论《鹿特丹规则》对提单物权功能的重塑与影响

发布时间：2018-07-01 20:12

本文选题：鹿特丹规则 + 提单　；参考：《天津财经大学》2012年硕士论文

【摘要】：提单作为海上货物运输过程中必不可少的重要单据,凭借其特有的物权凭证功能在国际货物买卖、运输、结算等环节发挥着至关重要的作用。随着航运实践的不断发展,传统提单制度也面临着严峻的挑战,运输单证制度立法进程的滞后,导致了现行提单法律制度已无法应对实践中出现的诸多困难,在一定程度上阻碍了国际贸易的发展。 2008年12月联合国大会讨论通过的《鹿特丹规则》以其显著的创新机制引起了相关行业和诸多学者的密切关注。公约中的一项重大变革就是提出了以运输单证覆盖提单的概念。如何理解运输单证与提单之间的关系,运输单证是否还具有传统提单的物权凭证功能,提单之外的其他运输单证应当如何适用,这些问题对于传统提单制度及其地位都将产生重要影响。论文综合采用实证分析、规范分析、比较分析、演绎推理和文献研究等研究方法,深入探究运输单证制度的发展规律,分析其立法趋势,以求完善我国的提单法律制度。全文共分为五个部分。第一章主要介绍了《鹿特丹规则》视角下运输单证制度的意义及文章的结构、研究方法、创新点等内容。第二章是关于提单物权凭证功能的理论回顾,介绍了提单物权凭证功能的由来、含义,并对提单的物权效力进行了理论回顾和实证分析。第三章重点讨论了《鹿特丹规则》对提单物权功能的传承。通过对公约框架下运输单证概念与传统海商法意义上提单概念的对比分析,结合公约对于可转让提单的相关规定,分析得出《鹿特丹规则》对提单物权功能表现出一种隐性传承的结论。第四章详细论述了《鹿特丹规则》在运输单证制度构建上的创新机制。一方面,对于凭单放货原则的突破在一定程度上弱化了提单的物权凭证功能,但在另一方面,公约又通过设立货物控制权等制度进行了相应的弥补。第五章对《鹿特丹规则》可能对提单物权功能在制度方面产生的影响进行了粗浅的分析。结合公约可能带来的问题和障碍,对我国提单制度的构建和完善提出了相应的立法建议。
[Abstract]:Bill of lading, as an indispensable important document in the process of carriage of goods by sea, plays an important role in international goods trading, transportation and settlement by virtue of its unique function of document of title. With the continuous development of shipping practice, the traditional bill of lading system is also facing severe challenges, the lag of the legislative process of the transport document system, resulting in the current legal system of bills of lading has been unable to cope with many difficulties in practice. The Rotterdam rules, which were discussed and adopted by the United Nations General Assembly in December 2008, have attracted close attention from related industries and many scholars because of their remarkable innovative mechanism. A major change in the Convention is the concept of a bill of lading covered by a transport document. How to understand the relationship between the transport document and the bill of lading, whether the transport document also has the function of document of title of the traditional bill of lading, and how other transport documents other than the bill of lading should be applied, These problems will have an important impact on the traditional bill of lading system and its status. In this paper, empirical analysis, normative analysis, comparative analysis, deductive reasoning and literature research are used to explore the law of the development of transport document system and analyze its legislative trend in order to perfect the legal system of bill of lading in China. The full text is divided into five parts. The first chapter mainly introduces the meaning of transport document system from the perspective of Rotterdam rules, the structure of the article, research methods, innovation points and so on. The second chapter is a theoretical review of the function of bill of lading documents of title, introduces the origin and meaning of the function of documents of title of bills of lading, and makes a theoretical review and empirical analysis on the effect of bill of lading. Chapter three focuses on the transmission of the Rotterdam rules to the function of bill of lading. Through the comparative analysis of the concept of transport document under the framework of the Convention and the concept of bill of lading in the sense of traditional maritime law, combined with the relevant provisions of the Convention on negotiable bills of lading, The conclusion of Rotterdam rule is that the function of bill of lading shows a kind of recessive inheritance. Chapter four discusses the innovative mechanism of Rotterdam rules in the construction of transport document system. On the one hand, the breakthrough of the principle of delivery of goods by voucher weakens the function of bill of lading to some extent, but on the other hand, the convention makes up for it by establishing the system of control right of goods. Chapter five makes a brief analysis on the influence of Rotterdam rules on the system of bill of lading. Combined with the possible problems and obstacles brought by the convention, this paper puts forward corresponding legislative suggestions for the construction and perfection of the bill of lading system in China.
【学位授予单位】：天津财经大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996.19

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