中英对照版！《新加坡公约》全文

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本文来源于联合国国际贸易法委员会官方网站

编者按

《联合国关于调解所产生的国际和解协议公约》于2018年12月20日通过，又称《新加坡调解公约》（《公约》），适用于调解产生的国际和解协议（“和解协议”）。《公约》确立了关于援用和解协议的权利以及执行和解协议的统一法律框架。《公约》是一部便利国际贸易并促进将调解作为一种解决贸易争端的有效替代方法的文书。作为一项具有约束力的国际文书，预计《公约》将为国际调解框架带来确定性和稳定性，从而有助于实现《可持续发展目标》。公约将于2019年8月7日在新加坡开放供签署。根据联合国国际贸易法网站公布的中英文，我们整理了如下对照版，供参考。

中文版地址：

https://uncitral.un.org/sites/uncitral.un.org/files/media-documents/uncitral/zh/mediation_convention_c_0.pdf

英文版地址：

https://uncitral.un.org/sites/uncitral.un.org/files/media-documents/EN/Texts/UNCITRAL/Arbitration/mediation_convention_v1900316_eng.pdf

联合国关于调解所产生的国际和解协议公约

United Nations Convention on International Settlement Agreements Resulting from Mediation

序言

本公约当事方，

认识到调解作为一种商事争议解决办法对于国际贸易的价值，争议当事人籍此办法请求第三人协助其设法友好解决争议，

注意到国际和国内商业实务越来越多地使用调解替代诉讼，

考虑到使用调解办法产生显著益处，例如，减少因争议导致终止商业关系的情形，便利商业当事人管理国际交易，并节省国家司法行政费用，

深信就调解所产生的国际和解协议确立一种可为法律、社会和经济制度不同的国家接受的框架，将有助于发展和谐的国际经济关系，

兹商定如下：

Preamble

The Parties to this Convention,

Recognizing the value for international trade of mediation as a method for settling commercial disputes in which the parties in dispute request a third person or persons to assist them in their attempt to settle the dispute amicably,

Noting that mediation is increasingly used in international and domestic commercial practice as an alternative to litigation,

Considering that the use of mediation results in significant benefits, such as reducing the instances where a dispute leads to the termination of a commercial relationship, facilitating the administration of international transactions by commercial parties and producing savings in the administration of justice by States,

Convinced that the establishment of a framework for international settlement agreements resulting from mediation that is acceptable to States with different legal, social and economic systems would contribute to the development of harmonious international economic relations,

Have agreed as follows:

第1条适用范围

Article 1. Scope of application

1. 本公约适用于调解所产生的、当事人为解决商事争议而以书面形式订立的协议（“和解协议”），该协议在订立时由于以下原因之一而具有国际性：

(a) 和解协议至少有两方当事人在不同国家设有营业地；或者

(b) 和解协议各方当事人设有营业地的国家不是：

㈠和解协议所规定的相当一部分义务履行地所在国；或者

㈡与和解协议所涉事项关系最密切的国家。

1. This Convention applies to an agreement resulting from mediation and concluded in writing by parties to resolve a commercial dispute (“settlement agreement”) which, at the time of its conclusion, is international in that:

(a) At least two parties to the settlement agreement have their places of business in different States; or

(b) The State in which the parties to the settlement agreement have their places of business is different from either:

(i) The State in which a substantial part of the obligations under the settlement agreement is performed; or

(ii) The State with which the subject matter of the settlement agreement is most closely connected.

2. 本公约不适用于以下和解协议：

(a) 为解决其中一方当事人（消费者）为个人、家庭或者家居目的进行交易所产生的争议而订立的协议；

(b) 与家庭法、继承法或者就业法有关的协议。

2. This Convention does not apply to settlement agreements:

(a) Concluded to resolve a dispute arising from transactions engaged in by one of the parties (a consumer) for personal, family or household purposes;

(b) Relating to family, inheritance or employment law.

3. 本公约不适用于：

(a) 以下和解协议：

㈠经由法院批准或者系在法院相关程序过程中订立的协议；和

㈡可在该法院所在国作为判决执行的协议；

(b) 已记录在案并可作为仲裁裁决执行的协议。

3. This Convention does not apply to:

(a) Settlement agreements:

(i) That have been approved by a court or concluded in the course of proceedings before a court; and

(ii) That are enforceable as a judgment in the State of that court;

(b) Settlement agreements that have been recorded and are enforceable as an arbitral award.

