国际商事交易中独立担保法律问题研究

发布时间：2018-05-21 18:31

本文选题：独立担保 + 从属性担保　；参考：《武汉大学》2011年博士论文

【摘要】：自20世纪六七十年代独立担保兴起以来,独立担保不仅在国内商事而且在国际商事领域的适用范围日益迅速扩大。独立担保以其独特的法律特征、功能和价值而和传统的从属性担保相区别,并且逐步获得了国际社会的承认,具有强大的生命力和发展空间。但是,由于独立担保是对传统担保制度的颠覆,是担保领域的一个新生事物,因此,目前对其争议较多,国际商事领域中独立担保需要解决的法律问题也十分突出。基于此,本文欲对独立担保理论和实务中蕴含的法律问题进行多方面的分析和探讨,以期为我国独立担保制度的构建提供理论分析和指导。全文共分六章,主要内容如下：第一章独立担保的基础理论本章研究的主要是独立担保的基础理论问题,其对国际商事领域中独立担保的发展方向具有重大的指引作用,是独立担保制度的基石。文章首先对独立担保的兴起及其在国际商事领域中的推广进行了回顾和前瞻,并对不同国家在独立担保的适用形式和适用程度等方面存在的不同做法进行了原因分析,意在揭示独立担保逐渐获得国际社会认可的发展轨迹。接着对独立担保的概念进行了探讨,具体包括独立担保的含义解读、独立担保在国际商事交易中的表现形式、独立担保与其它相关制度的比较、对独立担保的判断标准。认为目前国内外理论界和实务界对独立担保的含义还没有形成统一的认识,并且独立担保还存在着不同表现形式。在此基础上,分析总结独立担保在法律体系中的地位和特征,认为独立担保应具有独立的法律地位,与从属性担保具有不同的法律特征和功能。在与跟单信用证和流通票据等相关法律制度进行比较的基础上,提出判断独立担保的标准。然后对独立担保的法律渊源包括国际法渊源和国内法渊源进行了立法溯源和分析总结,最后对独立担保的国际法渊源的具体形式---国际惯例和国际公约的产生原因、相互之间的顺序及其在适用中需要注意的问题进行了个人思考。第二章独立担保的功能和价值本章首先对独立担保的独特而多样化的功能进行了分析,认为在国际商事交易中,独立担保不仅具有担保功能,还具有支付清偿功能、风险防范和转移分配功能、信用评估功能、提存和融资功能、见证功能。然后对独立担保的独特价值进行了自己的分析和论证,独立担保以平衡利益冲突和实现公平正义、建立合理秩序和确保权益安全、节约社会成本和实现经济效益及尊重当事人选择,体现充分自由等价值而明显区别于其它相近法律制度,故而颇受商界人士的青睐。第三章独立担保法律关系本章首先对国际商事交易中独立担保法律关系的不同表现形式进行了探讨,认为一般包括直接独立担保法律关系和间接独立担保法律关系两种类型。然后对两种不同表现形式中独立担保法律关系的当事人进行了分析,这是探讨独立担保法律关系的核心内容——当事人的权利义务的重要前提和基础。接着对其中重要的一方当事人即担保人的资格进行了探讨,认为独立担保的担保人既需要具有一般保证人的基本资格,同时更需要针对独立担保的特殊性具备其它条件,认为商业银行最适合担当独立担保的担保人。在此基础上,对独立担保法律关系中各方当事人的权利义务进行了探讨。第四章独立担保合同及其履行中需要注意的法律问题本章探讨的问题具有明显的实务特点,既有独立担保合同的条款签订及其履行过程中涉及的实体问题,又有解决实体问题不容回避的程序性问题。在实体问题方面,本章首先对独立担保合同的条款及其可能产生的风险和防范进行了分析,然后对独立担保合同的成立和生效进行了探讨,认为在一般情况下,独立担保合同成立的同时也就生效,但是,在附条件的担保合同中,必须所附条件成就,独立担保合同才能生效。进而对独立保函的修改和担保权利的转让进行了规定,尤其对担保索款权利和担保权益的转让两种形式进行了较为细致的分析和探讨。然后结合目前我国商务部等各相关部门比较关注的利比亚对中国银行提出的“不延期即付款”要求,分析了“不延期即付款”要求的含义和提出该要求的原因。最后,对担保人付款后对申请人的追索权和代位权和对受益人的追回权的行使、独立担保合同的各种终止情况中需要注意的法律问题也进行了具体分析。第五章独立担保的不当索赔风险及其救济措施在国际商事交易中,适用独立担保会产生许多风险,其中,不当索赔便是其中之一。本章首先对适用独立担保时经常产生的当事人即受益人不当索赔的风险进行了分析,包括独立担保中不当索赔风险产生的原因、对不当索赔的含义界定、部分国内法和国际法对不当索赔规定的认定标准等问题。然后对针对不当索赔应采取哪些具体措施进行救济进行了探讨。第六章我国独立担保制度的构建我国尚无关于独立担保的专门立法,在司法实践中,也是对独立担保仅给予部分承认,即只承认国内企业、机构对外提供的担保和外国对我国国内提供的担保,但对国内企业和机构之间相互提供的独立担保,则不承认其法律效力。这种做法固然有其认为成立的理由,但在经济全球化发展的大背景下,这种做法应该予以改变,我国应全面承认独立担保并建立其完备的独立担保制度。本章首先对构建我国独立担保制度的必要性进行了分析,包括我国关于独立担保制度的现有立法及其存在问题考察和加强我国关于独立担保立法的必要性分析,然后从构建我国独立担保制度的指导思想和具体措施方面提出了个人建议,并对全球金融危机背景下的独立担保制度进行了反思。
[Abstract]:Since the rise of independent guarantee in the 1960s and 1970s , the independent guarantee has been expanded rapidly not only in domestic commercial affairs but also in the field of international commercial affairs . The independent guarantee is a new thing in the field of security because of its unique legal characteristic , function and value . However , since the independent guarantee is a new thing in the field of security , this paper intends to analyze and discuss the legal problems contained in the theory and practice of independent guarantee , with a view to providing theoretical analysis and guidance for the construction of independent guarantee system in China .

