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1、Unit 6 Documentary CreditA letter of credit ( L/C, or credit ) is the written promise of a bank to act at the request and on the instruction of the applicant and to undertake payment to the beneficiary in the amount specified in the credit, provide that the beneficiary complies with the terms and co
2、nditions of the credit.信用证是指银行应申请人的要求和其指示开立的承诺在受益人履行信用证条款后按信用证规定的金额付款给受益人的书面保证文件。 一、信用证的有关各方当事人There are many parties involved in the L/C operation. They are the applicant, issuing bank, advising bank, beneficiary, negotiating bank, and so on.信用证操作过程中涉及到许多当事人(方),他们是申请人,开证银行,通知银行,受益人,议付银行等1、applicant
3、(申请人)An applicant is the party that applies to a bank for opening a letter of credit. An applicant may also be called “opener” or “accountee”. It is usually the buyer or importer in a contract.申请人是指向银行申请开立信用证的一方。申请人也称“申请开证人”或“开证申请人”。通常是合同中的买方或进口商。2、issuing bank (开证行)An issuing bank refers to the ban
4、k that issues a letter of credit at the request of the applicant, and is responsible for payment of the proceeds under an L/C if the terms and conditions of the credit are complied with.开证行应申请人要求开立信用证的银行,并在信用证条款履行后负责支付信用证项下的款项。3、advising bank (通知行)An advising bank is usually a bank in the sellers co
5、untry. Of course, it may also be in a third country. Upon instructions and entrustment of the issuing bank, the advising bank advises the beneficiary of the L/C.通知行通常是卖方所在国银行,也可在第三国家。凭开证行的指示和委托,通知受益人相关信用证事宜。4、beneficiary (受益人)A beneficiary refers to the party in whose favor an L/C is opened and whic
6、h should comply with the terms and conditions of the credit in order to receive the proceeds. It usually refers to the seller, the exporter.受益人是指信用证受益一方,需按信用证条款履行义务以获得付款。通常是指的卖方,或出口商。5、negotiating bank 议付银行A negotiating bank is the bank that negotiates the beneficiarys draft(s).。 It may be the advis
7、ing bank or another bank authorized to negotiate the documents. If there is no specific stipulation in the L/C, the exporter may present the documentary draft to any bank that is able to do the negotiation.议付行是对受益人汇票进行议付的银行。 议付行可以是通知行或者其他有权议付单证的银行。如果信用证中无特殊规定,出口商可以向任何银行提交跟单汇票进行议付。 二、信用证基本格式 An L/C c
8、an be opened by mail, by cable, or by SWIFT. Although there are no uniform forms covering an L/C, their contents are basically the same。They include all the important terms and conditions of the sales contract signed by the two parties: documents required, the bankers undertaking clauses, and any sp
9、ecial conditions in the L/C.信用证可以通过邮件,电报以及SWIFT格式开立。 尽管信用证没有统一的格式,但其内容基本一样。 这些基本内容包括所有买卖方双方签署的合同中的重要条款:单证要求,银行保证条款,以及其他信用证的特别规定。三:跟单信用证的基本程续的三个基本步骤:1、issuance of the L/C 信用证开立The process of a buyer applying for and opening a documentary credit at the issuing bank, and the issuing banks notification
10、of the L/C to the seller through the advising bank. 信用证开立是买方向开证行申请开立信用证,通过通知行向卖方发出开证行开证通知。2、Amendment to the L/C if necessary 如需对信用证进行修改The process whereby the terms and conditions of a documentary credit may be modified after the credit has been issued. 在信用证开立后如需对跟单信用证的条款进行更改需进行信用证的修改。3、utilization
11、 and settlement 使用和支付The process whereby the seller ships the goods, transfers the documents from the seller to the buyer through banks, and transfers the proceeds from the buyer to the seller through banks in different ways (the settlement).这一过程是卖方装运货物,将单证通过因银行转让给买方,并且再由买方通过银行向卖方通过各种途径付款。 六、信用证的类型1
12、. Documentary Credits vs. Clean Credits 跟单信用证与光票信用证If shipping documents are required, these credits are called documentary credits. If shipping documents are not required and only drafts are required, they are called clean credits.如果信用证附带有装运单据,则称为跟单信用证。如果信用证不附带单据仅附带汇票,则称为光票信用证。2. Irrevocable Docume
