法律文件翻译—《公司章程》翻译项目报告 Translation of Legal Document Translation Project Report of Memorandum of Association

法律文件翻译一《公司章程》翻译项目报告

Translation of Legal Document Translation Project

Report of Memorandum of Association

 

法律翻译受到两种语言不同的国家文化和法律系统的制约,不能 看作是从原语到目的语的简单转码,而是在两种法律体系之间进行转 换(Sarcevic, 1997:13),其中就涉及到包括法庭文件、公司章程、案 例报告、出生证、合同等不同种类的法律文本。

法律翻译有着相当长的历史渊源,对于人类文明的发展也起到了 不可磨灭的促进作用。因此法律翻译研究不仅在学术界受到重视,甚 至在政治、经济和社会等也拥有举足轻重的地位。

这篇论文是基于实践而写成的《公司章程》翻译项目报告,以目 的论为指导,通过对原文的分析和对翻译过程的剖析,验证了翻译理 论对于翻译实践的指导意义。

第一章描述了翻译项目的背景和客户的要求,并从内容、特点和 香港和内陆法律体系的不同点出发分析了项目性质。介绍了该报告的 目的、意义和局限性,并讨论了报告写作手法和法律翻译的相关文献。

第二章中介绍了该报告的目的、意义和局限性,并讨论了报告写 作手法和法律翻译的相关文献。

第三章大致总结了翻译工作开始前的准备工作,包括翻译工具的 使用、翻译理论的确定以及翻译进度的安排。

第四章从法律翻译原则的角度出发详细阐述了翻译过程,并以 《公司章程》的原文为材料,分析了计算机辅助翻译在法律翻译中的 应用,大胆推测了计算机辅助翻译在未来翻译行业中的广泛应用。

第五章是典型问题分析,通过典型例子的分析总结了法律文件中 情态动词、常用表达和长难句的分析和可行的翻译方法。

最后,文章总结了翻译过程中的学习心得,为法律翻译实践提出 了一些可行的建议,并大胆展望了计算机辅助翻译的应用前景。

关键词:翻译报告,公司章程,目的论,计算机辅助翻译,问题和解 决方案

 

Abstract

Legal translation is bound by the culture and system of each language; it is not merely transcoding between the source language (SL) and the target language (TL), but also “translation from one legal system into another – from the source legal system into the target legal system^^ (Sarcevic, 1997:13). It involves all the legal texts that are used in various legal settings, whether it is a court, a national or international organization, a law book, a legal report, a birth certificate, a contract, etc.

Legal translation, with a long history, plays a critical role in the development of human civilization. Nowadays, legal translation exerts even greater influence on our life with the increasing international cooperation. The significance of legal translation lies not only in the academic area, but also in the political, economic and social areas. Legal translation needs both much practice and the guidance of translation theories.

The present report is dedicated to the translation of the articles of association for an international company. With the text of “Memorandum and Articles of Association of XXX Capital Limited“ as the main investigative data, this report attempts to scrutinize translational strategies and translational processes within the prerequisite methodological

 

framework of “Skopos Theory^^.

The Skopos Theory provides a function-oriented theoretical framework for translation studies, according to which, four important rules are brought forward, i.e., the Skopos rule, the coherence rule, the fidelity rule and the loyalty rule. In this theoretical framework, the translator plays a crucial role in the translation process.

This report, which endeavors to describe the translation of Memorandum and Articles of Association of XXX Limited in a comprehensive and systematic way, attempts to demonstrate the influence of translation theories on translation practice.

Chapter One describes the background of the translation project and the requirements of the commissioner. This chapter analyzes the nature of the translation from aspects of the content, features and the difference in legal systems.

Chapter Two, which briefly introduces the present report with statement of the problem, defines the purpose and significance of the present report. Description of methodology and literature review lays the foundation for the analysis of the source text.

Chapter Three outlines the pre-translation work, i.e. the selection of translation tools, the adoption of translation strategy and the making of translation schedule.

Chapter Four explains the language decoding and encoding process

 

from the angles of the translation principles followed during the whole process. In this chapter, the author makes an attempt to demonstrate the applicability of CAT in legal translation.

Chapter Five is the illustration of major problems facing the author in the project. This chapter explains in detail the translation of the modal verb “shall”, four commonly used conjunctions, and the processing of long and complex sentences.

The Conclusion part makes a summary of major content of the report and points out practical solutions for different translation difficulties.

This report will appear more practical than theoretical in that it endeavors to depict a translation project with plenty of practical details to demonstrate that translational decisions (general translational orientations on the one hand, and more specific translational strategies on the other) ultimately depends on the nature and the type of source text, and that the translator may resort to translation techniques to overcome difficulties during translation process.

Key words: translation report, memorandum of association, Skopos Theory, CAT, problems and solutions

Contents

摘要 II

Abstract IV

Contents VII

Introduction 1

  • Survey of the Translation Project of Memorandum of

Association 2

Encoding 40

Conclusion 72

Notes 76

Bibliography 77

Appendixes 79

Acknowledgements 101

攻读学位期间主要的研究成果 102

 

Introduction

The importance attached to the documents of the law has meant that most studies of legal translation have been devoted to questions of terminology, while pragmatic and functional considerations tend to be disregarded. The purpose of the present study is to display how pragmatic and functional considerations have an important role in legal translation and should be taken into account in the determination of translation strategies. The data is the source text (in English) and translation (in Chinese) of Memorandum of Association of a company registered in Hong Kong. This thesis, which endeavors to analyze the practical problems met in legal translation, i.e., translation of company ordinance, proposes possible solutions for future legal translation practice. In the present study, the author also makes an attempt to apply CAT in the translation process. The experiment has demonstrated that CAT is a viable tool in legal translation practice.

 

Chapter 1 Survey of the Translation Project of
Memorandum of Association

On January 30th, 2013, Nanjing College Translation Co., Ltd. contacted the author for a translation project from English to Chinese. The source text is Memorandum of Association of a company incorporated in Hong Kong (the name of the company is required to be anonymous due to the concerns of the commissioner and shall be referred to hereinafter as Company A) with over twenty thousand words. The deadline of the project was February 20th, 2013, leaving the author 20 days to finish the task. After the submission of the translation, the professional reviser of College would proof read it and present feedbacks on possible improvement to the author. After the improvement of the translation according to the feedbacks on the author’s part and the final acceptance of the translation by College, the project would then be regarded as finished.

  • Requirements of the Commissioner

Skopos theory (Nord 2001: 88) specifies that when assigned with a translation task, the translator should be furnished with a “translation brief with detailed instructions on the purposes and requirements of the translation, including expected functions, target readers, reception time and place and dissemination medium, etc.^^.

College Translation Co., Ltd. provided the author with a model to refer to as of the style and dictation of the translated text. Their requirements were as follows: the translation should be finished before the deadline; the translation should be accurate, fluent and not difficult to read, without any bumpy sentences or those that do not make any sense; the translation should be easy to understand for the target readers, i.e. the end user, a company incorporated in the mainland of China (the name of which should be anonymous due to the concerns of the commissioner and shall be referred to hereinafter as Company B) seeking to engage in business cooperation with the company that is defined by the Memorandum of Association’, the translation should be in MS Word form with appropriate layout.

The feature of legal texts in terms of style, structure and vocabulary is not the only contribution to the difficulties facing translators of legal texts. Translators are also expected to convey the meaning not only of words but of the legal system. One standard of a proper translation is that it has “the same impact on the TL audience as the original text has on the SL audience”, what Nida and Taber (1969: 57) call “dynamic equivalence”. Therefore, the following questions should be answered by the translator: Who is the intended audience? What is the purpose of the text? As Hammond (1995:235) points out, uwhat a translated text is going to be used for has much more bearing on how translators should approach the translation than does the foreign-language original”.

In the preliminary stage of a translation, the translator should find out who is to be the recipient, or reader, of the translation and for what purpose it is to be used. As for legal translation, one critical question should be: is the translation for informational purposes only, or will it be legally binding on the TL receptor? After inquiries, the author was informed that the translation discussed in this thesis was one for information only and it would not be legally binding on the TL receptor. The following details concerning the translation task were collected by the author.

 Source Text (English)Target Text(Chinese)
FunctionUsed as part of the incorporation and helps to specify the relationships between the new company and the rest of the world.To provide reference for Company B seeking to engage in business cooperation with the company and to have a full background check of that company.
TargetMembers of the companyMembers of a company

 

Readersincorporated, authorities in charge of the company’s incorporation and those whose interests may have been involved in itseeking to engage in business cooperation with the company incorporated under this Memorandum of Association.
Time of

Reception

In July, 2008 when

Company A was

incorporated in Hong Kong under the Companies Ordinance (Chapter 32).

The translation work will not be published. The Company B wished to read the translation as soon as possible for reference in decision making. The translation should be finished within 20 days.
Place of

Reception

The text is only available to those whose interests are closely linked with it.The translation will only be circulated among those who need it for reference among the members of Company B.
Vocabulary

List

None.A bilingual glossary
PurposeDefine the nature and course of the companyProvide references to

Company B for decision

 incorporated and specify the duties and rights of all members involved and other issues rendered necessary.making.

 

With the above-listed infonnation, the author may begin the translation with a clear purpose, making it possible for the selection of translation theory and approaches and the arrangement for translation schedule.

  • Source Text of the Project

The source text is the Memorandum of Association of a company incorporated in Hong Kong. Hong Kong Companies Ordinance is enforced by the Company Registry of Hong Kong, the major functions of which include the incorporation of local companies; the registration of oversea enterprises; the registration of documents required to be submitted by registered companies; the deregistration of solvent, defunct private companies; the prosecution of companies and their officers for breaches of the various regulatory provisions of the Hong Kong Companies Ordinance; the provision of facilities to inspect and obtain company information; and advising the Government on policy and legislative issues regarding company law and related legislation, including the Overall Review of the Hong Kong Companies Ordinance1.

  • Content of the ST

In general, the memorandum of association in Hong Kong covers the following issues: incorporation of companies and matters incidental thereto; share capital and debentures; distribution of profits and assets; registration of charges; management and administration; winding up; receivers and managers; general provisions as to registration and others. It is useful for investors to be aware of the objectives of the company, amount of authorized share capital, whether the liability of the members is limited or not, how the company invests the money and utilize it, how it will work according to the objectives incorporated in it, etc. It is the document required to be filed with the Registrar of Companies for incorporating a company The ST at hand includes several of the abovementioned elements, i.e., share capital and debentures, management and administration, distribution of profits and assets, and winding up.

In the establishment of a new company, a memorandum of association is a type of business document used as part of the incorporation and helps to specify the relationships between the new company and the rest of the world. Required as part of the documentation, a memorandum of association is imperative for incorporation in a variety of nations, including India, United Kingdom, and Ireland, etc. Due to the execution of “one country, two systems^^ policy, the legal framework of Hong Kong is based on the English common law, supplemented by local legislation.

One of the functions of a memorandum of association is to define the scope of external activities that the business will engage in once it is properly incorporated. The text provided a general concept of what the business will provide in terms of goods or services. The essential information within the Memorandum of Association is to focus on stating that a certain group of individuals desire to start a business that is legally incorporated and are wish to share capital so that the activities of the company can be funded. Apart from identifying the name, the permanent business address and the type of the company they desire to form, it also defines what the partners will receive in return for their investment, such as shares of stock and dividends. The Memorandum of Association also indicates exactly what the company will do as part of the business operation.

  • Linguistic Features of the ST

Harvey (2002:17) argues that legal translation combines the

“”inventiveness of literary translation with the terminological precision of technical translation”. According to the argument given by Harvey, the task facing translators of legal documents is particularly challenging with the involvement of lexical incongruities, syntactic complexities, textual dissimilarities, and system and cultural differences. The features of the ST discussed in the following section may also be regarded as the difficulties facing translators of legal texts and illustrated in that angle.

  1. Lexical Properties

Cao (2007:29) argues that “the absence of equivalent terminology across different languages necessitates the constant comparison between the legal systems of the SL and TL”. According to this argument, legal translation from. English into Chinese is even more difficult on account of the difference between the English (here in the case of the Memorandum of Association of this thesis, the law system of Hong Kong is based on the English common law) and the Chinese legal systems, as well as the difference between the language systems of the two. The lexical difficulties of this translation are as follows:

  • Archaic Vocabulary

The language of legal English is abundant in “old and Latin words dating back to the Middle Ages” (Haigh, 2004: 42). Archaic expressions borrowed from old English, and are not normally used in modem Standard English, except fbr legal documents and perhaps poetry, are one of the distinctive features of legal language. Words such as, hereof thereof, and whereof (and further derivatives, including -at, -in, -after, -before, -with, -by, -above, -on, -upon, etc.) are not often used in ordinary English. They are used in legal English primarily as a way of avoiding the repetition of names of things in the document, very often, the document itself for example, “the parties hereto” instead of *’the parties to this contract*’. Moreover, phrases like “ad hoc, de facto, pro rata, inter alia, ab initio, mutais mutandis, etc.” are expressions with Latin origins2.

Due to the absence of direct equivalents in Chinese, archaic words cause difficulty in translating English legal discourse into Chinese. The translator of legal texts may try to understand them conceptually rather than translate them literally.

  • Formal Words and Expressions

Mellinkoff (1963: 11-13) believes that the use of “fbrmal words” is a distinctive feature of the language of law. They are characterized by being “dignified, ceremonial, and polite expressions”. The preference of “shall’1 over “will’* is seen as a fbrmal feature in “Law shall prevail”. In legal drafting, non-standard terms are never used. Instead, highly fbrmal words are usually employed. For instance, the word “deem” instead of “consideF’,

 

the word ttliable^^ instead of “responsible” (ibid).

  • Diction with Dififerent Meanings from Everyday Usage

Legal documents involve common terms with distinctive legal meaning such as ”redemption, prefer, hold, and power”. These words may require more alertness and more efforts on the part of the translator as he/she may need to analyze relevant texts and consult authoritative information or personnel to for their legal meanings.

Abstract diction is another crucial aspect in the field of legal translation. Although words like “right, interest, fhvor“ are commonly used in daily life, in legal text they are subject to many interpretations. Garre (1999:116) argues that “the translator must consider the differences of meanings that these terms may have in general and in a legal context”. A translator shall not convey any more or any less meaning than the word does in the ST. For any interpretation the word may have in the original text, the translator shall not take the initiative towards disambiguating it.

  • Doublets and Triplets

According to Van Dijk, there is “a curious historical tendency in legal English to string together two or three words to convey what is usually a single legal concept” (1981: 285). Examples of doublets in legal discourse include “will and bequeath”, “cease and detest”, “null and void”,“fit and proper”, etc. Such constructions must be treated with caution, since “sometimes the words used mean exactly the same thing fbr practical purposes, and sometimes they do not quite do so” (ibid: 286).

  • Functional Words

Functional words like prepositions and conjunctions are used to relate between major elements of the sentence and also, sentences themselves. In legal English, two msyor groups of functional language are employed: adj ective/adverbial groups (e.g. hereinafter, forthwith, etc.); and conjunctions and prepositional phrases (e.g. prior to, in accordance with, in respect without prejudice to and subject to, etc.).

Functional words may pose difficulties fbr translation due to the fact that they may not have equivalents in Chinese. In this case, the context of these words shall be closely examined and sometimes literal translation or paraphrase may be used.

  1. Syntactic Features

At the sentence level, legal English sentences are “almost without exception, complexn (Crystal and Davy 1986: 203). In terms of this aspect, Garre (1999:116) brings up the following questions: “How should the translator or the legal professional deal with variances in sentence and

 

text structures in different structures?^^ Syntactically, the source text in the project is characterized by the following features:

  • Syntactic Complexity

English legal text is characterized by the “excessive use of long and complicated sentences,, (Cao, 2007: 19). Sometimes, a whole paragraph may be a long complete sentence. Thus, the TL may be peculiar with a sentence consists of a number of subordinating and coordinating clauses which, in turn, are joined by many subordinating and coordinating conjunctions.

Farghal and Shunnaq (1999: 55) argues that, “the ability to cope successfully with syntactic discontinuity which is a characteristic feature of legal texts, constitutes a key gate to finding one’s way smoothly through the text.” They believe that parenthetic clauses are the reason behind syntactic discontinuity. The employment of conditionals like “when, should, provided that, on the condition that“ and other conditionals and phrasal verbs like “put down and enter into, to grant or procure, to purchase or otherwise acquire and hold^^ etc. adds more to the difficulty of legal translation (ibid: 57). These conditionals and phrasal verbs should be decoded and encoded carefully since they are vague in meaning and do not follow specific grammatical rules.

Long and complex sentences often lead to ambiguity of legal

 

discourse. The structural ambiguity is purposefully made to “create uncertainties and also for diplomatic reasons^^ (Harvey, 2002:181). Misinterpretation of structures like this may lead to mistranslation. Harvey adds that “ambiguity, then, is an integral feature in legal discourse and should be rendered in translation^^ (ibid: 183).

The extremely frequent employment of long sentences is one of the prominent characteristics of legal discourse, which leads to syntactical complicatedness and semantic abstruseness. According to Introduction to English Stylistics, **the length of sentences in legal English is far longer than the average length of ordinary English sentences – 17 words in one sentence^^ (Wang Zuoliang & Ding Wiangdao, 1985:287). In this aspect, “an average sentence length of 26 words“ is raised by professionals as an “admirable objective for a drafted document” (Haggard, 2004: 248, quoted in Huang Yongping, 2004: 207).

As Liu Miqing (1985: 159) puts it, “there are two basic problems concerned with the translation of long sentence, first of which is the difference in lexical order between English and Chinese, second of which is the difference in ways of expression between the two languages”. Translators often follow the same structure of the ST in the translation on purpose by translators. This technique, however, may sometimes result in subjectivity or lack of accuracy. A sentence with a complex structure may be divided into independent and dependent clauses in translation,

 

simplifying the understanding of the main information given in each sentence.

In the case of syntactic ambiguity, conventional solutions in the treatment of problems similar to those existing in the translation process at hand should be resorted to. That is to say, advice should be sought and genuine solutions should be researched for.

  • Passivization

Active voice is generally accepted to be more forceful and concise than the passive voice. According to Hu Zhuanglin (1994: 32), “high frequency of the passive voice“ in a particular style indicates that such style “lays stress on the fact itself and objectivity^^. English legal discourse is the most famous fbr the excessive manipulation of passive forms that are used to obscure the agent. As remarked by Henry Weihofen (1961: 233), “the passive voice is not only weak in mood, but also is hard to define definite meanings and cause ambiguities”. The large quantity of passive sentences used in English legal discourse is determined by “its objective and impersonal style” (ibid: 244), causing considerate difficulties for the translators since Chinese does not prefer passive voice. The translator, therefore, should turn to adaptation. One example in this aspect is the following sentence extracted from the ST of Memorandum of Association:

If any share certificate shall be worn out, defaced, destroyed or lost, it may be renewed on such evidence being produced as the Directors shall require, and in case of wearing out or defacement, on delivery up of the old certificate, and in case of destruction or loss, on the execution of such indemnity (if any), as the Directors may from time to time require.

  • Impersonality

Legal texts are typically cast in the third person. According to Haigh (2004: 37), it is “inappropriate to use he/she in a document to refer to a person whose sex is unknown?, In such cases, gender-neutral pronouns such as “anyone, everyone and no one“ may be used.

III.Textual Coherence

Textual features of two languages render the translation in general and legal translation in particular difficult between them. According to Liu Miqing (1985: 89), “English and Chinese are different both linguistically and orthographically, including the conjunctions, cohesion, layout and the punctuation system”. Besides, upper case, i.e. capital letters, is employed in English, while not in Chinese. The following issues, however, are the problems that pose serious difficulties in legal translation.

  • Repetition

Although repetition and reference are cohesive devices that are both employed in Chinese and English legal discourses, the way they are handled in the text is quite different. As remarked by Haigh (2004: 33), “the amount of repetitious words tends to be reduced in English, as long as the meaning may be retrieved and no ambiguity is caused”.

