鹿特丹规则下无单放货风险的变化及防范研究

发布时间：2018-07-11 10:13

本文选题：鹿特丹规则 + 无单放货　；参考：《天津财经大学》2011年硕士论文

【摘要】：2008年12月联合国大会审议通过了《联合国全程或部分海上国际货物运输合同公约》,简称《鹿特丹规则》。《鹿特丹规则》的出台旨在取代原有的《海牙规则》、《维斯比规则》、《汉堡规则》成为统一的国际海上货物运输法公约,它重新平衡了船货双方的利益,考虑到了“门到门”的运输方式,顺应了时代的发展,并且在其原始签字国中,包括了美国和法国等发达国家,总计代表了全球25%以上的交易量。可见,《鹿特丹规则》有着相当大的影响力。《鹿特丹规则》有许多创新性规定,对航贸两届的诸多方面都会产生影响。本文主要研究其对无单放货风险的影响,尤其是FOB下无单放货风险的影响。众所周知,在出口贸易中,我国是使用FOB术语交易最多的国家,FOB成交量占到相当大的比重。因此,在这样的背景下,文章从FOB出口商的角度结合《鹿特丹规则》对无单放货这一旧问题进行新的研究,着重分析新规则出台后无单放货风险的变化,并相应地提出风险防范措施,使我国广大出口商尤其是FOB出口商能更清楚地认识到这些风险,从而减少损失。文章首先对《鹿特丹规则》进行概述突出其影响力并简要地阐述了它对无单放货的影响。接着结合我国出口贸易中FOB的交易量分析无单放货的现状并指出其成因。然后再结合《鹿特丹规则》中对无单放货风险有影响的“托运人制度”、“控制权制度”、以及“货物交付中的无单放货规定”这三个方面,通过与无单放货的一般风险对比,重点分析《鹿特丹规则》下该风险的变化,得出新规则下无单放货风险增大了的基本结论。紧接着文章通过两则案例来加深分析。最后,在对风险变化分析的基础上从宏、微观两个层面提出了一些对策建议。宏观方面,应借《鹿特丹规则》出台的契机来完善我国《海商法》,同时FOB出口商应增强自我防范意识,学习相关的惯例规则；微观方面,出口商不应放弃订舱和取得提单的权利,要谨慎选择单证类型,仔细考察卖方及货代的资信。此外,FOB出口商还要努力成为《鹿特丹规则》下的“单证托运人”和“控制方”等。
[Abstract]:In December 2008, the United Nations General Assembly considered and adopted the United Nations Convention on contracts for the International Carriage of goods wholly or partly by Sea, or the Rotterdam rules. The Hamburg rules became the uniform Convention on the Law of the International Carriage of goods by Sea, It rebalanced the interests of both parties, considered the "door-to-door" mode of transportation, adapted to the development of the times, and included developed countries such as the United States and France among its original signatories. The total represents more than 25% of the world's trading volume. It can be seen that the Rotterdam rules have a considerable influence. The Rotterdam rules have many innovative provisions, which will have an impact on many aspects of the two sessions of air trade. This paper mainly studies its influence on the risk of non-bill delivery, especially on the risk of non-bill delivery under FOB. As we all know, in the export trade, our country is the country that uses FOB term to trade most, the turnover of FOB accounts for a considerable proportion. Therefore, in this context, this paper makes a new study on the old issue of non-documentary delivery from the perspective of FOB exporters, and focuses on the analysis of the change of risk of non-documentary delivery after the new rules are issued. In order to make our exporters, especially FOB exporters, more aware of these risks and reduce losses, the corresponding risk prevention measures are put forward. In this paper, the influence of Rotterdam rule is summarized and discussed briefly. Then, combining the trading volume of FOB in China's export trade, the paper analyzes the current situation of the delivery of goods without bill and points out the cause of its formation. Then combining the three aspects of "shipper system", "control system" and "delivery of goods without bill of lading" in Rotterdam rules, by comparing them with the general risk of undocumented delivery. The change of the risk under Rotterdam rule is analyzed, and the basic conclusion is drawn that the risk of delivery without bill is increased under the new rule. Then the article through two cases to deepen the analysis. Finally, on the basis of risk change analysis, some countermeasures and suggestions are put forward from macro and micro level. At the macro level, we should take the opportunity of the Rotterdam rules to perfect the Maritime Law of our country. At the same time, FOB exporters should enhance their awareness of self-prevention and learn the relevant customary rules. The exporter should not give up the right of booking and the right to a bill of lading and carefully select the type of document and carefully examine the credit standing of the seller and the forwarder. In addition, FOB exporters also strive to become "documentary shipper" and "controlling party" under the Rotterdam rules.
【学位授予单位】：天津财经大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：F746

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