摘 要
随着全球经济一体化日趋深入，国际贸易中运输和支付方式日渐完善和统一，海运作为国际贸易最主要运输方式的地位不可撼动，信用证已经成为各国进行贸易支付的最主要手段。因此，作为最为常见海运单据的提单在信用证下的流转就更加有研宄的必要性。
信用证项下提单质权不仅涉及到国际贸易中的买卖双方，也关系到货物运输方即承运人、依开证申请人申请而开立信用证的开证行、审核单据垫付货款给卖方的议付行等多方主体的切身利益。
本文围绕信用证项下提单质权展开，借鉴物权法律关系研宄的常态逻辑对信用证项下提单质权予以合理的分析与解释，旨在探宄信用证项下提单质权中具有争议的问题，并在中国法下找寻理论与实务的衔接之法。
本文第一部分是对信用证项下提单质权的概述，在确定信用证项下提单质权的含义的基础上分析其性质及特征，并对信用证项下提单质权的标的一一提单进行了相关分析，并列举了信用证项下提单质权的两种表现形式。
本文第二部分从信用证项下提单质权的当事人、合意与公示的角度对信用证项下提单质权的设立条件进行论证。
本文第三部分是对信用证项下提单质权的两种表现形式一一开证行与幵证申请人间提单质权和进口押汇行与进口商间提单质权所涉及的主债权债务关系以及提单质权关系进行深入的剖析。
本文第四部分探讨的是信用证项下提单质权的实现的条件方式和途径，并对信用证项下提单质权实现的特殊情形分别进行了论证。
关键词：信用证；提单质权；设立；法律关系；实现
ABSTACT
As global economic integration deepens, the way of transportation and payment inthe international trade is becoming more and more perfectly and unitized: shipping as amain way of transportation in international trade can't be shaken; Letter of Credit hasbeen adopted by a great majority of nations as the most important way of payment. So itis necessary for us to do more research on the circulation of Bill of Lading under theL/C.
The pledge of B/L under L/C relates to not only the interest of the business partiesin international trade, but also the interest of the cmrier, the issuing bank who issues L/Cbasing on the applicant's application,the negotiating bank who checks the B/L and paysfor the seller.
This thesis centres on the pledge of B/L under L/C,trying to give a reasonableexplanation to the pledge of B/L under L/C by using common logic mader legal relationof real right for reference, aiming to explore the controversial issues of the pledge ofB/L under L/C and find out the way which theory and practice can be joined together.
The first part of this thesis which is an overview of the pledge of B/L under L/Cstarts with introduction of the meaning、nature and characteristics of the pledge of B/Lunder L/C, clarifies the subject of the pledge of B/L under L/C bills of lading, thispart of the thesis also has an introduction of flie two forms of the pledge of B/L underL/C.
The second part of the thesis introduces the establishment conditions of the pledgeof B/L under L/C from the parties the pledge of B/L under L/C, the consensus betweenthe parties and the publicity of the right.
The third part introduces the relevant legal relation in two forms of the pledge ofB/L under L/Cthe pledge between issuing bank and the applicant, the pledgebetween import bill advance bank and importer.
The last part of the thesis discusses the conditions, ways and methods to realize thepledge of B/L in normal and special circumstances.
Key Words: Letters of Credit; Pledge of B/L; Establishment; Legal Relation;Realization
目 录
引 言
第1章信用证项下提单质权概述
1.1信用证项下提单质权的界定
1.1.1信用证项下提单质权的含义与性质
1.1.2信用证项下提单质权的特征
1.2信用证项下提单质权标的的确认
1.2.1提单作为提单质权标的的前提
1.2.2提单的出质条件
1.2.3信用证项下设质提单的特殊要求
1.3信用证项下提单质权的表现形式
1.3.1开证行与开证申请人之间的提单质权
1.3.2进口押汇行与进口商之间的提单质权
1.3.3信用证项下两种提单质权的区别
第2章信用证项下提单质权的设立
2.1信用证项下提单质权的当事人
2.1.1信用证项下提单质权人
2.1.2信用证项下提单质权出质人
2.2信用证项下提单质权设立的合意
2.2.1信用证项下提单质权设立的合意形式
2.2.2信用证项下提单质权设立的合意内容
2.3信用证项下提单质权设立的公示
2.3.1提单的交付
2.3.2出质提单背书问题的探讨
第3章信用证项下提单质权所涉及的法律关系
3.1开证行与开证申请人间提单质权所涉及的法律关系
3.1.1开证行与开证申请人间的主债权债务关系
3.1.2开证行与开证申请人间的提单质权关系
3.2进口押汇行与进口商间提单质权所涉及的法律关系
3.2.1进口押汇行与进口商间的主债权债务关系
3.2.2进口押汇行与进口商间的提单质权关系
第4章信用证项下提单质权的实现
4.1信用证项下提单质权实现的一般情形
4.1.1信用证项下提单质权实现条件
4.1.2信用证项下提单质权实现方式
4.1.3信用证项下提单质权实现途径
4.2信用证项下提单质权实现的特殊情形
4.2.1提单质权与承运人留置权的竞存
4.2.2无单放货时信用证项下提单质权的实现
结论
参考文献
致谢
