编者—刘鸿明
Chapter 1
一、词汇
流动性过剩excess liquidity 自给自足self-sufficient
经济资源economic resources 直接投资direct investment 国际收支balance of payments 易货交易barter
出口退税export tax rebate 倾销dumping
出口型经济增长export-driven economic growth 东道国host country
贸易差额balance of trade
贸易顺差／贸易逆差favorable ／unfavorable balance of trade 欧盟European Union
国际收支顺差／国际收支逆差favorable ／unfavorable balance of payments 有形贸易visible trade 无形贸易invisible trade 货物贸易trade in goods 服务贸易trade in services
二、词语填空
1.Export goods are tangible goods sent out of countries.
2.Trade in services are international earnings other than those derived from the exporting and importing of tangible goods．
3.Import goods are tangible goods brought in.
4.International trade is all business transactions that involve two or more countries. 5.FDI is one that gives the investor a controlling interest in a foreign company.
6.Investment is used primarily as financial means for a company to earn more money on its money with relative safety.
Chapter 2
一、词汇
关税壁垒tariff barriers
非关税壁垒non-tariff barriers 从量税specific duties 配额quota
保护性关税protective tariff 市场失灵market failure 幼稚产业infant industry 许可证制度licensing system 财政关税revenue tariff
政府采购government procurement 贸易保护主义trade protectionism 从价税Ad valorem Duties 最低限价floor price
本地采购规则“buy local” rules 增加内需raise domestic demand Domestic content 国内含量 Red-tape barriers 进口环节壁垒 Export subsidies 出口补贴 Binding quota 绑定配额 Absolute quotas 绝对配额 VER 自愿出口限制
Tariff-rate quotas 关税配额 Zero quota 零配额
“Buy local”rules本地采购原则
Chapter 3
一、词汇
APEC Asia-Pacific Economic Co-operation
FTAAP Free Trade Agreement of Asia and the Pacific EU European Union
NAFTA North American Free Trade Agreement
MERCOSUR Mercado Comun del Cono Sur /Southern Common Market ASEAN Association of Southeast Asian Nations EFTA European Free Trade Area AFTA ASEAN Free Trade Area
PTAs Preferential Trade agreements Trade bloc 贸易集团
Trade block 贸易禁运/封锁
Open regionalism 开放式区域主义 Free trade area 自由贸易区 Customs union 关税联盟 Common market 共同市场 Economic union 经济联盟 Trade embargoes 贸易禁运 Boycotts 抵制
歧视性关税discriminatory tariffs 经济制裁economic sanction 贸易弹性trade elasticity
双边贸易协定bilateral trade agreements 多边贸易协定multilateral trade agreements 最惠国most favored nation
Chapter 4
一、词汇
GATT General Agreement on Tariffs and Trade HOD Heads of Delegations
TRIPs Trade-Related Aspects of Intellectual Property Rights GATS General Agreement on Trade in Services TRIMs Trade Related Investment Measures MFN Most Favored Nations 最惠国Patronage nations 受惠国Favored nations 缔约国Contracting Parties 市场准入market access 透明度transparency
紧急进口措施Urgent Importing Measures 争端解决机制dispute settlement mechanism 可持续发展sustainable development 特许经营franchise
Chapter 5
一、词汇
FOB 班轮条件 FOB liner term 清关 customs clearance
FOB 吊钩下交货 FOB Under Tackle 平舱 trim
多式联运multimodal transport 船舷 shipboard
内陆水运marine navigation on inland waterway 理舱 stow
卸货费discharge expense 投保 cover insurance
CFR 卸至岸上（含着陆费）CFR Landed 班轮 liner
单据买卖 documentary sales
CFR 舱底交货 CFR Ex-ship’s Hold CFR 班轮条件 CFR liner terms 象征性交货 symbolic delivery
二、词语填空
1.Under CFR, buyer should effect insurance.
2.Under CIF Ex-Ship’s Hold, buyer should pay the discharge charges.
3.Under CIF, the insured amount should be US＄22000 if the contracted price is US＄20000. 4.Under CIP, seller has to procure insurance against the buyer’s risk of loss of or damage to the goods during the carriage.