For example, in the following paragraph extracted from the ST:

Every share certificate shall be issued under the Seal and shall specify the number and class of shares, and, if required, the distinctive numbers thereof comprised therein, the amount paid up thereon and, if appropriate, whether such shares carry no voting rights.

the words “thereof, therein, and thereon59 are used to avoid repetition in

English legal text. At the same time, the precision of reference is not sacrificed. Their employment also poses difficulty ifi the interpretation of

the ST, and naturally, in the translation of the ST, since there are no equivalent expression in Chinese that may be resorted to.

Moreover, pronominalization is prevalent in in English legal text so as to avoid repetition. For example, in the the paragraph below,

Any person becoming entitled to a share in consequence of the death or bankruptcy of a member may, upon such evidence being produced as may from time to time properly be required by the Directors and, subject as hereinafter provided, elect either to be registered himself as holder of the share or to have some person nominated by him registered as the transferee thereof, but the directors shall, in either case, have the same right to decline or suspend registration as they would have had in the case of a transfer of the share by that member before his death or bankruptcy, as the case may be.

four pronouns are used, i.e. ”him, himself his and they”. “They” clearly indicates “the Directors”; “him” and “himself’ refer to any person entitled to the share; while the person indicated by the word “his” is “the member deceased or bankrupted”. In situations like this, the indications of references shall be carefully analyzed for the accuracy of translation.

On the other hand, repetition is not always avoided in English legal text, especially when repetition is necessary for the ruling out of ambiguity and sometimes, necessary for the solemnity of legal text. For example, in the expression “The Company may make arrangements on the issue of shares for a difference between the holders of such shares in the amount of calls to be paid and the time of payment of such calls”,the word ucalls^^ is used twice to avoid ambiguity.

  • Punctuation

Another primary characteristic of English legal texts is the absence of punctuation. Crystal and Davy (1986: 197) argue that “legal documents were usually made as a solid block of script whose long lines are from margin to martin and there were no patterns of spacing or indentation to indicate the limits of the paragraphs or the relation between them. It was common for draftsmen to compose an entire document in the form of one single sentence,,. Although the Plain English Movement has been vehemently advocated in the past decades, this ancient of writing is, somehow, still followed in legal discourse today. One example in this aspect is the following extract:

The Compgmy may by ordinary resolution cancel any shares which at the date of the passing of the resolution have not been taken or agreed to be taken by any person and diminish the amount of its authorized capital by the amount the shares so cancelled.

  • Parallelism

As remarked by Haigh (2004: 76), “parallel structures are frequently employed in the ST, especially where the rights and obligations are stipulated in extreme detail”, posing difficulties for the translation work. Three types of parallel structure may be summarized in the ST: parallel words, parallel phrases and parallel clauses. For example:

To undertake any part of the undertakingproperty and

assets (parallel words) of the Company among its creditors and Members in specie or in kind (parallel phrases) but so that no distribution amounting to a reduction of capital may be made without the sanction (if any) for the time being required by law.

In the following paragraph:

Subject to sections 49 to 49s of the Ordinance, the Company may purchase its own shares (including any redeemable shares) in order to:

  • settle or compromise a debt or claim:
  • eliminate a factional share or fractional entitlement:
  • fulfill an agreementin which the Company has an option or is obliged to purchase shares under an employment share schemes which has previously been approved by the Company in general meetins;
  • coridIywith an order of court under section 8(4), 47G(6), or 168A(2) of the Ordinance. (parallel clauses)

This thorough review of the characteristics features of legal language serves to introduce the peculiarities of the source text in the present report, so that the translation principles and strategies, introduced later on, are appreciated and justified. Though most of these features are still present in modem legal texts, the way they are dealt with in translation is gradually changing to suit the demands of clients and target text receivers who may ask the translators to do away with the binding force of the legal text altogether. In today’s world, the modem legal translator is exposed to new demands such as, “new functions and new communication goals that he/she should strive to cater to** (Sarcevic 1997: 98).

 

  • Description of the Report

Legal texts have always been accorded the status of sensitive texts and been treated as such. The approaches to legal translation have been mostly oriented towards the preservation of the letter rather than effective rendering in the target language. A challenge to the unquestioned application of a “strict literal“ approach to legal translation came only in the nineteenth and early twentieth centuries (Sarcevic 1997: 24). Thus, a change in perspective occurred with a gradual shift towards a more flexible attitude, increasingly characterized by recipient-orientedness. In this context, the translation of a legal text will seek to achieve “identity of intended meaning between original and translation”, i.e. “identity of propositional content as well as identity of legal effects” (Sager 1993: 180).

In actual practice of legal translation, the criteria guiding the translator’s choices are prevalently functional, in that account is mainly taken of the function that the translated text will have to perform in the target culture. Hence, in the translation of Memorandum of Association, a type of business document regulating the relationships between the new company incorporated and the rest of the world, the original document agreed upon among the parties is not necessarily authoritative in the target culture. The source text offers the input on the basis of which “a new autonomous text is created in the franslation language taking into account mainly the needs of the final users and the requirements of the contexf5 (Garzone 2003: 8).

  • Literature Review

One of the pioneering studies in the language of law frequently referred to in the literature is that carried out by Mellinkoff in 1963. In his book, Mellinkoff was concerned with what the language of the law is. He investigated the history of legal language, and then he brought the language of the law down into the practice through the description of its characteristics and mannerisms.

Leo Hickey (1998:224) argued that any translation of a legal text must be able to “aflfect its readers the way the ST was able of doing to its readers”. She wrote, “The translator must ask herself how the original text reader would have been affected and ensure an analogical TT reader will be affected similarly by his reading of the text but not by any other means^^ (Hickey 1998:224-225).

The above studies ignored pragmatic factors related to legal discourse. Approaches that extensively stress the sensitivity of legal texts may contribute to the creation of misconceptions about legal translation. In other words, they lead to the depiction of legal translation as a process of “interlingual transfer within an array of restrictions^^ (Sarcevic 1997:2).

Newmark, another theorist of general translation to comment on legal translation, noted a difference between the translation of legal documents for information purposes and those, which are ^concurrently valid in the TL community^^. He suggested that “literal or semantic translation”, as he referred to it, is necessary concerning “‘foreign laws, wills, and conveyances translated for information purpose only” (2001: 42). On the other hand, he stressed that “the formal register of the TL must be respected in dealing with documents that are to be “concurrently valid in the TL community (EEC law, contracts, international agreements, and patents)^^ (ibid: 45). In Newmark’s view, such translations require the “communicative approach55 that is target language-oriented (ibid: 47). In this aspect, Newmark is one of the few linguists to recognize that the status of a legal text is instrumental in determining its use in practice.

According to the Skopos Theory of translation introduced by Vermeer, “the prime principle determining any translation process is the purpose (Skopos) of the overall translational action^^ (Nord 1997, 27). The translation procedures adopted for Memorandum of Association, are subordinate to the pragmatic conditions they have to meet. However, strict literal translation is not necessarily the rule for this category of texts. In a context that is characterized by the absence of legal validity of the

 

translated version, there may be situations where a free approach can be taken, if the aim is only that of making the addressee of the target text aware of the function of the original in the source-language culture.

In her book New Approach to Legal Translation (1997), which contained a comprehensive survey of legal translation., Sarcevic wrote, in connection with parallel legal texts, uWhile lawyers cannot expect translators to produce parallel texts which are equal in meaning, they do expect them to produce parallel texts which are equal in legal effect. Thus the translator’s main task is to produce a text that will lead to the same legal effects in practice” (1997: 71).

As indicated by Sarcevic, uthe basic unit of legal translation is the text, not the word” (ibid: 5). Terminological equivalence has an important role to play, but ‘legal equivalence’ used to describe a relationship at the level of the text may have an even greater importance (ibid: 48).

Sarcevic suggested that “the traditional principle of fidelity has recently been challenged by the introduction of new bilingual drafting methods, which have succeeded in revolutionizing legal translation^^ (ibid: 78). Contrary to freer forms of translation, legal translators are still guided by the principle of fidelity. However, their first consideration is no longer fidelity to the source text but to ”guarantee the effectiveness of multilingual communication in the legal field5* (ibid: 16). The translator must be able “to understand not only what the words mean and what a sentence means, but also what legal effect it is supposed to have, and how to achieve that legal effect in the other language” (ibid: 70-71).

  • Statement of the Problem

Translating legal texts is regarded by many researchers as one of the most arduous endeavors, ”combining the inventiveness of literary translation with the terminological precision of technical translation^^ (Harvey 2002). This is mainly due to the specificity of legal language and, in particular, the system-bound nature of legal terminology. Legal documents entail specific laws, rights or obligations, their language layout and diction should be precise, expressive and can have no other interpretations apart from the ones stated. Unlike literary language, legal language needs no ambiguity or figures of speech. “Written legal documents are characterized by brevity, economy and neatness, which are intended to prevent fraud, additions, omissions or alterations in the text” (Crystal and Davy 1969).

Like other disciplines, legal translation has its own vocabulary and may be regarded as a discipline on its own. The text is formulated in a “special language or sublanguage that is subject to special syntactic, semantic and pragmatic rules” (Sarcevic 1997:8). Therefore, a legal translator should be able to use language effectively to express legal actions and achieve the desired effect. For this to be achieved, the translator’s goals should not be confined to lexical or syntactic precision, but, more importantly, one should strive to integrate pragmatic considerations into the overall communicative process.

  • Purpose of the Report

This report aims at demonstrating how pragmatic and functional considerations are important in legal translation and should be taken into account in the selection of translation strategies. It argues that legal translation involves more than terminological and syntactic issues. It is not “a mere process of linguistic transcoding^^ but “an act of communication in the mechanism of law” (Sarcevic 1997:55). The report addresses the significance of context as a determinative factor in the process of communicating the intended meaning through translation. Another proposition to be scrutinized is that CAT may be a useful tool for translators to achieve efficiency and accuracy in legal translation practice.

  • Significance of the Report

The significance of this report lies in the fact that there is a paucity of research on legal translation, especially the translation of Memorandum of Association from a communicative angle. In general, the literature on legal translation is meager indeed. Most of the significant reference textbooks on legal translation are solely devoted to questions of terminology, while textual and pragmatic considerations tend to be ignored. This report presents a recommendation that may provide for a more adequate and integrated output, as regards function, and pragmatic considerations. It may conform to previous studies by appraising the language of law, though more thoroughly. However, the analysis of the language of law is directed towards demonstrating how such standardized legal language features can still be tamed to serve the ultimate goal of successfully communicating the message across languages as intended and as commissioned.

Moreover, the report has made an attempt on CAT in legal translation, pointing out a promising trend in the future development of legal translation.

  • Description of Methodology

This report is analytical and is validated through empirical and observational results. The author will devote a significant part of my thesis to peculiarities of legal texts. The representative data will be the original text of Memorandum of Association of a company registered in Hong Kong and the translation of the ST by the author herself. The analysis of the data is conducted through examining and comparing how the author approached problematic areas of legal translation in the practice. The advice for improvement given by the translation company that commissioned the author for the translation work is also analyzed to have pragmatic and functional implications. In addition, the report explores the applicability of Skopos theory to legal translation.

 

  • Pre-translation Work
    • Translation Aids

Dictionaries and online dictionaries that may be referred to include: Merriam-Webster’s Collegiate Dictionary (Eleventh Edition), Duhaime’s Law Dictionary, Black’s Law Dictionary, The Oxford Companion to Law, Cambridge Dictionaries Online, Latin-English Dictionary, etc. Online resources concerning laws, regulation and legislature of Hong Kong are resorted to as well, such as the online Bilingual Laws Information System of the Department of Justice provided by Hong Kong government3.

A translation of articles of association similar to the translation assigned to me was provided by the commissioner fbr reference. Thought the content is completely different from that of the source text in the present report, the writing style and legal genre of the translation hold some values fbr reference.

  • Translation Theory Adopted

The present translation project, as has been discussed in the Chapter Two, is fbr informational purposes, i.e. its function was to provide reference for a Company B seeking to initiate business cooperation with Company A. The translation of the project will only be circulated among those who need it for reference among the members of Company A, without legal binding effect on the target readers.

In this aspect, legal equivalence in the TT will not be a mandatory criterion on the translator. In order for the function of the TT to be guaranteed adequately in the target context, a translation theory and appropriate strategies should be applied.

The behavior of a translator is inevitably “confined by rigidly codified linguistic practices” (Sarcevic 1997: 261). The translator has to make corresponding changes so as to guide his decisions throughout the project. In this aspect, the guidance of functional considerations should be prevalent.

  • Approaches to Legal Translation

Although the translation of legal texts enjoy a long history, legal translation has long been “neglected in both legal and translation studies” (Sarcevic 1997: 55). Considered as one of the many branches of special-purpose translation, legal translation is often overlooked due to its alleged state of subordination. In this age of multilingualism and communication revolution, the legal translator plays a major role in the process of communication within diverse legal systems. “Translation of legal texts leads to legal effects and may even induce peace or prompt a war” (Sarcevic 2000: 1). Due to the current freedom of social, political and economic interaction between people from all over this global village, the demand for legal translation is more pressing than ever.

Traditionally, translation has been considered as an interlingual transfer process. As defined by Catfbrd (1965: 1), translation is “an operation performed on languages: a process of substituting a text in one language fbr a text in another.” Liberated from the constraints of traditional translation constratints, the translator is “no longer a passive mediator whose main task is to reproduce the source text (Wilss 1988a:3; Honing and Kussmaul 1982: 14 cited in Sarcevic 1997: 3). Translation is now regarded as a “cross-cultural event” (Snell-Homby 1988:46) and the translator as an “active participant in the communication process.” The translator is a “text producer who creates a new text on the basis of the communicative factors of reception in each situation” (Sarcevic 1997: 3).

The translation procedures adopted fbr legal texts are subordinate to the pragmatic conditions they have to meet. However, strict literal translation is not necessarily the only rule fbr this category of texts. In a context that is characterized by the absence of legal force of the translated version, there may be situations where a free approach can be taken, if the aim is only that of making the addressee of the target text aware of the function of the original in the source-language culture. In this case, the

 

function of TT is completely different from that of the ST.

Sarcevic (2003) attempts to provide a theoretical basis for legal translation within the framework of modem translation theory. She argues that:

Like other areas of translation, the translation of legal texts is (or ought to be) receiver-oriented… legal texts authenticated in two or more languages are interpreted and applied by courts in various plurilingual jurisdictions. It is not concerned so much with methods of interpretation but rather with the implications of decision-making process of translators. Above all, it attempts to show how translation strategy is affected by the communicative factors of reception in bilingual and multilingual jurisdictions. Since the success of an authentic translation depends on its interpretation application in practice, the ultimate aim is to encourage interaction between translators and the judiciary (ibid: 1).

Sarcevic (2003) regards translation as an act of communication between text producer and receiver. She draws a distinction between direct receivers of legislation, which include all persons affected by the particular instrument, and indirect receivers who are the specialists who have the authority to interpret and apply such instrument. Thus, in a plurilingual setting, the translator is the third participant in this process of communication. Translation of legal documents including Memorandum of Association is authoritative only if they have been approved by the law. All authenticated translations are just as binding as the original text. Hence, they are not regarded as translations (Sarcevic 2000:20). In order for that to happen, they should be equal in meaning, function and intent.

  • Introduction to the Skopos Theory

Skopos is Greek for “aim” or “purpose”. It was first introduced by Hans Vermeer as a technical term referring to the “purpose of translation and the process of translating” (Reiss and Vermeer, 1984: 30). Like other texts, a legal text is a ”communicative occurrence produced at a given time and place intended to serve a specific function,) (ibid: 33).

Hans Vermeer postulated his Skopos theory to identify the function of translation as the main criterion for determining the translation strategy, thus having modernized translation theory by offering an alternative to traditional translation. Vermeer’s Skopos theory departs from tradition by recognizing translations in which the function of the target text differs from that of the source text. According to Vermeer, “the source and target receivers always differ because they inevitably belong to different linguistic and cultural backgrounds^^ (Nord 1988: 49, cited in Sarcevic 1997: 79).

The theory regards “the addressee^^ as “the most important factors in determining the purpose of a specific translation^^ (Reiss and Vermeer, 1984: 103), i.e. the intended receiver of the TT. The purpose of the translation should be the focus above all and determine the translation methods and strategies employed so that “a functionally adequate result may be produced55 (ibid: 104). Therefore, the perspective of the target readers should be bom in mind by the translator throughout the translation process, that is, what the function of the TT is and what the target readers, demands are.

The Skopes Theory generally includes three major rules, i.e. skopos rule, coherence rule and fidelity rule.

  1. Skopos Rule

Skopos is a Greek word for “aim” or “purpose”. The skopos rule is top-ranking for any translation, stating that the action of translation is determined by its skopos; or as Reiss and Vermeer puts it, “the end justifies the means” (Reiss and Vermeer, 1984: 101). The skopos rule is also stressed by Vermeer himself as a general rule, that translation strategies and methods are determined by the purpose and intended function of the target text. He explains the rule as follows: utranslate\interpret\speak\write in a way that enables your text\translation to function in the situation in which it is used by the people who want to use it and precisely in the way they want it to ^unction^^ (ibid: 107).

  1. Coherence Rule

The coherence rule regulates that “the target text must be interpretable as coherent with the TT receiver’s situation” (Reiss and Vermeer 1984: 113). Given the circumstances and knowledge of the target readers, the translation should be done in such a way that it is coherent for the TT receives; i.e., it should be sufficiently coherent with the communicative situation and culture of the target text for the TT readers to understand it.

In this aspect, the source text is no longer the only authority in the translation process. Instead, it has been reduced to be merely one source of information for the translator.

  • Fidelity Rule

Translation is primarily for the purpose of offering information. Some relationship should be bom between the TT with the ST. The relationship is termed by Vermeer, Uinter-textual coherence^^ or “fidelity”. It is later referred to as ufidelity rule“ by Reiss and Vermeer in 1984 and postulated as yet another principle in the Skopos Theory. The fidelity rule states that “(coherence must be present between the translation and the corresponding source text” (Reiss and Vermeer 1984: 118), or to be more precise, between the translator and the following: The source text information received by the translator;

The interpretation the translator makes of this information;

The information that is encoded for the TT receivers (Jeremy Mundy 2001:79).

Among the three major rules, fidelity is considered subordinate to coherence rule, while the both are subordinate to the skopos rule. The

Skopos Theory provides translators and researchers a broader and brand-new perspective for translation practices, especially fbr the translation of practical texts, since in this theoretical framework, the translator is regarded as a crucial role in the translation process.

3.2.3 Applicability of the Skopos Theory in the Project

Advocates of the functionalism approach claim their theories to be “comprehensive” and may be applied to all types of texts to vote fbr the applicability of this approach to legal translation (Vermeer, 1982:99). Hans Vermeer himself, the founding father of the approach, specifically advocates his Skopos theory to be “applicable to legal translation” (Reiss-Vermeer, 1984: 158), and backs up his idea with practical examples of its validity fbr specific text types.

One example that Vermeer proposes fbr the application of Skopos theory to legal translation is the translation of an insurance contract. If the translation is to have legal validity in the target country, it will require a legal equivalence approach, while if it is commissioned by a client who aims at gaining a better understanding of the source text, the translation will simply be a footnoted explanation of the original. In other words, it is the function the target text is expected to perform in the target context that will determine the translation strategy used in the process of translating. What the Skopos states is that one must translate in accordance with some principle respecting the target text. The theory does not state what this principle is, but it must be “decided separately in each specific case” (Vermeer 1982:228). This means that how to translate a text is not determined by the characteristics of the source text, but the functional characteristics of the target text in the target text situation.

One of the advantages of the skopos theory is that “it allows the possibility of the same text being translated in different ways according to the purpose of the TT and the commission given to the translator” (Munday 2001:80). Just as claimed by Garzone, in spite of all the criticism this theory received, broadly speaking, a functional approach is “not only feasible, but also effective in legal translation thanks to its breadth and flexibility” (2003: 6-7).

