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国际贸易中独立保函法律问题研究

更新时间 2009-12-4 10:03:11 点击数:

国际贸易中独立保函法律问题研究
On the Legal Issues of Independent Guarantees in International Trade
【摘要】 独立保函是一种新型担保方式,具有独立性、不可撤销性和单据化等特征。因独立保函具有较从属性担保更强的保障功能,所以受到国际贸易主体的青睐,并逐渐成为国际贸易活动中主要的信用担保方式。但是,由于目前包括我国在内的绝大多数国家对此还没有做出明文规定,有关独立保函的国际惯例和国际公约不是非常完备和成熟,这必然导致独立保函在国际贸易的运作中会产生一系列的法律问题。因此,系统地研究这一问题具有理论意义和实践意义。本文采用历史分析、实证分析、系统分析的法学研究方法,对国际贸易中独立保函的构成、性质、法律关系以及保函实务中常见的效力期限、受益人不当索赔和保函转让的法律问题做了较为系统的阐述,并在此基础上提出完善我国独立保函立法工作应采取的几项措施。本文由六个部分组成:第一部分,独立保函与国际贸易概述。本文从欧洲主要国家及相关国际法律文件对独立保函的认识入手,分析归纳了独立保函的法律定义及其在国际贸易领域的主要体现。同时,笔者还从经济、制度、利益三个层面分析了独立保函在国际贸易领域得以广泛使用的原因,并简要介绍了当前相关的国际惯例和公约。第二部分,分析国际贸易中独立保函的法律属性和法律关系。独立保函一经开立即独立于基础贸易合同的独立性是其区别于传统担保的最显著特征,也是其为国际贸易实践广泛认同和采用的根本原因。当然,独立保函的单据性、不可撤销性等属性也是保函业务得以快捷运作而不可或缺的因素。与一般合同相比,独立保函因涉及申请人、保证人(反担保人)以及受益人多方的权利义务关系而更加错综复杂。第三部分,国际贸易中独立保函效力期限的法律问题。独立保函的效力期限是事关保函当事人之主要权利义务合法性的重要问题。文章根据独立保函签发、生效和效力终止的操作流程分析了各个阶段可能影响保函效力期限的操作风险,并对与效力期限相关的索赔问题做了简单介绍。第四部分,国际贸易中独立保函受益人不当索赔的法律问题。保函受益人的不当索赔主要表现为:提呈不合格文件的不当索赔;基础贸易合同违反公共秩序下的不当索赔;受益人实施欺诈的不当索赔。其中,受益人实施欺诈的不当索赔在业务实践中最为常见,因此,文章从欺诈性索赔产生的原因、表现、认定及司法救济四个方面对此进行了较为详细的论述。第五部分,独立保函转让的法律问题。独立保函一定程度上独立于基础贸易合同的特征使其具备了传统担保没有的融资功能,这正是独立保函转让的价值所在。论文从可转让性、转让的法律后果两个角度分别论述了独立保函项下索款权利和索款权益的转让情况。第六部分,我国对外贸易中独立保函的立法完善。独立保函被广泛运用于国际贸易领域已是不争的事实。但是,由于独立保函固有的制度缺陷,使得我国立法迟迟不愿给予其明确的法律地位,只在《担保法》及人民银行和国家外汇局的两个文件中对其进行了零散的规范。然而,国际贸易对独立保函的迫切需求是我国立法不得不正视的现实,因此,文章最后对当前完善独立保函立法工作应采取的措施提出了几点建议。

【Abstract】 Independent Guarantees, with the characteristics of being independent from the primary contract, irrevocability and so on, has been developed in the international economic practice. Compared with the collateral guaranty system, Independent Guarantees bears some particular advantages in the realizing of the legal claims of the creditors', so it becomes more and more popular with the participants in international businesses. At present, however, as there has been no widely accepted rules and regulations on this issue, the legal problems arising from the practicing are deadly unavoidable. Thus, it is necessary and meaningful to start a systematic study on it.This paper is composed of six parts:The first part, overview. Through the analysis of the idears of Independent Guarantees of the major European countries and relevant international legal documents, this paper has concluded its own definition of Independent Guarantees and its own understanding on the reflections of this system in the context of international trade. Meanwhile, an analysis on the reasons of its popularity has also been carried out from the aspects of economic situations, system demands, and the interests of all the parties. An brief introduction on current international practices and conventions is also given out.The second part, the qualities and the legal relations of the parties to Independent Guarantees. Being independent from the primary contract once upon issuing is the most shining quality of Independent Guarantees, and also the fundamental reason of its popularity in international business. The legal rights and obligations among the applicant, the guarantor, and the beneficiary, compared with those in the general contract, are much more complicated.The third part, the duration problem of Independent Guarantees in international trade situations. The duration of Independent Guarantees is quite important for all the participants in Guarantee practice. This essay has undertaken an thorough analysis on the practicing risks may happened in the process of the issuing, the commencing and the ending of the Guarantees. Some words have also been given to the claim problems related to the duration.The fourth part, the unreasonable claims of the beneficiaries. The unreasonable claims are mainly happened when the documents don't meet the requirements, when the primary contract is not in compliance with the public interests, or when the beneficiary is in fraud. Among them, the last one is most common, so this paper has carried a more detailed research from such aspects as reason, phenomena, criteria and judicial remedies.The fifth part, the legal problems in the transfer of Independent Guarantees. This part has independently illustrates the feasibility and the legal consequences of the transfer of the right of claims and the extend or pay under Independent Guarantees.In conclusion, the six part has pictured an outline of China's laws and regulations related to Independent Guarantees and has put forward several pieces of advice for the improvement of the related laws and regulations. 

【关键词】 独立保函; 国际贸易; 法律问题; 完善
【Key words】 Independent Guarantees; International Trade; Legal Problems; Improvement
  国际贸易中独立保函法律问题研究

内容摘要 4-6
Abstract 6-7
引言 10-12
一、独立保函与国际贸易概述 12-19
    (一) 独立保函 12-14
    (二) 国际贸易中的独立保函 14-15
    (三) 国际贸易中独立保函产生的背景 15-17
    (四) 与独立保函相关的惯例和公约 17-19
二、国际贸易中独立保函的法律属性和法律关系 19-26
    (一) 国际贸易中独立保函的法律属性 19-21
    (二) 国际贸易中独立保函的法律关系 21-26
三、国际贸易中独立保函效力期限的法律问题 26-33
    (一) 独立保函的效力 26
    (二) 独立保函的效力期限 26-31
    (三) 与独立保函效力期限相关的索赔问题 31-33
四、国际贸易中独立保函受益人不当索款的法律问题 33-44
    (一) 受益人提呈不合格文件的索赔 33-34
    (二) 违反公共秩序的不当索赔 34-36
    (三) 受益人实施欺诈的不当索赔 36-44
五、国际贸易中独立保函转让的法律问题 44-48
    (一) 独立保函索款权利的转让 44-46
    (二) 独立保函索款收益的转让 46-48
六、我国对外贸易中独立保函立法的完善 48-55
    (一) 独立保函在我国对外贸易中的运用 48-49
    (二) 我国关于独立保函的立法现状 49-51
    (三) 我国对外贸易中独立保函立法的完善 51-55
致谢 55-56
参考文献 56-58

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