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如何在新型冠状病毒（COVID-19）时代在香港举行股东周年大会

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作者: 叶琳宝律师

在这个COVID-19时代，一些过去曾经易于处理的商业惯例已变得难以实行，包括召开周年成员大会（「周年大会」）。香港的公司必须确保周年大会要遵守《公司条例》（《香港法例》第622章），而且要遵守公共卫生条例。

根据于2020年3月29日生效的香港法例第599G章《预防及控制疾病（禁止群组聚集）规例》，该条例禁止群组在任何香港的「公众地方」聚集。但是，该条例豁免「任何团体的会议，前提是该会议须在指明期间内举行，以遵守任何条例或符合规管该团体的运作或事务的其他规管性质文书的群组聚集」。该豁免适用于公司的周年大会。在本文中，我们根据《预防及控制疾病（禁止群组聚集）规例》以及《公司条例》，讨论上市公司和私人公司中如何举行周年大会。

私人公司

实体会议

为了保障公众健康，公司应尽可能限制股东出席周年大会，并采取预防措施以保持社交距离。

如《预防及控制疾病（禁止群组聚集）规例》附表1第11段所述，如果有超过20人参加周年大会，公司必须采取措施将股东分隔在不同房间或区隔范围中，并且每个房间或范围容纳不多于20人。

为了更好地管理参加会议的股东人数，如果股东希望亲自出席会议，公司可以考虑要求股东进行预先注册。公司还可以鼓励股东在会议之前以书面形式向管理层提出问题。

虚拟会议/混合式会议

随着科技的进步，《公司条例》引入了一项条款，准许公司在周年大会使用科技。 

根据《公司条例》第584（1）条规定，公司可使用令该公司身处不同地方的成员能够在大会上聆听、发言及表决的任何科技，在2个或多于2个地方举行成员大会。这可以使不在同一地点的股东能够聆听，发言和表决。

根据《公司条例》第576条的规定，如果公司要在2个或以上地点举行会议，则必须在会议通知中列出周年大会的主要地点和其他地点。

但是，召开虚拟会议/混合式会议亦必须遵循法定人数和其他法定要求，以使股东在会议做出的决定为有效。

此外，股东必须能够在虚拟周年大会上投票。公司应建立一种股东投票的机制，如通过视频会议举手或通过电话进行口头答复。

或者，一些公司通过混合会议的方式召开周年大会，即该会议既可以在实际地点又可以通过电子方式举行。股东可以选择亲自出席或以虚拟方式出席会议。

请注意，如果公司打算举行虚拟会议/混合会议，则公司须核对其章程或任何股东协议，以检查是否有任何规定要求周年大会上要有实际股东的存在。

书面决议

此外，公司除了举行实体会议外，还可以考虑使用书面决议。根据《公司条例》第548条，除在其任期结束前罢免审计师或董事的例外情况外，公司可以向股东传阅书面决议。根据《公司条例》第556条，所有有资格对该决议案进行表决的股东均已签署，则该决议案获得通过。如要采用书面决议而不是实体会议，应在有限数目的股东或董事且可以预见没有异议的情况下使用。

上市公司

实体会议

证券及期货事务监察委员会（「证监会」）及香港联合交易所有限公司（「联交所」）根据《预防及控制疾病（禁止群组聚集）规例》于2020年4月1日发表《联合声明》，阐明上市公司举行股东大会的职责。

根据《联合声明》，所有股东大会，包括（i）《公司条例》和/或《主板上市规则》或《创业板上市规则》规定的股东周年大会； （ii）除《预防及控制疾病（禁止群组聚集）规例》外，香港上市公司的股东特别大会通常属例外。

实际技巧

(1)    与股东沟通：公司应提醒股东在公司网站上注意股东周年大会的安排。
(2)    给股东充足的时间送回代理委托书：如果股​​东不亲自出席会议，则股东可以在会议前以代理委托书进行投票。
(3)    让股东提出问题：公司应在召开会议前为股东提供以书面或电子形式向管理层提出问题的渠道，以便未能出席会议的股东仍有机会提出问题。
(4)    召开实体会议的安排：如果公司决定举行实体周年大会，则公司应缩短演示文稿或将其发布在公司网站上。如果需要休会，公司应准备会议的文稿，并提前计划休会期限，并在必要时将休会或推迟通知发给股东。此外，公司不应提供茶点。公司应确保在周年大会的场馆有消毒和其他防疫安排。
(5)    制定虚拟会议的指引：为了促进虚拟会议能顺利进行，公司应为股东准备有关虚拟会议中可能会遇到的一些实际问题的指引，例如股东在失去连接后，如何可以重新参加会议和股东应怎样投票，例如按下按钮或举手示意等，并准备任何应急计划，以防遇到技术困难。

