【摘要】：從作用單一的收據(jù)到可以流通的金融工具,倉單在貿(mào)易環(huán)節(jié)與流通領(lǐng)域中的作用越來越多樣化,也使其成為了重要的法律規(guī)制對象。2014年的“青島港倉單信用證詐騙案”暴露出一系列我國倉單法律與制度體系的漏洞及我國倉單市場所隱藏的風(fēng)險(xiǎn)。為了更全面的了解倉單,為了使法律對倉單市場的規(guī)制可以促進(jìn)倉單的流通及倉單市場更加健康的發(fā)展,本文從“青島港倉單信用證詐騙案”談起,全面分析倉單的法律性質(zhì),從比較法的角度主要以借鑒及對比美國關(guān)于倉單的立法及學(xué)理經(jīng)驗(yàn),通過結(jié)合案例與學(xué)理,最終從立法及交易層面為我國倉單規(guī)制提出建議。本文正文分為三部分。第一部分為倉單的概述,從倉單的界定、分類與交易流程、歷史發(fā)展及概念區(qū)分四個(gè)方面全面分析倉單的基礎(chǔ)性質(zhì)。其中著重闡述了界定倉單過程中對倉單所有權(quán)憑證性質(zhì)的認(rèn)識;倉單的指示倉單、記名倉單和不記名倉單的分類及不同種類倉單的不同交易流程;并從歷史的角度出發(fā),探尋倉單發(fā)展歷史的同時(shí),著重探討隨歷史發(fā)展,倉單在市場中功能的變化。倉單從只是具有單純證明作用的收據(jù),發(fā)展成為表彰倉儲物所有權(quán)的物權(quán)憑證,再到如今進(jìn)入流通領(lǐng)域,并活躍于現(xiàn)貨交易市場上的有價(jià)證券。第二部分立足我國倉單的本土性,結(jié)合比較法,尤其是具有代表性的美國立法例,通過探討我國倉單的有價(jià)證券性質(zhì),全面的對我國倉單的證券性質(zhì)展開討論。這一部分立足于倉單有價(jià)證券的屬性,論述倉單的債權(quán)性物權(quán)證券性質(zhì),及倉單要式的、指示的、背書的、不完全文義的、無因的和繳還的有價(jià)證券性質(zhì)。最后一部分再次對引用案例進(jìn)行分析,結(jié)合倉單的法律性質(zhì),從立法及交易層面分析我國倉單法律及制度方面的不足,并為我國倉單規(guī)制提出建議。首先,立法上規(guī)范倉單的種類與轉(zhuǎn)讓的生效要件。其次,交易市場層面上,建立倉單網(wǎng)絡(luò)信息平臺,完善企業(yè)信用評級制度。筆者希望,通過對倉單法律性質(zhì)的研究,著眼于實(shí)務(wù)發(fā)展的實(shí)質(zhì),通過法律來塑造我國倉單市場的發(fā)展,為我國倉單市場的監(jiān)管與發(fā)展盡綿薄之力。
[Abstract]:From single receipts to negotiable financial instruments, warehouse receipts are becoming more and more diverse in the areas of trade and circulation. The fraud case of warehouse receipt letter of credit in Qingdao Port in 2014 exposed a series of loopholes in our country's warehouse receipt law and system and the hidden risks in our warehouse receipt market. In order to understand warehouse receipt more comprehensively, in order to make the regulation of warehouse receipt market by law promote the circulation of warehouse receipt and the healthy development of warehouse receipt market, this paper starts from "the fraud case of warehouse receipt letter of credit in Qingdao Port", and analyzes the legal nature of warehouse receipt comprehensively. From the point of view of comparative law, this paper draws lessons from and compares the legislation and theoretical experience of the United States on warehouse receipts, and finally puts forward some suggestions for the regulation of warehouse receipts in China from the aspects of legislation and transaction by combining cases and theories. The text of this paper is divided into three parts. The first part is an overview of warehouse receipts, from the definition of warehouse receipts, classification and trading processes, historical development and conceptual differentiation of warehouse receipts from four aspects of comprehensive analysis of the basic nature of warehouse receipts. The paper mainly expounds the understanding of the nature of warehouse receipt ownership certificate in the process of defining warehouse receipt, the classification of indicative warehouse receipt, registered warehouse receipt and bearer warehouse receipt, and the different transaction flow of different kinds of warehouse receipt, and starts from the historical point of view. In order to explore the history of warehouse receipt development, this paper focuses on the change of warehouse receipt function in the market. From a receipt with simple proof, warehouse receipt has developed into a document of real right commending the ownership of storage property, and now it has entered the field of circulation, and is active in the spot trading market of marketable securities. The second part is based on the nativeness of warehouse receipts in our country, combined with comparative law, especially the representative legislation of the United States, through the discussion of the nature of securities of warehouse receipts in China, the paper comprehensively discusses the nature of securities of warehouse receipts in China. This part is based on the property of warehouse receipt securities, and discusses the nature of real right securities of warehouse receipt, and the nature of securities of form of warehouse receipt, direction, endorsement, incomplete text, no cause and payment. The last part analyzes the citation case again, combining with the legal nature of warehouse receipt, analyzes the deficiency of our country's warehouse receipt law and system from the aspect of legislation and transaction, and puts forward some suggestions for the regulation of warehouse receipt in our country. First of all, the legislative regulation of warehouse receipts and transfer of the effective requirements. Secondly, the trading market level, establish warehouse receipt network information platform, improve enterprise credit rating system. The author hopes that through the study of the legal nature of warehouse receipt, focusing on the essence of the development of practice, the development of the warehouse receipt market in China can be shaped by law, and the supervision and development of the warehouse receipt market in our country will do its utmost.
【學(xué)位授予單位】：中國政法大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2016
【分類號】：D922.28

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