13、ntary Credits 不可撤销信用证Irrevocable credits means that once the L/C is opened, it cannot be cancelled or amended within its term of validity without the agreement of the issuing bank, the confirming bank, if any, and the beneficiary. 不可撤销信用证是指信用证一旦开立,在有效期内未经开证行,保兑行以及受益人的同意不得撤销和更改的信用证。3. Confirmed vs. U
14、nconfirmed Credits 保兑信用证与不保兑信用证Under irrevocable documentary credits, depending on whether there is another bank in addition to that of the issuing bank undertaking to pay, an irrevocable letter of credit can be either a confirmed or unconfirmed L/C. If a credit is not confirmed by another bank, it
15、is an unconfirmed L/C.不可撤销信用证是否为保兑信用证,取决于是否存在除了开证行以外的另外一家银行也承诺付款, 不可撤销信用证可以是保兑或者不保兑信用证。如果信用证无其他银行保兑,则它是不保兑信用证。The undertaking to pay is the sole responsibility of the issuing bank. An irrevocable confirmed documentary credit is one that contains the guarantee of payment to the beneficiary by both th
16、e issuing bank and confirming bank so long as the terms and conditions of the credit are met.开证行唯一的责任是付款。不可撤销保兑信用证即只要满足了信用证条款的要求,开证行和保兑行都可担保向受 益人履行付款义务。4. Sight Credits vs. Time Credits 即期信用证与远期信用证1)即期信用证Sight credits mean that the issuing bank or its nominated bank effects payment or negotiation im
17、mediately upon receipt of the drafts and/or other documents that are in conformity with the stipulations of the L/C, such as a sight payment credit and sight negotiation credit.即期信用证是指开证行或者其他指定银行一旦收到与信用证条款相符的汇票或者其他单据后立即履行付款义务或进行议付的信用证,比如即期付款信用证和即期议付信用证2) 远期信用证A time credit includes the sellers time
18、credits (deferred payment credits and acceptance credits) and the buyers time credits.远期信用证包括卖方远期信用证(延期付款信用证和承兑信用证)和买方远期信用证5. 其他类型信用证Additionally, there are also payment credits (sight payment credit and deferred payment credits), acceptance credits, negotiation credits, anticipatory credits, revolv
19、ing credits, transferable credits, back-to-back credits, and so on.此外,信用证的其他类型还有付款信用证(即期付款信用证和延期付款信用证),承兑信用证,议付信用证,预支信用证,循环信用证,可转让信用证,背对背信用证等等。 Unit 7 The Practice of International Ocean Cargo Transportation一、Transport Geography 运输地理 An international freight forwarder should be familiar with interna
20、tional trade routes。He or she should have knowledge of main traffic routes, location of ports, trans-shipment points and inland centers。A freight forwarder should also have a general idea of the pattern of international trade and its changing trends. 国际货运代理应熟悉国际贸易线路。他(她)应该熟悉主要的交通线路,港口的位置,转运地和内陆中心。 一
21、个货运代理人还应该对国际贸易的模式和其改变的趋势有一个整体的概念。二、Different Types of shipping services 不同类型的海上运输服务The international shipping market offers four types of service, namely, conference lines, non-conference lines, non-vessel operation common carriers and tramp service.国际海上运输市场提供了四种类型的服务,即班轮公会运输,非班轮公会运输,无营运船公共承运人和不定期船运
22、输Conference Lines 班轮公会运输A shipping conference is a group of shipping lines operating in any particular route under agreement to provide a scheduled service with a common tariff and a fixed itinerary of ports of call.班轮公会是按预定的船期表在特定的航线上从事营运的班轮公司的组织,具有共同的费率表、固定的挂靠港。The purpose of a shipping conference
23、 is to eliminate price competition among member lines and reduce outside competition by trying to capture most of the traffic for member lines through loyalty arrangements with shippers.班轮运输的目的是消除会员公司之间在运价上的竞争,通过与托运人之间达成的忠诚协议为会员争取大量货源,以减少外部竞争。对于托运人来说班轮公会运输的优势1. Stability of freight rates.稳定的运费率2. Re
