ISDA Master Agreement 2002 (中英文版) _清洁扫描版

International Swaps and Derivatives Association (ISDA)是一家全球性的私人协会，致力于促进交易、监管和市场参与者之间的债务衍生品交易合同标准化。

1992年，ISDA推出了首个主协议，从此开始了国际金融衍生品合同标准化的时代。

在2002年，ISDA发布了第二个主协议，目的是进一步完善金融衍生品交易的合同标准化，并提供一个对照的中英文版本。

以下是2002年版ISDA主协议的中英文对照。

International Swaps and Derivatives Association 2024Master Agreement主协议Dated as of Date（xx）, between日期（年月日）由下列当事方订立：Party A（名称）（地址）andParty B（名称）（地址）本主协议在适用的附表上所指明的当事方之间签订。

为了设立有关合同条款，各方根据本主协议及依本主协议不时确认的各项交易（各称“交易”）达成本主协议，并将此类交易从时间到时间地确认。

1. InterpretationIf there is a conflict between the provisions of any Confirmation and this Master Agreement, the provisions of this Master Agreement will prevail to the extent of the conflict.本约定书与任何交易确认中的条款不一致的，以本定书的条款为准。

2. Definitions本协议中未定义的大写字母起首的用语，在本协议中的附表中部分或非附表中的其中一交易或其他定书中非附表中专有名词或别处明确指明的，项下，其含义在交易确认或本协议其他条款中，经修订、补充或修正过的部分。

3. ObligationsEach party represents and covenants with the other party that:(a) It has the power to enter into and perform, and hastaken all necessary action regarding the execution, delivery and performance of, this Master Agreement and any Transaction thereunder;各方同意且约定对方确保并与对方共同表示：a.与本主协议及任何交易以下方面之签订，执行、交付、履约有关，其具备这等能力，已采取所有需要的行动；(b) The obligations of each party under this Master Agreement will constitute its legal, valid and binding obligations, enforceable in accordance with their terms;各方在本主协议之项下的义务将构成其合法、有效、有约束力的义务，并可根据其条款得以执行；(c) No Event of Default or Potential Event of Default with respect to it or any Credit Support Provider has occurred and is continuing;它或其任何信用支持提供方均不存在任何默认事件或潜在违约事件，并将始终如此保持；(d) The execution, delivery and performance by it of this Master Agreement and any Transaction thereunder will not contravene any applicable law or regulation or any restriction binding on it or its assets;它签订、交付并履约本主协议及任何交易不违反对其或其资产具有约束力的任何适用法律、法规或限制；(e) It will obtain, at its own expense, all consents, itmust obtain, and take all other actions necessary, to make this Master Agreement and any Transaction thereunder valid andbinding and enforceable against it in accordance with their terms;它将承担一切费用，以使本主协议及任何交易具有合法、有效并可依照条款对其有约束力的性质，并获得其必需获得的一切同意并采取一切必要措施。

ISDA主协议中英文对照ISDA®International Swaps and Derivatives Association, Inc.2002 MASTER AGREEMENTdated as of ..............................................(僅供參考)*ISDA® 國際掉期及衍生工具協會2002年主協議_____年_____月_____日______________________ and______________________________________________與______________________have entered and/or anticipate entering into one or more transactions (each a “Transaction”) that are or will be governed by this 2002 Master Agreement, which includes the schedule (the “Schedule”), and the documents and other confir ming evidence (each a “Confirmation”) exchanged between the parties or otherwise effective for the purpose of confirming or evidencing those Transactions. This 2002 Master Agreement and the Schedule are together referred to as this “Master Agreement”.之間已進行及/或預期進行受本2002年主協議規範(或將為其規範)之一筆或多筆交易(均稱為“交易”)；本主協議包括附約(以下簡稱“附約”)以及雙方間另交換或為確認或證明該等交易使其生效之文件和其他確認證據(均稱為“確認書”)。

ISDA® InternationalSwapsandDerivativesAssociation,Inc.2002MASTERAGREEMENTdatedasof .............................(僅供參考)*ISDA®國際掉期及衍生工具協會2002年主協議_____年_____月_____日______________________and______________________________________________與______________________*ThisChinesetranslationisforreferenceonly.PartiesshouldalwaysexecutetheEnglishoriginalincondu ctingtransactions.Althougheveryefforthasbeenmadetoensuretheaccuracyofthistranslation,duetodiffere ncesingrammarandlegalterminologies,thepossibilitythattermsorwordsusedintheChinesetranslationma yhavedifferentmeaningsorconnotationsfromtheEnglishoriginalcannotberuledout.Therefore,thisChines etranslationshouldnotberelieduponbyanypersoninmakinganydecisionortakinganyaction.Ifthereexistsa nydifferencebetweenthisChineseversionandtheEnglishversion,theEnglishversionshouldgovern.本翻譯稿僅用於參考。

保险资金境外投资管理暂行办法实施细则20xx年10月12日，中国保监会以保监发〔20xx〕93号印发《保险资金境外投资管理暂行办法实施细则》。

该《实施细则》分总则、资质条件、投资规范、风险控制、监督管理、附则6章35条，自发布之日起施行。

本细则施行前已经开展保险资金境外投资的当事人，应当在6个月内符合本细则的规定。

下文是小编收集的关于保险资金境外投资管理暂行办法实施细则，仅供参考!保险资金境外投资管理暂行办法实施细则完整版全文第一章总则第一条为规范保险资金境外投资运作行为，防范投资管理风险，实现保险资产保值增值，根据《保险资金境外投资管理暂行办法》(以下简称《办法》)，制定本细则。

第二条保险资金境外投资当事人，应当根据《办法》和本细则规定，充分研判拟投资国家或者地区的政治、经济和法律等风险，审慎开展境外投资。

第三条中国保监会依法对保险资金境外投资当事人的管理能力进行持续评估和监管。

第二章资质条件第四条委托人除符合《办法》第九条规定外，还应当满足下列条件：(一)设置境外投资相关岗位，境外投资专业人员不少于3人，其中具有3年以上境外证券市场投资管理经验人员不少于2人;(二)投资时上季度末偿付能力充足率不低于120%;(三)投资境外未上市企业股权、不动产及相关金融产品，投资管理能力应当符合有关规定。

第五条境内受托人除符合《办法》第十条规定外，还应当满足下列条件：(一)具有3年以上保险资产管理经验;(二)最近一个会计年度受托管理资产规模不低于100亿元人民币;(三)境外投资专业人员不少于5人，其中具有5年以上境外证券市场投资管理经验人员不少于3人，3年以上境外证券市场投资管理经验人员不少于2人。

境内受托人受托管理保险资金，限于投资香港市场。

第六条境外受托人除符合《办法》第十一条规定外，还应当满足下列条件：(一)具有5年以上国际资产管理经验，以及3年以上养老金或者保险资产管理经验;(二)最近一个会计年度实收资本或者净资产不低于3000万美元或者等值可自由兑换货币;(三)最近一年平均管理资产规模不低于300亿美元或者等值可自由兑换货币;管理非关联方资产不低于管理资产总规模的50%，或者不低于300亿美元或者等值可自由兑换货币;(四)投资团队符合所在国家或地区从业资格要求，且平均从业经验5年以上，其中主要投资管理人员从业经验8年以上;(五)具有良好的过往投资业绩。