我们预计虚拟会议在COVID-19之后的时代会继续盛行。我们建议公司应仔细计划举行股东周年大会有关措施，以符合《公司条例》和《预防及控制疾病（禁止群组聚集）规例》的规定。

Enforcing a French Court Judgment in Hong Kong

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If you have obtained a decision in your favour in an overseas jurisdiction against a Hong Kong company or individual, the key question for you would be whether or not this judgment can be enforced in Hong Kong.

A court decision cannot be enforced overseas without first being recognised by the relevant countries concerned, and Hong Kong is no exception to this principle.

French courts are issuing an increasing number of decisions against non-French companies, including many registered in Hong Kong. According to French law, to enforce a judgment by a French court in an overseas jurisdiction, there is an obligation to comply with the ‘Exequatur procedure,’ and this procedure may vary depending on the overseas jurisdictions involved.

Enforcement in Hong Kong 

The enforcement of French or other foreign judgments can be obtained in two ways: either registering the decision with the Court of First Instance or bringing a new legal action.

As far as France is concerned, the exequatur procedure that must be followed is the former – registering the decision with the Court of First Instance. There is no need to bring new legal action and start the whole process from the beginning again.

When you have obtained a conviction against a Hong Kong company, the core considerations before moving forward are the following:

1.    Is the defendant solvent in Hong Kong?
2.    Is the judgment final?
3.    Does the decision order payment of monetary damages?

If the answers to these three questions are affirmative, you can then consider the next steps to take.

Once the defendant’s solvency in Hong Kong is established, it is possible to proceed with the registration procedure, which is provided for in the Foreign Judgments (Reciprocal Enforcement) Act Cap 319. This text enables the enforcement of foreign judgments by registering decisions from superior courts in designated countries with reciprocal arrangements with Hong Kong. These designated countries include Australia, Bermuda, Brunei, India, Malaysia, New Zealand, Singapore, Sri Lanka, Belgium, France, Germany, Italy, Austria, the Netherlands, and Israel. 

Under these provisions, the beneficiary of a French court’s decision may apply to the Court of First Instance in Hong Kong for registration.

Here are some of the conditions to be met (this list is not exhaustive):

•    the decision must relate to the payment of a sum of money;
•    the decision must be final and not subject to appeal;
•    the decision must be issued by a civil or commercial court; and
•    the application must be filed within six years of the final decision from the foreign jurisdiction.

Once the decision is registered in Hong Kong, a notification will be served to the defendant, and the decision can be enforced in the same way as the decisions by local courts.

Security for Costs

A critical specificity in Hong Kong, is that the local court can ask the plaintiff seeking enforcement for security in the form of a deposit. It is well-established in Hong Kong that a foreign plaintiff may be ordered to deposit a sum in court, known as the ‘Security for costs’ when starting legal proceedings.

The security for costs aims to cover part of the defendant’s estimated litigation costs in defending an action brought by a foreign plaintiff. When the defendant successfully defends the action, the amount of its legal costs that normally would be payable by the foreign plaintiff, would be secured by the security for costs. 

Therefore, depending on the amounts involved, this can act as a deterrent for overseas plaintiffs as they may not want to have a significant financial sum locked up in Hong Kong.

As mentioned above, this procedure of registration at the Court of First Instance is only available for a specific list of countries (including France). Therefore, for other jurisdictions you should always check if the jurisdiction issuing the decision to be enforced in Hong Kong is also on this list. If not, the possibility of bringing a new legal action based on the foreign judgment remains open. 

No Requirement for Reciprocity

This procedure is possible even if the decision does not emanate from a common-law jurisdiction as there is no requirement for reciprocity. A decision rendered by a court in a jurisdiction that does not recognize a judgment made by a Hong Kong court may still be enforced in Hong Kong if all the conditions are met.

Should you wish to enforce a foreign decision in Hong Kong, and more specifically a decision issued by a French judge, it is highly recommended to contact a Hong Kong lawyer to discuss the best way forward.

Trade Mark Reviews in China – Some Encouraging Successes

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The general principles in determining whether a trade mark can be registered in China are to a large extent the same as in most other countries, considering China is also one of many jurisdictions in the WIPO Madrid International Registration system. Indistinctive or descriptive marks which fail to achieve registration in the European Union will probably have no chance of registration in China. Yet it does not mean that trade marks which are clearly distinctive and registered in most places around the world will naturally be accepted for registration in China because certain technical or special grounds can withhold registration, putting aside the relative ground due to existence of prior similar marks.

