本文選題：獨(dú)立擔(dān)保 + 從屬性擔(dān)保　； 參考：《武漢大學(xué)》2011年博士論文

【摘要】：自20世紀(jì)六七十年代獨(dú)立擔(dān)保興起以來,獨(dú)立擔(dān)保不僅在國內(nèi)商事而且在國際商事領(lǐng)域的適用范圍日益迅速擴(kuò)大。獨(dú)立擔(dān)保以其獨(dú)特的法律特征、功能和價(jià)值而和傳統(tǒng)的從屬性擔(dān)保相區(qū)別,并且逐步獲得了國際社會的承認(rèn),具有強(qiáng)大的生命力和發(fā)展空間。但是,由于獨(dú)立擔(dān)保是對傳統(tǒng)擔(dān)保制度的顛覆,是擔(dān)保領(lǐng)域的一個(gè)新生事物,因此,目前對其爭議較多,國際商事領(lǐng)域中獨(dú)立擔(dān)保需要解決的法律問題也十分突出�；诖�,本文欲對獨(dú)立擔(dān)保理論和實(shí)務(wù)中蘊(yùn)含的法律問題進(jìn)行多方面的分析和探討,以期為我國獨(dú)立擔(dān)保制度的構(gòu)建提供理論分析和指導(dǎo)。 全文共分六章,主要內(nèi)容如下： 第一章獨(dú)立擔(dān)保的基礎(chǔ)理論 本章研究的主要是獨(dú)立擔(dān)保的基礎(chǔ)理論問題,其對國際商事領(lǐng)域中獨(dú)立擔(dān)保的發(fā)展方向具有重大的指引作用,是獨(dú)立擔(dān)保制度的基石。文章首先對獨(dú)立擔(dān)保的興起及其在國際商事領(lǐng)域中的推廣進(jìn)行了回顧和前瞻,并對不同國家在獨(dú)立擔(dān)保的適用形式和適用程度等方面存在的不同做法進(jìn)行了原因分析,意在揭示獨(dú)立擔(dān)保逐漸獲得國際社會認(rèn)可的發(fā)展軌跡。接著對獨(dú)立擔(dān)保的概念進(jìn)行了探討,具體包括獨(dú)立擔(dān)保的含義解讀、獨(dú)立擔(dān)保在國際商事交易中的表現(xiàn)形式、獨(dú)立擔(dān)保與其它相關(guān)制度的比較、對獨(dú)立擔(dān)保的判斷標(biāo)準(zhǔn)。認(rèn)為目前國內(nèi)外理論界和實(shí)務(wù)界對獨(dú)立擔(dān)保的含義還沒有形成統(tǒng)一的認(rèn)識,并且獨(dú)立擔(dān)保還存在著不同表現(xiàn)形式。在此基礎(chǔ)上,分析總結(jié)獨(dú)立擔(dān)保在法律體系中的地位和特征,認(rèn)為獨(dú)立擔(dān)保應(yīng)具有獨(dú)立的法律地位,與從屬性擔(dān)保具有不同的法律特征和功能。在與跟單信用證和流通票據(jù)等相關(guān)法律制度進(jìn)行比較的基礎(chǔ)上,提出判斷獨(dú)立擔(dān)保的標(biāo)準(zhǔn)。然后對獨(dú)立擔(dān)保的法律淵源包括國際法淵源和國內(nèi)法淵源進(jìn)行了立法溯源和分析總結(jié),最后對獨(dú)立擔(dān)保的國際法淵源的具體形式---國際慣例和國際公約的產(chǎn)生原因、相互之間的順序及其在適用中需要注意的問題進(jìn)行了個(gè)人思考。 第二章獨(dú)立擔(dān)保的功能和價(jià)值 本章首先對獨(dú)立擔(dān)保的獨(dú)特而多樣化的功能進(jìn)行了分析,認(rèn)為在國際商事交易中,獨(dú)立擔(dān)保不僅具有擔(dān)保功能,還具有支付清償功能、風(fēng)險(xiǎn)防范和轉(zhuǎn)移分配功能、信用評估功能、提存和融資功能、見證功能。然后對獨(dú)立擔(dān)保的獨(dú)特價(jià)值進(jìn)行了自己的分析和論證,獨(dú)立擔(dān)保以平衡利益沖突和實(shí)現(xiàn)公平正義、建立合理秩序和確保權(quán)益安全、節(jié)約社會成本和實(shí)現(xiàn)經(jīng)濟(jì)效益及尊重當(dāng)事人選擇,體現(xiàn)充分自由等價(jià)值而明顯區(qū)別于其它相近法律制度,故而頗受商界人士的青睞。 第三章獨(dú)立擔(dān)保法律關(guān)系 本章首先對國際商事交易中獨(dú)立擔(dān)保法律關(guān)系的不同表現(xiàn)形式進(jìn)行了探討,認(rèn)為一般包括直接獨(dú)立擔(dān)保法律關(guān)系和間接獨(dú)立擔(dān)保法律關(guān)系兩種類型。然后對兩種不同表現(xiàn)形式中獨(dú)立擔(dān)保法律關(guān)系的當(dāng)事人進(jìn)行了分析,這是探討?yīng)毩?dān)保法律關(guān)系的核心內(nèi)容——當(dāng)事人的權(quán)利義務(wù)的重要前提和基礎(chǔ)。