国际衍生品协会（ISDA）于2002年发布了一份名为“ISDA主协议”的标准合同文本，该文本被广泛用于全球金融市场的衍生产品交易中。

以下是该协议的中英文对照，以便读者更好地理解和运用。

协议编号:International Swap and Derivatives Association, Inc.1992年ISDA例行协议（主协议）协议编号:协议版本（1993年修订版）：AGREEMENT:This Agreement is supplemented by and subject to the Schedule attached hereto (the "Schedule") and the following Transaction Confirmations, each of which is incorporated into and made a part of this Agreement:1.FACTORS:定义：(1)FACTORS:a. Credit Support Provider (CSP): _______b. Delivery Amount: _______c. Exposure: _______d. Independent Amount: _______e. Line: _______定价方式;A.DEFINITIONSANDINTERPRETATION:A.定义和解释:业务定义和解释标准;1.每个术语的首字母大写字母将以下列方式解释：词义具有单独的定义或不能通过在字典中查找有助于定义。

B.DEFINITIONS:B.定义：条款在这个协议有其专有意义的情况下，由见于这个协议中，以及在附表尽其专属之责任备忘录。

2.直到该主协议的修改通信中明确确立的，本协议中使用的未定义术语应为与联邦取得租金相同，共同标准普通事务的定义术语。

C.STANDARDPROVISIONS:C.标准条款:以下定义的术语应在或所以从本合同中摘录的其他条款和以适应这本意义。

EXTRACT FROM MINUTES OF MEETING OF THE DIRECTORS OF ………………………………………….……(“THE COMPANY”) HELD ON ……………………………………………….“WHEREAS:A. Each of the Directors confirmed that he had been given and understands the contents of thecopies of the 2002 ISDA Master Agreement and the Schedule thereto (the "Agreement”) to be entered into between the Company and ** Bank (**) Limited (the "Bank"), a copy of the Risk Disclosure Statement (the "Statement") to be acknowledged and accepted by the Company.B. The Company may, from time to time, request the Bank to enter into the transactionsdescribed in the resolutions below with the Company.C. Each of the Directors confirmed that he had disclosed all his interests in the subject of themeeting.RESOLVED THAT:1. The Agreement and the Statement be and are hereby approved and the Company be and ishereby authorised to enter into the following transactions (each, a “Transaction” and collectively, the “Transactions”) with the Bank on the relevant terms and conditions imposed by the Bank (as may be amended, supplemented, varied or replaced from time to time) :(a) any over-the-counter transaction that is (i) a forward, swap, future, option, cap,floor, collar or other derivative on one or more rates, currencies, commodities,equity securities, equity indices or other equity instruments, debt securities orother debt instruments, economic indices or measures of economic risk or valueor other benchmarks against which payments or deliveries are to be made; or (ii)any combination of the transactions referred to in sub-paragraph (a)(i) above;(b) any structured transaction (including but not limited to structured deposits andstructured debt instruments whether issued by the Bank or a third party)embedded with (i) a transaction that is a forward, swap, future, option, cap, floor,collar or other derivative on one or more rates, currencies, commodities, equitysecurities, equity indices or other equity instruments, debt securities or otherdebt instruments, economic indices or measures of economic risk or value orother benchmarks against which payments or deliveries are to be made; or (ii)any combination of the transactions referred to in sub-paragraph (b)(i) above;(c) any purchase or subscription of securities, debt securities or debt instruments,whether issued by the Bank or any other third party;(d) any custody arrangement between the Company and the Bank in respect of thecustody of any securities, debt securities or debt instruments (in all cases,whether vanilla or structured) purchased or subscribed by the Company; and(e) any transaction described as a “Transaction”in the Agreement (as may beamended, supplemented, varied or replaced from time to time).2. That any __________ of the following persons (collectiv ely “Authorised Signatories”), bethe persons authorised and empowered to do the following things in the Company’s name or otherwise on behalf of the Company (which persons are and will be so authorised untilthe Bank receives a certified copy of the board resolution of the Company providing otherwise):Name of Authorised Signatories Designation Specimen Signature(i) to negotiate, sign, execute and deliver to the Bank the Agreement and theStatement, subject to such additions and amendments thereto as he/they may inhis/their sole discretion think fit, and any letters, agreements, acceptances, forms,notices or other documents incidental to or ancillary to or expedient in connectionwith the Transactions and/or the Agreement, including without limitation anyamendments and any other documents relating to the Agreement (collectively,“Documents”) and any securities, guarantees, collaterals and/or supports furnishedby or to be furnished by the Company to secure the liabilities and obligations of theCompany to the Bank thereunder, or any matter, transaction or dealing whatsoeverwith the Bank howsoever arising;(ii) to accept any future amendment, variation, supplement, replacement, renewal or extension of the arrangements in connection with any Document, and to accept anyfuture amendment, variation, supplement or replacement of or to any Document(each of which acceptance shall be conclusively evidenced by the signature(s) ofthe Authorised Signatory(ies)) and to provide and execute additional securities,guarantees, collaterals and/or supports; and(iii) to appoint any other person(s) as Authorised Personnel (as defined below), or to supplement, vary or modify any list of such persons given to the Bank, or to removeany Authorised Personnel from any list of such persons given to the Bank and toinform the Bank of all such appointments or removals of such Authorised Personnelfrom such list.3. That any one1 of the following persons (collectively with the persons appointed pursuant toparagrap h 4 below, the “Authorised Personnel”) be authorised and empowered in the Company’s name or otherwise on behalf of the Company (which persons are and will be so authorised until the Bank receives a certified copy of the board resolution of the Company providing otherwise or a written notification from the requisite number of Authorised Signatory(ies) specified above providing otherwise), to give oral instructions (whether over the telephone, electronic messaging system or otherwise) to the Bank in regard to the entry into any Transactions, including without limitation, value same day Transactions with the Bank:Name of Authorised Personnel Designation Contact no.4. That any _________of the following persons be authorised and empowered to do thefollowing things in the Company’s name or otherwise on behalf of the Company (which persons are and will be so authorised until the Bank receives a certified copy of the board resolution of the Company providing otherwise or a written notification from the requisite number of Authorised Signatory(ies) specified above providing otherwise):Name of Authorised Personnel Designation Specimen Signature(i) to give written instructions to the Bank in regard to the entry into any Transactions;(ii) to sign, deliver and receive trade confirmations and/or confirmation notes for the Transactions and statements from the Bank; and(iii) to sign all settlement instructions and/or any other instructions pertaining to the Transactions.5. That the Bank be hereby authorised to accept, rely upon and honour any instructions givenpursuant to paragraphs 3 and 4 above upon receipt thereof and to act on the same without inquiry. Without prejudice to the foregoing, the Company hereby agrees that the Bank may at its absolute discretion, seek such confirmation and/or clarification as it may think fit and in the absence of such confirmation and/or clarification, the Bank may decline to accept, rely and honour such instructions without incurring any liability whatsoever to the Company in respect of any delay, failure or refusal to execute such instructions.6. That the Company hereby accepts that the risk of misunderstandings and the risk of oralinstructions being given by an unauthorised person is its sole risk and that the Bank shall not be liable for any loss which the Company may incur thereby. The Company hereby agrees that the Bank shall be entitled, at its sole discretion, to carry out any instructions as it understood them and the Bank's interpretation of such instructions shall be binding and conclusive on the Company.7. That the Common Seal of the Company be affixed to any deeds, instruments or documentsas may be required in connection with or in relation to the Transactions, the collaterals and/or supports, in accordance with the Articles of Association of the Company.8. All Transactions entered into between the Company and the Bank before the date theseResolutions are passed be ratified.9. These resolutions shall supersede all resolutions, instructions and/or mandates given by theCompany to the Bank in respect of the Transactions prior to the date these resolutions are passed.Certified that the above Resolutions are a true extract of the Minutes of Meeting of the Directors of ………………………………………….………………………………………………held at ………………………………………….…… on ………………..……….. and that the said Resolutions have been entered into the Minutes Book of the Company.………………………………Directors。