For example, a mark will likely have its registration declined in China if it comprises a country name or any foreign geographical name widely known to the public. During the course of substantive examination, the Examiner may not look at every aspect to find out if the relevant name has any other meanings or references in the whole context of the mark. Upon refusal, the Applicant will have to resort to the review process to explain and justify that the mark in its entirety can satisfy the requirements for registration.  

There are 3 scenarios where a mark comprising a geographical name may be registered: –

  1. the name has another meaning
  2. the name forms part of a collective or certification trade mark
  3. the name is not a dominant element of the mark and it only serves to indicate the corresponding place of origin of the applicant    

Marie France Van Damme

Fashion designer Marie France Van Damme uses her own personal name for branding purposes and has been trading under the mark  . However, this was initially declined for registration in Class 25 for “clothing” in China because of the word “FRANCE” within the trade mark. Ms Van Damme succeeded in the review by convincing the review adjudicator that the word “France” is generally perceived by consumers, in the context of her brand, as the name of a living person instead of referring to the country of France.  

URAL

The mark  was initially declined for registration in Class 9 for “loudspeakers” in China because of the word “URAL” in the mark being associated with the Ural Mountains located along the East European and West Siberian plains. The applicant succeeded in the review by convincing the review adjudicator that the word “URAL” can also be a surname and a specie of owl. The evidence of pre-application use of the mark by the extensive sales of the goods in China might have supported this case. However, as it is not expressly entered as a condition of registration in China whether or not a mark has been granted based on acquired distinctiveness through use, such unreported precedent gives us a useful hint or guidance that this approach can work in some cases.    

Car And Driver

Suggestive marks are often just categorically seen as descriptive marks in China. The application for   was initially declined registration in Class 4 for ‘fuels’ as the words ‘CAR’ and “DRIVER” seem closely associated with the products of “fuels” for automobiles but if we look at these words more carefully, they are not directly connected to the essential characteristics and functions of the goods. The Applicant succeeded in the review by convincing the review adjudicator that the mark as a whole is not directly descriptive of the goods sought to be registered and it is capable of functioning as a trade mark to indicate the source of origin of the goods.  

China has a tremendously high number of trade mark applications filed on a daily basis. We just need to bear with a reasonable degree of discrepancy, fluctuation and inconsistency between different examiners in assessing the inherent registrability of a trade mark. The good news is we can always rely on the review mechanism to share our views and analysis with the more senior examiners to reassess whether a mark, which is usually unique on its own, can satisfy the requirements for registration as laid down in the Trade Mark Law. We are seeing good progress as China becomes more aligned with rest of the world in the administration of the trade mark regime.  

What do we do now? – A Quick Guide to Administering an Estate

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Managing and administering an estate may be a complex matter and most people are unsure even where to begin. It is hard enough to accept the loss of a loved one. The last thing we want to do is to hurry about in search of key papers and statements, as well as information as to the proper process to handle the estate of your loved one. We see every day the stress this incurs. Here we summarise the usual procedures for obtaining Probate to validate the will and administer an estate. Hopefully this step-by-step guide can act as a starting point which could make this process simpler and more manageable. 

Step 1: Registering the Death 

After the death you should first register such at the registrar of births and deaths and obtain a death certificate. You will need to produce a medical certificate of the cause of death to obtain the death certificate. 

Step 2: Making Funeral Arrangements 

After the death certificate has been obtained, you may begin making funeral arrangements.  

If there is a will (as further explained below), it is the responsibility of the person named therein as executor(s) to arrange for the funeral. It is possible that the deceased may have indicated his/her wishes in the will as to their preference for burial or cremation. The executor should take into account such wishes when making funeral arrangements. 

The expenses incurred in arranging the funeral and disposal of the body is payable from the deceased’s estate. However, it is usually not permitted to deal with the deceased’s assets at this early stage as a has not been obtained from the Probate Registry. Therefore, in practice, the family members of the deceased will pay for such expenses and be reimbursed from the estate after a grant of representation is obtained.  

Step 3: Looking for a Will and Inspection of Safe Deposit Box 

You should check carefully to see whether the deceased made a will and if there is a will, whether it is the latest will or if it has been subsequently revoked. (This step can be taken earlier so that the deceased’s family members will know whether there is an executor to handle the funeral arrangements.)  

