信用证项下提单质押法律问题研究

【作者】 黄汉文；

【导师】 王伟；

【作者基本信息】 复旦大学 ， 法律， 2010， 硕士

【摘要】 在信用证业务中,提单质押担保不仅给贸易商带来了极大的方便,而且使金融资本获得了一个参与国际贸易的大好方式。但是,在实践操作中,提单质押涉及的环节和关系人众多,有关提单质押方面的立法也不足,导致了由提单质押引起的纠纷大量增加。在理论研究上,对提单质押涉及的很多方面法律问题也一直没有定论,从而使得理论与实践中对这些纠纷问题的认识产生了诸多分歧。本文运用理论联系案例的方式,对跟单信用证项下的提单质押相关法律问题进行研究,提出具有一定前瞻性和兼容性的理论观点,能促使我们的法学理论更加适应社会经济发展的需要。全文分为四章。第一章主要分析提单的定义和属性；第二章主要结合实践,分析实践中允许和禁止设立质押的提单种类,进一步研究明确提单质押的成立和生效条件,并分析提单质押的一般法律效力；第三章主要运用案例,阐述受益人与往来行、受益人与开证行、开证人与开证行之间的提单质押关系,进一步分析明确在不同当事人之间设立的提单质押的关系及其法律效力；第四章对提单质押中的无单放货、凭保函签发提单出质、倒签提单和预借提单出质、记名提单出质等情况中,对质权人如何实现权利进行分析并提出建议。更多还原

【Abstract】 In letter of credit business, the bill of lading hypothecation brings great convenience not only to merchants but also financial capital for participating in international trade. However, in practical operation, since quite a number of links and parties are involved in the bill of lading hypothecation, also with the scarcity of the legislation in this field, more and more disputes arise from this type of hypothecation. In theory, the indeterminacy of legal issues on the bill of lading hypothecation also engenders a lot of differences between theory and practice for the understanding of these disputes. In this paper, by the way of theory with case, we study the related legal issues on bill of lading hypothecation under documentary credit, and propose forward-looking and compatible theoretical perspectives to encourage our legal theory to adapt to social and economic development needs.This paper is divided into four chapters. The first chapter is mainly about the definition and properties of bill of lading. In the second chapter, combining with practice, we analyze the category of permitted and prohibited types of bill of lading hypothecation, specifying the establishment, enforceable conditions and general legal effect of this type of hypothecation with further study. In the third chapter, we use cases to illustrate the bill of lading hypothecation relations between beneficiary and correspondent bank, beneficiary and issuing bank, issuer and issuing bank, clarifyng the hypothecation relations among different parties and relative legal effectiveness. The fourth chapter analyzes how can the pawnee realize his rights under different circumstances such as release of goods without pledged original bills of lading, pledge of bills of lading issued by a quality guarantee, pledge of ante-dated bills of lading, pledge of advanced bills of lading, pledge of straight bill of lading, etc., and provides some related suggestions.更多还原