本文選題：獨立擔保　切入點：獨立保函　出處：《蘇州大學》2014年碩士論文

【摘要】：獨立擔保制度是近些年國際貿(mào)易融資中擔保方式發(fā)生的巨大創(chuàng)新和變革，較之于傳統(tǒng)從屬性擔保制度的債權保全功能，獨立擔保更加注重融資功能。獨立保函作為獨立擔保理論指導實踐的產(chǎn)物及其主要載體，從產(chǎn)生之時便備受關注，在URDG758出臺后尤甚。獨立保函獨立于基礎合同以及單據(jù)化處理的特征使保函開立人（擔保人）較易罹患欺詐風險，而國際大宗貿(mào)易中獨立保函的受益人卻希望通過轉讓保函以實現(xiàn)快速、便捷的融資，這必然加大了擔保人面臨的欺詐風險。要平衡并解決這一現(xiàn)實矛盾，就必須對獨立保函轉讓相關的法律問題進行深入分析。 首先，從法律上界定獨立保函轉讓僅僅應該是獨立保函受益人變更所導致的保函流轉行為。其次，以URDG758第33條為出發(fā)點，結合獨立保函的司法實踐將獨立保函轉讓劃分為獨立保函權利轉讓和獨立保函收益轉讓兩種形式；并將前者的性質(zhì)認定為特殊的債權讓與，將后者的性質(zhì)認定為受益人自由處分預期財產(chǎn)的行為。之后，基于兩種轉讓形式，分別論及獨立保函轉讓中的擔保人、受益人和受讓人各自的法律地位及相互關系。再者，從理論走向實踐，剖析福費廷業(yè)務中涉及的獨立保函轉讓問題及獨立保函轉讓在福費廷業(yè)務中的復雜性。最后，以理論指導實踐，通過梳理我國立法和司法層面對獨立擔保制度的態(tài)度，明確我國應該從《擔保法》第5條第1款的法律釋義和內(nèi)在邏輯傳承關系承認獨立擔保制度的存在。并結合《最高人民法院關于審理獨立保函糾紛案件若干問題的規(guī)定（征求意見稿）》對我國獨立保函轉讓制度提出合理構建，，明確國內(nèi)及涉外獨立保函轉讓行為的法律適用。
[Abstract]:The independent guarantee system is a great innovation and reform in the international trade financing in recent years. Compared with the traditional subordinate guarantee system, the independent guarantee pays more attention to the financing function.As the product of independent guarantee theory and its main carrier, independent guarantee has attracted much attention since its emergence, especially after the introduction of URDG758.The independence of an independent guarantee from the underlying contract and the characteristics of documentary processing make the issuer (guarantor) more vulnerable to the risk of fraud, whereas in international bulk trade the beneficiary of the independent guarantee wishes to achieve speed through the transfer of the guarantee.Convenient financing, this is bound to increase the guarantor faced the risk of fraud.In order to balance and solve this realistic contradiction, we must deeply analyze the legal problems related to the transfer of independent guarantee.First of all, the legal definition of the transfer of independent guarantee should only be caused by the change of the beneficiary of the independent guarantee.Secondly, the transfer of the independent guarantee is divided into two forms: the transfer of the right of the independent guarantee and the transfer of the proceeds of the independent guarantee, and the nature of the former is regarded as the special assignment of the creditor's rights, taking Article 33 of the URDG758 as the starting point and combining with the judicial practice of the independent guarantee.The nature of the latter as the beneficiary's free disposition of the intended property.Then, based on the two forms of assignment, the legal status and relationship of the guarantor, beneficiary and transferee in the transfer of independent guarantee are discussed respectively.Furthermore, from theory to practice, this paper analyzes the transfer of independent guarantee in Forfaiting business and the complexity of independent guarantee transfer in Forfaiting business.Finally, with the theory to guide the practice, through combing our country's legislative and judicial level to the independent guarantee system's attitude,It is clear that our country should recognize the existence of independent guarantee system from the legal interpretation and inherent logical inheritance relationship of Article 5, paragraph 1, of the guarantee Law.Combined with the provisions of the Supreme people's Court on the trial of several issues concerning the dispute cases of independent guarantee (draft of soliciting opinions), this paper puts forward a reasonable construction of the transfer system of independent guarantee in our country, and clarifies the legal application of the transfer of independent guarantee at home and abroad.
【學位授予單位】：蘇州大學
【學位級別】：碩士
【學位授予年份】：2014
【分類號】：D996.1;D923;D922.295

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本文編號：1709358