显失公平作为信用证独立性原则例外的研究

发布时间：2018-03-30 20:27

本文选题：独立性原则　切入点：欺诈例外　出处：《中国政法大学》2012年硕士论文

【摘要】：独立性原则是信用证制度之基石，对独立性原则的例外适用受到法律的严格限制。目前各国法律广为承认的独立性原则之例外是欺诈例外，但最近有一项发生在澳大利亚的新增例外在国际上广受批评。这种例外即对《商贸实务法》（Trade Practices Act）中处理显失公平行为的第IVA部分之适用。并且，这一例外对其他国家相关案例的判决造成了一定的影响。发生在新加坡和马来西亚的案件中，在尚无立法基础的情形下照搬了澳大利亚的这一做法。本文的主题即是对这种新出现的信用证独立性原则适用例外是否合理，，以及我国是否可以引进该规则进行分析。根据以上主题，本文共分为四个部分：第一部分是对信用证独立性原则及其例外的介绍。独立性原则是信用证最基本的原则之一，也是信用证付款迅捷性与确定性的保障。第一章介绍了信用证独立性原则的含义及其在国际规则及国内法律中的规定。此外，对信用证独立性原则适用之例外——欺诈例外、违法例外、权利滥用例外及显失公平例外作了简要介绍。第二部分是对显失公平例外在国外适用之现状与发展的分析。目前显失公平例外已经在澳大利亚、马来西亚以及新加坡出现并逐渐确立。本文第二章对以上国家适用显失公平例外规则的判例作了系统的介绍与梳理，并结合各国司法现状对相关案例判决之法理基础、法律效果等进行分析。通过分析认为，显失公平例外的适用缺乏相应的法理基础，显失公平行为的判断标准及显失公平例外与欺诈例外的区别也无明确界定。此外，显失公平例外之适用还可能严重破坏信用证作为国际支付工具与担保工具的商业性质。因此，笔者总结认为显失公平例外之适用与其说是对独立性原则的合理突破，不如说是对信用证机制的严重破坏。第三部分是对我国引进显失公平例外之可能性及其利弊分析，并在此基础上对我国信用证独立性原则及其例外之立法提出建议。该部分结合我国信用证立法的现状，从法律渊源、法律基础、司法救济、影响与结果等四个方面分析了我国引进显失公平制度之可能性，认为我国适用显失公平例外缺乏成文法渊源与法理基础，引进该规则将对我国尚未完善的信用证独立性原则及其例外适用造成破坏。因此在我国目前的信用证法律状况下不宜借鉴这一制度。结合以上分析，第三章第二节对我国信用证独立性原则及其例外之立法完善提出建议。最后一部分为结论。是在前三部分的基础上对本文的理论分析及建议的提炼与总结。
[Abstract]:The principle of independence is the cornerstone of the system of letters of credit. The exception to the principle of independence is strictly restricted by law. But recently, there is a new exception in Australia that has been widely criticized internationally. This exception applies to part IVA of the Trade Practices Act, which deals with manifestly unfair conduct... and, This exception has had some effect on the judgements of other countries. In the Singapore and Malaysia cases, In the absence of a legislative basis, Australia's approach is reproduced. The main theme of this paper is whether it is reasonable to apply exceptions to this emerging principle of independence of letters of credit. According to the above theme, this paper is divided into four parts:. The first part is the introduction of the principle of independence of letters of credit and its exceptions. The principle of independence is one of the most basic principles of letters of credit. The first chapter introduces the meaning of the principle of independence of letters of credit and its provisions in international rules and domestic law. In addition, the exception to the principle of independence of letters of credit is fraud, which is the exception to the principle of independence of letters of credit. The exception of violation of law, the exception of abuse of rights and the exception of explicit injustice are briefly introduced. The second part is the analysis of the current situation and development of the application of explicit unfair exception in foreign countries. Malaysia and Singapore have emerged and gradually established. The second chapter of this paper systematically introduces and combs the cases of the above countries applying the rule of exception to explicit injustice, and combines the current judicial situation of countries to the jurisprudence of the relevant cases. Through the analysis, it is concluded that the application of explicit unfair exception lacks the corresponding legal basis, and the judgment standard of explicit unfair behavior and the difference between explicit and unfair exception and fraud exception are not clearly defined. The application of explicit unfair exception may also seriously damage the commercial nature of letter of credit as an instrument of international payment and guarantee. Therefore, the author concludes that the application of explicit unfair exception is not so much a reasonable breakthrough to the principle of independence. More of a serious breach of the letter of credit mechanism. The third part analyzes the possibility and advantages and disadvantages of introducing explicit unfair exceptions to our country, and puts forward some suggestions on the principle of independence of letters of credit and the legislation of their exceptions on this basis, which combines with the present situation of the legislation of letters of credit in our country. This paper analyzes the possibility of introducing explicit and unfair system from four aspects of legal origin, legal basis, judicial relief, influence and result, and holds that the application of explicit and unfair exception in our country lacks the origin of statutory law and the basis of legal theory. The introduction of this rule will destroy the imperfect principle of the independence of letters of credit in China and its exceptional application. Therefore, it is not appropriate to use this system for reference under the current legal situation of letters of credit in our country. Chapter three, section two, gives some suggestions on the legislative perfection of the independence principle and exception of letter of credit in China. The last part is the conclusion.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996;F740.4

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