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1、 提单转让的法律效力探析 摘要在国际货物买卖过程中，单纯的通过货物买卖的方式无法满足交易的要求，流通提单便开始普遍使用，经过长期的交易习惯摸索，形成了通过提单转让来实现货物买卖的形式，即单证买卖的方式。提单是产生于国际海上货物运输领域的一种运输单证，其终极目的还是为了更好的服务于贸易，因提单本身的功能属性即货物收据和运输合同证明及物权凭证功能使得提单在流通的过程中对于运输和贸易起到很好的衔接作用，可以说提单的可转让性赋予了提单以生命力，本文重点关注提单在转让过程中的效力，即研究提单转让后对于相关当事人的法律后果问题，笔者以鹿特丹规则为研究的切入点和落脚点，虽然截至今日该公约没有生效，但笔者认为
2、其具有的时代性、先进性和前瞻性是符合国际海上货物运输立法趋势的，并且鹿特丹规则中的变化和发展对于研究提单转让的效力问题也提供了新的视角和问题，比如鹿特丹规则中提出的运输单证和电子运输记录与传统提单之间有怎样的区别和联系，提单是否已经被航运实践所抛弃，并退出了历史舞台；鹿特丹规则中可转让运输单证的物权凭证功能是否消失，如果没有消失，那么是如何在提单转让中体现其物权凭证效力的；鹿特丹规则框架下对于承运人、托运人、提单持有人是如何定义的，提单转让后对于各方主体的法律后果又是如何，各自的权利义务范围又是什么；鹿特丹规则中关于权利转让制度中有哪些是值得在我国海商法修改过程中借鉴和引用的。带着这些问题笔者
3、通过比较分析法和文本分析法，对于提单转让的效力问题进行初步的研究，本文开篇从提单自身性质和功能入手，并框定住研究的可转让提单的类型和方式，比较分析一般债的转移和票据流通，得出提单转让系介于两者之间，具有一定的特殊性。第二部分笔者通过总结在运输领域中提单转让中权利来源的理论问题，认为提单转让的权利来自于运输合同的部分权利让与，并由此对提单持有人和承运人之间在提单转让过程中转让的权利内容进行研究，进而分析提单转让的债权效力；在国际货物贸易领域中，对于提单自身的物权凭证功能进行理论分析，并得出提单的物权凭证功能并没有消失的结论，并进一步讨论提单实际是代表的是对运输合同项下货物的占有权。第三部分从鹿特
4、丹规则对于该问题涉及到的制度和规范的新发展和新变化着眼，对于运输单证和电子运输记录制度、货物控制权制度作出重点介绍，分析鹿特丹规则项下的提单转让效力问题的变化。第四部分提出我国海商法在修改时应建立完善的运输单证转让制度，并有效借鉴和有选择的采纳鹿特丹规则中对于运输单证转让的问题的规定，最后为我国海商法的修改提出几点建议。关键词：提单转让的效力，鹿特丹规则，海商法修改AbstractDuring in the international sales of goods, simply the traditional way to tradehardly keep pace with the tim
5、es, the negotiation of the bill of lading is being widelyused, through long-term trading habits, in order to achieve sales of goods though thetransfer of the bill of lading .Bill of lading is a transport documents in the field ofinternational carriage of goods by sea, its ultimate purpose is to serv
6、e the trade better,because of the function and attributes of the bill of lading, namely the receipt of goodsand the proof to the contract of carriage of goods,and document of title,they play avery important role in the process of transportation and trade of goods.It means thenegotiability of the bil
7、l of lading give vitality to the bill of lading, this thesis focuseson the validity of the transfer of the bill of lading, namely study on the legalconsequences to the related parties when the transfer of the bill of lading, the authorfocus on the Rotterdam rules , although the convention does not t
8、ake effect until now,but the author considers its modernity and advancing and prospective is in conformitywith the international trend of the legislation of carriage of goods by sea, and thedevelopment and change of the Rotterdam rules provides a new perspective to studythe validity of the transfer
9、of the bill of lading also, such as what is the difference andconnection in the Rotterdam rules between the transport document and electronictransport records and the traditional bill of lading;whether bill of lading has beenabandoned by the shipping practice and withdrew from the historical stage o
10、r not;Inthe Rotterdam rules whether the document of title of the negotiable transportdocuments have been disappeared or not, if it has been not disappeared, so how toreflect the validity of document of the title when the transfer of the bill of lading;Under the framework of the Rotterdam rules how t
11、o define for the carrier, the shipper,the holder of the bill of lading , when the transfer of the bill of lading how the legalconsequences for the parties above mentioned, what scope of their respective rightsand obligations. The system of the transfer of right in the Rotterdam rules makesupport for
12、 the modification of maritime law. With these problems by comparinganalysis and text analysis,in chapter one the author carries on the preliminary studyfor the problem of the validity of the transfer of the bill of lading, this thesis startsfrom the functions of bill of lading itself, and from the p
13、erspective and type of thenegotiable bill of lading ,make a comparative analysis between the general debttransfer and instrument negotiation, it is concluded that the bill of lading transfersystem is a particularity system between them. The chapter two the authorsummarizes the source of bill of ladi
14、ng in the transfer of rights in the field of transportof goods, consider that the transfer of right of the bill of lading is from the partialassignment of the contract , and make research on the right content in the process oftransfer of the bill of lading between the holder of the bill of lading an
15、d the carrier,and further analyzed on the validity of the transfer of bill of lading; In the field ofinternational trade of goods, focus on the document of title of the bill of lading itselfthrough theoretical analysis and make a conclusion that the document of title of thebill of lading did not dis
16、appear, and further discussion of the bill of lading is actuallyrepresents the possession of goods under the contract of carriage. The third part fromthe respective of the Rotterdam rules about the the new development and change ofspecifications for the problems involved ,especially focus on the transport documentsand electronic records system and the goods control