第2条定义

Article 2. Definitions

1. 在第1条第1款中：

(a) 一方当事人有不止一个营业地的，相关营业地是与和解协议所解决的争议关系最密切的营业地，同时考虑到订立和解协议时已为各方当事人知道或者预期的情形；

(b) 一方当事人无营业地的，以其惯常居住地为准。

1. For the purposes of article 1, paragraph 1:

(a) If a party has more than one place of business, the relevant place of business is that which has the closest relationship to the dispute resolved by the settlement agreement, having regard to the circumstances known to, or contemplated by, the parties at the time of the conclusion of the settlement agreement;

(b) If a party does not have a place of business, reference is to be made to the party’s habitual residence.

2. 和解协议的内容以任何形式记录下来即为“书面形式”。电子通信所含信息可调取以备日后查用的，该电子通信即满足了和解协议的书面形式要求。

2. A settlement agreement is “in writing” if its content is recorded in any form. The requirement that a settlement agreement be in writing is met by an electronic communication if the information contained therein is accessible so as to be useable for subsequent reference.

3. “调解”不论使用何种称谓或者进行过程以何为依据，指由一名或者几名第三人（“调解员”）协助，在其无权对争议当事人强加解决办法的情况下，当事人设法友好解决其争议的过程。

3. “Mediation” means a process, irrespective of the expression used or the basis upon which the process is carried out, whereby parties attempt to reach an amicable settlement of their dispute with the assistance of a third person or persons (“the mediator”) lacking the authority to impose a solution upon the parties to the dispute.

第3条一般原则

Article 3. General principles

1.本公约每一当事方应按照本国程序规则并根据本公约规定的条件执行和解协议。

1.Each Party to the Convention shall enforce a settlement agreement in accordance with its rules of procedure and under the conditions laid down in this Convention.

2. 如果就一方当事人声称已由和解协议解决的事项发生争议，公约当事方应允许该当事人按照本国程序规则并根据本公约规定的条件援用和解协议，以证明该事项已得到解决。

2. If a dispute arises concerning a matter that a party claims was already resolved by a settlement agreement, a Party to the Convention shall allow the party to invoke the settlement agreement in accordance with its rules of procedure and under the conditions laid down in this Convention, in order to prove that the matter has already been resolved.

第4条对依赖于和解协议的要求

Article 4. Requirements for reliance on settlement agreements

1. 当事人根据本公约依赖于和解协议，应向寻求救济所在公约当事方主管机关出具：

(a) 由各方当事人签署的和解协议；

(b) 显示和解协议产生于调解的证据，例如：

㈠调解员在和解协议上的签名；

㈡调解员签署的表明进行了调解的文件；

㈢调解过程管理机构的证明；或者

㈣在没有第㈠目、第㈡目或者第㈢目的情况下，可为主管机关接受的其他任何证据。

1. A party relying on a settlement agreement under this Convention shall supply to the competent authority of the Party to the Convention where relief is sought:

(a) The settlement agreement signed by the parties;

(b) Evidence that the settlement agreement resulted from mediation, such as:

(i) The mediator’s signature on the settlement agreement;

(ii) A document signed by the mediator indicating that the mediation was carried out;

(iii) An attestation by the institution that administered the mediation; or

(iv) In the absence of (i), (ii) or (iii), any other evidence acceptable to the competent authority.

2. 符合下列条件的，即为在电子通信方面满足了和解协议应由当事人签署或者在适用情况下应由调解员签署的要求：

(a) 使用了一种方法来识别当事人或者调解员的身份并表明当事人或者调解员关于电子通信所含信息的意图；并且

(b) 所使用的这种方法：

㈠从各种情况来看，包括根据任何相关的约定，对于生成或者传递电子通信所要达到的目的既是适当的，也是可靠的；或者

㈡其本身或者结合进一步证据，事实上被证明具备前述(a)项中所说明的功能。

2. The requirement that a settlement agreement shall be signed by the parties or, where applicable, the mediator is met in relation to an electronic communication if:

(a) A method is used to identify the parties or the mediator and to indicate the parties’ or mediator’s intention in respect of the information contained in the electronic communication; and

(b) The method used is either:

(i) As reliable as appropriate for the purpose for which the electronic communication was generated or communicated, in the light of all the circumstances, including any relevant agreement; or

(ii) Proven in fact to have fulfilled the functions described in subparagraph (a) above, by itself or together with further evidence.