isda合同协议书这是小编精心编写的合同文档，其中清晰明确的阐述了合同的各项重要内容与条款，请基于您自己的需求，在此基础上再修改以得到最终合同版本，谢谢！ISDA合同协议书甲方：__________乙方：__________鉴于：1. 甲方愿意向乙方提供某种服务或商品；2. 乙方愿意接受甲方提供的服务或商品，并支付相应的费用；3. 双方希望通过本协议明确双方的权利和义务，确保交易的顺利进行。

基于上述情况，双方本着平等、自愿、公平、诚信的原则，达成如下协议：第一条 服务内容1.1 甲方同意向乙方提供如下服务/商品：（详细描述服务内容或商品）第二条 服务/商品费用2.1 乙方向甲方支付的服务/商品费用为人民币【】元整（大写：【】元整），乙方应在签署本协议后【】日内支付全部费用。

第三条 服务/商品交付及时间3.1 甲方应按照本协议约定的时间、地点、方式向乙方交付服务/商品。

第四条 甲方义务4.1 甲方应保证其提供的服务/商品符合国家法律法规、行业标准和双方约定的一致性、安全性、可靠性等要求。

4.2 甲方应按照约定时间、地点、方式提供服务/商品，并保证服务/商品的质量。

4.3 甲方应按照约定向乙方开具合法有效的发票。

第五条 乙方义务5.1 乙方应按照本协议约定的时间、地点、方式支付服务/商品费用。

5.2 乙方应按照约定接受甲方提供的服务/商品，不得无故拒绝或延迟接受。

第六条 违约责任6.1 任何一方违反本协议的约定，导致协议无法履行或造成对方损失的，应承担违约责任，向对方支付违约金，并赔偿损失。

第七条 争议解决7.1 双方在履行本协议过程中发生的争议，应首先通过友好协商解决；协商不成的，任何一方均有权向合同签订地人民法院提起诉讼。

第八条 其他约定8.1 本协议自双方签字（或盖章）之日起生效，有效期为【】年。

8.2 本协议一式两份，甲乙双方各执一份，具有同等法律效力。

甲方（盖章）：__________ 乙方（盖章）：__________代表（签名）：__________ 代表（签名）：__________签订日期：【年】年【月】月【日】日请根据您的实际情况修改上述协议内容，以确保其符合您的需求。

8
ISDA 文件架构
Confirmations (long form) Definitions for use in documenting Transactions • 2006 Definitions (Interest rate and Currency) • 1998 FX and Currency Option Definitions (plus revised Annex) • 1997 Government Bond Option Definitions • 1993/2005 Commodity Derivatives Definitions • 2003/2014 Credit Derivatives Definitions • 2002/2011 Equity Derivatives Definitions •2006 Inflation Derivatives Definitions • 2007 Property Index Derivatives Definitions
European Master
Ginko Torihiki Yakujousho (Japanese agreement for bank transactions) Gaikoku Kawase Yoyaku Torihiki Yakujyousho (Japanese agreement for FX Forward)
• 利率、汇率、债券、股权、大宗商品、信用、 通货膨胀、不动产指数衍生产
品Hale Waihona Puke 义4 交易确认书（Confirmation）
• 长型交易确认书 • 短型交易确认书
5 信用支持文件/担保文件（ Credit Support Annex/Deed）

ISDA®International Swaps and Derivatives Association, Inc.2002 MASTER AGREEMENTdated as of................................................(仅供参考)* ISDA®国际掉期及衍生工具协会2002年主协议_____年_____月_____日______________________ and ______________________ ________________________与______________________have entered and/or anticipate entering into one or more transactions (each a “Transaction”) that are or will be governed by this 2002 Master Agreement, which includes the schedule (the “Schedule”), and the documents and other confirming evidence (each a “Confirmation”) exchanged between the parties or otherwise effective for the purpose of confirming or evidencing those Transactions. This 2002 Master Agreement and the Schedule are together referred to as this “Master Agreement”. 之间已进行及/或预期进行受本2002年主协议约制(或将为其约制)的一项或多项交易(均称为交易 )；本主协议包括附件(以下简称附件 )以及各方之间交换的或为确认或证明该些交易而生效的文件和其他确认证据(均称为确认书 )。

什么是ISDA协议？一般而言，如果企业要与外行进行场外衍生品交易（OTC Derivative），那么它就得交易前与银行签订ISDA协议。

什么是ISDA协议呢？ISDA协议是国际掉期与衍生品协会（International Swaps and Derivatives Association）为国际场外衍生品交易提供的标准协议文本及其附属文件。

国际掉期和衍生品协会成立于1985年，目前有800多个会员，来自56个国家。

其分支机构遍及美国、欧洲、香港、新加坡和东京。

ISDA协议文件包括主协议（Master Agreement）、附件（Schedule）、信用支持附件（CSA）、交易确认书（Transaction Confirmations）以及各类产品定义。

到目前为止，主协议有1987年、1992年和2002年三个版本。

最常使用是2002年的版本，但1992年的版本与其大同小异，1992年的版本并未完全退出市场。

而产品定义包括2006年ISDA定义、2006年基金衍生品定义、2005年商品衍生品定义、2003年信用衍生品定义、2002年股票衍生品定义以及1998年外汇和外汇期权定义等。

