海运保函法律问题研究

发布时间：2018-03-05 05:01

本文选题：海运保函　切入点：结构　出处：《华东政法大学》2012年硕士论文　论文类型：学位论文

【摘要】：海运保函从国际航运实务中衍生出来，其广泛应用引起了理论界的普遍关注，尤其是《鹿特丹规则》使得无单放货合法化从而省去了提货保函的利用空间进一步引起了理论界对保函问题的探讨。即便保函因其有符合民法理论中“欺诈”的嫌疑而受到了批驳，其在国际航运几十年的发展历程中的运用却十分普遍，这从国际互保协会制定了标准保函格式便知。从司法实践来看，世界各国绝大多数都承认善意保函的效力。然而，该制度的立法状况远远落后于其实践运用，目前仅有《汉堡规则》对海运保函及其效力作出了明确的规定，但仍然存在诸多不完善的地方。我国《最高人民法院关于保函是否具有法律效力问题的批复》吸收了《汉堡规则》的规定即明确确立了“善意保函有效”的原则，但亦未对善意保函的认定规定一个客观可行的标准。即便如此，，囿于国际航运的客观情况，货运双方仍然不得不以保函来换取国际贸易和海运合同的顺利进行，我国司法实践大量的判例更是承认和确立了《汉堡规则》所述善意保函原则。近年来，学者们对保函的研究主要集中于对其性质和效力的探讨。本文着眼于实践，以善意保函具有法律效力为出发点，采用实证分析法和价值分析法等研究方法，结合案例着重就换取清洁提单保函和提货保函的定义、成因和效力进行分析，为保函签订双方以及其他利益相关方提出规避风险的建议，以期指导实践并推动该制度的发展和完善。第一章对海运保函的定义进行阐述，并从主体、担保事项、担保限额以及担保期限等角度对海运保函的结构进行界定；第二章简要介绍海运保函在中国的实践状况以及各主流理论的观点，并在此基础上提出笔者的观点；第三章分别就换取清洁提单保函、倒签或预借提单保函以及提货保函的概念、形成原因和法律效力进行论证和阐述，结合实例分析，深刻理解“善意保函有效”的内涵；第四章着眼于现行海运实务，既然保函的适用不可避免，文章便结合实例向货运双方以及银行等其他利益相关方提出规避风险的有效建议，具有重要的实践意义；最后，结合我国的实际情况，从立法和实践两个角度对完善我国的海运保函制度提出建议，并对其发展前景做出展望。
[Abstract]:The shipping guarantee is derived from the practice of international shipping, and its wide application has aroused the general concern of the theoretical circle. In particular, the Rotterdam rules legalize the delivery of goods without bills of lading, thus saving the space for the use of guarantee letters of lading, which further lead to a discussion of the issue of guarantee in the theoretical circle. Even if the guarantee is in accordance with the "fraud" in civil law theory, The suspicion was refuted, Its application in the development of international shipping for decades is very common, which is known from the standard form of guarantee developed by the International Association of Mutual Insurance. From the judicial practice, the vast majority of countries in the world recognize the validity of bona fide guaranty. The legislative status of the system lags far behind its practical application. At present, only the Hamburg rules make clear provisions on maritime guarantees and their effectiveness. However, there are still many imperfections. The reply of the Supreme people's Court on whether or not the guarantee has legal effect has absorbed the provisions of the Hamburg rules, that is, it clearly establishes the principle of "bona fide guarantee to be effective". However, there is no objective and feasible criterion for the determination of bona fide warranties. Even so, due to the objective circumstances of international shipping, both parties still have to exchange guarantees for the smooth conduct of international trade and maritime contracts. A large number of precedents in judicial practice in our country have recognized and established the principle of bona fide guarantee as stated in Hamburg rules. In recent years, scholars' research on guarantee mainly focuses on its nature and effectiveness. This paper focuses on practice, takes bona fide guaranty as a starting point, adopts empirical analysis method and value analysis method, etc. In combination with the case, the definitions, causes and effectiveness of the guarantee for exchange for clean bill of lading and the letter of delivery of the goods are analyzed, and the risk avoidance suggestions are put forward for the parties signing the guarantee and other stakeholders. In order to guide the practice and promote the development and improvement of the system. The first chapter describes the definition of maritime guarantee, and defines the structure of maritime guarantee from the aspects of subject, security matter, guarantee limit and guarantee period. The second chapter briefly introduces the practice of maritime guarantee in China and the views of various mainstream theories, and puts forward the author's views on this basis. The concept, reasons and legal effect of the guarantee of reverse or advance bill of lading and the guarantee of delivery of goods are demonstrated and expounded, and the connotation of "good faith guarantee effective" is deeply understood in combination with the analysis of examples. Chapter 4th focuses on the current practice of maritime transportation. Since the application of guarantee is inevitable, it is of great practical significance to put forward effective advice to both parties of freight transportation and other stakeholders, such as banks, to avoid risks. Finally, combined with the actual situation in our country, This paper puts forward some suggestions on how to perfect the maritime guarantee system in China from the angle of legislation and practice, and makes a prospect for its development.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996.1

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