3. 和解协议不是以寻求救济所在公约当事方正式语文拟订的，主管机关可请求提供此种语文的和解协议译本。

3. If the settlement agreement is not in an official language of the Party to the Convention where relief is sought, the competent authority may request a translation thereof into such language.

4. 主管机关可要求提供任何必要文件，以核实本公约的要求已得到遵守。

4. The competent authority may require any necessary document in order to verify that the requirements of the Convention have been complied with.

5. 主管机关审议救济请求应从速行事。

5. When considering the request for relief, the competent authority shall act expeditiously.

第5条拒绝准予救济的理由

Article 5. Grounds for refusing to grant relief

1. 根据第4条寻求救济所在公约当事方的主管机关可根据寻求救济所针对当事人的请求拒绝准予救济，唯需该当事人向主管机关提供以下证明：

(a) 和解协议一方当事人处于某种无行为能力状况；

(b) 所寻求依赖的和解协议：

㈠根据当事人有效约定的和解协议管辖法律，或者在没有就此指明任何法律的情况下，根据在第4条下寻求救济所在公约当事方主管机关认为应予适用的法律，无效、失效或者无法履行；

㈡根据和解协议条款，不具约束力或者不是终局的；或者

㈢随后被修改；

㈠已经履行；或者

㈡不清楚或者无法理解；

(d) 准予救济将有悖和解协议条款；

(e) 调解员严重违反适用于调解员或者调解的准则，若非此种违反，该当事人本不会订立和解协议；或者

(f) 调解员未向各方当事人披露可能对调解员公正性或者独立性产生正当怀疑的情形，并且此种未予披露对一方当事人有实质性影响或者不当影响，若非此种未予披露，该当事人本不会订立和解协议。

1. The competent authority of the Party to the Convention where relief is sought under article 4 may refuse to grant relief at the request of the party against whom the relief is sought only if that party furnishes to the competent authority proof that:

(a) A party to the settlement agreement was under some incapacity;

(b) The settlement agreement sought to be relied upon:

(i) Is null and void, inoperative or incapable of being performed under the law to which the parties have validly subjected it or, failing any indication thereon, under the law deemed applicable by the competent authority of the Party to the Convention where relief is sought under article 4;

(ii) Is not binding, or is not final, according to its terms; or

(iii) Has been subsequently modified;

(i) Have been performed; or

(ii) Are not clear or comprehensible;

(d) Granting relief would be contrary to the terms of the settlement agreement;

(e) There was a serious breach by the mediator of standards applicable to the mediator or the mediation without which breach that party would not have entered into the settlement agreement; or

(f) There was a failure by the mediator to disclose to the parties circumstances that raise justifiable doubts as to the mediator’s impartiality or independence and such failure to disclose had a material impact or undue influence on a party without which failure that party would not have entered into the settlement agreement.

2. 根据第4条寻求救济所在公约当事方主管机关如果作出以下认定，也可拒绝准予救济：

(a) 准予救济将违反公约该当事方的公共政策；或者

(b) 根据公约该当事方的法律，争议事项无法以调解方式解决。

2. The competent authority of the Party to the Convention where relief is sought under article 4 may also refuse to grant relief if it finds that:

(a) Granting relief would be contrary to the public policy of that Party; or

(b) The subject matter of the dispute is not capable of settlement by mediation under the law of that Party.

第6条并行申请或者请求

Article 6. Parallel applications or claims

如果已经向法院、仲裁庭或者其他任何主管机关提出了与一项和解协议有关的申请或者请求，而该申请或者请求可能影响到根据第4条正在寻求的救济，寻求此种救济所在公约当事方的主管机关可在其认为适当的情况下暂停作出决定，并可应一方当事人的请求下令另一方当事人适当具保。

If an application or a claim relating to a settlement agreement has been made to a court, an arbitral tribunal or any other competent authority which may affect the relief being sought under article 4, the competent authority of the Party to the Convention where such relief is sought may, if it considers it proper, adjourn the decision and may also, on the request of a party, order the other party to give suitable security.