5.The FAS term requires the seller to clear the goods for export.
6.The DAT term requires the seller to proceed with the customs clearance for imports and payment of all customs duty.
7.Under DDP, the seller must pay the costs of customs duties as well as all duties, taxes and other official charges payable upon exportation and importation of the goods.
8.Under DAP the seller fulfills his obligation as the goods are placed at the disposal of the buyer on the arriving means of transport at the named place of destination, ready for unloading. 三、翻译
1.The price quoted includes 5％ commission on FOB basis. 该报价为FOB 的价格并含5％的佣金。
2.Under CPT, CIP, “carrier” means any person who, in a contract of carriage, undertakes to perform or to procure the performance of transport, by rail, road, air, sea, inland waterway or by a combination of such modes.
在CPT、CIP 项下，“承运人”指在货物运输合同中承诺通过铁路、公路、航空、海运、内
河水运或多式运输等方式完成货物运输的人。
3.Under FCA, the chosen place of delivery has an impact on the obligations of loading and
unloading the goods at that place. If delivery occurs at the seller’s premise, the seller is responsible for loading. If delivery occurs at any other place, the seller is not responsible for unloading.
在FCA 项下，交货地的选择对货物的装船与卸载责任有影响。如果交货地基于卖方，卖方有装载责任。如果交货地在其它地方，卖方对卸载没有责任。
4.Under FOB，the seller must deliver the goods on the date or within the agreed period at the named port of shipment and in the manner customary at the port on board the vessel nominated by the buyer．And the buyer must bear all risks of loss of or damage to the goods from the time they have passed the ship’s rail at the named port of shipment．
在FOB 项下，卖方必须在约定的日期或期限内，在指定的装运港，按照该港习惯方式，将货物交至买方指定的船只上。买方必须自货物在指定的装运港越过船舷之刻起承当货物灭失或损坏的一切风险。
四、国际贸易术语
1、贸易术语分类(按运输方式分类)—Incoterms 2010 EXW(EX Works) 工厂交货 FCA(Free Carrier) 货交承运人 All modes of CPT(Carriage Paid To) 运费付至指定目的地 transport CIP(Carriage and Insurance Paid To) 运费、保险费付至指定目的地 including DAT(Delivered at Terminal) 运输终端交货 multimodal DAP(Delivered At Place) 目的地交货 DDP(Delivered Duty Paid) 完税后交货 FAS(Free Alongside Ship) 装运港船边交货 Sea and inland FOB(Free On Board) 装运港船上交货 waterway CFR(Cost and Freight) 成本加运费 transport only CIF(Cost Insurance and Freight) 成本、保险费加运费 2、贸易术语分析 (1)、EXW(工厂交货) a.内容
EXW term means the seller delivers when he places the goods at the disposal of the buyer at the seller’s premises or another named place(i.e., works, factory, warehouse, etc.) not cleared for export and not loaded on any collection vehicle. b.风险转移
The seller’s obligations cease when the buyer accept the goods at the factory or warehouse. FCA is suitable for domestic trade and EXW is suitable for international trade.
Payment terms for EXW transaction are generally cash in advance and open account. (2)、FCA(货交承运人) a.内容
FCA means that the seller delivers the goods, clear for export, to the carrier specified by the buyer at the named place of delivery. b.风险转移
When using the FCA term, it is advisable to clearly specify in the contracts of sale and carriage the precise point of delivery , as the risk passes to the buyer at that point. Freight forwarder can also act as “carrier”.
If delivery occurs at the seller’s premises, the seller is responsible for loading. If delivery
occurs at any other place, the seller is Not responsible for unloading.
The FCA term is often used when making an initial quotation for the sale of goods. (3)、FAS(装运港船边交货) a.内容
FAS term means that the seller delivers when the goods placed alongside the vessel(e.g., on a quay or a barge) nominated by the buyer at the named port of shipment. b.风险转移
The risk of loss or damage to the goods passes when the goods are alongside the ship, and the buyer bear all costs from the moment onwards.