24、gularity of services.定期的运输服务班轮公会运输的缺点1. Rates are usually high. 费率一般很高2. Rates do not fluctuate according to supply and demand as in a tramp service. 费率不会像不定期船那样随供求关系的变化而变动。3. Rules and procedures are inflexible.规则和程序不灵活Non-conference lines 非班轮公会运输In recent years, along most international routes, no
25、n-conference lines have posed a challenge to conference system。 This is attributable to the development of containerization and emergence of many independent carriers。As a result, along some routes, the conference lines have been forced to come to terms with the non-conference lines in regard to rat
26、es, and terms and condition of service.近几年,出现在大多数国际航线上的非班轮公会运输,对班轮公会提出了挑战。 这是由于集装箱运输和许多独立承运人的出现。 结果航运公会被迫在运价、运输条件上和非班轮公会公司达成协议。Non-vessel operating common carrier (NVOCC) 无营运船公共承运人An NVOCC is a carrier who operates a regular scheduled service. He does not own or operate the vessels by which sea tran
27、sportation is provided。Although the NVOCC is a carrier in his relationship with the actual shipper, he is a shipper in his relationship with the actual carrier.。He assumes the role of the principal and performs several functions。He assumes responsibility for ocean carriers, both conference and non-c
28、onference lines。He renders a useful service by providing groupage or consolidation services, particularly to small shippers who do not have much bargaining power in negotiating rates.无船承运人是从事定期营运的承运人,但并不拥有或经营海上运输所需的船舶。尽管无船承运人相对于实际托运人是承运人,而相对于实际承运人是托运人。(无船承运人)担任负责人的角色并履行一些职责。对海上承运人负责,包括班轮运输和非班轮运输。通过提
29、供拼箱或集运服务给予托运人有效的服务,特别是对那些在谈判价格中没有多少讨价还价能力的小的托运人Tramp service 不定期船运输Tramp service has no fixed itinerary or schedule and is operated on any route according to supply and demand.。Tramp vessels are usually chartered at negotiated rates, particularly when the quantity of cargo is large.不定期船运输没有固定的路线或者船期
30、表,根据供求情况在任何线路上营运。通常是在谈判价格下租赁不定期船船舶,特别是当货物的数量很大的时候。三、Shipping documents 货运单证The documents commonly used in carriage of goods by sea are bills of lading, sea waybills, manifests, shipping notes, delivery orders and mates receipts.海上货物运输常用的单证包括提单、海运单、舱单、托运单、提货单和大副收据。bill of lading 提单The bill of lading
31、by itself is not a contract of carriage as it is signed only by the carrier. However, it provides evidence of contract of carriage。It serves as a receipt for goods delivered to the carrier。Besides, the bill of lading serves as a document of title enabling the goods to be transferred from the shipper
32、 to the consignee or any other party by endorsement.提单本身不是运输合同,因为它只是由承运人签署的。但它是海上运输合同的证明。提单是货物交付给承运人的收据。另外,提单可作为物权凭证,使提单通过背书,将货物的所有权从托运人转移到收货人或者其他方手中。Sea waybill 海运单A sea waybill is the replacement of the traditional ocean bill of lading。The waybill is a non-negotiable document and made out to a nam
33、ed consignee who is allowed, upon production of proper identification, to claim the goods without presenting the waybill。海运单替代了传统的海洋提单。海运单是一种不可流通的单证,且填写了经承认的指定收货人,在提供了货物身份证明后,无须出示提单即可提货。Cargo manifest 货物舱单A cargo manifest provides information regarding cargo on board。A freight manifest gives informa
34、tion regarding freight rates, surcharges, rebates, etc。The manifest is prepared by the carriers agent but the freight forwarder has to handle it while dealing with the customs and port authorities.货物舱单提供已装船货物的信息。货物舱单提供了运费,附加费,折扣等的信息。货物舱单是由承运人代理准备的,但是货运代理人必须持有货物舱单与海关和港务局(办理货物进出口)。Shipping note 托运单A s
35、hipping note is issued by the shipper to the carrier requesting allocation of shipping space。It is a commitment on the part of the shipper to ship the goods and serves as the basis for the preparation of the bill of lading.托运单是托运人签发给承运人要求分配舱位的单证。托运单是托运人委托运输货物,作为准备提单的基础。Delivery order 提货单A delivery o