第7条其他法律或者条约

Article 7. Other laws or treaties

本公约不应剥夺任何利害关系人可依寻求依赖和解协议所在公约当事方的法律或者条约所许可的方式，在其许可限度内，援用该和解协议的任何权利。

This Convention shall not deprive any interested party of any right it may have to avail itself of a settlement agreement in the manner and to the extent allowed by the law or the treaties of the Party to the Convention where such settlement agreement is sought to be relied upon.

第8条保留

Article 8. Reservations

1. 公约当事方可声明：

(a) 对于其为一方当事人的和解协议，或者对于任何政府机构或者代表政府机构行事的任何人为一方当事人的和解协议，在声明规定的限度内，本公约不适用；

(b) 本公约适用，唯需和解协议当事人已同意适用本公约。

1. A Party to the Convention may declare that:

(a) It shall not apply this Convention to settlement agreements to which it is a party, or to which any governmental agencies or any person acting on behalf of a governmental agency is a party, to the extent specified in the declaration;

(b) It shall apply this Convention only to the extent that the parties to the settlement agreement have agreed to the application of the Convention.

2. 除本条明确授权的保留外，不允许作出任何保留。

2. No reservations are permitted except those expressly authorized in this article.

3. 公约当事方可随时作出保留。在签署时作出的保留，必须在批准、接受或者核准时加以确认。此类保留应在本公约对有关公约当事方生效时同时生效。批准、接受或者核准本公约或者加入本公约时作出的保留，或者在根据第13条作出声明时作出的保留，应在本公约对公约有关当事方生效时同时生效。保留书在公约对公约该当事方生效后交存的，于交存日后六个月生效。

3. Reservations may be made by a Party to the Convention at any time. Reservations made at the time of signature shall be subject to confirmation upon ratification, acceptance or approval. Such reservations shall take effect simultaneously with the entry into force of this Convention in respect of the Party to the Convention concerned. Reservations made at the time of ratification, acceptance or approval of this Convention or accession thereto, or at the time of making a declaration under article 13 shall take effect simultaneously with the entry into force of this Convention in respect of the Party to the Convention concerned. Reservations deposited after the entry into force of the Convention for that Party to the Convention shall take effect six months after the date of the deposit.

4. 保留书及其确认书应交存保存人。

4. Reservations and their confirmations shall be deposited with the depositary.

5. 根据本公约作出保留的公约任何当事方可随时撤回保留。此种撤回书应交存保存人，并应于交存后六个月生效。

5. Any Party to the Convention that makes a reservation under this Convention may withdraw it at any time. Such withdrawals are to be deposited with the depositary, and shall take effect six months after deposit.

第9条对和解协议的效力

Article 9. Effect on settlement agreements

本公约以及任何保留或者保留的撤回仅适用于在本公约、保留或者保留的撤回对公约有关当事方生效之日后订立的和解协议。

The Convention and any reservation or withdrawal thereof shall apply only to settlement agreements concluded after the date when the Convention, reservation or withdrawal thereof enters into force for the Party to the Convention concerned.

第10条保存人

Article 10. Depositary

兹指定联合国秘书长为本公约保存人。

The Secretary-General of the United Nations is hereby designated as the depositary of this Convention.

第11条签署、批准、接受、核准、加入

Article 11. Signature, ratification, acceptance, approval, accession

1.本公约于2019年8月1日在新加坡开放供各国签署，此后在纽约联合国总部开放供各国签署。

1. This Convention is open for signature by all States in Singapore, on 1 August 2019, and thereafter at United Nations Headquarters in New York.

2. 本公约须经签署国批准、接受或者核准。

2. This Convention is subject to ratification, acceptance or approval by the signatories.

3. 本公约对自开放供签署之日起未签署本公约的所有国家开放供加入。

3. This Convention is open for accession by all States that are not signatories as from the date it is open for signature.