This section of the chapter explores the applicability of the Skopos Theory to legal translation. Though it may not be the only viable solution for legal translation, the Skopos Thoery is effective as well as recommendable in light of its flexibility and comprehensiveness.

3.3 Translation Schedule

For the specific nature of the source text that has been discussed in Chapter Two, the translation may be graded as difficult, for the peculiar lexical, syntactical and textual features of English legal texts. The work discussed in the first two sections of this chapter was done in the first two days of the project. The author became familiar with the source text, the most commonly used structures and patterns and translation strategies in the treatment of similar texts. Words and expressions that have appeared most jfrequently in the source text, and those that have special meaning in concrete contexts and critical for the understanding of the whole source text should be extracted, listed, and assigned appropriate translations after consultancy and elaboration on the part of the translator. The last two days of the project should be reserved for post-editing and troubleshooting for problems left unsolved during the translation.

Apart from the four days reserved fbr pre-translation and winding up work, there are 16 days left for the main part of the task, language decoding and encoding. The total number of words is a little more than 20,000 (since the original text is in PDF, the actual number may not be calculated). Therefore, an average of 2000 words translation each day shall be more than enough on the condition that the quality of the translation be guaranteed.

For the concerns about the consistency of translation of terminology, a glossary shall be kept to list the translation of key words, abbreviations and phrases. In terms of the importance of terms in specialized texts, Arsentyeva argues that:

Terms constitute 20-30% of the whole vocabulary of such texts… Terms always tend to be used in their primary logical meaning, as they indicate with precision a particular scientific concept and particular objects. Hence no problem of polysemy arises (with only some exceptions).

Neutral words constitute the majority of the vocabulary of scientific style 960-70%) with some proportion of common literary vocabulary, including such learned words as: approximately, respectively, indicate, in consequence of, etc. (about 10%).

Academic science and technology are also characterized by a high degree of nominalization, which finds its expression in the abundant use of nominal groups.4

Segments of the ST that may not be assigned correct or appropriate translation for the time being shall be marked for the convenience of future deliberation.

In accordance with the translation schedule, the rate of progress is properly regulated and may, therefore, be guaranteed. Though variations may occur during the actual translation process, the overall progress shall be ensured with the aid of the schedule.

 

Chapter 4 Translating Process

  • Principles Followed in. the Process of Language Decoding and Encoding

With the guiding principle and strategies for translation have been determined, the author proceeded with the major part of the project, i.e. the decoding and encoding process.

Under the guidance of the Skopos Theory, the conduction of the translation and the determination of the translation strategies for The Memorandum of Association are based on several issues: to whom the translation is addressed; preservation of the information content so that the translation may be informative (the translation discussed in the present project is for informative purpose, i.e. intended to provide information to the target readers); realization of the communicative function of the translation (it is commissioned by a client who aims at gaining a proper understanding of the source text); and considering the situational factors of the particular communication process.

Skopos Theory stresses that ^communication is only effective when the purpose for the translation is achieved” (Reiss and Vermeer, 1984: 103). In fact, the condition that the translation is for information only has, to some extent, reduced the difficulties of the translation, since the TT is not legally binding on the target readers. Moreover, requirements of the end users (who are not legal professionals) states specifically that it should be easy to understand.

In an effort to present the translating process in an organized way, the author will illustrate the process from the angle of concrete principles followed. With Skopos Theory as the guiding approach for translation, the basic principles for this translation task may be summarized as follows: accuracy and precision; consistency and identity; clarity and concision; and professionalism.

  • Accuracy and Precision

Accuracy has long been recognized as a principle in translation, although the degree of accuracy is diversified in different kinds of translation5. In the translation of literature, especially that of poems, accuracy is often sacrificed to achieve certain effects in rhyme, rhythm, and rhetoric, etc. Discount in linguistic equivalence is also popular among the translation of news, ads and others. In legal translation, however, lack of precision (both on the level of sentence structure and that of lexical selection) may result in serious legal consequences. The solemnity in the drafting of legal documents somehow determines the strictness of legal translation. In respect of the precision of legal documents, David

Mellinkoff puts it this way:

  • •,that opposing themselves to “the inherent vagueness of languages^^, lawyers make many attempts at precision of , 6

expression.

Henry Weihofen also touches on the topic of precision principle in legal writing and its significance:

The lawyer must be more precise in his writing than almost anyone else. Most writers can expect their work to be read in good faith, that is, with an honest desire to understand what was meant. But the lawyer must write in constant fear of what we might call the reader in bad faith, the man looking for loopholes in the contract so as to avoid liability fbr his failure to perform, the disappointed heir who wants the will read in a way that would defeat the testator5s intention, the criminal defendant who wants the statute interpreted so as not to cover his act, and all the others who will want to twist the meaning of words fbr their own ends.

Examples of accuracy and precision as a principle fbr legal translation are given in the following to demonstrate its importance.

To enter into any commercial or other arrangements with any government, authority, corporation, conwany or person and to obtain or enter into any legislation, orders, charter, contracts, decrees, rights, privileges, licences, franchises, permits and concessions fbr any purpose and to carry out, exercise and comply with the same and to make, execute, enter into, commence, carry onprosecute and

defend all stepscontracts, agreements, negotiations, legal and other proceedings, compromises, arrangements and schemes and to do all other acts, matters, and things, which shall at any time appear conductive or expedient for the advantage or protection of the Company.

In Example 1, groups of coordinate components (including those of nouns and verbs) are integrated to illustrate as many legal situations as possible so as to avoid ambiguity. It is necessary, therefore, to distinguish these words so that the differentiation in their meanings may be manifested in the translation.

Example 1 may be translated as follows:

政府、当局、社团、公司或个人达成任何商业安 排或其他安排。为任何目的,达成任何法律、命令、特 许状、合同、法令、权利、特权、许可、特许权和授权执行、实施并且遵守以上所涉及的安排。制定、实施、 贯彻并维持所有的措施、合同、契约、协议、法律诉讼 和其他诉讼、认购、安排和方案,所做之事都应从公司 利益出发。

To draw, make, accept, endorse, negotiate, discount, execute, issue, purchase or otherwise acquire, exchange, surrender, convert, make advances upon, hold, charge, sell and otherwise deal in bills of exchange, cheque, promissory notes, and other negotiable instrument and bills of lading, warrantes* and other instruments relating to goods.

开立、制作、接受、背书、转让、贴现、执行、发 行、购买或获得、交换、交出、转化、预付、持有、收 费、销售或交易汇票、支票、本票和其他可转让票据、 提单、认股权证和其他与商品有关的文书。

 

Since parallel structures are prevalent in the source text, the principle of accuracy and precision requires the translator to scrutinize the distinctions between the coordinate parts and select the appropriate equivalence fbr them in the target language.

4.1.2 Consistency and Identity

The use of synonyms and synonymous expressions to avoid repetition is popular among literature and other genres of daily writings. In legal writing, however, the same diction for the same concept throughout the whole text is highly recommended. As stressed by Henry Weihofen in Legal Writing Style, u… exactness often demands repeating the same term to express the same idea. Where that is true, never be afraid of using the same word over and over again. Many more sentences are spoiled by trying to avoid repetition than by repetition.”8

The principle of consistency dictates that the same express沁n should be used to for one legal concept or idea throughout the translation; while the principle of identity requires that the same expression be used for key words throughout a legal text and be identical with the possible (if any) definitions given by the governing law concerning the key words. Therefore, the execution of consistency and identity principle in the translation project is to guarantee that legal concepts and ideas are kept identical within one legal text and between the legal text and the official definition so as to avoid the bad faith of some people to look for

loopholes in the text.

Problems in the application of consistency and identity principle have been pointed out by some scholars. Zhong Ren and Wu Juan listed some examples of undesirable translations, one of which is the treatment of the verb “规定”of “法律规定”in General Principles of the Civil Law of the People’s Republic of China into Ustipulate^^ (Art. 72), “specify” (Art. 52), uprescribe^^ (Art. 64), and “require” (Art. 65) etc. Another example is the translation of “禁”in the Fisheries Law of the People’s

Republic of China into “shall be prohibited^^ and “shall be fbrbidden,,.n

One example from the present project may be the translation of the

phrase “such securities^^ in Example 3.

To do all and any of the above matters or things in any part of the world and either as principal, agent, contractor, trustee, or otherwise and by or through trustees, agents, or otherwise and either alone or in conjunction with others, and generally upon such terms and in such manner and for such consideration and security (if any) as the Company shall think fit including the issue and allotment of securities of the Company in payment or part payment fbr any property acquired by the Company or any services rendered to the Company or as security for any obligation or amounts (even if less than the nominal amount of such securities) or fbr any other purpose.

作为负责人、代理人、承包人、受托人或以其他身 份,通过受托人、代理人或其他人之手,单独或与他人 合作,在世界各地以公司认为适宜的条件、方式,并出 于公司认为适宜的考虑和安全性保障(如果有的话)执

行上述所有或部分事项,其中包括公司因购买某项财产、 获得某项服务或作为对某种义务或某笔金额(即使该金 额少于所发行或分配证券的面值)的保证或出于其他目 的而发行或分配证券,从而全部或部分用来支付前述款 项。

According to the context, the phrase “such securities“ refers to the securities that is issued or allotted by the Company in payment or part payment. Therefore, the simple translation of “该证券”will be insufficient in terms of the consistency and identity principle.

In this aspect, the list of glossary (attached here as Appendix One) kept throughout the translation process helps reduce the efforts exerted to guarantee the consistency and identity of the TT, especially for the consistency and identity of words, phrases and even sentence patterns that appear more than once in the source text, such as “instrument”, “undertaking”, “liability”, “without prejudice to” and “as the Company shall think fit/proper / as they may deem fit”, to name a few.

The frozen style adopted by legal writing may actually reduce the difficulties in legal translation to some extent, as high frequency dictions are highly recommended to be translated into the same expression throughout the legal texts. With the context of the source text taken into consideration, the words and phrases listed in the previous paragraph may be translated into “文书”,”承诺,,,“债务/责任(depending on the specific context)”,“在不影响…的原则下”,and “公司认为合适的…” respectively and unanimously throughout the translated text.

 

Moreover, there are also some “defined terms^^ in the source text that have already been assigned a fixed translation in the practice of legal translation. Most of the “defined terms^^ tend to be specialized vocabulary in a particular industry field, or terminology. For example, words and phrases like “quorum”, “payment by installment^^, ^transfer of shares”, “share warrants” “debenture”, “dividend”, and “nominal value” etc. Their equivalences are “法定人数”,”分期付款”,”股份转移”,“认股权证”, “债券”,”股息”,and “面值Translation of the modal “shall” and commonly used sentence patterns will be fully examined in Chapter Four.

4.1.3 Clarity and Concision

In general, legal language is “the most formal and the most standardized language” (Mellinkoff, 1963: 56). Since the primary purpose of legal writing is to communicate, the language of legal writing has to be clear as well as precise so that legal writings, as a reliable media between the legislature and the people, may express the will of the ruler in a precise and effective way.

Translators of legal documents are not entitled to rewrite the source text, but we are obligated to translate it clearly and precisely according to our own. understanding of it. Even though long and complex sentences are prevalent in the ST, we do not have to follow suit in the TT since short sentences for complicated thoughts are recommended for legal drafting in Chinese. Moreover, the target readers of the present project are not professionals. They expect the TT to be plain and easy to understand. Therefore, complex sentences in the ST should be analyzed and divided into several simple sentences with all the main ideas. The short sentences may then be translated into the target language so that the information provided by the ST may be easily accepted and understood by the target readers.

However, clarity and concision often go hand in hand. No translators of legal document should try to achieve clarity at the cost of concision. While redundancy is not a test for clarity or obscurity, a removal of excessive wordiness may help clarify the meaning of legislation. Since legal drafters often include several major ideas in one long and complex sentence, readers may experience confusion and even misunderstand the texts. Therefore, short sentences for complicated thoughts in drafting the legal documents are recommended in legal translation. In this aspect, concision may be seen as a necessary supplement to the principle of clarity. The application of the clarity and concision principle may be demonstrated in the following example:

Every member shall, without payment, be entitled to
receive within two months after allotment or lodgment of

an instrument of transfer duly stamped, or within such other period as the conditions of issue may provide, a certificate for all his shares of any particular class, or several certificates, each for one or more of his shares, upon payment of such fee, not exceeding two dollars fbr every certificate after the first, as the Directors shall from time to time determine, provided that in the event of a member transferring part of the shares represented by a certificate in his name a new certificate in respect of the balance thereof shall be issued in his name without payment and, in the case of joint holders, the Company shall not be bound to issue more than one certificate fbr all the shares of any particular class registered in their joint names.

The translation is as follows:

盖章后的转让文书发出后两个月内或股票发行期 内,各股东可免费收到一份或多份股份证书,每份证书 针对一种或多种股票。每份证书收费两美元以下。如某 一股东转让了其名下某一证书的部分股份,公司须为剩 余股份免费签发一份证书;如为联名持股人,公司只需 为联名登记的股份签发一份证书。

Compared with the source text, the translation above is more clear and concise in that main ideas of the ST are expressed in short sentences in the TT.

  • Troubleshooting and Wind-up Work

The work for troubleshooting and winding up should start when the main part of the translation has been completed. At this stage, decisions should be made concerning unsolved problems of the translation, i.e., the

 

treatment of expressions with ambiguity or several possible interpretations. Final polishing should be completed in terms of sentence patterns and paragraph structure. Under the guidance of the Skopos Theory, the translation should be finally polished so that it is easy to understand for the end users. In order for this to happen, sentence structures should be adjusted so that it is compliant to the reading habits of Chinese readers who are not professionals in legal language.

A grammatical check of the translation should be done with the help of Microsoft Word to make sure that no grammatical mistakes exist in the translation. The layout of the translation should also be rechecked to make sure that it is proper and convenient for reading.

Following the above-mentioned work, the translation was submitted to the commissioner. The professional reviser of College Co. proof-read it and offered me suggestions on possible improvement. The feedback of the reviser is valuable in that it furnishes the author with a fresh and professional perspective to improve the quality of the translation. Concrete suggestions and advises are as follows.

The translation still need polishing since the translation is constricted by the form of the source language, which is especially the case with the translation of long and complex sentences. Over constraint to the ST decreases the readability of the target text. The suggestion on the improvement of the following translation is an example:

ST: If any part of a sum called in respect of any shares or any instalments of a call be not paid before or on the day appointed for payment thereof, the person from whom the sum is due shall be liable to pay interest on the outstanding part thereof at such rate as the Directors shall determine from the day appointed for the payment of such call or instalment to the time of discharge thereof in full; but the Directors may, if they shall think fit, waive the payment of such interest or any part thereof.

The original version:如关于任何股份或分期付款的 金额未在规定日期缴清,则欠款人须支付未付清款项的 过期利息,利率由股东自该笔金额应付之日起至全部付 清之时止决定。董事会亦可在其认为适宜的情况下全部 或部分放弃该利息。

The improved version:如催款到期时仍未付清,则 欠款人须自到期之日起至付清之日止对所欠部分支付利 息,利率由董事会确定。在适宜的情况下,董事会亦可 免除该笔利息的全部或部分金额。

Apparently, the translator made a mistake as to the function of the adverbial clause of time, ufrom the day appointed fbr the payment of such call or instalment to the time of discharge thereof in fulF,. The clause is attributive to “shall be liable to pay“ instead of “shall determine^^. Moreover, compared with the original translation, the improved version is more concise and accurate in meaning, making the target text easier fbr the target readers to understand. Following the patterns exemplified above, the author revised the translation in the present project from beginning to end and finished the work in time.

  • Attempt on CAT in Legal Translation

The application of computers to the task of translating from one natural language into another for the assistance of translators in their work has become in recent years a major commercial enterprise. A multitude of translation softwares are now available on the market, offering a wide range of systems for mainframes, for workstations, and for personal computers. Among them is SDL Trados, one translation software recognized and accepted in China. However, the absence of a working translation memory (TM) poses one major obstacle for the application of Trados, for without a finely functional TM, the software is as much as a motor without fuel.

Due to the absence of a working TM, Trados is not suitable for the present translation project. The CAT (computer aided translation) tool used in the project is “Google Translate55, a free online language translation service provided by Google.

  • Preliminary Results of Machine Translation

One may open the interface of “Google Translate” on Internet Explorer, set the mode to translation from English to Chinese, and enter the ST in the diagram on the left side and click “Translate”. The output is to be shown in the box on the right side. For the purpose of exploring

CAT in legal translation, three results are presented below.

ST 1: If any part of a sum called in respect of any shares or any instalments of a call be not paid before or on the day appointed fbr payment thereof, the person from whom the sum is due shall be liable to pay interest on the outstanding part thereof at such rate as the Directors shall determine from the day appointed fbr the payment of such call or instalment to the time of discharge thereof in full; but the Directors may, if they shall think fit, waive the payment of such interest or any part thereof.

Output 1:如果任何部分的总和称为不就任何股份或任何一个呼叫分期支付 指定付款日期之前或当天,应当承担支付利息,未偿还部分的总和,是应为人从 作为董事应确定该汇率有关催缴或分期支付获委任之日起的时间放电全面;但董 事可能,如果他们认为合适,豁免支付该等利息或任何部分。

ST 2: On the trial or hearing of any action fbr the recovery of any money due fbr any call, it shall be sufficient to prove that the name of the member sued is entered in the Register as the holder, or one of the holders, of the shares in respect of which such debt accrued; that the resolution making the call is duly recorded in the Minute Book; and that notice of such call was duly given to the member sued in pursuance of these Articles; and it shall not be necessary to prove the appointment of the Directors who made such call, nor any other matters whatsoever, but the proof of the matters aforesaid shall be conclusive evidence of the debt.

Output 2:在审讯或聆讯的任何款项的回收任何呼叫的任何行为,应足以证 明起诉成员的名称中输入的注册持有人或持有人之一,股就有关债务决议,使通 话分钟书正式记录,催缴通知已正式发给依据这些章程起诉股东;不得必要的证 明董事任命谁做了这样的电话,也没有任何其他事宜,但上述事项的证明应是债 务的确凿证据。

ST 3: No member shall, unless the Directors otherwise determine, be entitled to receive any dividend, or, subject to the Ordinance, to receive notice of or to be present or vote at any general meeting, either personally or by proxy, or to exercise any privileges as a member, or be reckoned in a quorum, until he shall have paid all calls or other sums for the time being due and payable on every share held by him, whether alone or jointly with any other person, together with interest and expenses (if any).

Output 3:任何成员不得,除非董事会另有决定,有权收取任何股息,或受 该条例的规定,收取通知或出席任何股东大会或于会上投票,不论亲自或委派代 表或行使任何特权成为会员,或计入法定人数,直到他应支付他每持有一股股份 到期及应付的所有催缴或其他款项的时间,无论是单独或与任何其他人共同,连 同利息及费用(如果有的话)。

The translation results given by Google Translate are not appropriate, whether in terms of diction, order or sentence structure. However, they are not completely undesirable, for all the m句or information of the source text have equivalence in the output. Post-editing work is rendered necessary at the moment.

  • Editing and Modification

First, the misinterpretation of terminology shall be corrected, i.e. mistranslation of “discharge” in ST 1, “call” in STs 1 and 2, “Minute Book” in ST2 and “member” in ST 3. Given the context, the four expressions should be translated into “履行”,”催缴”,”会议记录”,and “股东”respectively. Mistranslation of terminology is common with translation software that does not support the selection of TM (translation). In this aspect, Trades is advanced with the support of TM selection for the translation of texts with different genres. For example, when the ST is maintenance manual fbr a punching compressor, the operator may select mechanical dictionary, mechanical glossaiy, and the like in the TM for reference, thus confining the interpretation of terminology to the context of usage in mechanics.