36、rder is issued by the carrier or his agent to enable the consignee or his forwarding agent to take delivery of the cargo (import cargo) from the vessel.提货单是由承运人或其代理签发给收货人或其代理,使后者能够从船上提货。Mates receipts 大副收据A mates receipt is the receipt issued by the carrier in the acknowledgement of the goods receiv
37、ed on board (export cargo) which is subsequently exchange for the bill of lading.大副收据是由承运人签发,是对货物装船的确认,以后可用大副收据换取提单。 Unit 8 Chartering BusinessChartering is the business of providing employment for a vessel and arranging suitable sea transport for a variety of commodities.。 The different requirement
38、s of employment for vessels call for several different kinds of chartering. The term charter party is employed to describe contracts relating to the use of vessels owned controlled by others。 The three principal methods of chartering a tramp ship are Voyage charter, time charter and bareboat charter
39、.租船是提供使用船舶和为各类货物安排适宜海上运输的业务。 由于使用船舶的不同需求产生了几种不同的类型的租船业务。 租船合同这一术语被用来描述租用他人船舶的各种合同。租船业务的三种基本类型:航次租船、定期租船、光船租船Voyage Chartering 航次租船Voyage chartering means that the shipowner promises to carry on board a specific ship a particular cargo for a single voyage from one or more loading ports to one or more
40、 discharging ports. 航次租船是指船东承诺按一个单程航次装运约定的货物,从一个或多个港口运至另一个或多个港口。he relationship between the parties is governed by the voyage charter party.租船双方的关系受航次租船合同的约束。1. The names of the parties 合同双方的名称2. The name and nationality of the ship 船舶的名称和国籍 3. Its bale or grain capacity 船舶包装或散装的容积 4. Description of
41、 the goods to be loaded 对货物装载的描述5. Port of loading and discharge 装货港和卸货港的规定6. Time for loading and discharge 装货和卸货的时间7. Payment of freight 运费的支付8. Demurrage 滞期费的规定9. Dispatch and other relevant matters. 速遣费和其他相关事宜的规定 Under a voyage charter the ship owner retains the operational control of the vessel
42、 and is responsible for all the operating expenses such as port charges, bunkers, taxes, etc。 Loading and discharging costs are divided between the ship owner and the chartered in accordance with the agreement from case to case。There are more standard forms of voyage charter party used. A typically
43、example is the GENCON form that is a general charter party designed to be used in trades where no specific form exists.在航次租船中,船东仍保有对船舶的控制,并且承担所有的运营费用比如港口费,燃油费,税收等等。船东和租船人依照每次租船协议划分装载和卸载费用。 航次租船合同有多种标准格式可供使用。最具代表性的是“金康”格式,它是最普遍使用的航次租船合同,可用于没有特殊合同格式的贸易当中。Time chartering定期租船Time chartering means that t
44、he ship owner provides a designated manned ship to the charterer and the chatterer employs the ship for a specific period against payment of hire.。The hire is payable in advance for a month or other period. If the hire is not paid promptly the ship owner may be entitled to cancel the charter. 定期租船是指
45、船东将配备好船员的指定船舶提供给承租人,在约定的期限内,由承租人控制船舶的营运并支付租金。租金应提前一个月或其他期限支付。 如果没有及时地支付租金,船舶所有人有权取消此次租赁。Under a time charter the crew is employed by the shipowner, who is also responsible for the nautical operation and maintenance of the vessel and supervision of the cargo。The charterer is liable for costs directly
46、 connected with the use of the vessel, for example , bunker costs and port charges and pays for the loading and discharging。定期租船中,由船东雇船员,并且负责航行操作和船舶的维修及货物的监管。 承租人负责与船舶使用有直接相关联的费用,比如燃油费,港口费以及支付装载和卸载费用。The liability for the cargo may be determined in different ways and may rest with the shipowner or w
47、ith the charterer or may be divided between them in one way or another。When giving orders to the vessel the charterer must keep within the trading limits prescribed by the contract, with respect to geographical areas as well as cargoes to be carried对于货物(风险)的责任划分可由不同方式来决定,可能由船东负责或者由承租人负责或者也可能双方之间以一种或
