办公室注册外地律师,德恒香港跨境执行业务中心负责人。主要执业领域为争议解决,擅长处理跨境争议解决、知识产权等法律业务。
肖潇,德恒深圳办公室合伙人及香港办公室注册外地律师,德恒香港跨境执行业务中心秘书长。主要执行领域为企业跨境并购、外商投资、企业对外投资、跨境争议解决等法律业务。
于靖越,德恒深圳办公室律师,具有中国内地、澳大利亚新南威尔士州、新西兰律师资格,亦获得中国香港的法律专业资格证书。主要执业领域为知识产权、争议解决和跨境执行业务。
(德恒香港办公室实习生朱凯莹对本文的写作亦有贡献。)
「DEHENGSHANGHAI」