4. 批准书、接受书、核准书或者加入书应交存保存人。

4. Instruments of ratification, acceptance, approval or accession are to be deposited with the depositary.

第12条区域经济一体化组织的参与

Article 12. Participation by regional economic

integration organizations

1.由主权国家组成并对本公约所管辖的某些事项拥有管辖权的区域经济一体化组织同样可以签署、批准、接受、核准或者加入本公约。在这种情况下，区域经济一体化组织享有的权利和承担的义务应与公约当事方相同，但仅限于该组织对本公约所管辖事项拥有管辖权的范围。当涉及本公约下公约当事方数目时，区域经济一体化组织内的成员国为公约当事方的，该区域经济一体化组织不能算作一个公约当事方。

1. A regional economic integration organization that is constituted by sovereign States and has competence over certain matters governed by this Convention may similarly sign, ratify, accept, approve or accede to this Convention. The regional economic integration organization shall in that case have the rights and obligations of a Party to the Convention, to the extent that that organization has competence over matters governed by this Convention. Where the number of Parties to the Convention is relevant in this Convention, the regional economic integration organization shall not count as a Party to the Convention in addition to its member States that are Parties to the Convention.

2. 区域经济一体化组织应在签署、批准、接受、核准或者加入时向保存人提出声明，指明对本公约所管辖的哪些事项的管辖权已由其成员国转移给该组织。根据本款提出声明后，如果管辖权分配发生任何变化，包括管辖权新的转移，区域经济一体化组织应迅速通知保存人。

2. The regional economic integration organization shall, at the time of signature, ratification, acceptance, approval or accession, make a declaration to the depositary specifying the matters governed by this Convention in respect of which competence has been transferred to that organization by its member States. The regional economic integration organization shall promptly notify the depositary of any changes to the distribution of competence, including new transfers of competence, specified in the declaration under this paragraph.

3. 本公约中，对“公约一当事方”、“公约当事方”、“一国”或者“各国”的任何提及，必要时同等适用于区域经济一体化组织。

3. Any reference to a “Party to the Convention”, “Parties to the Convention”, a “State” or “States” in this Convention applies equally to a regional economic integration organization where the context so requires.

4. 对于区域经济一体化组织的规则，无论此种规则在本公约之前或者之后通过或者生效：(a)如果向此种组织一成员国的主管机关寻求第4条下的救济，并且第1条第1款下涉及的所有国家均为此种组织的成员；或者(b)涉及区域经济一体化组织成员国之间承认或者执行判决的，本公约与此种规则发生冲突时不得优先。

4. This Convention shall not prevail over conflicting rules of a regional economic integration organization, whether such rules were adopted or entered into force before or after this Convention: (a) if, under article 4, relief is sought in a State that is member of such an organization and all the States relevant under article 1, paragraph 1, are members of such an organization; or (b) as concerns the recognition or enforcement of judgments between member States of such an organization.

第13条非统一法律制度

Article 13. Non-unified legal systems

1.公约一当事方拥有两个或者多个领土单位，各领土单位对本公约所涉事项适用不同法律制度的，可在签署、批准、接受、核准或者加入时声明本公约延伸适用于本国的全部领土单位或者仅适用于其中的一个或者数个领土单位，并可随时通过提出另一声明修正其所作的声明。

1. If a Party to the Convention has two or more territorial units in which different systems of law are applicable in relation to the matters dealt with in this Convention, it may, at the time of signature, ratification, acceptance, approval or accession, declare that this Convention is to extend to all its territorial units or only to one or more of them, and may amend its declaration by submitting another declaration at any time.

2. 此种声明应通知保存人，且明确指出适用本公约的领土单位。

2. These declarations are to be notified to the depositary and are to state expressly the territorial units to which the Convention extends.

3. 公约一当事方拥有两个或者多个领土单位，各领土单位对本公约所涉事项适用不同法律制度的，

(a) 凡提及一国的法律或者程序规则，应被解释为在适当情况下指有关领土单位的法律或者程序规则；

(b) 凡提及一国的营业地，应被解释为在适当情况下指有关领土单位的营业地；

3. If a Party to the Convention has two or more territorial units in which different systems of law are applicable in relation to the matters dealt with in this Convention:

(a) Any reference to the law or rule of procedure of a State shall be construed as referring, where appropriate, to the law or rule of procedure in force in the relevant territorial unit;

(b) Any reference to the place of business in a State shall be construed as referring, where appropriate, to the place of business in the relevant territorial unit;

(c) Any reference to the competent authority of the State shall be construed as referring, where appropriate, to the competent authority in the relevant territorial unit.

4. 公约一当事方未根据本条第1款作出声明的，本公约延伸适用于该国的全部领土单位。

4. If a Party to the Convention makes no declaration under paragraph 1 of this article, the Convention is to extend to all territorial units of that State.