接著對其中重要的一方當(dāng)事人即擔(dān)保人的資格進(jìn)行了探討,認(rèn)為獨(dú)立擔(dān)保的擔(dān)保人既需要具有一般保證人的基本資格,同時(shí)更需要針對獨(dú)立擔(dān)保的特殊性具備其它條件,認(rèn)為商業(yè)銀行最適合擔(dān)當(dāng)獨(dú)立擔(dān)保的擔(dān)保人。在此基礎(chǔ)上,對獨(dú)立擔(dān)保法律關(guān)系中各方當(dāng)事人的權(quán)利義務(wù)進(jìn)行了探討。 第四章獨(dú)立擔(dān)保合同及其履行中需要注意的法律問題 本章探討的問題具有明顯的實(shí)務(wù)特點(diǎn),既有獨(dú)立擔(dān)保合同的條款簽訂及其履行過程中涉及的實(shí)體問題,又有解決實(shí)體問題不容回避的程序性問題。在實(shí)體問題方面,本章首先對獨(dú)立擔(dān)保合同的條款及其可能產(chǎn)生的風(fēng)險(xiǎn)和防范進(jìn)行了分析,然后對獨(dú)立擔(dān)保合同的成立和生效進(jìn)行了探討,認(rèn)為在一般情況下,獨(dú)立擔(dān)保合同成立的同時(shí)也就生效,但是,在附條件的擔(dān)保合同中,必須所附條件成就,獨(dú)立擔(dān)保合同才能生效。進(jìn)而對獨(dú)立保函的修改和擔(dān)保權(quán)利的轉(zhuǎn)讓進(jìn)行了規(guī)定,尤其對擔(dān)保索款權(quán)利和擔(dān)保權(quán)益的轉(zhuǎn)讓兩種形式進(jìn)行了較為細(xì)致的分析和探討。然后結(jié)合目前我國商務(wù)部等各相關(guān)部門比較關(guān)注的利比亞對中國銀行提出的“不延期即付款”要求,分析了“不延期即付款”要求的含義和提出該要求的原因。最后,對擔(dān)保人付款后對申請人的追索權(quán)和代位權(quán)和對受益人的追回權(quán)的行使、獨(dú)立擔(dān)保合同的各種終止情況中需要注意的法律問題也進(jìn)行了具體分析。 第五章獨(dú)立擔(dān)保的不當(dāng)索賠風(fēng)險(xiǎn)及其救濟(jì)措施 在國際商事交易中,適用獨(dú)立擔(dān)保會產(chǎn)生許多風(fēng)險(xiǎn),其中,不當(dāng)索賠便是其中之一。本章首先對適用獨(dú)立擔(dān)保時(shí)經(jīng)常產(chǎn)生的當(dāng)事人即受益人不當(dāng)索賠的風(fēng)險(xiǎn)進(jìn)行了分析,包括獨(dú)立擔(dān)保中不當(dāng)索賠風(fēng)險(xiǎn)產(chǎn)生的原因、對不當(dāng)索賠的含義界定、部分國內(nèi)法和國際法對不當(dāng)索賠規(guī)定的認(rèn)定標(biāo)準(zhǔn)等問題。然后對針對不當(dāng)索賠應(yīng)采取哪些具體措施進(jìn)行救濟(jì)進(jìn)行了探討。 第六章我國獨(dú)立擔(dān)保制度的構(gòu)建 我國尚無關(guān)于獨(dú)立擔(dān)保的專門立法,在司法實(shí)踐中,也是對獨(dú)立擔(dān)保僅給予部分承認(rèn),即只承認(rèn)國內(nèi)企業(yè)、機(jī)構(gòu)對外提供的擔(dān)保和外國對我國國內(nèi)提供的擔(dān)保,但對國內(nèi)企業(yè)和機(jī)構(gòu)之間相互提供的獨(dú)立擔(dān)保,則不承認(rèn)其法律效力。這種做法固然有其認(rèn)為成立的理由,但在經(jīng)濟(jì)全球化發(fā)展的大背景下,這種做法應(yīng)該予以改變,我國應(yīng)全面承認(rèn)獨(dú)立擔(dān)保并建立其完備的獨(dú)立擔(dān)保制度。本章首先對構(gòu)建我國獨(dú)立擔(dān)保制度的必要性進(jìn)行了分析,包括我國關(guān)于獨(dú)立擔(dān)保制度的現(xiàn)有立法及其存在問題考察和加強(qiáng)我國關(guān)于獨(dú)立擔(dān)保立法的必要性分析,然后從構(gòu)建我國獨(dú)立擔(dān)保制度的指導(dǎo)思想和具體措施方面提出了個(gè)人建議,并對全球金融危機(jī)背景下的獨(dú)立擔(dān)保制度進(jìn)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 .
【學(xué)位授予單位】：武漢大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2011
【分類號】：D996.1

