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专注于欺诈和资产追踪: 开曼群岛上诉法院维持大法院关于豁免有限合伙衍生诉讼决定 Focus on fraud and asset tracing: Cayman Islands Court of Appeal upholds Grand Court's decision on exempted limited partnerships derivative claims (Simplified Chinese)


02 February 2023

Cayman Islands, Hong Kong

2023 年 1 月 20 日,开曼群岛上诉法院就科威特港务局及其他公司 - 诉 - Port Link GP Ltd 及其他公司一案作出判决。

上诉的实质问题涉及有限合伙人根据《豁免有限合伙法》第 33(3) 条代表开曼群岛豁免有限合伙提出衍生诉讼的测试:


开曼群岛上诉法院 (CICA) 维持开曼群岛大法院 Parker J 于 2021 年 11 月 25 日作出的一审判决。此外,CICA 确认《豁免有限合伙法》(ELPA) 第 33(3)条被视为独立的法定测试,只需满足此法定测试即可。有限合伙人提出衍生诉讼不需要满足其他衍生诉讼的普通法测试,例如适用于公司或信托的测试。

然而,CICA 认为:「『无故』一词必须带有『正当』原因的含义。立法机关不可能有意为任何原因做出决定,无论决策者多么受抑制或有利益冲突,都足以防止衍生诉讼。」

尽管 CICA 做出了决定,但有人指出,在决定普通合伙人是否「无故、失败或拒绝提起诉讼」时,有限合伙人和/或法院「可能会从考虑特殊情况(如确定在信托和英国有限合伙企业的情况下)是否存在获得协助」。然而,这只是一个可能有助于满足法定「无『正当』理由」测试的考虑因素。

除上述外,由于这是 CICA 审理的第一宗涉及第 33(3) 条的案件,法院表达了以下适用原则,这可能对开曼群岛的基金从业者和诉讼人有帮助:

  • 没有要求有限合伙人在发出索赔之前,寻求许可根据第 33(3) 条提起衍生诉讼,或在发出索赔后寻求许可继续该索赔。
  • 如果被告希望就有限合伙人提起衍生诉讼的资格提出问题,则该被告应进行剔除申请或寻求对初步问题进行审判。
  • 有限合伙人有责任使法院确信第 33(3) 条的要求已得到满足。
  • 普通合伙人是否「未能或拒绝」提起诉讼的问题应在审理剔除申请或初步问题时评定,而不是在提起诉讼时评定。因此,在法院考虑法定测试是否满足时,应考虑在提起诉讼之后和在第 33(3) 条问题的聆讯之前的行动。
  • 有限合伙人必须就其所依赖的事实和事项作诉,以证明有限合伙人满足第 33(3) 条的规定(换句话说,合伙有申索,而普通合伙人 在没有正当理由的情况下未能或拒绝提出),因为这构成了其诉讼因由的重要组成部分。
  • 没有先决条件需要有限合伙人在根据第 33(3) 条提请衍生诉讼之前要求普通合伙人提出申索。鉴于第 33(3) 节的措辞,它「未能」这样做就足够了。
  • 即使满足第 33(3) 条的要求,法院仍保留阻止衍生诉讼继续进行的酌情权。其中一种情况可能是原告有足够的替代补救措施。

奥杰与伦敦贝克·麦坚时律师事务所的团队一起在此案中代表成功的原告。David Allison KC 被委托在一审和上诉代表原告。

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