Second, misinterpretation of meaning groups should be corrected. For example in ST 3, “shall be entitled to receive“ is divided by an adverbial clause. The coherence of the predicate in ST is disrupted, resulting in the equivalence of “不得有权收取“in Output 3. The

 

mistranslation should be corrected with “不得获得

Third, dependent and independent clauses should be reorganized in an order that suits the reading habits of the target receivers, which is especially necessary for legal translation, due to the frequent employment of long sentences in legal discourse. Two basic problems exist in this aspect – the difference in lexical order between English and Chinese and the difference in ways of expressions between the two languages.

For example in the ST 3, the adverbial clause of condition, “unless the Directors otherwise determine”, is inserted between the subject and the predicate. Insertion is common in English for English language is quite flexible with the position of adverbial clauses. In Chinese, however, the adverbial clauses of condition are often placed in the beginning of a sentence. In the TT, the equivalences of the prepositional phrase “subject to the Ordinance^^ and the adverbial clause of time “until he shall have paid all calls or other sums…” should be placed in the beginning of the sentence.

Finally, the sentence structure of the preliminary output should be adjusted for the target text to be sufficiently coherent with the communicative situation and culture of the target text fbr the TT readers to understand it. For instance, the order of the two clauses and one prepositional phrase in the TT 3 at the beginning of the sentence in TT should be rearranged in accordance with the reading habits of the Chinese readers. The improved version of Output 3:

根据条例规定,除非董事会另有规定以外,任何股东如在催缴到期时仍未缴 清其个人或联名股份上的股款、利息和任何费用(如果有的话),则不得获得股 息,不得接收通知,不得亲自或委派代表出席股东大会或于会上投票,不得行使 股东特权,也不得计入会议法定人数。

This section has explained in detail the post-editing work fbr machine translated result, laying the foundation fbr the analysis of the applicability of CAT in legal translation.

  • Prospect of CAT in the Translation of Legal Documents

In respect of the three results given by “Google Translate”,it is obvious that the outputs are not satisfactory in lexical interpretation, syntactical organization or the sentence structure. However, the truth is “Google Translate,5 conveys enough of the gist of the ST to indicate what type of information the ST contains. Besides, the somehow complete translation of the contents of the ST, especially that of words and phrases, may save the time of the translator fbr tedious and rudimentary work.

Moreover, “Google Translate^^ may hardly be recognized as one assistant medium fbr machine translation among the refined MT tools, such as EMBT (Example-based MT, first proposed as long ago as 1981 [Nagao 1984: 96]) and corpus-based MT. For tools that support the selection of TM, with the accumulation of enough viable TM, the

 

translator can locate and re-use already translated sections, thus adding speed and efficiency in translation work, which is especially the case with legal translation due to the frozen style and the somewhat fixed diction selection of legal discourse.

CAT has several other advantages. With the support of CAT, terminology and defined terms in legal context will be better managed and translated throughout the text with consistency. Due to the same or very similar diction selection of legal texts, identical or similar sentence patterns will be replicated in the translation, guaranteeing consistency in the target text. Besides, since redundant work in the processing of legal phrases, clauses and sentence patterns that tend to be used repeated in legal documents are managed by the machine, translations will be turned around more quickly and the time and efforts of the translator will be reduced to a large extent.

To sum up, CAT is a viable tool to be applied in legal translation with the support it provides to the translators. It may be safe to conclude that CAT will be a general trend in the future works of translation, though its application is not prevalent at the time being. In the foreseeable future, with the accumulation of viable TM and the refinement of techniques in text analysis and sentence organization, CAT may be indispensable in translation practice, if not completely taking over the job of translators.

Chapter 5 Solutions of Major Problems

Vermeer^ Skopos theoiy advocates fidelity not to the meaning of the source text but to the function of the 面”get text. The translation project in this report is target-oriented, since its skopos is to provide information for the target reader.

Since the translation discussed here involves a source text of more than twenty thousand words, it is impossible to cover the translation of each and every sentence in the present report. This chapter, therefore, will explain the translation process in respect of the most representative issues for the genre of the source text, i.e. the translation of the modal verb, “shall”, commonly used conjunctions, and long and complex sentences. In order to fulfill the communicative functions of the translation and to preserve the main infbnnation of the source text, the translation of the following major issues shall be paid due attention to and be carefully handled.

5.1 The Translation of “ShaH”

There exist 11 modal verbs in English, namely wcan/could, may/might, must, have to, shall, should, would, ought, dare and need^^. Among them, “shall, may and must” are the most frequently used in legal texts, and “shall“ may be the most difficult to handle in terms of translation. Though seldom used in colloquial language, “shaU” is still widely employed as one major component of the vocabulary of legal discourse.

According to Fung and Watson-Brown (1994; 27), many experts believe “’shall’ can be equivalent to ‘must, have to, be to (do), be required to’”. The debate over the translation of “shall”, however, has never stopped and no persuasive conclusion has been reached yet.

Since legal language features monotonous diction and rigid sentences, the consistency and identity principle dictates identical translation of the same expression throughout the target text.

One may easily find that “shall“ is normally translated into Chinese as the following:“应,须,应当,将,可,要,and 必须“when browsing through the existing bilingual legal materials. In terms of the degree of the mandatory modality,“应当”is the strongest, while “要”is the weakest. In between are “须,应,可,要,and 将In fhct,”将”is without mandatory connotation and simply refers to a concept of time in the future, while “要” is quite colloquial fbr its mandatory connotation.

In a legal context, the word “shall“ often implies an order, obligation, duty, right, privilege, or a promise etc. when it is used together with the third person. Theoretically, “shaU” may be translated into “必须The problem, however, is that “must” is often the equivalence of “必须”as a convention in legal translation. Although the translation of “shaU” into “可,要,and 将“may be found in the exiting official documents, the three Chinese words are not ideal choices fbr the lack of solemnity or the colloquial nature.

“须”and “应”may be the common and the standard equivalence of “shall“ in Chinese for the appropriate delivery of the mandatory connotation of “shall”, following the trend of simplification in legal drafting. However, situations where “shall“ is handled with zero translation or appears in verb phrases are exceptions.

Zero translation of “shall“ may also be found in the translation process, i.e. situations where “shall“ is not translated in the target text. For example:

Subject to the provisions of these Articles, the Company shall not, except as required by law, be bound by or required in any way to recognize any contingent, future, partial or equitable interest in any share or in any fractional part of a share, or any other right in respect of any share, or any other claim to or in respect of any such share on the part of any person (even when having notice thereof) except an absolute right to the entirety thereof in the registered holder.

据章程规定,除法律另有规定,本公司不承认任何 股票或零股所附的衡平法上的权益、或有权益或部分权 益或(即使接到通知)个人对该等股票的索取,注册股 东享有的总体绝对权利除外。

Moreover, phrases like “shall be entitled or “shall have the option are generally translated into “有权” and “有权选择” respectively, in which case the connotation of “shall” is omitted in the translation. In situations where “shall” is used in the passive voice, it tends to be translated as “不得For example:

ST: No member shall, unless the Directors otherwise determine, be entitled to receive any dividend, or, subject to the Ordinance, to receive notice of or to be present or vote at any general meeting, either personally or by proxy, or to exercise any privileges as a member, or be reckoned in a quorum, until he shall have paid all calls or other sums for the time being due and payable on every share held by him, whether alone or jointly with any other person, together with interest and expenses (if any).

TT:根据条例规定,除董事会另有决定,任何股东如在 催缴到期时仍未缴清其个人或联名股份上的股款、利息 和任何费用,则不得获得股息,不得接收通知亲自或委 托代理人出席股东大会或行使表决权(代表其他股东除 外),不得行使股东特权,也不得计入出席会议的法定人 数。

To sum up, as the most frequently used modal verb in the source text, the ideal equivalence of “shall” in Chinese may be “须”and “应As a matter of fhct,“须”and “应”are employed in the translation practice of the present project, with 58 and 102 times of appearance respectively in the target text.

5.2 The Translation of Prevalent Conjunctions

Legal language features some conjunctions that may be seldom used in daily life, making legal discourse solemn and mysterious, thus causing great difficulty to the interpretation and consequently, the translation of legal documents. However, it is now more frequently seen that that these conjunctions tend to be used repeatedly in legal discourse, due to the consistency and identity principle in legal drafting. In this section of the present report, common sentence patterns in English legal documents will be listed and their translation will be analyzed.

  • Translation of “otherwise”

Within different contexts, <<otherwiseM may be defined as follows: 1) under other circumstances, 2) in another manner/differently, 3) in other respects; and correspondingly in Chinese: 1)以其他形式/在其他情况下, 2)其他方面,3)其他方式.The most commonly situation where “otherwise“ is used may be “unless otherwise stipulated/regulated,,J which is routinely translated into “除非另有规定”.The same translation may be adopted fbr sentences like “until otherwise determined by the Board

In Example 2 given above, the phrase “unless the Directors otherwise determine^^ is also a typical situation for the usage of

“otherwise”.

Unless and until otherwise determined by an ordinary resolution of the Company, the Directors shall not be less than one in number, and there shall be no maximum number of Directors.

除非并且只有在公司普通决议另有决定时,董事会 人数不得都少于1人且无上限。

A Director may hold office as a director in or as manager of any other company in which the Company is a shareholder or is otherwise interested.

如本公司为其他公司的股东或与其有其他方面的利 益关系,则本公司的董事可担任该类公司的董事或经理。

5.2.2 Translation of “subject to”

In English legal writing, “subject to“ often appears together with words like “agreement, section, and contract” etc. It is commonly translated into “以…为条件”,“根据…规定”,and “在符合…的情况下” etc. In the present project, the phrase ”根据…规定”is adopted.

Each member shall, subject to receiving at least fourteen days“ notice specifying the time or times and place fbr payment, pay to the Company the amount called on his shares and at the time or times and place so specified.

各股东均应根据通知规定所需缴纳的股金额向公司 缴付(但至少提前14天通知,并说明付款的地点和时 间)。

Subject to the Ordinance, no member shall be entitled to receive any dividend until …

根据条例规定,除非…,任何股东不得获得股息。

5.2.3 Translation of “without prejudice to”

The function of “without prejudice to“ in legal writing is equivalent to that of “without affecting^^ in common English. With a similar syntactic structure as “subject to”, “without prejudice to“ often goes with nouns standing for legal document or clause as well. It implies that the thing it regulates should not be violated or affected and corresponds with “在不影响…的情况下”,“在不损害…的原则下”,“不妨碍…”,and “… 不受影响”,etc.

Without prejudice to any special rights, privileges or restrictions for the time being attached to any then existing class of shares in the capital of the Company, any new shares created pursuant to Article 47 may be issued upon such terms as…

在不影响公司资本中任何现有等级的股份所附有的 任何特殊权利、特权或限制的情况下,根据第47条所创 建的任何新的股份都可按照…条款发行。

Without prejudice to any direction or determination that may be given or made in accordance with the powers contained in these Articles all new shares created pursuant to Article 47 shall be …

在不影响本章程中所含权利所给予或做出的任何指 示或决定的情况下,根据第47条所创建的所有新股…

5.2.4 Translation of “in respect of,

The English expressions used to indicate the meaning of “being relating to something^^ in daily conversations, are “regarding”, “concerning”, “in connection with”, “in relation to” and “relating” etc, which are quite colloquial, lacking the sense of formality when used in legal English. Therefore, these colloquial expressions are generally replaced by “in respect of5 in legal discourse. The phrase “in respect of’ is so widely employed that it tends to be overused, causing difficulty for the interpretation and translation. According to previous conventions, the phrase is commonly translated into ”对于•••” or “有关…

The transferor shall remain the holder of the shares concerned until the name of the transferee is entered in the Register in respect thereof.

在受让人的姓名被输入有关登记簿之前,转让人将 依然是有关股票的持有人。

A member of unsound mind, or in respect of whom an order has been made by any court having jurisdiction in lunacy, may vote, whether on a show of hands or on a poll, by his committee or curator.

精神不健全的股东或由对于此人有裁定权的法院判 定为精神失常的股东,在举手表决或投票表决时,可通 过其代理人或遗产管理人进行投票。

This section of the report has explained in detail four common sentence patterns employed in the source text. According to the principle of consistency and identity, uniform or fixed translation fbr each phrase is

 

highly recommended and incorporated in the target text as well.

5.3 Translation of Long and Complex Sentences

Hiltunen (1984: 43) once remarked that although “the one-sentence rule has officially been put aside“ today, too often “the information load borne by each sentence is extremely heavy, thus giving rise to remarkable sentence length” (Hitmen, 1984).

The source text of the present project adopts a frozen language style. Long expressions are frequently incorporated to ensure precision and logic strictness of legal language. Though English is flexible in sentence structure and lots of information may be covered in one single sentence with the employment of clauses and the technique of insertion, Chinese readers may be accustomed to short and simple sentences with an implicit and cohesive structure. Therefore, translators should analyze the structure of long and complex sentences in the source text and figure out the relations between each part. In this section, the analysis process will be presented in detail to illustrate the handling of such problems that are common in legal texts.

If any time the share capital of the Company is divided into different classes the Directors may pay such interim dividends in respect of those shares in the capital of the Company which confer on the holders thereof deferred or non-deferred rights as well as in respect of those shares

which confer on the holders thereof preferential or special rights in regard to dividend, and provided that the Directors act bona fide they shall not incur any responsibility to the holders of shares conferring a preference for any damage that they may suffer by reason of the payment of an interim dividend on any shares having deferred or non-preferred rights.

The paragraph above may be analyzed like this:

The whole sentence has two predicates connected by the conjunction “and”, with the first one being “If any time the share capital of the Company is divided into different classes the Directors may pay such interim dividends in respect of those shares in the capital of the Company which confer on the holders thereof deferred or non-deferred rights as well as in respect of those shares which confer on the holders thereof preferential or special rights in regard to dividend“ and the second, “”provided that the Directors act bona fide they shall not incur any responsibility to the holders of shares conferring a preference for and damage that they may suffer by reason of the payment of an interim dividend on any shares having deferred or non-preferred rights^^.

The first sentence may be divided into the following segments: “If any time the share capital of the Company is divided into different classes^^: adverbial of time; 4tthe Directors”: subject of the sentence; 4tmay pay”: predicate; “such interim dividends^^: object of the sentence; “in respect of those shares in the capital of the Company which confer on the holders thereof deferred or non-deferred rights as well as in respect of those shares which confer on the holders thereof preferential or special rights in regard to dividend”: attribute to the object (noted here that it is a parallel structure connected by “as well as”; while the second sentence may be analyzed as: “provided that the Directors act bona fide”: adverbial of condition; “they”: subject of the sentence, meaning “the Directors”; “shall not incur any responsibility toM: predicate; <4to the holders of shares conferring a preference”: indirect object of the sentence; <4fbr any damage that they may suffer by reason of the payment of an interim dividend on any shares having deferred or non-preferred right”: direct object of the sentence, where “by reason of the payment of an interim dividend on any shares having deferred or non-preferred right“ is the adverbial of reason.

With the structure of the sentences mapped out, the next thing to do is encode the target text in an order that follows the reading habit of the target readers. The ultimate version is like this:

如公司股本分成不同种类,因其授予其持有人股份 方面的递延权或非优先权,以及授予其持有人股息方面 的优先权或特权的有关公司资本的部分股份,董事会可 向其持有人支付中期股息;只要董事会依法执行,该类 股东即可不必承担董事会因支付授予递延权或非优先权 的股份的中期股息而造成的损失。

The general meeting resolving upon the creation of any new shares may direct that the same or any of them shall be offered in the first instance, and either at par or at a premium or (subject to the provisions of the Ordinance) at a discount, to all the holders fbr the time being of any class in the capital of the Company in proportion to the number of shares of such class held by them respectively, or make any other provisions as to the issue and allotment of the new shares.

In Example 12, the skeleton of the expression is “the general meeting may direct that + Clause A, or + Clause B”. Due to the logic sequence of the source text, linear translation may be employed, i.e. translating according to the original language sequence with only a few adjustments. Therefore, the paragraph may be translated like this:

股东大会在决议新股份时可规定率先提供全部或部 分新股,按照公司股本中任何登记股份的持有人相应持 有的该等级股份的数量,以面值、溢价或(根据法令的 条款)折扣向其提供该新股,或对新股的发行和配股做 出其他规定。

Another example that may be handled with linear translation:

ST: Any resolution declaring a dividend on shares of any class, whether a resolution of the Company in general meeting or a resolution of the Directors, may specify that the same shall be payable to the persons registered as the holders of such shares at the close of business on a particular date, notwithstanding that it may be a date prior to that on which the resolution is passed, and thereupon the dividend shall be payable to them in accordance with their respective holdings so registered, but without prejudice to the rights inter se in respect of such dividend of transferors and transferees of any such shares.

TT:任何宣派股息的决议,无论是公司股东大会通过的 决议还是董事会通过的决议,应明确规定当公司停业时,

 

在某一具体日期向注册股东支付该类股息;即使该日期 早于通过该决议的时间,亦可根据各股东的持股情况支 付股息,但不可影响股份转让人和受让人各自的股息权 利。

While linear translation is quite convenient for translators to handle, more often than not, long and complex sentences may not be properly translated with this technique. In this aspect, reverse translation may be employed for translators to adjust the order of the source text partially or completely so as to confonn to the idiomatic

expressions of Chinese. For example:

Every member shall, without payment, be entitled to receive within two months after allotment or lodgment of an instrument of transfer duly stamped, or within such other period as the conditions of issue may provide, a certificate fbr all his shares of any particular class, or several certificates, each for one or more of his shares, upon payment of such fee, not exceeding two dollars for every certificate after the first, as the Directors shall from time to time determine, provided that in the event of a member transferring part of the shares represented by a certificate in his name a new certificate in respect of the balance thereof shall be issued in his name without payment and, in the case of joint holders, the Company shall not be bound to issue more than one certificate fbr all the shares of any particular class registered in their joint names.

In Example 14, the skeleton of the expression is “every member shall be entitled to receive a certificate for his shares”. According to the reading habits of Chinese readers, adverbial clause of time or condition shall be placed before the major information of a sentence. Therefore, the

positions of the clause of time “after allotment or lodgment of … may provide^^ and the clause of condition “provided that As a result, a

proper translation of Example 14 may be as follows:

盖章后的转让文书发出后两个月内或股票发行期 内,各股东可免费收到一份或多份股份证书,每份证书 针对一种或多种股票。每份证书收费两美元以下。如某 一股东转让了其名下某一证书的部分股份,公司须为剩 余股份免费签发一份证书;如为联名持股人,公司只需 为联名登记的股份签发一份证书。

The examples given above are long and complex sentences. To make the translation easy to understand for target text receivers and to achieve the informative function of the translation project, the translators should make some adjustments in language sequence so as to render the translation coherent and well received by target text receivers.

 

Conclusion

The theoretical background for the present report has been discussed in the thesis and the approaches that have been conventionally employed for the translation of such sensitive texts and typical phrases and sentence patterns have also been summarized. The most commonly encountered problems in the translation of English legal texts into Chinese are closely examined. The report highlighted the main sources of difficulties facing translators in legal translation, may it be syntactic, lexical, textual or system-based.

For difficulties in diction selection, whether they are archaic, common, abstract, specialized, or functional, the translator should grasp the type of terminology he/she is dealing with. Each type of these lexical items requires knowledge, investigation and caution. For example, with common words, the translator is entitled to distinguish carefully the exact meaning of these words in the legal context. When necessary, a specialist should be consulted for an appropriate solution. In the case of specialized words, the lexical items should be understood conceptually rather than being translated literally. In the processing of archaic expressions, an approximate correspondence in the TL should be selected or paraphrasing should be used. As for functional words, the best way may be to use “paraphrase” when one-to-one expression may not be found in the TL.

Syntactic elements such as passivation, modals and sentence complexity are other aspects that a translator should know how to handle. Generally, syntactic differences between English and Chinese should be fully understood. To handle syntactic complexities, the translator needs to understand the main constituent parts of the message. Passivization in English is more likely to be translated into active voice in Chinese. Similarly, adaptations are available for the translation of modal auxiliaries.