The full text is divided into six chapters , the main contents are as follows :

Chapter 1 Basic Theory of Independent Guarantees

This chapter is mainly about the basic theory of independent guarantee , which has great guidance on the development direction of independent guarantee in international commercial affairs , and it is the basis of independent guarantee system .

Chapter II Function and Value of Independent Guarantees

This chapter firstly analyzes the unique and diversified functions of independent guarantee , and considers that in the international commercial transaction , the independent guarantee not only has the security function , but also has the function of paying the repayment function , the risk prevention and transfer distribution function , the credit evaluation function , the escrow and financing function and the witness function . Then the unique value of the independent guarantee is analyzed and demonstrated , and the independent guarantee is obviously different from the other similar legal system by balancing the conflict of interest and realizing the fairness and justice , saving the social cost and realizing the economic benefit and respecting the choice of the parties , and thus being favored by the business people .

Chapter III Independent Guarantees Legal Relationship

This chapter discusses the different forms of independent guarantee legal relationship in international commercial transactions , and considers that it generally includes two types of direct independent guarantee legal relation and indirect independent guarantee legal relationship .

Chapter IV Legal Issues to Be Paid Attention to in Independent Guarantee Contract and Its Implementation

This chapter analyzes the meaning of independent guarantee contract and the transfer of guarantee rights , and analyzes the meaning of independent guarantee contract and the transfer of guarantee rights . Finally , it also analyzes the legal problems that need to be paid attention to in the termination of independent guarantee contract .

Chapter V Risk of Miscarriage of Independent Guarantees and Its Relief Measures

In the international commercial transaction , the application of independent guarantee can produce many risks , among which , the improper claim is one of them . This chapter first analyzes the risk of the improper claims of the parties , namely the beneficiary , which is often generated when the independent guarantee is applied , including the definition of the meaning of the improper claim , part of the domestic law and the determination standard of international law for the improper claims , and then discusses the specific measures that should be taken for the improper claim .

Chapter VI Construction of Independent Guarantee System in China

There is no special legislation on independent guarantee in our country . In judicial practice , the independent guarantee is only partially recognized , that is , it only recognizes the guarantee of domestic enterprises and institutions and the guaranty provided by the foreign country to our country , but it does not recognize its legal effect . In this chapter , it analyzes the necessity of establishing independent guarantee system in our country . This chapter firstly analyzes the necessity of establishing independent guarantee system , then puts forward personal suggestion from the guiding ideology and concrete measures of the independent guarantee system , and makes a reflection on the independent guarantee system under the background of the global financial crisis .
【学位授予单位】：武汉大学
【学位级别】：博士
【学位授予年份】：2011
【分类号】：D996.1

【参考文献】