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1、无单放货中的保函问题研究I摘 要为满足快速发展的航运经济的需要，解决货物先于提单到达卸货港的问题，无单放货保函应运而生。保函提货一定程度上避免了船期延误，减少了货物受阻时间，节约了贸易成本。实践中大量存在凭保函提货的做法，并且得到许多国家的认可，有的国家甚至还以政府法令的形式对其加以肯定。无单放货保函给航运贸易带来便利的同时，却严重威胁了提单法律制度。出具保函就可以轻易提走货物，使得提单失去其物权凭证的作用。保函在海运实践中已经占有举足轻重的地位，在暂无统一法律规范的前提下，研究如何更好的发挥保函的效用，尽量减少因其产生的风险，是最具现实意义的。鉴于此，本文在现有研究成果的基础上，结合相关法律
2、法规，对比各法系国家观点，分析研究我国对无单放货保函的法律效力的观点。重点阐述保函在实践中的应用，针对不同主体提出应对风险的机制，展望无单放货保函未来的发展前景。创新之处在于本文引用大量案例，主要从实务角度分析研究无单放货保函，明确保函给各方主体带来的责任与风险，提出本人应对风险的建议。本文分为四章对无单放货中的保函问题加以阐述。第一章从无单放货保函基本概念的层面上对其加以说明，意在解释什么是无单放货行为，什么是无单放货保函。明确保函的概念、种类，并从实务角度说明其产生的背景及其现实意义。最后分析说明不同种类的保函体现出不同的法律特征。第二章切入主题，对保函的法律效力问题从现有理论上分类归纳，
3、分别介绍各法系、公约中对保函法律效力的规定，同时对保函效力进行法理分析。本章采用对比分析的方法，总结出现有法律法规以及国际公约对保函法律效力的态度。结合2009 年关于无单放货问题最高法院出台的最新司法解释，明晰我国无单放货理论现状。第三章的内容是在第二章的基础上，重点阐述无单放货保函在实践中的应用，分别说明保函对承运人、保证人等利害关系人产生的影响。运用案例分析法，详细说明保函在实践中的使用及其纠纷的解决。提出具体的风险防范措施，以利于无单放货问题更健康的发展。无单放货中的保函问题研究II第四章结合新近签署的鹿特丹规则中关于无单放货问题的变革行规定，从不可转让单证与可转让单证两个层面对无单放
4、货保函的未来发展趋势加以分析。同时提出本人对于无单放货保函发展趋势的看法，认为其有独立性扩张趋势，可能向见索即付保函方向发展。关键词：提单，保函，无单放货，鹿特丹规则无单放货中的保函问题研究IIIABSTRACTTo meet the needs of the fast-growing of the shipping economy, to solve the problem that the bill of lading arrived at the port of delivery after the goods, the letter of guarantee arose for del
5、ivery the goods without original bill of lading. To some extent, when we take delivery of goods using the letter of guarantee, we can avoid shipment delay, reduce the delay time of goods and save the trade cost. In practice, there are lots of the letters which recognized by many countries. Some coun
6、tries even make laws confirm it. The letter of guarantee brings convenience to the shipping trade, but it seriously threats to the legal system of the bill of lading. If somebody showed the letter of guarantee, he can easily withdraw the goods and make the bill of lading lose its role of documents o
7、f title to the goods. In the ocean practice, the letter of guarantee has been made a decisive role. Now there is not the unified subject of legal, to study how to better guarantee the effectiveness of the letter of guarantee and to minimize the risk, it is the most important to practice.In view of t
8、his, this paper bases on existing research results, combines with relevant laws and regulations, compares the view of the legal system and analyses the effect of law of the letter of guarantee in China. Focuses on the legal status, address the main risks for different proposed mechanisms, prospect t
9、he future of the letter of guarantee. The innovation is which it cites a large number of cases from the practical point of view to research. Explicit the main responsibilities and risks and put forward proposals to deal with risks.This article is divided into four chapters to formulated the letter o
10、f guarantee arose for releasing the goods without original bill of lading.From the basic concept, the first chapter shows the letter of guarantee. It is intended to explain what is the delivery the goods without original bill of lading and the letter of guarantee. It will explicit the concept, categ
11、ory of the letter of 无单放货中的保函问题研究IVguarantee. From the practical point of view I put across its background and practical significance. Finally the chapter analyzed and explained the legal characteristics of the different types of the letter of guarantee.The second chapter cut into the subject. From
12、the existing theory, it classified the legal effect of the letter of guarantee and introduced various legal systems and the international convention and analysis it from legal theory. The methods of comparative analysis are used. Laws, regulations and the international conventions attitude is conclu
13、ded. Analysis of relevant legislation and judicial practice, summarize the effectiveness of the letter of guarantee and make my point of view. By analyzing on the issue of delivery of goods of Supreme Court 2009, lets clear theoretical status of delivery of goods without bill of lading. The third ch
14、apter based on the last chapter, expounded emphatically the application of the letter of guarantee in practice. It illustrated the differential impact to carrier and guarantor. By analysis cases, it specified the application of the letter of guarantee and dispute resolution in practice. I put forwar
15、d risk countermeasures and make the development of healthier of the letter of guarantee.The fourth chapter prospected the future trends of the letter of guarantee. It combined with the Rotterdam Rules, viewed the future development trend of flat documents and transfer documents. For the trends I put
16、 forward the perspective, I think the letter of guarantee will expand independence, and it maybe become demand guarantee.Sun Lulu (International Law)Directed by Professor Shen QiumingKEYWORDS: bill of lading, letter of guarantee, delivery of goods without bill of lading, the Rotterdam Rules毕业设计（论文）原创性声明和使用授权说明原创性声明本人郑重承诺：所呈交的毕业设计（论文），是我个人在指导教师的指导下进行的研究工作及取得的成果。尽我所知，除文中特别加以标注和致谢的地方外，不包含其他人或组织已经发表或公布过的研究成果，也不包含我为获得 及其它教育机构的学位或学历而使用过的材料。对本研究提供过帮助和做出过贡献的个人或集体，均已在文中作