In the treatment of textual and cultural difficulties, a translator should be aware of the textual differences between English and Chinese (i.e. cohesion) and do the appropriate adaptations accordingly. But one thing to remember is that such adaptations may not be made at the expense of content. The same principle applies when it comes to system and cultural differences where the translator of legal discourse acts as a cultural mediator. Though the differences between the systems and culture backgrounds of the two languages increase the challenge encountered by the translator, it also facilitates him/her to do the important task as a cultural mediator and bridge the gap between different nations in the world.

Computer aided translation in the processing of legal discourse has also been touched upon in the present report. The author concluded that CAT seems to be a viable assistant medium to be applied in legal translation with the support it provides to the translators after examinations of machine translated results. The author believes that with the accumulation of viable TM and the refinement of techniques in text analysis and sentence organization, CAT may be indispensable in translation practice, if not completely taking over the job of translators.

The report is only a preliminary study in investigating pragmatic and functional implications for legal translation. This thesis focuses on one certain pattern of legal texts, i.e. Memorandum of Association. It is exclusively based on experimentation and analysis of practical translation is made by the author herself. Since pragmatic and functional considerations in legal translation from English to Chinese have seldom been touched upon by previous scholars, the absence of previous studies is the major limitation of this report. For the smie reason, the present report is reliant on empirical and observational examination.

Through the report, the author was introduced to the translation of legal documents. With the completion of the present report, the author got familiar with the procedures involved in a formal translation project, paving the way for future development in the profession of translation. However, problems still exist. Though the translation in this report was accepted and appraised by the clients, the author understands that it may not be graded as excellent because of the author, s insufficient in legal diction and translation. Future efforts are required on the part of the author to achieve professionalism in the translation of legal documents.

 

Notes

  1. See http:cr.gov.hk/en/home/index.htmfor reference.
  2. Words, phrases and sentences remarked by quotation marks, apart from those quoted from the work of other scholars, all come from the ST and the TT of the translation discussed in this thesis.
  3. Address: http:legislation.gov.hk/09/eng/pdf.htm.
  4. Cited from Scientific and Technical Texts as an Object of Study and Analysist 170.
  5. Referring to Approaches to Translationby Newmark, 2001, p. 66.
  6. Cited from The Language of the Lawby Mellinkoff, 1963, p. 22.
  7. Cited in Window of Legal Translationby Chen Zhongcheng, 1992, pp. 164-165.
  8. Cited in Window of Legal Translationby Chen Zhongcheng, 1992.
  9. Cited in “法律文字恪守译名同一律” by Zhong Ren and Wu Juan, Chinese Translators” Journal, 1994, (5), p.16.
  10. Cited from Approaches to Translationby Newmark, 2001, p.44.

Bibliography

Cao, Deborah. Translating Law. Clevedon: Multilingual Matters, 2007.

Crystal, D. & Davy, D. Investigating English Style [M]. London: Longman, 1986.

Garzone, Giuliana. The Translation of Legal Texts: A functional approach in a pragmatic perspective. Susan Bassnett, Rosa Maria, and Margherita Ulrych (Eds), 1999.

Haigh, Rupert. Legal English [M]. London: Cavendish Publishing Ltd., 2004.

Harvey, Malcolm. What’s so Special about Legal Translation? [J]. Meta, vol. 47(2), 2002, p. 177-185.

Hiltunen, R. The Type and Structure of Clausal Embedding in Legal English [J]. TEXT,Vbl.45 1984, pp. 107-121.

Mellinkoff, D. The Language of the Law [M]. Boston: Little, Brown & Co., 1963.

Newmark, Peter. Approaches to Translation. Shanghai: Shanghai Foreign Languages Education Press, 2001.

Nord, C. Translating as a Purposeful Activity [M]. Shanghai: Shanghai Foreign Language Education Press, 2001.

Reiss, K. and Vermeer, H. Groundwork far a General Theory of Translation [M]. Tubingen: Niemeyer, 1984.

Robinson, Douglas. Western Approach to Legal Translation [M]. Manchester: St. Gerome, 2002.

Sarcevic, Susan. New Approaches to Legal Translation [M]. The Hague, London, Boston: University Press, 1977.

Weihofen, Henry. Legal Writing Style. St. Paul, Minnesota: West Publishin Co” 1961.

陈忠诚,法窗译话[M].北京:中国对外翻译出版公司,1992.

胡壮麟.语篇的衔接与连贯[M].上海:上海外语教育出版社,1994.

黄永平.法律英语文体学[M].沈阳:辽宁民族出版社,2004.

贾文波.应用翻译功能论[M].北京:中国对外翻译出版公司,2004.

刘密庆.文体与翻译[M].北京:中国对外翻译出版公司,1985.

刘密庆.现代翻译理论[M]*北京:中国对外翻译出版公司,1999.

王东风.归化与异化:矛与盾的交锋[J].中国翻译,2002, (5).

辛献云.从纽马克的文本范畴理论看翻译标准的相对性和多重性[J].解放军外国语 学院学报,2001/2.

仲人,吴娟.法律文字恪守译名同一律[J].中国翻译,1994, (5).

 

Appendixes

  • Glossary (in order of appearance)

memorandum of association 公司章程

natural person 自然人

liability 负债;责任 (depending on the specific context)

amalgamate 合并

partnership 合伙

joint venture合资企业

syndicate 财团

to underwrite 认购

debentures/debenture stock 债权/信用债券

annuity 年金

concession 特许

servitude 地役

undertaking 团体

ancillary services 配套服务

culturing 设计

at par平价

personal covenant 个人契约

contract of indemnity 赔偿合同

contract of suretyship 担保合同

formation and promotion of the Company

to wind up 清算

dissolution 解散

in specie以同样方式

to render 致使

the Company 本公司

the Ordinance 条例

the Board董事会

the Directors 董事

the Seal 公章

Dividend 股息

the Office办公地

the Register 名册

the Secretary 秘书

to subscribe 认购

to transfer the shares 转移股份

share warrants认购股权证

to be payable by installments 可分期支付

to redeem 赎叵1

without prejudice to 不违背

to exercise powers of 行使…权利

joint tenants联名股东

benefit of survivorship 共同享有权

allotment of shares 配股

instrument of transfer 转让文书

nominal value 面值

to waive a payment 放弃

forfeiture of shares 股份没收

to advance money 提前支付

monies/money 款项/金额

Minute Book会议记录

proxy代理人

quorum法定人数

expenses incurred by 产生的费用

to forfeit 没收

lien留置权

in default 违约

net proceeds 净收益

Grant of Probate遗嘱认证书

Letters of Administration遗产管理委任证书

Certificate of Marriage or Death 婚姻砒亡证明

Power of Attorney 委托书

in one1 s absolute discretion 全权自主

to be/become entitled to— 有权获得, , •

by operation of law根据法律实施

to furnish a statement 出具说明

to convert shares into stock将股份转换为股票

pari passu同等权益

by virtue of 根据

resolution 决议

modification of rights 权利变更

to abrogate 废除

mutatis mutandis 比照

to confer 授予

extraordinary general meeting 临时股东大会

on requisition by Members 应成员要求

to convene a meeting 召开会议

to requisition 申请

accidental omission 偶然疏忽

declaration and sanction of dividends 宣布或批准股息

balance sheets资产负债表

to adjourn a meeting 延期会议

sine die无限期

in the aggregate 总计

pending*” 在…期间

capital of the Company 公司资本

unsound mind精神不健全

curator bonis遗产管理人

by power of attorney 委托授权书

an instrument of proxy 委任

revocation of the proxy or power of attorney 撤车肖委任或律师委托 remuneration 薪酬

to accrue 增长

local boards or agencies地方委员会或代理机构

in good faith

fluctuating body of persons 非法人团体

discretions vested in sb.自由裁量权

promissory notes 支票

bills of exchange 汇票

negotiable instruments 议付

to summon a meeting 召集会议

ipso facto事实上

an arrestable offense可构成逮捕的罪行

fiduciary relationship 信托关系

disclosure of interest 披露

to vote in favour of … 投赞成票

Managing Director/ Joint Managing Director 常务董事/联合常务董事 to hold the office of ,,,任…职务 bona fide正当行为

prima facie表面证据/表面上

First Secretary of the Company 公司首席秘书

interim dividends 中期股息

deferred or non-preferred rights

transferor / transferee 转让人/受让人

pro rata按比例

bonus shares 分红股

appropriation 调拨

to capitalize 资本化

Profit and Loss Accounts 损益表

Balance Sheets资产负债表

Group Accounts 集团报表

Auditors’ Report 审计报告

surplus assets 盈余资产

paid-up capital 实收资本

liquidator 清算人

to vest assets in trustees 资产委以受托人

to indemnity 赔偿

  • TT of the Project

公司条例(第32章)

私人股份有限公司

XX资本有限公司章程

  • 本公司名称为XX资本有限公司章程。
  • 本公司注册办公地址位于香港。

3 本公司享有作为自然人的能力、权利、权力和特权。本公司成立目的不受限制,包括但 不限于以下内容:

1)购买或获得并承接任何个人、机构或公司的全部或部分业务、商誉、资产和负债;购买 个人、企业或公司股权,与其合并、成立合资企业、合资或共享利润;发起、赞助、成立、 组建、参与、组织、管理、监管任何企业、公司、财团、基金信托、业务或机构。

2)进口、出口、购买、销售(批发和零售)、交易、以物易物、出租、分配或经营通常处 于成品、半成品或原始状态的商品、材料和货物。

3)以任何方式或条款购买或收购并持有、认购、交易股票、证券、债权、信用债券、年金、 外汇、外币存款和商品。不时改变股票、证券、债权、信用债券、年金、外汇、外币存款和 商品的任何部分,行使或执行公司利益所附的权利。作为投资信托公司,经营业务或以公司 认为合适的方式来投资或者利用公司暂不用于经营运作的资金。

4)从事、进行或参与金融交易和运作。

5)制造、构造、装配、设计、修理、改善、开发、改变、转化、改装、准备、处理、面世; 加工和生产材料、燃料、化学品、物质以及各种工业、商业消费品。

6)作为保险经纪人和代理人、承保代理、保险顾问、养老金和投资顾问、顾问评估员、海 损理算员和贷款经纪人,经营业务。作为保险和担保公司分部经营业务。

7)在世界上任何地方,•申请、注册、购买或者获得、保护、延长并更新任何种类的知识产 权、技术、许可、保护及特许。使用、利用、开发、制造、实验、检验、完善和许可上述各 项内容。

8)购买或者获得并持有、拥有、许可、维护、运作、开采、农场耕作、使用、开发、改善, 出售、出租、放弃、交换、租用、传达或处理土地、矿场、自然资源、矿物、木材和任何地 方的用水权、任何利息、房地产和任何有关不动产、个人或混合性财产、任何特许权、权利、 许可证或特权。收集、管理、投资、再投资、调整,以任何方式处置收入、盈利和由此产生 的利息。

9)改善、管理、开发、出售、出租、交换、投资、再投资、安排并颁发执照、期权、地役 和其他权利。或者处理全部或部分公司财产、业务和包括未缴股本在内的资产(现有资产和 未来资产)、部分的公司权利、利益和特权。

10)获得、出售、租赁、出租、执行、管理、控制、运作、构建、修理、改变、配备、装饰、 装备,装修,完善或承担并处理工程和建筑施工、建设、项目、办公室和各种构筑物。

11)作为顾问工程师在各个领域经营业务,包括但不限于民用、机械、化学、建筑、船舶、 矿业、工业、航空、电子和电气工程等领域。提供建筑、设计等咨询服务。

12)购买或者获得、交易、特许、雇佣、建造、构建、拥有、运作、管理、运作或处理轮船、 小船、游艇或其他水上船,气垫船、热气球、飞机,直升飞机或其他飞行器,长途公车、货 车、四轮车(带动力装置)或其他交通文书。

13)建立、维护和运营海上、空中、内陆航道和陆路运输公司(国有或民营),提供配套服 务。

14)在贸易、商业、工业和金融分支机构中担任顾问、研究员、分析员、经纪人或类似职能 人员。

15)为任何个人或公司所需要的各项服务或设施提供或采购供应品。

16)提供中介、企业、办公室、商业和管理顾问服务。在管理、行政、制造、营销、销售、 分配、财务、成本、设计,研究、工业关系等方面为任何个人、公司、政府机构或其他团体 充当顾问、分析员或顾问。充当候选人、保管人、主管、秘书、登记员、簿记员、经理、经 纪人、代理人或托管人。根据契约、其他文书或法律条款,管理死者的不动产,承担、执行、 建立信托。

17)作为运货商、船主、造船公司、租船人、运输和转发代理、船舶管理人、码头管理员、 驳船夹、装卸工、包装工、仓库管理员、渔夫和拖网捕鱼者开展全部或部分工作。

18)作为旅馆经营者、餐馆老板、赞助商、经理,在俱乐部、协会和各种类型和目的的联谊 会开展各种体育、竞技、社交、娱乐活动。

19)作为拍卖商、评估人、估价者、检验人、土地和不动产的代理人,开展业务。

20)作为农民、畜牧业者、畜牧养殖业的经销商和饲养员、园艺家和蔬菜种植者,开展业务。 21)作为印刷商、出版商、设计师、制图员、记者、新闻和文学代理、观光客和旅行社、广 告和营销代理、承包商,个人和促销代表、艺术家、雕刻家、装潢师、插图画家、摄影师、 电影制作者、生产商和经销商、宣传代理和展示专家,开展全部或部分工作。

22)建立并运营教育、指导或研究机构,并为讲座、奖学金、奖品、展览、课程以及为了教 育的进步或知识的传播而举办的研讨会提供保障。

23)设计、发明、开发、修饰、更改、改变、完善以及应用任何物体、物品、设备、电器、 用具或产品,用以任何用途或目的。

24)开发、获得、存储、许可、应用、转让、利用所有或任何形式的电脑、其他电子软件和 应用程序、信息、数据库、参考资料以及电脑、数码和其他任何类型的电子记录,检索、加 工和储存媒体。

25)负责提供或处理通信和电信服多,信息检索和传送,电子信息和数据库服务。

26)作为珠宝商,金器匠,银器匠和金银交易商,开展业务。进口、出口、购买、销售、经 营(批发和零售)珠宝、黄金、银和金银、金制、银制器皿、古董、艺术品或公司认为合适 的其他该类物品。建立工厂,为上述业务设计、加工和制造商品。

27)开展其他任何业务或活动,采取任何行动或做事情,这些行动应是公司认为能够或可能 很便利地实施或完成的,并且与上述的任何部分相关,或可能直接或间接地提升公司的全部 或部分财产或资产的价值,或扩大公司或其股东的利益。

28)与政府、当局、社团、公司或个人达成任何商业安排或其他安排。为任何目的,达成任 何法律、命令、特许状、合同、法令、权利、特权、许可、特许权和授权。执行、实施并且 遵守以上所涉及的安排。制定、实施、贯彻并维持所有的措施、合同、契约、协议、法律诉 讼和其他诉讼、认购、安排和方案,所做之事都应从公司利益出发。

29)对于任何以及部分可能影响本公司或其他任何公司或个人的可保风险进行投保。对人寿 进行投保(进而支付保费),进行再保险和反保险,但是并不承担火灾、人寿及海上保险业 务。

30)向任何人或公司提供借款、预付款项,发放和提供贷款、融资或其他便利。

31)以公司认为合适的方式来贷款或筹集资金,尤其是(以平价、溢价、折价或公司认为合 适的方式)发行债券、信用债券或债权股证(见票即付或其他方式),按揭或永久抵押。如 公司认为合适,将公司的全部或部分资产(现有资产和未来资产)和业务(包括未催缴股本) 作为抵押;如可转换成本公司或其他任何公司的股份或股票,则可通过信托契约或其他保险 为本公司债务提供抵押或担保。

32)为了提供担保或保证,可收取任何报酬或好处;或者通过个人契约、按揭或抵押全部或 部分(现有的和未来的)公司业务、资本、资产和权利以及未缴资本,本公司、控股公司或 与本公司有业务往来之公司的负债、债务和支付款(包括但不限于资本、本金、额外费用、 利息、股息和股票、股份或债券费用),此类款项由任何人、机构或公司(包括但不限于《公 司条例》第32章第2条中规定的任何控股公司或分公司)产生。代理费用收取或款项收支。 达成赔偿合同和担保合同(不包括火灾、生命和海损保险)。

不论公司是否收取任何报酬或好处,亦不论是通过个人契约还是按揭或抵押全部或部分(现 有的和未来可以实现的)公司业务、资本、资产和权利以及未缴资本,或是通过以上方式中 的两种或其他方式,

33)开立、制作、接受、背书、转让、贴现、执行、发行、购卖或获得、交换、交出、转化、 预付、持有、收费、销售或交易汇票、支票、本票和其他可转让票据、提单、认股权证和其 他与商品有关的文书。

34)向在公司业务运营过程中提供服务、捐献的个人或对于本公司或由本公司组建的其他任 何公司的证券发行给予帮助的个人,提供报酬或其他补偿或奖励.

35)授予或获得养老金、津贴、遣散费及其他类似性质的报酬和好处。支付保险费或其他可 能有利于个人或提升公司或其成员利益的契约费。出于直接或间接扩大公司或其成员利益之 目的,或国家、慈善事业、教育、社会、公共、总体或有益之目标,而捐款、担保或支付款 项。

36)支付所有本公司或其他任何公司在成立、推广及开展业务时期所发生的开办费用和偶然 费用。

37)收购在任何国家或地区注册及认可的公司。

38)停业,在任何区域内解散并注销公司。

39)在公司的债权人和股东之间按照规定的形式或以同样的方法分配部分业务、财产或资 产。资产赤字时不能进行分配,除非董事会一致认可。

40)任命代理人、专家和律师代表公司执行上述事项或处理公司作为代理或其他相关的事宜 41)作为负责人、代理人、承包人、受托人,通过受托人、代理人或其他人之手,单独或与 他人合作,在世界各地以公司认为适宜的条件、方式,并出于公司认为适宜的考虑和安全性 保障(如果有的话)执行上述所有或部分事项,其中包括公司因购买某项财产、获得某项服 务或作为对某种义务或某笔金额(即使该金额少于所发行或分配证券的面值)的保证或出于 其他目的而发行或分配证券,从而全部或部分用来支付前述款项。

42)实施所有可被视为上述任何宗旨所附带或有助于上述任何宗旨的其他事项。

特此声明:本条中所出现的“公司”和“企业”指其他任何合伙机构或团体,无论单独或联 合,无论在香港或其他地方,本条上述各款具体规定的宗旨应作为本公司独立的宗旨,不应 受到根据本公司名称而作的推论的限制或制约。

  • 本公司股东的责任是有限的。
  • 本公司的股本为港币$10,000,00,分为10,000,000股,每股面值港币1.00元,公司 有权将发行原本或经增加的股本分成不同等级,并附带优先权、递延权、资格权或其他特殊 权利、特权、限制或条件。
  • 我/我们,即在下方列具姓名或名称及地址的股份认购人,均意欲根据本组织章程大纲 成立公司,我/我们同意按照列于我/我们名下相对应的股份数目,承购公司资本中的股份。
股份认购人的姓名或名称、地址及描述股份认购人所承购的股份数 目

公司条例(第32章)

私人股份有限公司

皇茗资本有限公司章程

刖H

1公司条例的第一附表“A表”所列规则不适用于本公司。

解释

2 a)本章程中,除另有规定:

“本公司”指上述公司。

“条例”指公司条例(香港法例第32章),包括其他的合并或替代条例。如有替代条例, 本章程涉及条例的部分将作为新条例中替代规定的参考。

“董事会” & “董事”指本公司的现任董事或达法定人数的董事会议的与会董事。

“股息”包括以货币或实物方式分配的股息、利润,摊派资本和资本化发行。

“月份”指公历月份。

“办公地”指本公司目前的注册办公地。

“实缴”指作为实缴款入账。

“名册”指根据条例所建的公司股东名册,包括名册分册。

“秘书”指本公司的现任秘书。

“公章”指本公司的公章或条例许可的其他公章;