【參考文獻(xiàn)】

相關(guān)期刊論文 前10條

1 白彥;獨(dú)立擔(dān)保制度探析[J];北京大學(xué)學(xué)報(bào)(哲學(xué)社會科學(xué)版);2003年02期

2 黃進(jìn),胡永慶;現(xiàn)代商人法論─—?dú)v史和趨勢[J];比較法研究;1997年02期

3 劉永祥;;關(guān)于構(gòu)建我國獨(dú)立擔(dān)保制度的若干法律思考[J];才智;2010年01期

4 李振;;淺析獨(dú)立擔(dān)保在我國的發(fā)展[J];重慶科技學(xué)院學(xué)報(bào)(社會科學(xué)版);2010年02期

5 孟秋;銀行對外擔(dān)保的法律關(guān)系和業(yè)務(wù)監(jiān)控[J];城市金融論壇;1997年02期

6 張舉勝;;獨(dú)立擔(dān)保的法律性質(zhì)[J];研究生法學(xué);2006年06期

7 姜圣復(fù),林依伊;論國際貿(mào)易中獨(dú)立擔(dān)保法律問題[J];當(dāng)代法學(xué);2001年12期

8 胡玉明;;論我國的獨(dú)立擔(dān)保及實(shí)踐中的問題[J];法制與經(jīng)濟(jì)(上旬刊);2008年08期

9 王超海;聯(lián)合國《獨(dú)立擔(dān)保和備用信用證公約》及其啟示[J];湖南社會科學(xué);2002年03期

10 王志華;對獨(dú)立擔(dān)保國內(nèi)效力的承認(rèn)及其法律完善[J];法律適用;2003年11期

相關(guān)重要報(bào)紙文章 前1條

1 最高人民法院民四庭庭長 劉貴祥;[N];人民法院報(bào);2009年

，

本文編號：1920286