第14条生效

Article 14. Entry into force

1.本公约应于第三份批准书、接受书、核准书或者加入书交存后六个月生效。

1. This Convention shall enter into force six months after deposit of the third instrument of ratification, acceptance, approval or accession.

2. 一国在第三份批准书、接受书、核准书或者加入书交存之后批准、接受、核准或者加入本公约的，本公约应于该国交存批准书、接受书、核准书或者加入书之日后六个月对其生效。对于根据第13条延伸适用本公约的领土单位，本公约应于通知该条所提及的声明后六个月对其生效。

2. When a State ratifies, accepts, approves or accedes to this Convention after the deposit of the third instrument of ratification, acceptance, approval or accession, this Convention shall enter into force in respect of that State six months after the date of the deposit of its instrument of ratification, acceptance, approval or accession. The Convention shall enter into force for a territorial unit to which this Convention has been extended in accordance with article 13 six months after the notification of the declaration referred to in that article.

第15条修正

Article 15. Amendment

1.公约任何当事方均可对本公约提出修正案，将其提交联合国秘书长。秘书长应立即将所提修正案转发公约各当事方，请其表示是否赞成召开公约当事方会议，以对该修正提案进行审议和表决。如果自通报之日起四个月内至少有三分之一公约当事方赞成召开此种会议，秘书长应在联合国主持下召集公约当事方会议。

1. Any Party to the Convention may propose an amendment to the present Convention by submitting it to the Secretary-General of the United Nations. The Secretary-General shall thereupon communicate the proposed amendment to the Parties to the Convention with a request that they indicate whether they favour a conference of Parties to the Convention for the purpose of considering and voting upon the proposal. In the event that within four months from the date of such communication at least one third of the Parties to the Convention favour such a conference, the Secretary-General shall convene the conference under the auspices of the United Nations.

2. 公约当事方会议应尽一切努力就每项修正案达成协商一致。如果竭尽一切努力而未达成协商一致，作为最后手段，该修正案须有出席会议并参加表决公约当事方的三分之二多数票方可通过。

2. The conference of Parties to the Convention shall make every effort to achieve consensus on each amendment. If all efforts at consensus are exhausted and no consensus is reached, the amendment shall, as a last resort, require for its adoption a two-thirds majority vote of the Parties to the Convention present and voting at the conference.

3. 通过的修正案应由保存人提交给公约所有当事方，请其批准、接受或者核准。

3. An adopted amendment shall be submitted by the depositary to all the Parties to the Convention for ratification, acceptance or approval.

4. 通过的修正案应在第三份批准书、接受书或者核准书交存之日后六个月生效。修正案一经生效，即对已经表示同意受其约束的公约当事方具有约束力。

4. An adopted amendment shall enter into force six months after the date of deposit of the third instrument of ratification, acceptance or approval. When an amendment enters into force, it shall be binding on those Parties to the Convention that have expressed consent to be bound by it.

5. 在第三份批准书、接受书或者核准书交存后，如果公约一当事方批准、接受或者核准了一修正案，该修正案于公约该当事方交存批准书、接受书或者核准书之日后六个月对其生效。

5. When a Party to the Convention ratifies, accepts or approves an amendment following the deposit of the third instrument of ratification, acceptance or approval, the amendment shall enter into force in respect of that Party to the Convention six months after the date of the deposit of its instrument of ratification, acceptance or approval.

第16条退约

Article 16. Denunciations

1.公约当事方得以书面形式正式通知保存人，宣布其退出本公约。退约可限于某些适用本公约的、非统一法律制度的领土单位。

1.A Party to the Convention may denounce this Convention by a formal notification in writing addressed to the depositary. The denunciation may be limited to certain territorial units of a non-unified legal system to which this Convention applies.

2. 退约应于保存人收到通知后十二个月生效。通知中指明退约生效需更长期限的，退约应于保存人收到通知后该更长期限期满时生效。本公约应继续适用于退约生效前订立的和解协议。

2. The denunciation shall take effect 12 months after the notification is received by the depositary. Where a longer period for the denunciation to take effect is specified in the notification, the denunciation shall take effect upon the expiration of such longer period after the notification is received by the depositary. The Convention shall continue to apply to settlement agreements concluded before the denunciation takes effect.