【摘要】： 國際貿(mào)易中的大多數(shù)信用證欺詐案都與偽造、篡改或濫用跟單信用證項下的單據(jù)相關,尤其圍繞提單展開的欺詐活動不勝枚舉。因此,筆者選取跟單信用證下的提單欺詐作為論題。 跟單信用證下提單欺詐具有其特殊性,它既涉及到信用證法律關系,還涉及到提單法律關系。在這一點上,跟單信用證下提單欺詐區(qū)別于不涉及信用證的提單欺詐和不涉及提單的信用證欺詐。因此,研究跟單信用證下提單欺詐對于抵制提單欺詐和信用證欺詐都有重大意義。 本文首先從定義、誘因和種類三個方面對跟單信用證下的提單欺詐進行了概述�！陡鷨涡庞米C統(tǒng)一慣例》,英美法和大陸法,還有我國都沒有特別對跟單信用證下的提單欺詐下定義,一般都是把民商法中的欺詐定義適用于跟單信用證下的提單欺詐。筆者根據(jù)我國民法中的欺詐定義,總結出跟單信用證下提單欺詐的構成要件,進而為跟單信用證下的提單欺詐下了一個定義;提單的特征和跟單信用證的特征都為跟單信用證下的提單欺詐帶來了隱患;跟單信用證下的提單欺詐包括偽造提單,在提單中做虛假性陳述等等。 其次,筆者選取數(shù)個隱性提單欺詐進行了具體分析。包括預借和倒簽提單,以保函換取清潔提單。同時對實踐中出現(xiàn)的三分之二提單和電放提單的欺詐風險進行了分析。三分之二提單和電放提單都存在信用證欺詐的風險。 再次,筆者從確立、理論依據(jù)和適用三個方面對欺詐例外原則進行了探討。欺詐例外原則已被包括我國在內(nèi)的許多國家采納和適用;“欺詐使得一切無效”、“誠實信用原則”和公共秩序保留原則是欺詐例外的理論依據(jù);構成實質(zhì)性欺詐的跟單信用證下的提單欺詐可以適用欺詐例外。筆者還對第三方欺詐能否適用欺詐例外進行了討論。筆者贊同和主張將欺詐例外原則適用于第三方做出的提單欺詐。筆者同時還對我國關于欺詐例外的立法與司法實踐進行了分析。 然后,筆者探討了適用欺詐例外對跟單信用證下的提單欺詐進行救濟的具體方法。筆者認為適用欺詐例外進行救濟的唯一途徑是申請法院禁令。銀行本身并不享有欺詐情況下主動拒付的權利,銀行對欺詐例外原則的適用只能根據(jù)法院的禁令。筆者討論了法院發(fā)布禁令的條件,同時對我國現(xiàn)行法律救濟的缺失和漏洞進行了闡述。 最后,筆者用專門的章節(jié)研究了買方和銀行怎樣在跟單信用證下避免提單欺詐,同時對我國健全和完善有關跟單信用證下提單欺詐方面的立法提出了建議。包括在立法上明確欺詐例外原則,健全和完善欺詐例外的程序設置,完善配套法律的建設,高度重視對法官信用證慣例方面的培訓。
[Abstract]:Most cases of credit fraud in international trade are related to forgery, tampering or abuse of documents under documentary credits, especially the fraudulent activities surrounding bills of lading. Therefore, the author chooses bill of lading fraud under documentary credit as the topic. Bill of lading fraud under documentary letter of credit has its particularity, which involves not only the legal relationship of letter of credit, but also the legal relationship of bill of lading. In this respect, bill of lading fraud under documentary credit is distinguished from bill of lading fraud without letter of credit and L / C fraud without bill of lading. Therefore, it is of great significance to study bill of lading fraud under documentary letter of credit for resisting bill of lading fraud and letter of credit fraud. This paper first summarizes the bill of lading fraud under documentary credit from three aspects: definition, inducement and type. There is no special definition of bill of lading fraud under documentary letter of credit in our country. Generally, the definition of fraud in civil and commercial law is applied to bill of lading fraud under documentary letter of credit. According to the definition of fraud in civil law of our country, the author summarizes the constitutive elements of bill of lading fraud under documentary letter of credit, and then gives a definition of bill of lading fraud under documentary letter of credit. The characteristics of bill of lading and documentary credit bring hidden trouble to the fraud of bill of lading under documentary letter of credit; the fraud of bill of lading under documentary letter of credit includes forged bill of lading, false statement in bill of lading and so on. Secondly, the author selected several hidden bill of lading fraud for specific analysis. Including advance and reverse-signed bills of lading in exchange for a clean bill of lading. At the same time, it analyzes the fraud risk of 2/3 bill of lading and telex bill of lading. Both the 2/3 bill of lading and the telex bill of lading are exposed to the risk of letter of credit fraud. Thirdly, the author discusses the principle of fraud exception from three aspects: establishment, theoretical basis and application. The principle of fraud exception has been adopted and applied in many countries, including China, "fraud makes everything invalid", "principle of good faith" and "principle of public order reservation" are the theoretical basis of fraud exception. A bill of lading fraud under a documentary letter of credit that constitutes material fraud is subject to fraud. The author also discusses whether the fraud exception can be applied to third party fraud. The author agrees with and advocates the application of fraud exception principle to third party bill of lading fraud. The author also analyzes the legislation and judicial practice of fraud exception in China. Then, the author discusses how to apply fraud exception to remedy bill of lading fraud under documentary letter of credit. The author believes that the only way to apply fraud exception for relief is to apply for a court injunction. The bank itself does not have the right to refuse to pay voluntarily in the case of fraud, and the application of the exception to fraud can only be made in accordance with the injunction of the court. The author discusses the conditions for the court to issue injunctions, and expounds the deficiencies and loopholes of the current legal remedies in China. Finally, the author studies how buyers and banks avoid bill of lading fraud under documentary letters of credit, and puts forward some suggestions on how to improve the legislation of bill of lading fraud under documentary letters of credit in China. It includes making clear the principle of fraud exception in legislation, perfecting the procedure setting of fraud exception, perfecting the construction of supporting law, and attaching great importance to the training of judge's letter of credit practice.
【學位授予單位】：上海海事大學
【學位級別】：碩士
【學位授予年份】：2007
【分類號】：D996.1

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