本文選題：海運(yùn)保函　切入點(diǎn)：結(jié)構(gòu)　出處：《華東政法大學(xué)》2012年碩士論文　論文類型：學(xué)位論文

【摘要】：海運(yùn)保函從國(guó)際航運(yùn)實(shí)務(wù)中衍生出來(lái)，其廣泛應(yīng)用引起了理論界的普遍關(guān)注，尤其是《鹿特丹規(guī)則》使得無(wú)單放貨合法化從而省去了提貨保函的利用空間進(jìn)一步引起了理論界對(duì)保函問(wèn)題的探討。即便保函因其有符合民法理論中“欺詐”的嫌疑而受到了批駁，其在國(guó)際航運(yùn)幾十年的發(fā)展歷程中的運(yùn)用卻十分普遍，這從國(guó)際互保協(xié)會(huì)制定了標(biāo)準(zhǔn)保函格式便知。從司法實(shí)踐來(lái)看，世界各國(guó)絕大多數(shù)都承認(rèn)善意保函的效力。然而，該制度的立法狀況遠(yuǎn)遠(yuǎn)落后于其實(shí)踐運(yùn)用，目前僅有《漢堡規(guī)則》對(duì)海運(yùn)保函及其效力作出了明確的規(guī)定，但仍然存在諸多不完善的地方。我國(guó)《最高人民法院關(guān)于保函是否具有法律效力問(wèn)題的批復(fù)》吸收了《漢堡規(guī)則》的規(guī)定即明確確立了“善意保函有效”的原則，但亦未對(duì)善意保函的認(rèn)定規(guī)定一個(gè)客觀可行的標(biāo)準(zhǔn)。即便如此，，囿于國(guó)際航運(yùn)的客觀情況，貨運(yùn)雙方仍然不得不以保函來(lái)?yè)Q取國(guó)際貿(mào)易和海運(yùn)合同的順利進(jìn)行，我國(guó)司法實(shí)踐大量的判例更是承認(rèn)和確立了《漢堡規(guī)則》所述善意保函原則。 近年來(lái)，學(xué)者們對(duì)保函的研究主要集中于對(duì)其性質(zhì)和效力的探討。本文著眼于實(shí)踐，以善意保函具有法律效力為出發(fā)點(diǎn)，采用實(shí)證分析法和價(jià)值分析法等研究方法，結(jié)合案例著重就換取清潔提單保函和提貨保函的定義、成因和效力進(jìn)行分析，為保函簽訂雙方以及其他利益相關(guān)方提出規(guī)避風(fēng)險(xiǎn)的建議，以期指導(dǎo)實(shí)踐并推動(dòng)該制度的發(fā)展和完善。第一章對(duì)海運(yùn)保函的定義進(jìn)行闡述，并從主體、擔(dān)保事項(xiàng)、擔(dān)保限額以及擔(dān)保期限等角度對(duì)海運(yùn)保函的結(jié)構(gòu)進(jìn)行界定；第二章簡(jiǎn)要介紹海運(yùn)保函在中國(guó)的實(shí)踐狀況以及各主流理論的觀點(diǎn)，并在此基礎(chǔ)上提出筆者的觀點(diǎn)；第三章分別就換取清潔提單保函、倒簽或預(yù)借提單保函以及提貨保函的概念、形成原因和法律效力進(jìn)行論證和闡述，結(jié)合實(shí)例分析，深刻理解“善意保函有效”的內(nèi)涵；第四章著眼于現(xiàn)行海運(yùn)實(shí)務(wù)，既然保函的適用不可避免，文章便結(jié)合實(shí)例向貨運(yùn)雙方以及銀行等其他利益相關(guān)方提出規(guī)避風(fēng)險(xiǎn)的有效建議，具有重要的實(shí)踐意義；最后，結(jié)合我國(guó)的實(shí)際情況，從立法和實(shí)踐兩個(gè)角度對(duì)完善我國(guó)的海運(yùn)保函制度提出建議，并對(duì)其發(fā)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.
【學(xué)位授予單位】：華東政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類號(hào)】：D996.1

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本文編號(hào)：1568817