ISDA协议规定，交易确认书的法律效力大于附件，附件的法律效力大于主协议。

如果主协议条款与附件抵触，那么以附件为准。

如果附件与交易确认书不同，那么以交易确认书为准。

这也好理解。

交易确认书是最后的交易文件，而主协议和附件是事前签订。

另外，附件是交易双方就具体条款包括违约条款进行谈判后的个性化协议，是对主协议的补充和修正，而主协议完全就是标准文本。

为什么需要一个ISDA协议呢？首先，ISDA协议提供一个单一协议（Single Agreement）的标准框架。

交易双方可以减少谈判时间、降低法律成本、减少文件起草的法律风险、减少文件术语的误解、增加文件的全面性等等。

如果发生纠纷，那么双方可以在指定的法律管辖区进行相互告诉。

其次，协议为交易双方提供了一个净额结算（Closing out netting）制度。

isda合同范本ISDA合同范本：国际金融领域的法律基石随着全球金融市场的快速发展，交易规模不断扩大，风险管理成为金融机构和企业迫切需要解决的问题。

ISDA (国际衍生品协会)合同范本便是在这种背景下诞生的法律工具，为金融市场的各方提供了标准化的合同框架，用以规范衍生品交易中的法律关系和风险分配。

一、 ISDA合同范本的背景与意义ISDA合同范本最早于1987年由ISDA组织推出，经过多年的修订和完善，旨在提供一个标准化的合同模板，使各方可以以更高效的方式进行衍生品交易，减少法律风险、降低成本、增加流动性。

这种合同范本的推出不仅推动了全球金融市场的发展，也为投资者和交易机构提供了更多投资渠道和工具。

二、 ISDA合同范本的组成结构ISDA合同范本是由一系列的标准协定书组成的，其中最常见的是主租赁协定书（Master Agreement）和各种衍生品协定书（Schedule）。

主租赁协定书是衍生品交易的基础文件，规定了各方间的基本权利和义务，而衍生品协定书则用于特定类型的衍生品交易，明确了具体的交易细节。

三、 ISDA合同范本的核心原则ISDA合同范本的核心原则是保证各方之间的法律权益和交易的清晰性。

该合同范本的条款细致而具体，明确了交易方的权益和义务，以及清算、违约处理等相关条款。

通过标准化的合同范本，交易各方能够更好地预测和应对交易中可能出现的风险和纠纷，并减少因法律条款不明确而导致的纠纷和争议。

四、 ISDA合同范本的更新与发展随着金融市场的创新和发展，ISDA合同范本也在不断更新和完善。

随着新的金融产品和交易模式的出现，ISDA组织不断发布各种协议和补充协议，以适应市场需求。

其中,最为著名的是2002年发布的“ISDA标准化违约单极性合同”并将之纳入主租赁协定书中，以规范违约处理。

五、 ISDA合同范本的全球应用ISDA合同范本已成为全球金融市场的法律基石，被广泛建议作为金融交易的标准合同范本。

ISDA主协议ISDA主协议（International Swaps and Derivatives Association Master Agreement）是金融衍生品交易中使用最广泛的标准合同之一，它规范了交易双方在交易过程中的权利和义务，为金融衍生品交易提供了法律框架和标准化的条款。