“章程”指目前的公司章程或经过变更的章程。

“书面形式”包括电报、电传、传真等可读的、永久性的文字记载形式。

b)为与本章程的议题或语境保持一致,仅有单数意义的单词应包含复数意义,反之亦然。 带有任何人称意义的单词应包含所有人称意义,反之亦然。

c)自本章程生效之日起,为与本章程的议题或语境保持一致,上述议题和条例或法定修 正案中所定义的任何单词在本章程中具有相同含义。 ■

d)插入页眉是为方便起见,不影响本章程的结构。

私人公司

3本公司为私人公司,据此:

  • 禁止邀请公众人士认购公司的任何股份或债权;
  • 公司股东人数不超过五十人(不包括公司的雇员,亦不包括先前受公司雇用并且 在雇用期间为公司股东以及雇用终止之后仍为公司股东的人士),但是当两人或两人以上联 名持有公司的一份或多份股份时,就本款而言,该等人士应视作一名股东;
  • 本公司无权向股东授予认购股权证。
  • 公司无权向

办公地

4办公地是由董事或秘书指定的在香港的办公场所。

股份

5 a)根据条例第57B条的规定,除合同或本章程中有相反规定之外,所有未发行的股票 应由董事会处置,既向某类人员分配或授予期权,又或出于某种考虑在某段时间以其认为 合适的条件条款进行处置。但是,任何种类的股票不得折价发行,条例第50条中另有规定 除外。

b)根据条例,本公司对购买公司股份者提供经济援助。

c)股东有权编制报表,或根据条例中向购买公司股份者提供经济援助的有关规定采取措 施。

6一旦股票发行,按所催缴股款的数额和支付时间区分股东。

7根据股份分配的条件,全部或部分股款或发行价须由注册股东或其法定代表向公司分 期支付。

8a)根据条例第49条到第49s条的规定,本公司可发行股票,根据公司或股东意愿可赎 回或易于赎回该股票。根据公司发行股票之时或之前所作决议中的条款和方式,赎回股票。

b)根据条例第49条到第49s条的规定,公司可回购股票(包括可赎回的股票)。在不影 响上文的一般性原则下,公司为以下目的可回购股票(包括可赎回的股票):

i)清理债权债券;

  • 撤销零股或零碎权利;
  • 订立协议,公司有权或有义务按惠公司股东大会通过的员工持股计划购买股票。
  • 遵守条例第8条第4款,第47条G第6款或第168A条第2款下的法院指令。

c)根据条例491条到490条的规定,除了分配所得的利润和重新发行股票所得收益之外, 本公司可根据第49A条(视情况而定)或第49B条的规定赎回或回购股票.

d)出于章程第8(c)条之目的,董事会有权编制报表,或根据条例中赎回或回购股票的有 关规定采取措施。

9根据章程规定,除法律另有规定,本公司不承认任何股票或零股所附的衡平法上的权 益、或有权益或部分权益或(即使接到通知)个人对该等股票的索取,注册股东享有的总 体绝对权利除外。

  • 根据条例规定,发行股票时,本公司有权从资本中拨款支付利息或支付手续费。
  • 公司股东是在股东名册上登记姓名(名称)的人。

联名股东

  • 当两人或两人以上登记为某一股份的联名股东,他们则视为联名股东,具有共同 享有权,须遵守以下条款:
  • 本公司的联名股东不得超过三名,不包括已故股东的法人代表。
  • 任何股份的联合股东须共同或分别支付该股份的所有相关款项。
  • 如联名股东之一死亡,剩余股东则被公司视为唯一拥有该等股份的股东.如董事

会要求,须提供该类死亡证明.

  • 联名股东皆须提供股息、资本收益或该股份其他相关款项的有效票据。
  • 只有在股东名册上排名首位之联名股东有权接收有关股票、接收公司的通知、出 席公司股东大会并行使表决权;任何送达该人士的通知应被视为已送达有关股份的所有联 名股东。任一联名股东可委派联名股东之一,代表其出席公司股东大会,行使表决权。如 多个该类联名股东亲自或委托代理人出席会议,则只有在股东名册上排名首位之联名股东 享有表决权。

股份证书

  • 盖章后的转让文书发出后两个月内或股票发行期内,各股东可免费收到一份或多 份股份证书,每份证书针对一种或多种股票。每份证书收费两美元以下。如某一股东转让 了其名下某一证书的部分股份,公司须为剩余股份免费签发一份证书;如为联名持股人, 公司只需为联名登记的股份签发一份证书。
  • 股份证书经盖章后方可签发。股份证书须注明股数、股票种类、不同的股份的数 目、实缴金额以及这些股份是否具有表决权。多种股票不可只签发一份证书。如有多种股 票,则每种股票的证书须标明股本的不同种类,以及每种股票所附的表决权的面值。
  • 如股份证书破损或遗失,或证书送交过程中发生破损或遗失,须按照董事会要求 提供有关证据,方可重新签发并予以赔偿。如股份证书破损或遗失,公司用于审查破损或 遗失事由或赔偿事宜的所有费用须由重新申请证书者承担。

催缴股款

  • a)根据股票发行条件,董事会向股东催缴股份上还未付清的任何股款(无论是面 值或溢价)。催缴的股款可分期支付。

b)各股东均应按通知所要求缴纳的股金额向公司缴付(但至少提前14天通知,并说明 付款的地点和时间)。如未收到催缴通知或因故未发出催缴通知,都不会导致该催缴无效。

  • 催缴视为自董事会通过催缴决议时开始。董事会可撤销、变更或延迟催缴。
  • 如催缴到期时仍未缴付,有关股东须自到期之日起直至支付之日对欠缴部分支付

利息,利率由董事会确定。但是,董事会可全部或部分放弃该利息。

  • 根据股票发行条件,股份分配后或其他任何固定时间,股东应在催缴到期前支付 所欠股款,无论是股票面值或溢。有关催缴股款及利息、因迟延缴纳股款而没收股份的规 定适用于任何该类款项及未缴付的股款。
  • 如认为合适,董事会可接收股东自愿提前缴纳的未经催缴的全部或部分股款;董 事会须自提前付款之日起直至到期之日对其付息,利率由有关股东和董事会协商。董事会 也可提前一个月向该股东发出书面通知,随时偿还利息。
  • 为收回所欠股款而进行的审判过程中,须有充足证据证明被起诉的股东为登记在 册的股东,其所持股份产生了债务;会议记录中载明催缴决议;已根据章程向被起诉的股 东发出催缴通知。无需证明系委派董事催缴,但是上述事项一经证实,则债务事实证据确 凿。
  • 根据条例规定,除董事会另有规定以外,任何股东如在催缴到期时仍未缴清其个 人或联名股份上的股款、利息和任何费用,则不得获得股息,不得接收通知亲自或委托代 理人出席股东大会或行使表决权(代表其他股东除外),不得行使股东特权,也不得计入出 席会议的法定人数。

没收股份

  • 如任何股东未能在支付之日缴足催缴股款或分期款项,在欠款期间,董事会可随 时向该股东发出通知,要求其支付催缴部分的股款或分期款项连同所产生的利息和其他费 用。
  • 该通知须指定另一个日期(须在发出通知之日后的14天内)。股东须在此日期之 时或之前,支付催缴部分的股款或分期款项连同所产生的利息和其他费用。该通知还须指 定付款地点。该地点可为本公司办事处或支付本公司催缴股款的其他常用地点。另外,该 通知须声明,如未在指定时间利指定地点付款,相关股份将予以没收。
  • 如果不符合上述任何通知,则此后在按照通知要求付款之前的任何时候,董事会 可做出决议将与发出的通知相关的所有股票没收,并且所有没收都将延续到被没收但是没 收之前未能实际支付的股票相关的所有股息。董事会可接受于此应被没收的股票的放弃, 在这种情况下,本条款中对没收的提及也包括放弃。
  • 对于本条款的目的,所有被这样没收的股票都将被视为公司的资产,并且可在董 事会视为适当的时候、根据其认可的条款和方式在没收之前被出售、重新配股或根据认购 或分期应付进行其它处理或清偿。为了使此类出售或其它处置生效,董事会将授权特定个 人将出售或者以其它方式处置的股票转让给买方或任何其他将对其拥有权利的个人。
  • 董事会可在被没收的股票被出售、重新配股或以其它方式处置之前根据其视为适 当的条件取消没收。
  • 被没收股票的任何个人都将随即停止成为该股票的持有人,但是应向公司支付没 收时与该股票相关的所有认购、分期付款、利息和费用以及董事会认为适当的从没收到支 付这些款项之间产生的利息,不对股票在扣除时的价值进行扣除或补贴,同时董事会可强 制要求全部或部分支付该款项,也可全部或部分放弃该利益的支付。
  • 当任何股票被没收时,应在登记簿上登记没收和其日期,并且在被没收的股票被 出售或以其它方式被处置后,记录出售或处置的方式和日期。

留置权

  • 公司应对股票所有未偿付的款项拥有优先和首要留置权,无论该款项是否是当前 应付;对于成员或其遗产对公司所欠的债务,无论是单独或与其他个人共同的,公司都对 其名下登记的所有流通股票拥有优先和首要留置权,无论这些债务是在通知公司除了该成 员之外的任何个人的利益之前或之后发生,也无论这些债务是已经到期应付与否,即使这 些是该成员或其继承人和任何无论是否是成员的其他人共有的债务。董事会可在任何时候 普遍地或在特殊情况卡放弃任何产生的留置权、或宣布任何股票全部或部分从本条款的规 定中得到豁免。
  • 公司可以其视为适当的方式出售其拥有留置权的任何股票,但是在当前应付留置 权一部分金额之前不得进行出售,并且该出售也应在发出书面通知声明并要求对当前应付 金额进行支付并告知当时的股票持有人或在其死亡、破产、清算或其它法律规定或法庭裁 决下有权获得其股票的个人将默认出售意图的十四天之后方可进行。
  • 扣除出售费用后所得的净收益应被用来支付或偿还当前应付的、存在留置权的债 务,剩余的则应(根据股票出售之前其尚未应付的债务的类似留置权)在出售时被付给有 权得到股票的个人。为使该出售生效,董事会可授权特定个人将出售的股票转让给买方。
  • 证明声明人是公司董事或秘书并且股票在注明日期被没收或放弃或出售以满足公 司的留置权的书面的法定声明应成为提交给所有声称有权获得股票的个人的总结性事实证 据。该声明和公司因出售、重新配股或处理股票而收到的对价(如有)的收据以及同时交 付给买方或配股认购人的股票证书将(如要求转让则根据转让执行而定)构成该股票的有 效所有权,而被出售、配股或处置股票的个人应被登记为股票持有人,并非一定要看到购 买金(如有)的使用,同时其对股票的所有权也不受该股票的没收、放弃、出售、重新配 股或处置的收益的无规律性或无效性的影响。

股票转让

  • 公司所有股票的转让证书都应为书面文件,并且应由转让人和受让人或代表转让 人和受让人执行。在受让人的姓名被输入登记簿之前,转让人将依然是相关股票的持有人。
  • 每份转让文件都应和与被转让股票相关的证书以及董事会要求的其它相关证明一 起被留存在办公室以便进行登记。应进行登记的所有转让文件都应由公司保存,但是,如 果被怀疑存在欺诈,董事会拒绝登记的任何转让文件都应立即被退还给存放文件的个人。
  • 应向公司支付董事会不定期要求或规定的与转让登记、遗嘱认证书或遗产管理委 任书、结婚证或死亡证明、授权书或其它与影响股票权利相关的文件或影响股票登记条目 相关的费用。
  • 董事会可不时地决定普遍地或针对任何股票等级暂停转让登记,但是该登记的暂 停在任何一年内都不得超过三十天。
  • a)董事会可以随时全权决定拒绝登记任何股票的转让而无需说明任何原因,无 论股票是否已经全额支付。

b)董事会也可拒绝登记任何转让,除非:-

i)转让文件仅与一个等级的股票相关:

ii)如果转让是向多名持有人进行的,被转让股票的联合持有人不超过三名;并 且

iii)相关股票不存在有利于公司的任何留置权。

(c) 如果董事会拒绝登记某项转让,则在公司收到转让申请后两个月之内,董事会应 向转让人和受让人寄送拒绝通知。

股份转移

  • 如果成员死亡,则一名或多名生者(如果逝者为联合持有人)和逝者的合法代表 (假如逝者为单独持有人)将被公司认定为唯一有权获得其股票权益的个人;但是于此包 含的内容不应解除去世的联合持有人的遗产应支付其与他人联合持有的股票而产生的债务 的责任。
  • a)由于某一成员的死亡或破产而有权获得其股份的任何个人在提供董事会不时 适当要求的证据后,根据以下提供的内容,可选择将其本人登记为股票的持有人或指定某 人作为受让人,但是在任何情况下,董事会都具有相同的权利拒绝或暂停登记,如同该成 员在其死亡或破产之前所进行的转让一样,视情况而定。

b) 如果有权获得股票的个人选择登记其本人,他应向公司提供或寄送一份由其本人 签署、说明其选择的通知。如果他选择其他人进行登记,则应执行以该个人为受益人的转 让。与转让权和股票转让登记相关的规定的所有限制、约束和条款都应适用于任何此类通 知或上述转让,如同成员的死亡或破产未曾发生、并且通知或转让是由该成员签署的转让。

  • 由于持有人死亡或破产而有权获得股票的个人应有权获得其作为股票的登记持有 人所应获得的相同股息和其它利益,但是,在被登记为与股票相关的成员之前,他无权因 此而行使与公司会议相关的成员资格所授予的任何权利:

无论何种情况,董事会均可随时发出通知要求该个人选择登记其本人或转让股票,并 且,如果通知未能在90天之内得到遵守,董事会可因此扣留所有股息或由于股票而应支付 的其它款项,直到通知中的要求被照做。

  • 如果董事会拒绝登记转让,根据法律的实施而使其在公司的任何股票的权利被转 移的个人将有权在28天内要求董事会提供拒绝的理由。

股票

  • 公司可不定期地通过普通决议将任何已经全部结清的股份转换为股票,并且可将 任何股票重新转换为任何面值的全部结清的股份。在通过将公司股本中任何等级的全部结 清的股份转换为股票的决议后,随后将变成全部结清的该等级的股份以及与该股份在其它 方面同等的权益,由于本条款和该决议,将被转换为与已转换的股份相同单位的可转让股 票。
  • 股票持有人可以相同的方式并且根据股票产生的股份在转换之前可能已经被转让 的相同规定或根据情况允许而转让相同或任何部分。董事会有时可确定可转让股票的最低 数额,并且限制或禁止该最低数额的零散转让,但是在未得到公司普通决议批准的情况下, 最低数额不得超过股票产生的股份的每股面额。
  • 根据其持有的股票数量,股票持有人应对股息、公司股东大会上的投票以及其它 事件拥有如同其持有产生股票的股份相同的权利,但是这种权利(除了对公司股息和利润 以及减资或清算的资产的参与)应由不会授予该权利的股票数量(如以股份形式存在)所 授予。
  • 适用于全部结清的股份的条款也应在做出必要变通后适用于股票,其中词语“股 份”和“股东”也包括“股票”和”股票持有人”。

增资

  • 公司可不定期地通过普通决议来增加法定资本,方式是将该金额分为决议所规定 的数量的股份。
  • 在不违反公司资本中任何现有等级的股份所附有的任何特殊权利、特权或限制的 情况下,根据第47条所创建的任何新的股份都可按照该条款和条件发行,并且具备决定创 立该股份的股东大会所指示的、或在没有指示的情况下,由董事会决定的权利、特权和限 制,尤其是该股份的发行可能带有对股息和公司资产分配的优先、限定或递延权利,以及 专门的投票权或无投票权。
  • 决议任何新股份的创建的股东大会可规定首先提供全部或部分新股,按照公司股 本中任何等级股份的持有人相应持有的该等级的股份数量,以面值、溢价或(根据法令的 条款)折扣向其提供,或对新股的发行和配股做出其它规定。
  • 根据按照本章程中所包含的权利所给予或做出的任何指示或决定,根据第47条所 创建的所有新股都应符合于此包含的与认购付款、转让、转移、没收、留置和公司资本中 的股份在该新股创建日期所存在的其它情况相关的规定。

股本的变更

?51 公司可通过普通决议:

a) 将其现有的股份或其中任何部分细分为比公司章程所规定的金额更小的股份,条 件是在对现有股份的细分中,每份被减小的股份的已付金额和未付(如有)金额的比例应 与得到被减小的股份的情况相同,并且做出细分股份的决议可决定在由于细分所产生的股 份的持有人之间,相比而言,一份或多份股份可具有这些优先、递延或其它特别权力,或 应遵守公司有权附加到未发行或新股上的任何限制;

b)合并或分割其资本或其中任何部分为比现有股份金额更大的股份;或

c)取消在决议通过当日未被某人接受或未被同意接受的股份,并且通过取消的股份 金额减少其法定资本的金额。

52 公司可通过特别决议以法律许可的任何方式减少其股本和任何资本赋回储备或股 份溢价账户。

53 如果出现与第51条(b)段项下的任何合并和分割相关的困难,董事会可按照其认为 有利的方法进行处理,尤其是可以安排出售代表零散部分的股份并在有权获得这些零散股 份的成员中按比例分配销售所得的净收益,为此董事会可授权特定个人将代表零散数量的 股份转让给买方,而后者并非一定要看到购买金的使用,同时其对股份的所有权也不受与 该出售相关的收益的无规律性或无效性的影响。

权利变更

54 (a)公司资本中的任何等级的股份上所附的所有或任何权利,在任何时候以及在

清算之前,经过不少于该等级的发行股份的四分之三的持有人书面允许或经过该等级股份 持有人单独召开的股东大会通过的特别决议规定可以被变更或废除,并且本章程中包含的 所有与股东大会相关的规定经过必要修改后应适用于所有此类会议,但是因此法定人数不 得少于两人出席并且通过代理代表不少于持有或代表三分之一该等级的已发行股份的正常 价值或(如果公司仅有一名成员持有该等级的股份并且法令许可)一人出席并且通过代理 持有或代表该等级已发行股份的面值的三分之一,同时出席会议的任何持有该等级股份的 持有人或通过代理可要求进行投票,而本人出席的持有该登记股份的该名持有人或通过代 理在投票时将对其持有的每份股票享有一份投票权,如果在这些持有人的任何延期的会议 上,上述的法定人数不出现,则本人出席或通过代理出席的该等级股份的两名持有人将成 为法定人数(如果公司仅有一名成员持有该等级的股份并且法令许可),或本人出席的该等 级股份的一名持有人将成为法定人数。

(b) 本条款的上述规定应适用于任何等级的一部分股份上所附权利的变更或废除,如 同得到不同对待的该等级股份的各组构成了单独的等级一样,其权利将有所不同。

  • 除非某类股票发行条件或所附权利中另有明确规定,创建或发行相同比例的股份

不视为变更股份上所附的特殊权利。

股东大会

  • a)本公司每年召开一次年度股东大会,为区别于其他股东大会,须在通知中注明 大会名称。两届股东大会相隔不得超过15个月。如在公司成立后18个月内召开首次股东 大会,成立当年和下一年则不必召开股东大会。年度股东大会须在董事会指定时间和地点 召开。

b)其他股东大会称为临时股东大会。

  • 如股东要求,董事会可根据条例另外召开临时股东大会。任何召开临时股东大会 的要求和董事会未能召开临时股东大会的情形,皆适用于本条规定。

股东大会通知

  • 年度股东大会及为通过特殊决议而召开的会议须至少提前21天发出书面通知,除 这两种会议之外的会议须至少提前14天发出书面通知。通知中须明确会议地点、日期和时 间。须以股东大会所规定的下述方式向公司章程中所规定的有权接收通知的人员发出通知。

如公司大会提前更早发出召开通知,该大会则应视为已经正式召集,但前提是:

  1. 如为年度股东大会,则是由所有有权出席和表决的股东同意召开;
  2. 如为其他大会,则是由多数有权出席和表决的股东同意召开,多数股东须持有相

当于至少95%表决权的股票面值。

  • 因故未发出会议通知或(委托文书须随通知一起发出时)因故未发出委托文书或 有权接收该类通知的人员未收到会议通知或委托文书,皆不会导致会议议程失效。

股东大会议程

  • 临时股东大会和年度股东大会上处理的所有议题皆应视为特别议题,但以下议题 除外:
  1. 宣布或批准股息;
  2. 审议账簿、资产负债表、董事会报告和其他账簿附件;
  3. 董事退休后,选举更换董事;
  4. 任命公司的审计员,并确定审计员的薪酬。
  • 如大会未达到法定人数,除选举股东大会主席之外的其他议题不得在股东大会上 处理。两名持有至少51%公司股票面值的股东亲自或委托代理人出席大会,方可达到法定 人数。如公司仅有一名股东,该股东亲自或委托代理人出席大会即达到法定人数。
  • 董事会主席缺席时,由副主席代替主席主持股东大会。如公司未设立主席或副主 席,或者会议指定时间后15分钟内主席和副主席仍未出席,或者主席和副主席都不愿担任 大会主席,与会董事须挑选一名董事担任主席;或者仅有一名董事出席大会时,该董事如 愿意可代行主席之职。如没有董事出席大会。或者与会董事拒绝担任主席,有表决权的与 会人员须选举出其中一人担任主席。
  • 根据章程第57条规定,如会议指定时间后15分钟内仍未达到法定人数,则本次 会议应当解散。根据大会主席的决定,可将会议延期至下周同一时间和地点或某天其他时 间地点。如根据章程第57条要求召开延期会议后15分钟内未达到法定人数,亲自或委托 代理人出席大会的股东即构成法定人数。
  • 任何达到法定人数的股东大会的主席,获大会同意后,根据大会指令,可将会议 延期至任何时间任何地点或无限期延期。如会议通知未发出或搁置,除原大会上已处理的 议题以外,延期会议上不得处理其他议题。当大会延期超过30天或无限期延期,须发出会 议延期通知。除上述情况以外,不必发出会议延期通知和处理议题通知。至于无限期延期 的会议,其召开的时间和地点须由董事会确定。

表决

  • a)股东大会上的任何决议须通过举手表决,然后宣布举手表决结果,或撤消投票 表决的要求。投票要求可由以下人士提出:

i)大会主席;

  1. ii) 至少两名股东,亲自或委托代理人出席且有表决权;
  • 任何股东,亲自或委托代理人出席,代表至少1/10表决权,有权出席和表决;
  • 任何股东,亲自或委托代理人出席,持有相当于至少1/10实缴总额的股份而享有 出席和表决的权利。

b)如无投票要求或撤消了该要求,主席将宣布有关决议举手表决的结果:一致或多数通 过,或否决。此结果将作为最终确证,赞成和反对的人数不作记录。

  • 经大会批准后,方可撤消投票的要求。如有指令或要求进行投票表决,(根据章程 第68条的规定)投票应在提出该要求后的七天之内按照大会主席指定的方式进行。如非立 即投票,无需提前发出通知。投票表决的结果应视作大会决议。
  • 如赞成和反对的票数各占一半,无论是举手表决或投票表决,大会主席可再投一 票或投决定性的一票。
  • 主席选举或会议延期议题如要求投票表决,须立即执行。无需投票的议题须优先 于需要投票的议题。
  • a)如大会或表决采取投票方式,且本人或代理人的投票皆视作有效,则任何表决 的有效性不容否定。

b)即使对主席选举有任何异议,选举结果仍保持不变,且该结果即为最终决定。

  • a)根据条例的规定,有权接收通知、出席股东大会并表决的全体股东(或委任代 理人)所签署的书面决议是合法有效的,与本公司股东大会通过的决议具有同等效力。某 一股东或其代理人发出关于决议的书面确认通知,即视作其已在该决议上签字。该书面决 议可包括多个文件,须经秘书证明每个文件皆为该决议的正确版本。

b)如公司仅有一名股东,该股东所作任何决策皆被公司股东大会采纳,并与公司股东大 会通过的决策具有同等效力,(除非是该股东在书面决议上签字而生效的决策)则该股东须 在决策后7天内向公司提供有关书面记录。

股东表决 ~

  • 依据公司特殊种类的股票所附的特殊权利和限制(capital of the Company漏译), 亲自或委托代理人、律师出席举手表决的股东各持有一票;如为投票表决,则亲自或委托 代理人、律师出席举手表决的股东拥有与其所持股份对等的表决票(1股相当于1票)。
  • 股东可亲自或委托代理人进行投票表决,持有多票的股东无需用完其全部表决票。
  • 精神不健全或法院判定为精神失常的股东,在举手表决或投票表决时,可通过其 代理人、遗产管理人或其他由法院安排的具有代表或遗产管理人性质的其他人进行投票. 这些代表、遗产管理人可委托代理人进行投票。至于未成年股东,可由其监护人亲自或委 托代理人进行投票。

代理人

  • a)代理人无须为公司股东。

b)委任代理人的书面授权委任书可采取一般、普通的形式,也可采取董事会规定的方式。 该委任书应视作授予代理人要求、加入或同意进行投票表决的权利,并代表委任人出席大 会或延期大会,对大会决议(或修正案)进行投票。委任书仅限于委托代理人出席其中提 到的大会和延期大会。

  • 委任人或授权律师须在委托代理人的书面授权委任书上签字。如果委任人是公司, 委任书须加盖公章,或由代表公司的管理人员、律师或其他授权人员签字。
  • 委托代理书、授权委托书、其他授权书或该类授权书的公证书,须于股东大会召 开前至少48小时内存放在公司的办事处;投票表决前至少24小时存放。否则,在没有大 会主席的批准下,委任的代理人将不得表决。
  • 股东可以通过委托授权书委任其他人作为其律师在会议中投票,此授权书可用于 特殊会议、股东大会以及股东有表决权的所有会议。该授权书须于执行前至少48小时存放 在办事处。
  • a)如需撤消委任,须向办事处提交一份书面撤消通知,并由出具委任书或授权出 具委任书的股东本人或其代理人签字。

b)当事人死亡或精神失常,或撤销委任或律师委托,或转让与表决权相连的股份,如办 事处在股东大会或延期会议召开前或投票开始前至少48小时内未收到该类通知,则先前根 据委托代理书或授权委托书的条款所作表决仍然有效。

企业代理人

  • 如任一企业作为本公司的股东,该企业的董事会或其他管理机构可委托适当人选 担任其代表出席本公司会议或担任本公司任一类股东的代理人。被委托人可代表该企业行 使作为本公司股东的职权。

董事

  • 首任董事必须由章程上的认购人书面提名,或由公司在股东大会上任命。
  • 除非公司普通决议中另有规定,董事会人数不得少于1人但无上限。
  • 董事无须持有公司股份。董事如非公司股东,也可出席股东大会并发言。

董事的薪酬

  • 由公司股东大会决定董事的薪酬。该薪酬应视为每天在自然增长。董事因往返参 加股东大会或股东大会委员会或为办理公事所发生的差旅费、住宿费或其他费用一律由公 司承担。

董事的职权 ”

  • 董事负责公司管理事宜,并承担公司成立和注册过程中产生的一切费用。董事可 以行使公司普通大会中规定的所有公司权力。然而公司在普通大会作出的任何规定均不可 导致董事先前作出的任何行为无效,而作出该规定前董事的行为本来有效。本条规定的普 通权利不受限于其他条规定的任何特殊权利。
  • 为管理公司事务,董事可在香港或其他地方组建委员会或代理机构;任命地方委 员会的股东或公司的经理或代理人;决定其薪酬;将董事的权力、职权以及自由酌处权以 及转授权授予地方委员会、经理或代理人;授权地方委员会的股东补缺并行使职权。该类 任命或授权应按照条款和董事认为合适的条件,董事也可撤消任何任命,废除、变更任何 授权,但诚实敬业之人及未收到废除或变更之人不会受到该类处分。
  • 董事可不时或随时以授权委托书形式任命任何一家公司、机构、个人或非法人团 体为公司的律师。该授权委托书系为达到董事认为合适的目的,授予律师董事认为合适的 权力、职权以及自由酌处权(但不得超出依据章程赋予董事的权利),委托期限和需服从的 条件亦以董事认为合适的为准。该类授权委托书可包含上述董事认为合适的条款,以保护 并方便个人与律师交涉,也可授权律师将授予其的全部或部分权力、职权以及自由酌处权 进行转授。
  • 根据条例的规定,本公司或代表本公司的董事可将某地的股东分册存放在任何地 方,董事也可变更有关分册存放地点的规定。
  • 所有支票、本票、汇票、其他可流通票据以及所有支付给公司的收据应由公司董 事签名,出票,承兑,背书或制造,董事上述行为所采取的方式应与其做出其他决议的方 式一样。
  • 董事可以行使公司的所有权力,包括对外举债,将公司事业、财产、资产、未赎 回资本全部或部分地用作抵押或担保,发行债券,根据条例第57B条规定,包括可转换债 券、可转债券股票或其他证券,不论系完全以此方式或作为公司或任何第三方的债务,责 任或义务担保。

董事的任免

  • 公司可通过普通决议决定罢免任一董事,而不受章程或该股东与公司之间的协议 约束(但不得影响该协议的破坏或终止);公司可以其认为合适的方式通过普通决议任命另 一董事。
  • 在不违反章程第92条“董事的职权”的前提下,公司可不时任命新董事以取代离 职董事或与现任董事共事,也可变更第81条中规定的董事人数的上限和下限,或在未设置 上限和下限的情况下设置人数限制。
  • 事有权随时或不时任命董事取代离职董事或与现任董事共事。
  • ,留任董事可填补其所在团体中的任何职缺,但是只要董事人数缩减到固定人数以 下,留任董事可采取行动将股东人数增至法定人数以召集股东大会。如董事都不能够或愿 意采取此行动,则任何股东可召集股东大会以任命董事。

备任董事和替代董事

  • a)每个董事应以书面通知的形式向公司提名一名替代董事,并由其自行决定罢免 其替代董事。一名董事可任命两个或两个以上的替代董事。至于哪个替代董事作为该董事 代表,第一个任命的替代董事应为唯一认可的替代董事,当董事本人不在香港时,替代董 事是唯一有权接收董事会议通知的人。替代董事应(除了任命替代人的权利)完全遵守现 有关于公司其他董事的条款条件,行使其代表的董事的所有职能、职权和职责,但只可为 其薪酬向原董事求助。各替代董事对其所替代的董事持有一票(除其本人也是董事而持有 的一票之外)。除非替代董事的任命书中另有规定,其在董事会或董事委员会的书面决议上 的签字应与其任命人的签字具有同等效力。

b)如果公司仅有一名股东且该股东也是唯一的董事,则公司可在股东大会上提名达到18 岁的人(而非法人团体)作为备任董事,在唯一的董事去世后取代其职位。根据条例第158 条的规定,公司的授权人有权向公司注册员提交备任董事任命详情。

解雇董事

  • 如发生以下情形,董事事实上退职;
  • 法律和法庭判令禁止其担任董事;
  • 董事收到接管令或公司收到清盘令,或董事与其债权人达成某种协议或合并;
  • 董事精神不健全;
  • 董事向公司呈递书面辞呈;
  • 公司根据章程规定,通过普通决议罢免公司;

f)董事被指控犯有可构成逮捕的罪行。

董事的权益

  • 董事可在公司内部的其他办公室或营利场所(审计员办公室除外)担任职务。事或其入股的机构可自行决定在一定期间以专业身份为公司及其董事办公室代理事务,并 提出相应(薪酬或其他)条件。董事或拟任董事不会因与公司签订合同而失去董事资格; 董事或拟任董事代表公司达成的合同和安排亦不会因与其存在利益关系而失去效力;上述 订约或存在利益关系的董事均不必就担任董事或者成立信托关系而所得的利润、报酬或其 他利益向公司报账。
  • 根据条例的规定,如某一董事与某合同或合同草案(关乎公司业务的重大合同) 有直接或间接的利益关系,则董事须披露该利益关系。该董事向董事会发出通知,声明其 为某一公司或机构的股东,该公司或机构日后达成的合同、交易、安排与其有利益关系, 则视为该董事在通知载明的范围内做了充分披露。
  • 董事可就任何与其有利益关系的合同、安排及相关议题作出表决,且该董事的表 决将计入最终结果;当商议该合同或安排时,该董事计入法定人数.
  • 如本公司为其他公司的股东或与其有利益关系,则本公司的董事可担任该类公司 的董事或经理;(除与本公司的协议有相反规定外)该董事不必就其在该类公司所得的报酬 或其他利益向公司报账。董事会可在本公司掌管或拥有的其他任何公司按所持股份行使表 决权(包括赞成有关本公司董事或该类公司董事的任命决议或该类公司董事报酬的决议); 本公司的任何董事可赞成通过以上方式表决(关于其本人的任命除外)或安排。

常务董事及其他任命的职位

100董事会可不时任命一名或多名常务董事或联合常务董事或授予他们管理职务,并 在此期间给予相应报酬;(根据该类董事与本公司订立的协议规定)董事会也可不时解雇该 类董事并任命新董事。

101 (根据常务董事或联合常务董事与本公司订立的协议规定)该类董事须同样遵守 针对本公司其他董事的退离职规定;一旦不再担任本公司董事,则事实上其常务董事或联 合常务董事之职立即终止。

102董事会可不时将本章程下的权力委托或授予常务董事、联合常务董事或身兼管理 职务的董事,供其在一定期间为特定目的行使,但受限于一定条款条件;董事会授予的这 些权力还可连同、除去或代替董事会的所有权力;董事会也可不时取消、收回、更改或变 更所有这些权力。

董事会议程

103董事可召集会议处理业务,延期会议,以其认为合适的方式开展会议,规定处理 公司事项所需的法定人数。除非董事会另有决定,两名董事即可构成法定人数。任何会议 上产生的争议可通过少数服从多数的表决形式解决。如赞成和反对的票数各占一半,大会 主席须再投一票或投决定性的一票。董事或秘书可随时召集董事会议。如公司仅有一名董 事,则董事会议的法定人数为一人。

104如董事会议通知送至董事本人,以书面形式或口头形式传达至董事,或寄至董事 所提供的近期地址或其他任何地址,则该通知视作送达各董事。董事可同意参加会议或放 弃参加会议,如放弃参加须列入记录。

105董事会可选出董事会主席,决定其任期;如未选出主席或者会议召开后15分钟后 主席仍未出席会议,则须从出席的董事中选出一名担任主席。

106 a)由多数以上的董事表决通过的书面决议具有效力。如董事发出关于该决议的书 面确认通知,则视作其已在该书面决议上签字。该书面决议可包括多个文件,每个文件都 已由一名或多名董事签字。

b)董事委员会的任何董事或成员可参加董事会议,或通过电话方式或其他音频通信设备 参与该类会议。通过上述方式参与会议的人视作亲自出席会议。

c)如公司仅有一名董事,该董事所作任何决策皆被公司股东大会采纳,并与公司董事会 议通过的决策具有同等效力,(除非是该董事在书面决议上签字而生效的决策)则该董事须 在决策后7天内向公司提供有关书面记录。

107达到法定人数的董事会议可行使被赋予的所有权力、职权以及自由酌处权。

108董事会可不时任命委员会组成人员,向该委员会授予权力或取消授权、解雇全部 或部分委员会人员。该类委员会在行使所授予的权力时,应遵守董事会的规章。该类委员 会即使仅由一人构成,也须合理组建。

109由两人或以上组成的委员会会议或议程应根据本章程中相关规定作必要修正;如 与前条中所提董事会任何规章有相同之处,则以章程相关规定为准。

110董事会议、董事委员会会议或董事会代理人的任何正当行为应当认为有效,即使 董事会或董事会代理人的任命存在瑕疵或他们已被撤职。

会议记录

111董事会应就以下事项作会议记录:

  • 职员的任命;
  • 出席董事会议和董事委员会会议的董事、替代董事(不兼任董事)的姓名;
  • 董事会和董事委员会会议的所有指令;
  • 股东大会、董事会议和董事委员会会议的所有决议和议程。

如声称任何董事会议、董事委员会会议和公司的会议记录由当场会议或下场会议的主席 签字,则该类记录可作为其中所陈述事项的表面证据。

印章

112董事须即时为公司制作公章并进行保管。只有经董事会或董事委员决议通过的文 件方可加盖该印章。任何加盖该印章的文件须经一名董事或董事会指定的其他人签字。

113根据条例的规定,本公司可使用公章行使任何权力。该类权力应授予董事。

秘书

114公司设一名秘书。由董事会任命该秘书或联合秘书、副秘书、助理秘书,并确定 其任期、薪酬和工作条件:董事会也可随时解雇该类秘书。董事可担任秘书。如公司仅有 一名董事,则这名董事不得担任秘书。公司的首席秘书为NRK Limited。

115条例有关规定或条规中要求或授权董事或秘书所做之事,不可由该董事和秘书的 同一代理人办理。

股息和储备金

  • a)本公司可通过普通决议宣派股息,但该股息不得超过董事会建议的数额。

b)根据条例第HA部分的规定分配股息(见条例第79A条规定)。

  • 董事会可以其认为合适的方式,根据公司盈利情况,向股东不时派发中期股息。 如公司股本分成不同种类,董事会可就授予递延权、非优先权、股息优先权或特权的股本 派发中期股息;只要董事会依法执行,该类股东即可不必承担董事会因支付授予递延权或 非优先权的股份的中期股息而造成的损失。根据盈利情况,董事会也可每隔半年或每隔一 段适当的时间固定支付股息。

118在建议股息数额之前,董事会可从公司盈利中留存一笔其认为合适的款项作为储 备金,由董事会决定此笔款项用于公司盈利可以正当使用的任何目的,且在如此使用之前, 同样可经自由酌处将其用于公司业务或用于董事会随时认为合适的投资(不是购买公司股 份)。董事会也可扣减任何其认为不应分配的股息而不必将它置人储备金。

119支付的股息必须来源于盈利。计息不得有损公司利益。

120董事会可扣留股息或其他应付款,公司对其股息有留置权;如果存在置留问题, 公司将置留其股息直至其清偿所有债务。

121任何宣派股息的决议,无论是公司股东大会通过的决议还是董事会通过的决议, 应明确规定当公司停业时,在某一具体日期向注册股东支付该类股息;即使该日期早于通 过该决议的时间,亦可根据各股东的持股情况支付股息,但不可影响股份转让人和受让人 各自的股息权利。本条的规定稍作修改后,适用于本章程所规定的资本化。

122除非股份所附权利或发行条件另有规定,所有股息(指在股息支付期间未全额缴 付的股份)应根据支付股息期间的已缴股款按比例分配。根据本条规定,催缴之前所付款 项应视作股款。

123除非另有规定,任何股息和应用现金支付的款额均可通过邮局用支票或付款单支 付,寄至股东的挂号邮件地址,如遇联合股东情况,则寄至股东名册上排名首位之联合股 东的挂号地址,或用股东或联合股东指定的某人和某个地址。如该支票或付款单在邮寄途 中遗失,或股东因伪造的支票或付款单文件而失去股息或其他款项,本公司概不负责。经 银行工作人员开具支票或付款单,则视为公司付清该股息或应付款。

124如经公司股东大会批准,董事会可以货币或实物方式向股东分配全部或部分股息、 公司资本及其他公司的股票或证券。

125对于公布后一年内无人领取的所有股息,由董事会用于投资或以其他方式利用, 直至有人领取时为止。宣派后两年未索取的股息则由董事会没收,并返还给公司。有关股 份的单独应付款赈户不使以本公司作为托管人。