You could start by checking the personal documents of the deceased and/or enquiring with the deceased’s other family members. Often, you will also have to check the deceased’s safe deposit box.  

To gain access to the safe deposit box, the following individual could make an application to the Director of Home Affairs for a Certificate for Necessity of Inspection of Bank Deposit Box: 

  1. An executor or one of the executors of the deceased; 
  2. A person who is entitled to administer the estate; or 
  3. The surviving renter if the safe deposit box is jointly rented by the deceased with another person.  

After the certificate of inspection is obtained, the holder of the certificate should make an appointment with the Secretary for Home Affairs and the bank for inspection of the safe deposit box.  

If a will is found in the safe deposit box and the holder of the inspection certificate is named as the executor under the will or the holder is the surviving renter of the safe deposit box, the holder can remove the will after taking a copy and returning the copy to the safe deposit box. The holder should also make an inventory of the contents in the safe deposit box.   

If there is no will found or if there is a will but i) the holder of the inspection certificate is not the executor, or ii) there is no executor appointed in the will and the holder is not the surviving renter of the safe deposit box, the bank staff should immediately close the safe deposit box after obtaining a copy of the will (if any) and giving the copy to the public officers. 

It should be noted that you should not remove any item, save and except a will (if possible), from the safe deposit box during inspection.  

Step 4: Obtaining Grant of Representation 

Thereafter, it is usually necessary to obtain a grant of representation in order to deal with the deceased’s assets.  

If the deceased passed away with a will appointing an executor, the executor should apply for a Grant of Probate. If the deceased passed away without a valid will (e.g. no will was found or the will has been revoked), persons entitled e.g. wife, children should apply for a Grant of Letters of Administration.  

The application for a grant is made to the Probate Registry of the High Court using specific forms supported by relevant documents, including:- 

  1. An affirmation or affidavit by Executor/Administrator; 
  2. An affirmation or affidavit verifying the Schedule of Assets and Liabilities, and the Schedule of Assets and Liabilities of the deceased in Hong Kong as at the date of death, together with other supporting documents (e.g. death certificate of the deceased, will of the deceased, certificate showing the relationship of the applicant and the deceased, filing fees etc.)   

After making the application, the Probate Registry may raise requisitions on the application to obtain further information or seek clarification. If the Probate Registry is satisfied with your answers to the requisitions, the grant will be issued.  

Step 5: Distribution of the Estate 

After the grant of representation is obtained, the personal representative of the estate (i.e. the executor under the will or the administrator appointed if there is no will) will first need to collect the assets of the deceased under the estate and then make payment of the deceased’s debts, funeral and other expenses in relation to the estate. Thereafter, the estate may be distributed accordingly.  

If there is no valid will, the administrator should distribute the estate in accordance with the Intestates’ Estates Ordinance. The order of entitlement depends on the relationship of the surviving relative with the deceased. (It should be noted that the rule of intestacy only benefits people who have direct blood relations with the deceased and does not benefit unmarried partners, step-children (unless legally adopted) and in-laws.  

For example, if the deceased leaves a widow/widower only but leaves no children, parents or other close relatives, then the surviving spouse is entitled to the whole of the deceased’s residuary estate. Another example is where the deceased leaves a spouse and a child, the surviving spouse is entitled to all of the deceased’s personal chattels, and a sum of HK$500,000 from the residuary estate, thereafter, if there is any remaining asset, it would be divided in half and distributed equally between the surviving spouse and the child of the deceased.  

On the other hand, if there is a valid will, the executor should distribute the estate in accordance with the deceased’s wishes under the will. In the event that there is partial intestacy (i.e. where there is a will which does not completely dispose of the deceased’s assets), the Intestates’ Estates Ordinance will govern the distribution of those undisposed assets.  

Conclusion 

The above is only a brief summary of the process of handling one’s post-death matters and dealing with the deceased’s estate. In reality, complications may arise in any stage of obtaining probate and administering the estate. If you have any questions regarding the above or would like to obtain further information on our probate and estate planning services, please contact one of the members of our Probate and Estate Planning team.   

This article is for information purposes only. Its contents do not constitute legal advice and readers should not regard this article as a substitute for detailed advice in individual instances. 