ISDA主协议的签署对于金融市场参与者来说具有重要的意义，它不仅有助于降低交易风险，还能够提高交易效率，促进市场的稳定和健康发展。

ISDA主协议的核心是双方交易对手的互相信任和合作。

在签署ISDA主协议之前，交易双方需要充分了解协议的内容，包括协议的定义、条款和条件、结算方式、违约事件处理等。

双方需要明确自己的权利和义务，以及在交易过程中可能面临的风险和责任。

只有在充分理解和接受协议内容的情况下，双方才能够签署协议并开展金融衍生品交易。

ISDA主协议的签署不仅仅是一纸合同，更是交易双方之间信任和合作的象征。

在交易过程中，双方需要遵守协议的约定，诚实守信，共同维护市场秩序和交易稳定。

双方需要建立良好的沟通机制，及时交流信息，共同应对市场变化和风险挑战。

只有在双方互相信任和合作的基础上，金融衍生品交易才能够顺利进行，市场才能够稳定和健康发展。

ISDA主协议的签署对于金融市场的稳定和健康发展具有重要的意义。

通过签署ISDA主协议，交易双方能够规范交易行为，降低交易风险，提高交易效率，促进市场的稳定和健康发展。

同时，ISDA主协议也为金融市场的监管和规范提供了重要参考，有助于建立健全的金融市场秩序和制度框架。

因此，我们应该重视ISDA主协议的签署和执行，加强对协议内容的理解和遵守，共同维护金融市场的稳定和健康发展。

总之，ISDA主协议是金融衍生品交易中的重要合同，它规范了交易双方在交易过程中的权利和义务，有助于降低交易风险，提高交易效率，促进市场的稳定和健康发展。

通过签署ISDA主协议，交易双方能够建立互相信任和合作的关系，共同维护金融市场的稳定和健康发展。

Dansk Standard DS/EN 12952-11. udgave2002-04-16 Vandrørskedler og hjælpeudstyr –Del 1: Generelle forholdWater-tube boilers and auxiliary installations –Part 1: GeneralCOPYRIGHT©DanishStandards.NOTFORCOMMERCIALUSEORREPRODUCTNDS-publikationstyperDANSK STANDARD udgiver forskellige publikationstyper. Typen på denne publikation fremgår af forsiden.Der kan være tale om: Dansk standard• standard, der er udarbejdet på nationalt niveau eller er baseret på et andet lands nationale standard, eller • standard, der er udarbejdet på internationalt og/eller europæisk niveau og har fået status som dansk standardDS-information• publikation, der er udarbejdet på nationalt niveau og ikke har opnået status som standard, eller• publikation, der er udarbejdet på internationalt og/eller europæisk niveau og ikke har fået status som standard, fx enteknisk rapport, eller • europæisk præstandard DS-håndbog• samling af standarder, eventuelt suppleret med informativt materialeDS-hæfte• publikation med informativt materialeTil disse publikationstyper kan endvidere udgives• tillæg og rettelsesbladeDS-publikationsformPublikationstyperne udgives i forskellig form som henholdsvis• fuldtekstpublikation (publikationen er trykt i sin helhed) • godkendelsesblad (publikationen leveres i kopi med et trykt DS-omslag) • elektronisk (publikationen leveres på et elektronisk medie)DS-betegnelseAlle DS-publikationers betegnelse begynder med DS efterfulgt af et eller flere præfikser og et nr. fx DS 383, DS/EN 5414 osv. Hvis der efter nr. er angivet at A eller Cor, betyder det, enten at det er et tillæg eller et rettelsesblad til hovedstandarden, eller at det er indført i hovedstandarden.DS-betegnelse angives på forsiden.Overensstemmelse med anden publikation:Overensstemmelse kan enten være IDT, EQV, NEQ eller MOD• IDT : Når publikationen er identisk med en given publikation. • EQV : Når publikationen teknisk er i overensstemmelse med en given publikation, menpræsentationen er ændret. • NEQ : Når publikationen teknisk eller præsentationsmæssigt ikke er i overensstemmelse med engiven standard, men udarbejdet på baggrund af denne. • MOD : Når publikationen er modificeret i forhold til en given publikation.DS/EN 12952-1KøbenhavnDS projekt: 30688 ICS: 27.060.30Deskriptorer:forbruger/leverandørrelationer,definitioner,levering,leveringsbetingelser, elektriske kraftværker,vejledning,vedligeholdelse, ordre (salgsdokumenter),anlæg,kvalitetskrav,specifikation (godkendelse),specifikation,dampkedel,dampudviklingFørste del af denne publikations betegnelse er:DS/EN, hvilket betyder, at det er en europæisk standard, der har status som dansk standard.Denne publikations overensstemmelse er:IDT med: EN 12952-1:2001. DS-publikationen er på engelsk.EUROPEAN STANDARD NORME EUROPÉENNE EUROPÄISCHE NORMEN 12952-1December 2001ICS 27.040English versionWater-tube boilers and auxiliary installations - Part 1: GeneralChaudières à tubes d'eau et installations auxiliaires - Partie1: GénéralitésWasserrohrkessel und Anlagenkomponenten - Teil 1:AllgemeinesThis European Standard was approved by CEN on 10 March 2000.CEN members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this European Standard the status of a national standard without any alteration. Up-to-date lists and bibliographical references concerning such national standards may be obtained on application to the Management Centre or to any CEN member.This European Standard exists in three official versions (English, French, German). A version in any other language made by translation under the responsibility of a CEN member into its own language and notified to the Management Centre has the same status as the official versions.CEN members are the national standards bodies of Austria, Belgium, Czech Republic, Denmark, Finland, France, Germany, Greece,Iceland, Ireland, Italy, Luxembourg, Netherlands, Norway, Portugal, Spain, Sweden, Switzerland and United Kingdom.EUROPEAN COMMITTEE FOR STANDARDIZATION C O M I T É E U R O P ÉE N D E N O R M A LI S A T I O N EUR OP ÄIS C HES KOM ITEE FÜR NOR M UNGManagement Centre: rue de Stassart, 36 B-1050 Brussels© 2001 CENAll rights of exploitation in any form and by any means reserved worldwide for CEN national Members.Ref. No. EN 12952-1:2001 EC O P Y R I G H T ©D a n i s h S t a n d a r d s . N O T F O R C O M ME R C I A L U S E O R R E P R O D U C T I O NEN 12952-1:2001 (E)ContentsPage Foreword (3)1Scope (4)1.1General (4)1.2Boiler assembly (4)1.3Other plant equipment (4)1.4Exclusions (5)2Normative references (5)3Definitions (5)3.1Purchaser (5)3.2Manufacturer (6)3.3Designer (6)3.4Material supplier (6)3.5Material producer (6)3.6Responsible authority (6)4Symbols and abbreviations (7)Page 5Responsibilities (11)5.1Responsibility of the purchaser (11)5.2Responsibility of the manufacturer (11)5.3Responsible authority (11)6Interpretations (11)7Design/type appraisal of pressure parts 11 Annex A (informative) Guidance in the use of the conformity assessment procedures (13)A.1General (13)A.2Principles for the application of the PED ..14 Annex ZA (informative) Clauses of thisEuropean Standard addressing essentialsafety requirements or other provisions ofthe Pressure Equipment Directive (17)2EN 12952-1:2001 (E)ForewordThis document EN 12952-1:2001 has been prepared by Technical Committee CEN/TC 269 "Shell and water-tube boilers", the secretariat of which is held by DIN.This European Standard shall be given the status of a national standard, either by publication of an identical text or by endorsement, at the latest by June 2002, and conflicting national standards shall be withdrawn at the latest by June 2002.This document has been prepared under a mandate given to CEN by the European Commission and the European Free Trade Association, and supports essential requirements of the Pressure Equipment Directive (PED)1).For the relationship with Pressure Equipment Directive see informative annex ZA, which is an integral Part of this document.According to the CEN/CENELEC Internal Regulations, the national satndards organizations of the following countries are bound to implement this European Standard : Austria, Belgium, Czech Republic, Denmark, Finland, France,Germany, Greece, Iceland, Ireland, Italy, Luxembourg, Netherlands, Norway, Portugal, Spain, Sweden, Switzerland and the United Kingdom.The European Standard series EN 12952 concerning water-tube boilers and auxilliary installations consists of the following parts:Part 1:GeneralPart 2:Materials for pressure parts of boilers and accessories Part 3:Design and calculation for pressure parts Part 4:In-service boiler life expectancy calculationsPart 5:Workmanship and construction of pressure parts of the boilerPart 6:Inspecting during construction, documentation and marking of pressure parts of the boiler Part 7:Requirements for equipment for the boilerPart 8:Requirements for firing systems for liquid and gaseous fuels for the boiler Part 9:Requirements for firing systems for pulverized solid fuels for the boiler Part 10:Requirements for safeguards against excessive pressurePart 11:Requirements for limiting devices, and safety circuits of the boiler and accessories Part 12:Requirements for boiler feedwater and boiler water quality Part 13:Requirements for flue gas cleaning systems Part 14:Requirements for flue gas DENOX-systems Part 15:Acceptance testsPart 16:Requirements for grate and fluidized bed firing systems for solid fuels for the boilerAlthough these Parts may be obtained separately, it should be recognised that the Parts are inter-dependent. As such, the design and manufacture of boilers requires the application of more than one Part in order for the requirements of the European Standard to be satisfactorily fulfilled.NOTE Part 4 is not applicable during the design, construction and installation stages.The annexes A and ZA of this European Standard are informative.1) Directive 97/23/EC of the European Parliament and of the Council of 29 May 1997 on the approximation of the laws of the Member States concerning pressure equipment; OJEC L181.3C O P Y R I G H T ©D a n i s h S t a n d a r d s . N O T F O R C O M ME R C I A L U S E O R R E P R O D U C T I O NEN 12952-1:2001 (E)1 Scope1.1 GeneralThis European Standard applies to water-tube boilers with volumes in excess of 2 litres for the generation of steam and/or hot water at an allowable pressure greater than 0,5 bar and with a temperature in excess of 110 °C as well as auxiliary installations (other plant equipment).The purpose of this European Standard is to ensure that the hazards associated with the operation of water-tube boilers are reduced to a minimum and that adequate protection is provided to contain the hazards that still prevail when the water-tube boiler is put into