本文選題：信用證 + 獨立抽象原則　； 參考：《西南交通大學(xué)》2009年碩士論文

【摘要】： 信用證以其獨特的優(yōu)越性得到了廣泛的應(yīng)用,成為當(dāng)今國際貿(mào)易中最主要的支付方式,并被譽為“國際商業(yè)的生命血液”。“獨立抽象原則”正是信用證獨特優(yōu)越性的根源所在,是信用證制度得以存在和發(fā)展的基石。然而在實踐中,“獨立抽象原則”往往被惡意的利用以進行欺詐活動。當(dāng)一種法律原則因其內(nèi)在缺陷而遭受不正當(dāng)利用時,通過一種例外規(guī)則進行補救和平衡便成為了必要�！捌墼p例外”原則正是基于這樣的需要而產(chǎn)生并發(fā)展起來的。該原則的實質(zhì)便是國家司法力量基于公平正義原則介入對外貿(mào)易關(guān)系,力求在信用證法律關(guān)系各當(dāng)事人之間達(dá)到一種利益的平衡。 信用證欺詐例外原則最早起源于二十世紀(jì)四十年代的美國,隨后英國、德國、加拿大等世界各國也紛紛確立了該原則。國際慣例并沒有對該問題形成統(tǒng)一的標(biāo)準(zhǔn)和規(guī)則,而把這一問題留給了國內(nèi)法。但是由于對信用證機制認(rèn)識上的差異以及司法傳統(tǒng)等方面的原因,各國法院在適用“欺詐例外”原則時對欺詐的界定、舉證的要求、豁免的范圍、止付權(quán)的行使等方面的標(biāo)準(zhǔn)寬嚴(yán)不一。司法標(biāo)準(zhǔn)的不一致在一定程度上影響了國際貿(mào)易的發(fā)展。我國在適用信用證欺詐例外原則上也面臨著一些亟待解決的問題,這也與我國對信用證欺詐例外原則理論研究的滯后有關(guān)。故在先前學(xué)者研究的基礎(chǔ)上再一次研究欺詐例外原則,為進一步完善我國信用證欺詐例外制度提供必要參考,具有現(xiàn)實的意義。 本文擬運用法理學(xué)、民法學(xué)、商法學(xué)、比較法學(xué)的基本原理和歷史考察、案例論證、價值分析及綜合分析的方法對信用證欺詐例外原則進行研究,分為五章進行論述。第一章主要針對的是論文的學(xué)術(shù)背景,理論依據(jù)和研究方法還有實際意義。第二章提出信用證欺詐的概念,分析了信用證欺詐造成的危害及原因,重點論述了“獨立抽象原則”是誘發(fā)欺詐的重要原因。第三章論述了信用證欺詐例外原則的確立與發(fā)展過程,提出了信用證欺詐例外原則產(chǎn)生的三個理論基礎(chǔ)(公共秩序保留理論、誠實信用理論、利益均衡理論),分析了欺詐例外原則的價值取向(在一般正義的基礎(chǔ)上維護個別正義,在追求效益的基礎(chǔ)上兼顧公平),論證了欺詐例外原則與獨立抽象原則的關(guān)系,提出欺詐例外原則與獨立抽象原則應(yīng)保持一種適度和平衡的關(guān)系;第四章具體論述了信用證欺詐例外原則適用中的有關(guān)問題,從利益均衡的立場出發(fā),在欺詐的界定、信用證欺詐例外原則適用的構(gòu)成要件、證明標(biāo)準(zhǔn)、舉證責(zé)任、實現(xiàn)方式以及信用證欺詐例外適用的排除等方面闡述了自己的看法。第五章針對的是我國在適用欺詐例外原則中存在的問題,提出了一些具體建議,如:加強立法、關(guān)于“中止”的程序需要完善、裁定及頒發(fā)“支付令”、廢除“凍結(jié)令”、加強保護第三善意人合法權(quán)益、全面平衡各方當(dāng)事人的利益、提高法官素質(zhì)和法院司法水平等。 本文的創(chuàng)新點在于,提出了以利益均衡的方法來處理信用證欺詐例外原則的理論和實踐問題。利益均衡是信用證制度產(chǎn)生和變革的基本規(guī)律,是欺詐例外原則得以確立的重要理論依據(jù),也是欺詐例外原則與獨立抽象原則相互制衡的基本理由。在具體適用欺詐例外原則時,如“實質(zhì)性欺詐”的標(biāo)準(zhǔn),欺詐例外原則的排除規(guī)則,善意受益人對風(fēng)險的分擔(dān),以及司法程序中對舉證責(zé)任的分配,頒發(fā)禁令時對各方當(dāng)事人利益的衡量,都是以利益均衡為基本出發(fā)點的。
[Abstract]:With its unique superiority, L / C has been widely used as the most important mode of payment in international trade and is known as "the life blood of international commerce". "The principle of independent abstraction" is the root of the unique superiority of the letter of credit and the cornerstone of the existence and development of the letter of credit. The principle of independent abstraction is often used by maliciously to carry out fraudulent activities. It is necessary to remediate and balance an exceptional rule when a legal principle is improperly exploited for its inherent defects. The principle of "fraud exception" is produced and developed on the basis of such a need. The essence of the principle is It is the national judicial power's involvement in foreign trade relations based on the principle of fairness and justice, and strive to achieve a balance of interests between the parties in the legal relationship of the letter of credit.