March 2021

OLN IP 的蔡柏坚律师在2021年WTR 1000中获得认可

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恭喜OLN IP常务董事蔡柏坚律师，在2021年世界商标评论1000 – 全球领先的商标专业人士在“起诉和战略”银牌领域中获得认可。

蔡柏坚律师最近加入我们的法律和商业解决方案平台，担任OLN IP Services（OLN IP）的常务董事，是一间由高李严律师行扩展在知识产权领域服务的新公司。 OLN IP是一家顾问公司，可为知识产权公司提供量身定制, 具商业触觉的法律意见和知识产权资产组合管理。

在此再次祝贺蔡柏坚律师获得认可。

关于OLN IP

OLN IP顾问公司致力于为知识产权拥有者提供量身定制, 具商业触觉的法律意见，从协助基于技术的知识产权，商标，版权，专利和外观设计，到持续管理知识产权资产。 OLN IP由蔡柏坚律师担任常务董事以及宋静妍律师领导，两位均为知识产权领域的资深人士, 并得到了我们香港和上海办事处经验丰富的知识产权专家团队的支持，他们共同以深厚的经验和丰富的知识为客户提供适合其业务需求的细微而精确的知识产权建议。

OLN IP是香港律师事务领先的高李严律师行之子公司，我们在香港和中国大陆设有办事处，自1987年以来依赖其对专业卓越的承诺推动了增长和发展。

2021年3月

香港商标走向国际化

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作者：蔡柏坚,顾问

香港预计在2022年底或2023年初正式接受WIPO马德里体系下的国际商标注册(International Registration / IR)。 多年来香港沿用完全地域性的商标注册制度, 即香港注册的商标只在香港地区内有效。当香港引人IR后，香港居民或在香港注册成立的公司可以指定其在香港注册的商标，在马德里网络内全球选定的多个国家或司法管辖区进行扩展注册, 免除了日后在其他国家提交申请。 海外商标拥有人亦可指定其在所属国家的商标注册扩展至在香港，以节省他们在香港独立注册的需要。

2020年6月19日，《2020年商标（修订）条例》生效，为马德里体系下商标的管理和审查铺平道路。 香港知识产权署（IPD）已修订商标法及实务，并藉此机会简化或修改某些程序、工作流程及手续要求，使商标拥有人及其商标服务供货商能更轻松及方便地提交商标注册申请。  

下面的图表说明了已经实施的或快将实施的更改。

过去现在或不久的未来好处
申请表只需提供申请人的名称和地址。除了其名称和地址, 申请人需要在申请表中注明所属的国家和州份（对于美国）。这有助于在官方记录确定商标申请人或拥有人的原居地和注册地位。
严格要求在先商标的拥有人签署的同意书正本。现在，同意书的扫描件或复印件已可满足并解决基于在先前商标的相对拒绝理由。这节省了申请人等待来自国外邮寄的同意书正本的时间以及在先商标拥有人邮寄原件的需要，特别是在新冠肺炎限制期间。
支持巴黎公约优先权要求所需经认证的优先权档（在第一个申请国签发的申请摘要）。除非注册处特别要求外，免除提交核证优先权档的需要。这为申请人节省了安排申请签发经认证优先权档的时间和费用。
商标注册处将保留申请人较早的并具有不同的地址和以前的地址注册商标，并以该商标提出相对拒绝后期提交商标申请的理由，除非申请人在登记册中所有相关商标申请地址更改。现在，当由于地址差异而被引用为相对拒绝的在先商标时，申请人不需要为自己的在先注册商标（带有不同的地址）记录地址更改。申请人或其代理人可以简单地以书面形式通知注册处，申请人与所引用商标的所有者是同一实体（以文件证明为准）。这为申请人节省了为其旧商标记录作出更改的费用。
所有反对表格和文件必须打印，签名并在商标注册处提交。现在可以通过注册处在线门户网站提交反对通知书和延期反对申请。这样可以节省反对人或其代理人在办公时间内到注册处办公室提交反对档的需要。
除非一方选择提交书面陈述, 所有在商标注册处举行的均亲自进行。聆讯可以通过纸面、口头或视频会议或其他电子方式进行。这应对了过去一年的新冠肺炎社会距离要求。
以不使用为由寻求撤销第三方注册商标的申请人通常必须通过聘请私人调查员进行市场情报来提供不使用的初步证据。在不久的将来，寻求撤销第三方注册商标的申请人在提交不使用撤销申请时, 将没有义务提供不使用的初步证据。 证明商标的实际使用是拥有人的责任，以捍卫其不使用申述。这节省了申请人进行撤销申请前, 通过聘请私人调查员的费用和时间，而该费用可能是相当昂贵的。

商标注册处仍在制定《2021年商标（修订）规则》。 我们将密切留意商标注册制度的更新，并向您提供有关信息。

2021年2月26 日