service. This protection will be achieved by the proper application of the design, manufacturing, testing and inspection methods and techniques incorporated in the various parts of this European Standard. Where appropriate, adequate warning of residual hazards and the potential for misuse are given in the training and operating instructions and local to the equipment concerned (see prEN 12952-8, prEN 12952-9 and prEN 12952-16).1.2 Boiler assemblyFor the purpose of this standard, the boiler assembly includes:a)the water-tube boiler including all the pressure parts from the feedwater inlet (including the inlet valve) up to andincluding the steam and/or hot water outlet (including the outlet valve or, if there is no valve, the first circumfer-ential weld or flange downsteam of the outlet header).All superheaters, reheaters, economizers, the associated safety accessories and interconnecting tubing that are heated by means of the gases of combustion and are not capable of isolation from the main system by interposing shut-off valves.Additionally, the tubing that is connected to the boiler involved in services such as draining, venting, desuper-heating, etc., up to and including the first isolating valve in the tubing line downstream of the boiler.Reheaters which are heated by the flue gas or independently fired, and are separately provided with their safety accessories including all control and safety systems.b)isolatable superheaters, reheaters, economizers and related interconnecting tubing;c)the heat supply or firing system;d)the means of preparing and feeding the fuel to the boiler including the control systems;e)the means of providing the boiler with feedwater including the control system;f)the pressure expansion vessels and tanks of hot water generating plant.1.3 Other plant equipmenta)the boiler supporting structural steelwork, the thermal insulation and/or brickwork and the casing;b)the means of providing the boiler with air including the forced draught fans and air pre-heaters which are heatedby the gases of combustion;c)the facilities for moving flue gases through the boiler up to the stack inlet, including the induced draught fans andthe air pollution reducing equipment located in the flue gas removal path;d)all other equipment necessary for the operation of the boiler plant.For a description of the types of operating systems used for water-tube boiler plant, see prEN 12952-7.4EN 12952-1:2001 (E)1.4 ExclusionsThis European Standard does not apply to the following types of boiler plant:a)boilers other than stationary boilers;b)shell type boilers including electrical boilers;c)nuclear primary circuits, the failure of which can cause an emission of radioactivity.2 Normative referencesThis European Standard incorporates, by dated or undated reference, provisions from other publications. These normative references are cited at the appropriate places in the text and the publications are listed hereafter. For dated references, subsequent amendments to or revisions of any of these publications apply to this European Standard only when incorporated in it by amendment or revision. For undated references, the latest edition of the publication referred to applies (including amendments).prEN 764 (All parts), Pressure equipmentprEN 764-3:1999, Pressure equipment — Part 3: Definition and parties involved.EN 12952-5:2001, Water-tube boilers and auxiliary installations— Part 5: Workmanship and construction of pressure parts of the boiler.prEN 12952-6:1998, Water-tube boilers and auxiliary installations — Part 6: Inspection during construction,documentation and marking of pressure parts of the boiler.3 Terms and definitionsFor the purposes of this European Standard, the terms and definitions in prEN 764 and the following apply:3.1purchaserindividual or organization that buys the completed boiler plant or part thereof from the manufacturer3.2manufacturerindividual or organization responsible for the design, fabrication, testing, installation where relevant, and compliance with the requirements of this standard whether executed by him or a subcontrator, see prEN 764-3:19995C O P Y R I G H T ©D a n i s h S t a n d a r d s . N O T F O R C O M ME R C I A L U S E O R R E P R O D U C T I O NEN 12952-1:2001 (E)3.3designerindividual or organization that, on behalf of the manufacturer, carries out the design of the boiler plant. The designer determines the shape, dimensions and thicknesses of the boiler plant components, selects the materials and details the methods of construction and testing3.4material supplierindividual or organization, not being a material manufacturer, that supplies material or prefabricated parts to be used in the construction of the boiler plant or any component thereof3.5material manufacturerindividual or organization that produces basic materials for the fabrication of boiler plant components or prefabricated standardized parts3.6responsible authoritythis standard identifies the involvement of competent organizations which are independent of the manufacturer. Such organizations may be notified bodies, recognized third-party organizations or user inspectorates. For the purpose of this standard these organizations have been collectively termed responsible authorities (RA)NOTE 1 The definition of a notified body and the criteria controlling its operation are given in Article 12 of the Pressure Equipment Directive.NOTE 2 The definition of a recognized third-party organization and the criteria controlling its operation are given in Article 13 of the Pressure Equipment Directive.NOTE 3 The definition of a user inspectorate and the criteria controlling its operation are given in Article 14 of the Pressure Equipment Directive.NOTE 4 The responsibility of the manufacturer is described in 3.2.6EN 12952-1:2001 (E)4 Symbols and abbrevationsFor the purposes of this European Standard, the general symbols and abbreviations given in table 4-1 and table 4-2shall apply.Table 4-1 — SymbolsSymbol DescriptionUnit Aareamm 2A f effective cross-sectional area without allowances mm 2A fb effective cross-sectional area of branch mm 2A fp effective cross-sectional area of reinforcing ring mm 2A fs effective cross-sectional area of body mm 2A p pressurized area without allowances mm 2A pb pressurized area referred to branch mm 2A ps pressurized area referred to body mm 2C shape factor—C 1shape factor for unstayed walls, ends or plates —C 2shape factor for rectangular and elliptical plates —C 3shape factor for flat plates with openings—c 1minus tolerance on the ordered nominal wall thickness mm c 2allowance for metal wastagemm D b mean diameter of flat ends with knuckle or design diameter of flat cover plates mm D L bolt circle diametermm d diameter of tube hole (if applicable in the condition after metal wastage)mm d i inside diametermm d ib inside diameter of branch without allowancesmm d is inside diameter of main body (cylindrical shell, spherical shell or dished end) without allowances mm d m mean diameter mm d o outside diametermm d ob outside diameter of branch without allowances mm d os outside diameter of main body without allowances mm d s stay diametermm E modulus of elasticity at design temperature N/mm 2e wall thicknessmm e b ordered wall thickness of the branchmm e cb required wall thickness of branch or nozzle without allowances mm e ch required wall thickness of flat end without allowancesmm e csrequired wall thickness of cylindrical or spherical shells or dished end without allowancesmm7C O P Y R I G H T ©D a n i s h S t a n d a r d s . N O T F O R C O M ME R C I A L U S E O R R E P R O D U C T I O NEN 12952-1:2001 (E)Table 4-1 (continued)Symbol Description Unit erequired wall thickness of straight tube without allowances mm cteordered wall thickness of flat end mm hewall thickness of relief groove mm h1erequired wall thickness of flat end with allowances mm h'eordered wall thickness of reinforcing pad mm peactual wall thickness of branch or nozzle without allowances mm rbeactual wall thickness of flat end without allowances mm rheactual wall thickness of reinforcing pad without allowances mm rpeactual wall thickness of main body (cylindrical or spherical shell or dished end)mm rswithout allowanceseactual tube wall thickness without allowances mm rteordered wall thickness of main body mm serequired wall thickness of main body mm s'eordered tube wall thickness mm terequired wall thickness of straight tube with allowances mm t'f design stress N/mm2 fdesign stress at test (gauge) pressure N/mm2 t'feffective average stress N/mm2 afeffective average stress between the centres of two openings N/mm2 aΦfdesign stress for branch material N/mm2 bfcombined stress at supports N/mm2 cfeffective stress in longitudinal direction due to internal pressure N/mm2 dfdesign stress for reinforcing ring material N/mm2 pfeffective bending stress in longitudinal direction N/mm2 Mfdesign stress for main body material N/mm2 sfeffective tangential stress due to internal pressure N/mm2 1hdepth of flat ends mm Bhdepth of crown of dished ends (with knuckle, without cylindrical skirt)mm chheight of manhole ring mm fhheight of cylindrical skirt of dished end mm s8Symbol DescriptionUnit K design strength valueN/mm 2K t'design strength value at test (gauge) pressureN/mm 2l b0cylindrical length of branch from the transition zone up to the weld mm l b1measured length of external projection of branch mm l b2measured length of internal projection