储备金的资本化

126 经董事会建议,公司股东大会可以作出决议,将公司提留作为储备金及用于调整 亏盈账户或其他本可用做分配的资金款项的任何部分作为资本,同样可决定将此种款项留 存用于分配给原本有权按同样比例分到股息的股东,条件是不支付现金,或者用其抵冲股 东所持股份中未缴付的股款,否则,则用其支付公司即按上述比例分配和发行给这些股东 的缴足股款的股票或债券的股款,或部分用于这方面,部分用于另一方面,董事会应当负 责实施此种决议。

按本章程规定,股份溢价账户和偿还资本储备金只能在将未发行的股票作为缴足股款的 分红股发给公司股东时动用来支付股款。

127不论何时通过此种决议,董事会都应负责做好作为资本的未分配利润的调拨和使 用工作,做好所有缴足股本的股票或债券(如果有)的分配和发行,做好实施决议的一切 工作。

128为了实施第124条下的决议和第126条下的决议,董事会应以其认为合适的方式 解决分配过程中的一切困难,尤其应发行零星股权证,确认用于分配的全部特定资产的价 值,且可按所确认的价值确定分配给股东的现金,由此调整所有当事各方的权利,董事会 还可将此种特定资产委托给其认为合适的人托管。条例中有关分配合同存档的规定应予以 遵守,董事会可任命任何人代表享有配股的人签订此类合同,当事各方须遵守此合同,此 合同规定该类人员接受股份或债券分配用以清偿资本化的那部分索取款项。

账目和审计员

129 a)董事会应保证会计账簿真实记录所有收支款项、商品的销售和购买、公司的资 本和负债以及须真实公允和解释的其他事项。

b)董事会应不时决定是否、在何种程度、何时何地、按何种条件或条规,将公司账册向 非董事成员公开。任何股东(不兼任董事)未经法律允许、董事会或公司股东大会授权, 均无权检查公司账目、账簿和任何文件。

130 董事会应不时根据条例的规定,于公司股东大会前编制损益表、资产负债表、集 团报表(如果有的话)和报告。

131公司股东大会前编制的资产负债表的复件(包括依法所附的每份文件)、董事会报 告复件、审计报告复件,应于大会召开前至少21天送至公司各股东、债券持有人和除此以 外的所有有权收到股东大会通知的公司职员。本条不要求该类文件的复件送至公司不知地 址的那些人或股票或债券的联名持有人中的多人。

132 应按照条例规定任命审计员并确定审计员的职责。

通知

133 公司可将任何通知或其他文件送至股东本人,或预付邮资寄至股东的挂号地址, 如股东的挂号地址不在香港,则通过空邮。公司在任何通知上的签字须手写或打印。

134每个股东应不时以书面形式向公司通知前条中所指挂号地址。

135 任何邮寄的通知应视作信函从香港寄出48小时后或信函寄出后第五天,其挂号地 址仍位于香港。在证明送达时,须足以证明该通知信寄送的地址正确且是在预付邮资后放 入邮箱。

136 对于因公司股东死亡或破产而被授予股份的人士,公司向其发出的通知应以上述 邮寄方式用预付邮资的信函,列明其姓名,或死者代表人称谓,或破产保管人:在没有死 亡或破产发生的情况下公司授予股份的人士,公司可以任何方式向其发出通知。

137股东大会通知可以任何方式发至下列人士:

  • 所有股东,未向公司提供其在香港的寄发地址的(在香港无挂号地址的)除外;
  • 所有因公司股东死亡或破产而被授予股份的人士,从而有权接收股东大会通知;
  • 公司现任审计员。

其他人一律无权接收股东大会通知。

138需由公司或高级职员寄出的任何召集、通知、命令或其他文件可通过邮寄方式用 预付邮资的信函寄至公司或办事处的高级职员。 :

139根据章程或条例中的任何特殊规定,所有需通过公告发出的通知须分别在香港的 至少一份中文日报和一份英文日报上登出。

140寄出通知或视作寄出通知的当天和发出通知的当天不计入寄发通知所用的时间。

停业

141如公司停业,经公司专门决议通过,清偿债权人后的盈余资产应根据各股东在停 业初期实缴资本按比例分配,;如盈余资产不足偿还全部实收资本,差额应根据各股东在停 业初期实缴资本按比例承担。本条受限于根据特殊条款条件发行的股份的所附权利。

142如公司停业,根据条例所批准的特殊决议或其他决议,清算人可以货币或实物方 式分配公司的全部或部分资产(不论资产是否构成同一类实物),只要清算人认为合适,他 可就上述所分配的任何资产进行估价,并可决定如何在股东或不同种类的股东之中进行分 配。财产清算人可以将全部或任何部分资产交受托人,只要清算人认为此种委托恰当且对 分配有益,但不得强迫任何股东接受任何附有义务的股份或其他证券。

赔偿

143凡董事、常务董事、代理人、审计员、秘书或公司其他高级职员参与诉讼,不论 是民事诉讼或刑事诉讼,如果胜诉,或被开释,或法庭援引条例第350条规定,免除他的 责任,因辩护而发生的任何债务应从公司财产中予以赔偿。

 

Appendix C: Translation Service Contract

翻译服务协议书

甲方:学府翻译公司

乙方:吴静

依据《中华人民共和国合同法》规定,本着诚实信用、平等互利的原则,甲乙双 方就甲方资料翻译服务一事,达成协议如下:

第一条:翻译内容

  • .乙方将甲方提供的所有文件中的英文翻译为中文;具体文件以甲方给 乙方的纸质文件或者电子版文件为准。
  • .乙方应保证翻译人员的专业性和翻译稿件的准确性,认真做好翻译校对 工作;
  • .乙方装照甲方的文件格式进行排版,最终翻译稿以电子文件的方式提供 给甲方。
  • .乙方应保证其翻译稿件质量:忠实原文、译文准确。

第二条:翻译期限及费用

  • .计价方式:按照翻译完成的中文(字符数不计空格)进行计价。
  • .本次翻译单价为120元/千字(译文),具体字数以MS Word字数统计工具数据为准。
  • .翻译文件的交稿期限为:2012930

第三条:责任条款

  • .如因甲方原因推迟提供给乙方翻译稿件或翻译的相关资料时间,受到的 损失甲方承担。
  • .甲方如对乙方译稿有异议,甲方有权在取稿之日起30日内,向乙方提出 书面修改意见,乙方应按甲方要求在规定的时间内免费进行修改,直至 甲方满意为止。
  • .如乙方在翻译质量和完成工期方面不符合合同要求,甲方有权中止合同 并视为乙方违约。
  • .翻译进行过程中,如甲方提出中止翻译,应按照已翻译文件比例支付相 应翻译费。

第四条:其他条款

  • .乙方应考虑甲方翻译内容的保密性。
  • .本协议未尽之事,双方协商解决;

3,本协议一式二份,,甲乙双方各执一份,自双方盖章之日起一年内有效。

 

乙方(盖章): 负责人(签字): 联系电话:

地址:

签字日益夕

/

 

摘要

本课题来源于本人在研究生学习阶段对所学习的翻译知识和所进行的翻译 实践练习以及本人在导师指导下对研究此课题重要性的思考。对于翻译的定义, 广义地来说,它包括的范围很广,甚至包括语言和非语言之间的转换,古今中外 的译界学者回答这个问题的方式也截然不同,但是这个核心问题并不随着时间的 推移而改变。随着现代语言学的发展,各类应用语言学分支学科应运而生,探索 翻译的工具越来越得心应手,在这种新工具、新方法的帮助下新的概念还会出现。 但这并不会改变翻译的本质,翻译就是在某一特定的社会环境内进行交流的过 程,即:把原文中的意思在译文中表达出来。将意思表达出来,说的简单,做起 来并不容易,实际翻译过程中会出现很多问题。这些问题就是译者研究的对象, 翻译界对这些问题也争论不休,这些问题大致包括以下内容:直译还是意译;功 能对等还是形式对等;重原文形式还是重原文内容;靠近源语还是靠近译入语; 以原作者为中心还是以译文读者为中心;原作者写作目的还是译者翻译目的。在 翻译这个千里之行的旅途中,始于足下的应该是两种语言和文化的对比。惟有对 比深刻,才能将翻译中遇到的困难深刻理解,问题才能迎刃而解。由于译者在翻 译中首先听到的或看到的总是音或词,所以比较符合实际的对比方法应该从较小 的语言单位开始,再比较更大些的语言单位,最后再去看语言外的因素,即翻译 过程中要对比:语音和书写系统的对比;语义的对比;句法的对比;话语和篇章 结构的对比;社会、文化等语言外因素的对比。

现代社会的一个重要方面是科学技术的普及。我们对西方的一些价值观不 以为然,但是对产生于西方的高科技却不能置若罔闻。电脑、电子邮件、卫星、 传真、超音速飞机这些高科技的广泛应用,人与人之间交流的关系产生了革命性 的变化。在全球化时代,由于金融、商业、科技等方面的实际需求,以科技、商 业、法律为主要内容的国际标准化语言的作用就显得格外重要,而翻译这类语篇 就成为当今翻译工作者的主要任务。语言需国际标准化的语篇主要涉及电脑、金 融、商业、医学和法律等领域。之所以要使这类语篇的语言文字标准化,是因为 在这些领域中操不同语言的人必须要求语言准确无误地表达他们所要表达的思 想,语言所指清清楚楚,必须排除模棱两可的可能性。这时,需要国际标准化的 语篇之间就存在很强的互文关系(intertextual connections),而语篇中的语 言符号的高度约定性就成为了互文联系的基础。因此,本文试图以Hans Vermeer 的目的论为主要依托,以彼得•纽马克(Peter Newmark)的翻译理论等理论为 辅佐,从作者本身的翻译实践出发,总结标准化语篇的翻译过程中遇到的各类问 题和解决方法,从而实现了使用翻译理论指导翻译实践、并在实践中践行翻译理 论。

作为标准化语篇的一种,随着全球化的进展和国际交流的不断深入,法律 文件在国际社会中起到越来越重要的作用。法律翻译受到两种语言不同的国家文 化和法律系统的制约,不能看作是从原语到目的语的简单转码,而是在两种法律 体系之间进行转换(Sarcevic, 1997:13),其中就涉及到包括法庭文件、公司章 程、案例报告、出生证、合同等不同种类的法律文本。

法律翻译有着相当长的历史渊源,对于人类文明的发展也起到了不可磨灭 的促进作用。因此法律翻译研究不仅在学术界受到重视,甚至在政治、经济和社 会等也拥有举足轻重的地位。

这篇论文是基于实践而写成的《公司章程》翻译项目报告,以目的论为指 导,通过对原文的分析和对翻译过程的剖析,验证了翻译理论对于翻译实践的指 导意义。

文章中的翻译项目是香港一家注册公司的《公司章程》,原文为英文,共两 万多字。2012年9月10号,南京学府翻译公司联系本文作者,询问是否可以做 这份翻译。截稿日期是2012年9月30号,所以翻译历时是20天。客户最初的 要求比较简单,就是译文要通顺,便于理解。但目的论要求在做一份翻译时,译 员应首先了解翻译预期要达到的目的和要求,以及译文读者和译文传播途径。

学府公司还提供了另一份公司章程的中英对照稿件,虽然内容有很大区别, 但在文风和措辞上很有参考价值。在准备工作阶段,作者通读了原文,了解了原 文的大致内容,并且在初步阶段通过翻译公司咨询询问了客户对这篇翻译的具体 要求。当涉及到法律翻译时,一个重要问题就是译文在译入语语境中是否同样具 有法律效力。这篇报告中的译文在译入语中对译语读者不具有法律约束力,因此 这篇翻译的目的主要是提供信息。顾客是大陆一家公司,因打算与香港这家公司 进行商业合作,所以需要将该公司的《公司章程》翻译成中文,以便了解该公司 的经营状况、公司组成、利润分成等情况。译文只会在大陆公司的员工中间传播, 不会公开。

收集了以上信息之后,作者对翻译目的有了明确的认识,从而可以选择翻 译理论,在翻译过程中确定翻译原则和方法、技巧,以及确定翻译进度。

因翻译项目的原文是公司章程,所以首先需要了解公司章程的撰写目的。 公司章程是指公司依法制定的,规定公司名称、住所、经营范围、经营管理制度 等重大事项的基本文件,也是公司必备的规定公司组织及活动基本规则的书面文 件。公司章程是股东共同一致的意思表示,载明了公司组织和活动的基本准则, 是公司的宪章。公司章程具有法定性、真实性、自治性和公开性的基本特征。公 司章程和《公司法》一样,共同肩负调整公司活动的责任。作为公司组织与行为 的基本准则,公司章程对公司的成立及运营具有十分重要的意义,它既是公司成 立的基础,也是公司赖以生存的灵魂。

作者在准备阶段不仅通读了原文,还搜集了中文的《公司章程》相关资料, 了解了中文公司章程的撰写和用词规范,为翻译打好了基础。对原文的分析是项 目中的一个重要环节。这个项目中的原文与多数法律文件一样,具有法律文件的 鲜明特征。首先在用词方面,多用古语词、正式用词、具有特殊法律意义的常用 词和功能连接词。句法上,句子多是长句和复杂句,且多用被动语态。篇章安排 上,多重复用词以及使用平行结构。为了精确地列明一个法律概念所涵盖的一切 情况,往往会并列多个字词、短语甚至是从句,以达到精确严谨。

第二章涉及到了文献综述,大致介绍了前人对法律翻译的研究情况,介绍 了该报告的目的和意义,并讨论了报告写作手法和法律翻译的相关文献。这篇报 告的主要目的就是为了验证法律翻译中,适用性和功能性方面的考虑对翻译策略 的选择所起到的决定作用。同时,报告还尝试了计算机辅助翻译在法律翻译中的 应用,探索了计算机辅助翻译的前景。

第三章大致总结了翻译工作开始前的准备工作,包括翻译工具的使用、翻 译理论的确定以及翻译进度的安排。作者在翻译过程中参考了大量资料,翻阅了 香港政府的公司章程样本中英对照版,同时参考了大量的法律字典,从而确定具 体用词的含义和意义。因为目的论具有广泛的运用范围,且Vermeer本人也曾明 确提出目的论对法律翻译也适用,甚至用保险合同作为例证验证过目的论对法律 翻译的适用性。因此,作者在考虑到翻译项目实际情况和翻译目的的情况的下, 选择了目的论作为此次翻译项目的指导理论。目的论的三个核心原则分别是 Skopos Rule Coherence Rule、以及 Fidelity Rule» 根据目的论,不同的文本 在翻译目的不同的情况下,可以译成不同的文本,这一点与本项目的翻译相契合。 以为对法律翻译而言,译文是否由法律效力是一个重要的影响因素。这篇报告中 的译文不具有法律效力,因此翻译的过程不需要太过严谨,不需要纠结于法律含 义和引申意义。因此根据目的论的指导原则,译文在实现其交际目的(即为目的 语读者提供其所需要的信息)的情况下,就是一篇合格的翻译。

确定了翻译指导理论之后,作者大致安排了翻译进度。前两天是准备工作, 主要是熟悉原文,分析原文特征,查找平行文本,搜集辅助工具等。译文完成后 还有后期工作要做,如术语一致、查缺补漏,前面尚未解决的问题要集中处理等。 所以最后还要余出两天的时间做最后的扫尾和检查工作。那么中间的16天时间 就是真正用来做翻译的时间。因为原文有两万多字,所以在保证译文质量的前提 下,每天完成2000字的量是绰绰有余的。为了确保术语的一致性,翻译过程中 作者还应记录术语,把高频词和专业词汇标记汇总,做好相应记录,给出合理的 翻译,为后文做参考。如后面发现翻译需要调整,也便于对前面的翻译做出调整。 经过以前项目的经验总结,作者认为术语表是翻译项目中不可或缺的,具有非常 实际的指导作用。

第四章从法律翻译原则的角度出发详细阐述了翻译过程,并以《公司章程》 的原文为材料,分析了计算机辅助翻译在法律翻译中的应用,大胆推测了计算机 辅助翻译在未来翻译行业中的广泛应用。针对法律翻译这一特殊范畴,以及法律 英语用词的特点,作者总结了翻译过程中应该遵守的翻译原则,并从翻译原则的 角度分析了具体的翻译过程。作者在该项目中所遵守的三个翻译原则分别是准确 性和精确性原则、同一性和一致性原则以及清晰和简练原则。最后的问题排查和 扫尾工作中,作者对于前面没有解决的翻译问题,或咨询专业人士、或查找相关 资料、或询问翻译公司有经验的前辈,最终为难题找出了一个较为合理的翻译。 同时在对照原文的情况下,进一步对译文的用词和句式做出了调整,以便适应中 文读者的阅读习惯,使译文通俗易懂,便于理解。最后要对译文做拼写检查、调 整译文格式。译文提交给学府翻译公司后,公司的专业审校对译文进行了批阅, 在需要调整的地方做出了批注,作者根据审校的修改意见进一步修改了译文。最 后交给客户之后,译文得到了客户的高度评价,因此作者也得到了翻译公司的肯 定。

在这个报告中,作者还初步尝试了使用翻译软件对法律翻译进行辅助,选 了三个较为典型的段落作文材料,得出了机器翻译结果,并分析了译后编译的过 程,总结出计算机辅助翻译在翻译翻译中的实用性。作者还大胆预测了计算机辅 助翻译在法律翻译中的运用前景,认为未来的法律翻译将更多地依赖计算机辅助 翻译,从而达到更快、更好、更专业。

第五章是主要问题分析,通过典型例子的分析总结了法律文件中情态动词、 常用表达和长难句的分析和可行的翻译方法。总结以往的法律翻译实践可以发 现,shall有多种译法,包括“应”、“须”、“应当”、“将”、“可”、“要”以及“必 须”等。这几个词当中,“必须”语气最强,强制性最高;“须”可以看成是“必 须”的省略形式,强制性次之;“应”强制性更次之,可以看成是“应当”的省 略;“可”几乎失去了强制性,表示一种许可;“将”则是将来时态的辅助词,只 有时间概念上的含义,没有任何强制意味;“要”则是比较口语化的一种强制表 达方式。而法律英语中的shall当作情态动词与第三人称一起使用时,它表示命 令、义务、职责、权利、特许和许诺等。从理论上讲,译成“必须”是成立的。 但在法律翻译的实践当中,“必须”常常对应的是must。因此“应”和“须”应 当是shall较为贴切的中文表达。同时,作者还分析了该项目中shall不译的情 况以及其在被动句中的用法。

法律文件多使用连接词,与口语体不同的是,法律文件中的连接词数量多、 正式程度高,往往给法律文件的理解带来困难,并进一步加深了法律翻译的困难。 幸好这类句式和短语在法律文件中的重复率比较高,而且因为要在法律文件中保 持术语和习语及相同句式结构译文的同一性和一致性,不能随意用不同形态的同 义词或近义词表达相同的法律概念,也不能让同样的句式结构有许多不同形式的 翻译表达,所以归纳出这些常用句式和短语的译法具有很大的代表性。该报告中, 作者总结了“otherwise”「’subject to?\^without prejudice to”和”in respect of”四个常用连接词的译法。对于法律英语中常见的长难句,作者提出了三个翻 译策略,即句式成分分析、按顺序翻译和反向翻译,并用具体例子作为佐证,说 明了三中策略的应用方法。

通过这个翻译项目的实践和学习,作者掌握了法律翻译的入门知识,对法 律翻译有了较为深入的了解,并且掌握了正规的翻译程序,为今后的翻译实践打 下了坚实的基础。但因为作者本人在法律修为上的局限性,译文多少会有不尽如 人意的地方,一定还存在不少进步的空间。因为译文完全以作者本人的翻译实践 为基础,所以多少存在一定的局限性,这也是该报告的局限性。文章最后总结了 翻译过程中的学习心得,为法律翻译实践提出了一些可行的建议,并大胆展望了 计算机辅助翻译的应用前景。

该报告根据MTI中心的指导意见为原则,在选题和论文结构安排上都紧贴 MTI论文的要求,所以实践性大于理论性。因为没有既定的规范模板可以参考, 所以在结构和内容上可能还存在不足的地方,但是作者本人希望该报告可以为后 面学者的研究提供一些参考价值。

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