【作者】 吕娟；

【导师】 王淑敏；

【作者基本信息】 大连海事大学 ， 国际法学， 2008， 硕士

【摘要】 随着国际贸易竞争的日益激烈,世界市场由卖方市场逐渐转向买方市场。长期以来,卖方企业大量的应收款不能收回或不能及时收回,给企业资金融通带来很大困难。同时,卖方还会因此承担很大的商业风险。顺应这一潮流,在国际贸易中,利用应收款融资出现,这种融资方式是一种很好的融资方式,它能有效地解决卖方应收款和营运资金之间的矛盾。而应收款融资的前提就是应收款的转让。应收款的转让是国际贸易中的一个重要法律问题,它既是开展国际保理业务的法律基础,也是资产证券化的前提之一。长期以来,各国关于应收款转让方面的法律制度在内容和选择上都存在很大的不确定性,由此产生的问题构成了有效开展商业往来的法律障碍。联合国国际贸易法委员会从1995年开始着手起草《联合国国际贸易中应收款转让公约》,并于2001年7月完成了该公约的最终草案文本,联合国大会已于2001年12月12日采纳了该公约,并开放以供各国签署和批准。本文研究了该公约所涉及的重要法律问题,并结合我国的相关立法理论与实践,对国际贸易中应收款转让的相关法律问题加以探讨。本文共分三章。第一章首先对国际贸易中应收款转让进行了概述,其次分析了应收款转让的法律本质及各国相关立法的比较。第二章介绍了《联合国国际贸易中应收款转让公约》的内容,包括联合国国际贸易法委员会起草该公约的背景、工作进程及公约制定的意义。通过与《国际统一私法协会国际保理公约》的对比,研究了《联合国国际贸易中应收款转让公约》在适用范围、应收款转让的效力、转让人与受让人之间的关系、债务人的保护、转让对第三人的效力——优先权冲突、国际贸易中应收款转让的法律冲突规则等方面取得的成就。同时也通过与《国际商事合同通则》(2004年修订版)的对比,研究了《联合国国际贸易中应收款转让公约》在转让通知等方面存在的缺陷。第三章分析了该公约对我国有关应收款转让的立法的借鉴意义。更多还原

【Abstract】 With the increasingly competition in the international trade, the world market gradually comes into the buyer’s market from the seller’s market. For a long time, the seller parties can’t take back or can’t take back their receivables on time, which results in greater difficulties in funds-financing. At the same time, the seller parties will therefore suffer from greater risks. In the international trade, receivables financing is a better way to solve theses problems, which can solve the conflicts between the receivables and the needs of funds. But the premise of receivables financing is to assign the receivables, which is a very important legal issue in international trade. It is not only the legal foundation for the international factoring, but also the premise of asset-backed securitization. However, in different legal systems, from the contents to the choices of law, the laws on the assignment of receivables are characteristic of uncertainty, which become the legal obstacles to efficient commercial practices. In 1995, the United Nations Commission on International Trade Law (UNCUTRAL) undertook the work in the field of assignment of receivables in international trade. On July 5, 2001, UNCUTRAL approved the draft convention on the assignment of receivables in international trade. And on December 12, 2001, the Convention was adopted by the United Nations General Assembly and is now open for signature and ratification by countries. The paper studies the main legal problems that involved in the convention and the related laws and practice on the assignment of receivables in China.The paper is composed of three chapters. In Chapter One, the paper firstly summarizes the assignment of receivables in international trade; Secondly, the paper tells us the characters of the assignment of receivables and the legal systems of the different countries. In Chapter Two, the paper illustrates the main legal problems involved in the convention, including the background and working process that UNCITRAL drafted the Convention. Besides, the paper studies the scope of application, effectiveness of assignment of receivables, relationship between the assignor and the assignee, protection of debtor, effects of the assignment as against third parties-priority problems and conflict-of-laws rules in the assignment of receivables in international trade, by comparing with The Convention on International Factoring. At the same time, comparing with the "Principles for International Commercial Contracts" (2004), the paper studies the defects of the UNCITRAL, such as the transfer notice.The paper also analyses the status of the convention. In Chapter Three, the paper analyses the laws and practices in the field of assignment of receivables in China.更多还原