of branch mm l rb effective length of branchmm l rbi effective length of inner projection of set-through branch mm l rp effective width of reinforcing ring mm l rs effective length of main bodymm l s0cylindrical length of the main body from the transition zone up of the weld mm p c calculation pressure N/mm 2p ddesign pressureN/mm 2PS maximum allowable pressure N/mm 2p s1allowable (working gauge) pressureN/mm 2p s2allowable (total gauge) pressure for hot-water generators N/mm 2p t test (gauge) pressureN/mm 2P 0centre-to-centre distance of adjacent tubes in axial direction (longitudinal pitch) with Φ = 0mm P Φcentre-to-centre distance of adjacent openings, staggered by the angle Φ referring to centre of wall without allowances mm Q forceN R mminimum tensile strength of the grade of material concerned at room temperatureN/mm 2R mTtc average creep rupture strength for T hours at temperature t cN/mm 2 R p0,2tc minimum yield strength (0,2 % proof stress) of the respective material grade at temperature t cN/mm 2R p1,0tc minimum value of 1,0 % proof stress of the respective material grade at temperature t cN/mm 2r ib inside radius of branchmm r ik inside radius of knuckle or relief groove of flat ends mm r is inside radius of dished end or cylindrical or spherical shell mm r ms mean radius of shellmm r os outside radius of dishing of dished end mm Ssafety factor—G H T © D a n i s h S t a n d a r d s . N O T F O R C O M M E R C I A L U S E O R R E P R O D U C T I O NSymbol Description Unit Ssafety factor for test (gauge) pressure—t'T design lifetime htcalculation temperature°Cctdesign temperature°Cdtoperating temperature°Cotreference temperature°Cortsaturation temperature coincident with the design pressure°CosTS maximum/minimum allowable temperature°Cu departure from circularity (DFC)%vallowable efficiency coefficient for branches or openings—allvefficiency coefficient for isolated branches or openings—bvligament efficiency for adjacent branches or openings—mVweld strength reduction factor—NDEy factor for Y-branches—Φangle of lines connecting the centres of two openings, related to body axis degreeΦangle of centre distance for adjacent nozzles on a spherical shell rad bδelongation at fracture (gauge length ratio = 5)%5Ψinclined angle of branch related to body axis degree NOTE 1 N/mm2 = 1 MN/m2 = 1 MPaTable 4-2 — AbbreviationsAbbreviation DescriptionDFC Departure from circularityEAM European approval of materialEC European CommissionEMDS European material data sheetNDE Non-destructive examinationPBHT Post-bend heat treatmentPED Pressure equipment directivePWHT Post-weld heat treatmentOJEC Official Journal of the European CommunitiesRA Responsible authorityUS Ultrasonic5 Responsibilities5.1 PurchaserThe purchaser shall be responsible for furnishing the manufacturer with a specification of the normal working conditions of the boiler plant (see also guides of procurement EN 45510-3-1 and EN 45510-3-3 where applicable),together with details of any transient and/or adverse conditions under which the boiler plant is required to operate and of any special requirements to facilitate in-service inspection.5.2 ManufacturerThe manufacturer shall be responsible for the completeness and accuracy of all design calculations and for compliance with all applicable requirements of this standard for the boiler assembly.Manufacturers shall ensure that the execution of the provisions of this European Standard is entrusted to appropriately qualified and experienced personnel.Duties carried out by other responsible authorities shall not absolve the manufacturer from his responsibility for compliance with the applicable requirements of this standard. Guidance in the use of the conformity assessment procedure is given in annex A.The offices, workshops and sites associated with the design and construction of water-tube boilers shall be properly equipped and shall have appropriate provisions for all the inspection and testing specified in prEN 12952-6:1998.Manufacturing and other procedures shall be adequate and manufacturing personnel shall be competent and properly qualified for their assigned tasks.The manufacturer shall be competent to manufacture the boiler in accordance with this standard (see annex F of EN 12952-5:2001).5.3 Responsible authorityThe responsibility of the responsible authority is indicated in annex A of prEN 12952-6:1998.6 InterpretationsIf any ambiguity is found or doubt arises as to the meaning or effect of any normative part of this European Standard or as to whether anything ought to be done or omitted to be done in order that this European Standard should be complied with in full, the question shall be referred to Committee CEN/TC 269.Findings or rulings of the Committee upon all enquiries, including matters of interpretation, which are considered by the Committee to be of sufficient importance that both the enquiry and the reply be made public as soon as possible,shall be published in an enquiry-reply format for inclusion in an interpretation sheet to the European Standard.NOTE After taking into account any public comment thereon, interpretation sheets may be incorporated, as appropriate, into the European Standard as amendments which will form part of the next convenient update (see document BT N 5103).7 Design/type appraisal of pressure partsThe manufacturer is required to declare that the technical design specification and supporting documentation is in compliance with the requirements of this standard.G H T © D a n i s h S t a n d a r d s . N O T F O R C O M M E R C I A L U S E O R R E P R O D U C T I O NBecause of the wide range of types of water-tube boiler plant that can be designed and manufactured in accordance with this standard, it has been recognized that it is not possible to cover all the combinations of situations that might arise. This might be due to the normal lag in time scale which naturally exists between standardisation and advancing technology. In order not to inhibit progress in these circumstances, general guidance has been given within this European Standard to cover such situations. The specific requirements shall be determined by the manufacturer on a case-by-case basis according to the particular design and manufacturing details involved, ensuring, in all cases, the safety of the boiler will not be impaired.It has also been recognised that during the manufacturing stages, unexpected factors might arise which require the introduction of design modifications and/or manufacturing concessions resulting in deviations from the specified requirements included at the initial design/type appraisal stage. Such deviations are permitted by this standard where it can be established that the safety and required function of the component are not impaired. Any such deviations shall be included in the technical documentation and form part of the manufacturer's data dossier.Annex A (informative)Guidance in the use of the conformity assessment proceduresA.1 GeneralA.1.1 Application of the PEDThe Pressure Equipment Directive (PED) requires all pressure equipment falling within its scope to have its design and manufacture assessed for conformity in accordance with a series of conformity assessment modules — see Article 10 of the PED. These modules are described in detail in Annex III of the PED to which reference must be made in order to ensure compliance. The following résumé is given for guidance purposes only.NOTE This annex deals with the conformity assessment of pressure equipment as part of the boiler assembly, with regard to essential requirements of the PED. This does not deal with the conformity assessment of other pressure equipments included in the boiler plant!A.1.2 Résumé of the modules described in the PEDModule Description of the main featuresA Made under the manufacturer`s own responsibilityA1The manufacturer`s own responsibility but final assessment is monitored by the Notified Body.B The manufacturer establishes a EC Type Examination Certificate with the Notified Body.B1The manufacturer establishes a EC Design Examination Certificate with the Notified Body.C1Made to conform to a EC Type Examination Certificate with manufacture monitored by the Notified Body.D The manufacturer uses an approved Quality System (e.g. EN ISO 9001 type) and conforms to either a EC Design Examination or EC Type Examination Certificate.D1The manufacturer uses an approved Quality System (e.g. EN ISO 9001 type), and manufactures without the use of a EC Design Examination or EC Type Examination Certificate.E The manufacturer uses an approved Quality System (e.g. EN ISO 9001 type) and conforms to a EC Type Examination Certificate.E1The manufacturer uses an approved Quality System (e.g. EN ISO 9001 type), without a EC Type Examination Certificate.FMade to either a EC Type or Design Examination Certificate with each pressurised equipment being examined by the Notified Body.GThe manufacturer selects the notified body. The Notified Body carries out the examinations on each pressurised equipment.H The manufacturer uses an approved Quality System (e.g. EN ISO 9001 type) for each pressurised equipment.H1The manufacturer uses an approved Quality System (e.g. EN ISO 9001 type). The Notified Body issues a EC Design Examination Certificate and takes part in the final assessment of the pressurised equipment.G H T © D a n i s h S t a n d a r d s . N O T F O R C O M M E R C I A L U S E O R R E P R O D U C T I O N。