The principle of credit fraud exception originated in the United States of the United States in 1940s, followed by the United Kingdom, Germany, Canada and other countries in the world. International practice did not form a unified standard and rule on the problem, but left it to domestic law. But because of the differences in the recognition of the letter of credit mechanism. As well as the reasons for the judicial tradition, the courts in various countries have different standards on the definition of fraud, the requirement of proof, the scope of immunity and the exercise of the right to stop payment when applying the principle of "fraud exception". The disagreement of judicial standards has influenced the development of international trade to a certain extent. It is also faced with some problems to be solved, which is also related to the lag of the theoretical research on the principle of letter of credit fraud exception. Therefore, the principle of fraud exception is studied again on the basis of previous scholars' research. It is of practical significance to further improve the fraud exception system of L / C in our country.
This paper uses the basic principles of jurisprudence, civil law, commercial law, comparative law, historical investigation, case study, value analysis and comprehensive analysis to study the principle of credit fraud exception, which is divided into five chapters. The first chapter is mainly aimed at the academic background of the thesis, the theoretical basis and the research method, and the practical significance. The second chapter puts forward the concept of letter of credit fraud, analyzes the harm and cause of the letter of credit fraud, and emphasizes that the "independent abstract principle" is an important reason to induce fraud. The third chapter discusses the establishment and development process of the principle of fraud exception of L / C, and puts forward the three theoretical foundations of the principle of fraud exception of L / C (public). The theory of CO order reservation, the theory of honesty and credit, the theory of interest equilibrium, and the value orientation of the principle of fraud exception (maintaining individual justice on the basis of general justice and fairness on the basis of pursuing benefit), demonstrate the relationship between the principle of fraud exception and the principle of independent abstraction, and propose the principle of fraud exception and the principle of independent abstraction. To maintain a moderate and balanced relationship; the fourth chapter specifically discusses the relevant issues in the application of the principle of credit fraud exception, from the standpoint of the balance of interests, the definition of fraud, the constitutive requirements of the application of the principle of fraud exception, the proof of the standard, the burden of proof, the mode of reality and the exclusion of the fraud exception of the letter of credit. The fifth chapter focuses on the problems in the application of the principle of fraud exception in China, and puts forward some specific suggestions, such as strengthening the legislation, improving the procedure of "stopping", ruling and issuing "payment orders", abolishing the "freezing order", strengthening the protection of the legitimate rights and interests of the third people in good faith, and balancing the parties in an all-round way. The interests of the parties improve the quality of judges and the judicial level of courts.
The innovation point of this paper is to put forward the theoretical and practical problems of dealing with the principle of credit fraud exception by means of balance of interests. The balance of interests is the basic law of the production and change of the letter of credit, the important theoretical basis for the establishment of fraud exception principle and the basis of the mutual balance between the principle of fraud exception and the independent abstract principle. For this reason, when the principle of fraud exception is applied, such as the standard of "substantive fraud", the rule of exclusion of the principle of fraud exception, the sharing of the risk by the beneficiary beneficiary, and the distribution of the burden of proof in the judicial procedure, the balance of interests is the basic starting point for the measurement of the interests of the parties when the injunction is issued.
【學(xué)位授予單位】：西南交通大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2009
【分類號】：F740.4

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本文編號：2062163