论《鹿特丹规则》中无单放货规定对银行产生的影响

发布时间：2018-06-06 15:38

本文选题：《鹿特丹规则》 + 无单放货规定　；参考：《大连海事大学》2011年硕士论文

【摘要】：《鹿特丹规则》有关无单放货的规定,是对航运实践一定意义上的探索与肯定,但我们也应当看到其可能存在的一些不足之处,比如在某些情况下,使运输单证的“物权凭证”功能发生了一定的变化,而这种变化可能会在实践中产生一些新的问题。对于该变化,学者们大多持消极态度。笔者一定程度上认同上述学者们的担忧,认为《鹿特丹规则》中无单放货规定会给银行带来一定的影响与冲击,且该影响有利有弊：有利的一面是有利于在世界范围内统一银行对于运输单证的适用标准,有利于国际范围内银行业务的开展；而不利的影响则大多体现在跟单信用证结算和贸易融资业务方面,但并非都是实质性的影响,只有在需要运输单证“物权凭证”功能的情况下才会产生一定影响。但由于实务中银行扮演着多种角色,而且该功能对担当不同角色的银行来说需求不一。总体来说,该影响并非如一些学者们所述的那样严重。此外,笔者还提出了一些建议,以期减少《鹿特丹规则》无单放货规定对银行产生的不利影响。本文主要分为三章：第一章主要概述《鹿特丹规则》中无单放货新规定和运输单证。关于无单放货新规定主要阐述规则第45条、第46条和第47条的规定。关于运输单证则主要概述运输单证的概念、功能及分类,并与传统提单、海运单作比较分析。第二章主要论述无单放货规定对银行的影响。该章从信用贷款、跟单信用证结算和出口押汇方面对银行的影响进行了较为详细的分析。第三章为笔者对银行应对《鹿特丹规则》对其影响而提出的建议,主要包括要审查好客户的资信情况,组织人员学习研究《鹿特丹规则》与分角色采取措施以降低商业风险。
[Abstract]:The provisions of the Rotterdam rules concerning the delivery of goods without documents are an exploration and affirmation of the shipping practice in a certain sense, but we should also see some possible shortcomings, such as under certain circumstances, The function of "document of rem" of transport document has changed to a certain extent, and this kind of change may produce some new problems in practice. To a certain extent, the author agrees with the concerns of the above scholars, and thinks that the "Rotterdam rules" without bill of lading will have a certain impact and impact on the banks. And this influence has both advantages and disadvantages: the advantage is that it is advantageous to unify the applicable standards of the bank for transport documents in the world and to carry out the banking business in the international scope; However, the adverse effects are mostly reflected in the settlement of documentary credits and trade financing, but not all of them are substantial. Only when the function of "document of rem" is needed will the transport document have a certain impact. However, banks play many roles in practice, and the demand for this function is different for banks with different roles. Overall, the impact is not as severe as some scholars suggest. In addition, the author also puts forward some suggestions, This paper is divided into three chapters: the first chapter mainly summarizes the new provisions of the Rotterdam rules and transport documents. The new provisions on the delivery of goods without documents mainly elaborate the provisions of rules 45, 46 and 47. The concept, function and classification of the transport document are summarized and compared with the traditional bill of lading and marine bill of lading. This chapter makes a detailed analysis of the impact on banks from the aspects of credit loans, documentary credit settlement and export promissory notes. Chapter three is the author's suggestions on how banks should deal with the impact of Rotterdam rules. It mainly includes examining the credit status of customers, organizing personnel to study Rotterdam rules and taking measures to reduce business risk.
【学位授予单位】：大连海事大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.19

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