美国场外金融衍生品市场的监管制度研究[摘要]场外衍生品是现代金融工程高度发展的产物, 1997年亚洲金融危机后的各种与场外衍生品相关的巨额亏损企业倒闭事件和2008年由次级住房贷款的金融危机都体现了场外金融衍生品的巨大杀伤力。

本文首先概述了美国现有的场外衍生品市场的监管制度包括政府监管和自律组织监管与缺陷。

在第三部分尝试性地提出对其现有场外衍生品监管体制完善的初步构想。

[关键词]场外金融衍生品市场;监管体制;证券交易所金融衍生品的监管从纵向上来说,分为政府监管和自律监管两个层次。

美国现有的场外金融衍生品的政府监管重点放在信息披露制度上。

而自律监管主要通过一系列自律组织来实施。

(一)场外金融衍生品市场的政府监管1.美国审计总署(GAO)经过2年的研究,1994年3月,美国审计署发布了一份200多页的有关衍生品的报告,其研究报告包括全美从事场外衍生品交易的多家机构。

2.美国财务会计准则委员会(FASB)截止2008年FASB共发布162号公告,大多涉及场外金融衍生品的制度规定。

如第161号公告《衍生工具和套期业务的披露》。

而在1998年6月发布的133号《衍生工具和套期保值活动的会计处理》取代了先前的119号[1]。

3.证券交易委员会(SEC)为了适应场外衍生品的发展,证券交易委员会颁布了新的规定对Regulation S-X及Regulation S-K进行了修订。

第一,详细披露登记者在衍生金融工具及衍生商品的文书中所记录的会计政策。

第二,定量和定性披露财务报表之外的衍生工具及其他金融工具市场风险的信息。

所需要的信息包括衍生金融工具的公允价值和合同条款,以及用来确定在未来5年内p(二)场外金融衍生品市场的自律组织监管1.国际互换和衍生品委员会(ISDA)国际互换及衍生品交易委员会(ISDA)成立于1985年,其第一个成果《关于互换的标准用语、假定和条款的准则》(以下简称《互换准则》)。

随后,《互换准则》在1987年补充修订,并发布两份利率互换主协议,即《利率互换主协议》和《利率和货币互换主协议》。

清洁销售合同范本卖方信息名称：[卖方公司名称] 地址：[卖方公司地址] 联系人：[卖方联系人名称] 联系方式：[卖方联系人手机/电话]买方信息名称：[买方公司名称] 地址：[买方公司地址] 联系人：[买方联系人名称] 联系方式：[买方联系人手机/电话]产品信息产品名称：[清洁产品名称] 产品规格：[清洁产品规格] 数量：[清洁产品数量] 单价：[清洁产品单价] 总价：[清洁产品总价]合同条款本合同由以下条款组成：1. 产品描述卖方将向买方销售上述产品，并保证产品的质量和标准符合买方的要求。

2. 数量和价格买方同意购买上述数量和规格的产品，并支付相应的单价。

产品的总价为上述数量和单价的乘积。

3. 交货方式和时间卖方应根据买方的要求，按照约定的时间和地点交付产品。

4. 付款方式和时间买方应在交付产品后的30天内支付产品的总价。

付款方式为现金/电汇/支票等。

5. 售后服务卖方承诺提供必要的售后服务，解答买方对产品的疑问并协助解决问题。

6. 违约责任无论何种原因，任一方违反合同约定的，均应承担相应的违约责任。

7. 争议解决双方如发生争议，应通过友好协商解决。

如协商不成，应提交仲裁委员会进行仲裁。

8. 合同生效本合同自双方盖章或签字之日起生效，并取代双方之前的任何口头或书面协议。

9. 其他条款本合同未尽事宜，双方可另行协商确定。

法律适用和管辖本合同受中国法律管辖，任何争议应提交中国法院处理。

以上为清洁销售合同的范本，双方应在明确理解并同意前提下进行签字盖章，以示合作意愿。

DIRECTIVE 2002/95/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCILof 27 January 2003欧盟议会和欧盟理事会2003 年 1 月27 日第2002/95/EC 号on the restriction of the use of certain hazardous substances in electrical and electronic equipment关于在电气电子设备中限制使用某些有害物质指令THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THEEUROPEAN UNION,欧洲议会和欧盟理事会，Having regard to the Treaty establishing the European Community, and in particular Article 95 thereof,注意到成立欧洲共同体的条约，特别是其中第95 条，Having regard to the proposal from the Commission (1),注意到欧盟委员会的建议，Having regard to the opinion of the Economic and Social Committee (2),注意到欧盟经济与社会委员会的意见，Having regard to the opinion of the Committee of Regions (3),注意到欧盟地区委员会的意见，Acting in accordance with the procedure laid down in Article 251 of the Treaty in the light of the joint text approved by the Conciliation Committee on 8 November 2002 (4),按照欧洲共同体条约第251 条所规制的程序行事并根据协调委员会于2002 年11 月8日通过的联合文本，Whereas:鉴于：(1) The disparities between the laws or administrative measures adopted by the Member States as regards the restriction of the use of hazardous substances in electrical and electronic equipment could create barriers to trade and distort competition in the Community and may thereby have a direct impact on the establishment and functioning of theinternal market. It therefore appears necessary to approximate the laws of the Member States in this field and to contribute to the protection of human health and the environmentally sound recovery and disposal of waste electricaland electronic equipment.（1）各成员国为限制在电子电气设备中使用有害物质而制订的法规或行政措施之间存在的差异能产生贸易壁垒和扭曲共同体内的竞争，甚至对单一市场的建立及其功能产生直接影响。