48、者其他方式来划分。 签订租船合同时,承租人就航区范围和所载货物的数量都要保持在合同规定的范围之内。There are also some standard forms of time charter party used in the time chartering business.。By far the largest number of time chartering are fixed on the basis of the NYPE Charter Party.。定期租船合同也有几种标准格式。到目前为止大量的定期租船都是以土产格式作为合同样本的基础。NYPE form “纽约土产”格
49、式。BALTIME form “波尔的姆”格式Bareboat Chartering 光船租船The bareboat chartering ordinarily means that the vessel is put at the disposal of the charterer for a long period employment without any crew.。The charterer thus will take over almost all of the shipowners functions. Under a bareboat charter, the chart
50、erer engages the master and crew, arranges for repairs and supplies, and, in general, functions in much the same way as an owner during the term of the charter。This means that the charterer will have the commercial as well as the technical responsibility for the vessel and will pay for maintenance,
51、crew costs and insurance, etc.光船租船通常是指承租人在一定租期内取得对特定船舶的控制,由承租人负责配备船员。 光船租船中承租人几乎担任所有船东的职责。承租人须雇佣船长和船员,负责船舶维修和供给,在租期期间其职责大体上同船东一样。 这意味着承租人对船舶负有商业上和技术上的职责,并须支付船舶的维修费用,船员的工资和保险等等。Bareboat chartering is less common than other types of chartering. It is sometime employed in connection with the financial
52、arrangements for purchase of the vessel on installment terms。 The bareboat charter then serves as a hire/purchase contract, by which the shipowner/seller retains formal ownership and thereby security in the vessel until the full purchase price is paidThere is only one standard form of bareboat chart
53、er party used to any great extent and that is the BARECON form designed by BIMCO.光船租船与其他租船方式相比较少使用。有时候相当于分期付款购买船舶。 光船租船合同只有一种标准格式,即是由波罗的海国际航运协会绘制的“贝尔康”格式。Unit 9 Marine Bills of Lading一、 General concept of Marine Bills of Lading 海运提单的一般概念Marine Bills of lading are used primarily in international sale
54、s of goods where the carriage of goods is by sea.海运提单主要用于国际货物销售的海上运输中。Definitions of the Bill of Lading vary from country to country. Broadly, the bill of lading has been defined as receipt for goods shipped on board a ship, signed by the person (or his agent) contracts to carry them, and stating th
55、e terms on which the goods were delivered to and received by the ship。It is not the actual contract, but forms excellent evidence of the terms of the contract.每个国家对于提单的定义各有不同。总体而言,提单是货物装船的收据;它由达成货物运输协议的承运人签字,上有货物送到船上及被船方接收的条款。 提单不是实际的合同,但却构成据以履行合同条款极好的保证。二、Functions of the Marine Bills of Lading 海运提
56、单的作用1.Receipt for the goods shipped 货物装船的收据A bill of lading is a receipt issued by a carrier that an identifiable consignment of goods has been received by him for shipment, or actually loaded on board his ship。The bill of lading as a receipt will show the quantity and condition of the cargo loaded,
57、 ships name, port of loading, the destination, details of date and so on.提单是由承运人签发的有关承运人已接管提单所明确记载的货物或将货物装船的证明。提单作为收据将会列明所装载货物的数量和情况,船舶的名称,装运港,目的地,以及详细的日期等等。2.Document of title to the goods. 货物的物权凭证A bill of lading is a document of title to the goods. The possession of a bill of lading is equivalent
58、 in law to possession of the goods.。The holder of the bill of lading is able to obtain delivery of the goods at the port of destination and during transit the goods can be sold merely by endorsing the bill of lading.提单是货物的物权凭证。持有提单在法律上等同于持有货物。 提单的持有者可以在目的港提取货物并且在货物的运输期间可以仅仅通过背书提单将货物卖掉。3.Evidence of contract 合同的证明Additionally, the terms of the bill of lading provide evidence of the contract
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