When using the FAS term, it is advisable to clearly specify in the contracts of sale and
carriage, not only the name port of shipment, but also the precise loading point at or within the named port of shipment.
The FAS term is commonly used in the sale of bulk commodity cargo such as oil, grains, and
ore.
Usual payment terms for FAS transaction are cash in advance and open account, but letter of
credit are also used.
(4)、FOB(装运港船上交货) a.内容
FOB term means that the seller clears the goods for export and delivers them on board the
vessel nominated by the buyer at the named port of shipment or procures the goods already so delivered. b.风险转移
The risk of loss of or damage to the goods passes when the goods are on board the vessel, and buyer bears all costs from that moment onwards.
The seller was responsible only to deliver the goods “pass the ship rail”. (5)、CFR(成本加运费) a.内容
CFR term means that the seller clears the goods for export and delivers them on board the vessel at the port of shipment, or procures the goods already so delivered. b.风险转移
The risk of loss of or damage to the goods passes when the goods are on board the vessel.
When the goods are loaded on board the vessel, the seller should send shipping notice to the
buyer.
When using the FAS term, it is advisable to clearly specify in the contracts of sale and carriage,
not only the name port of shipment, but also the precise loading point at or within the named port of shipment. CFR Liner Terms
The ship is responsible for the discharge of goods. The unloading charges are included in that is paid by the seller. CFR Landed
The goods must be unloaded onto the dock. The seller is responsible for discharge of the goods and pays the cost, including lighterage and wharfage charges. CFR EX-Ship’s Hold
The seller fulfills his obligations when he has made the goods available to the buyer for unloading. The buyer pays the cost for discharging the goods from the ship's hold. (6)、CIF(成本、保险费加运费) a.内容
CIF term means that seller clears the goods for export and delivers them on board the vessel at the port of shipment, or procures the goods already so delivered. b.风险转移
The risk of loss of damage to the goods passes when the goods are on board the vessel.
The seller also contracts for the minimum cover insurance against the buyer’s risk of loss of
or damage to the goods during the carriage. (7)、CPT(运费付至指定目的地) a.内容
CPT term means that the seller delivers the goods to the carrier or another person nominated by the seller at an agreed place of shipment. b.风险转移
The seller fulfills its obligation to the deliver when it hands the goods over the carrier in the manner specified in the chosen rule and not when the goods reach the place of destination. The seller must contract for and pay the cost of carriage necessary to bring the goods to
named place of destination.
CPT is used in the sales where the shipment is by air freight, containerized ocean freight,
courier shipments of small parcels, and in “roll-roll” shipments of motor vehicles. (8)、CIP(运费、保险费付至指定目的地) a.内容
CIP term means that the seller delivers the goods to the carrier or another person nominated by the seller at an agreed place. b.风险转移
The seller fulfills its obligation to the deliver when it hands the goods over the carrier in the manner specified in the chosen rule and not when the goods reach the place of destination. The seller must contract for and pay the cost of carriage necessary to bring the goods to
named place of destination.
The seller also contracts for the minimum cover insurance against the buyer’s risk of loss of or
damage to the goods during the carriage.
CIP is used in the sales where the shipment is by air freight, containerized ocean freight, courier
shipments of small parcels, and in “roll-roll” shipments of motor vehicles. (9)、DAT(运输终端交货) a.内容
DAT term means that the seller delivers when the goods, once unloaded from the arriving means of transport, are at the disposal of the buyer at a named terminal at the port or place of destination. b.风险转移
The risk passes at a specific point within the terminal at the agreed port or place of destination. All forms of payments are used in DAT transactions. DAT is the only term under which the
seller is responsible for unloading. (10)、DAP(目的地交货) a.内容
DAP term means that seller delivers when the goods are placed at the disposal of the buyer on the arriving means of transport ready for unloading at the named place of destination. b.风险转移
The risk passes at a specific point within the agreed place of destination. The seller has no obligation to clear the goods for import.
(11)、DDP(完税后交货) a.内容
DDP means that the seller delivers the goods when the goods are placed at the disposal of the buyer, cleared for import on the arriving means of transport ready for unloading at the named place of destination.
DDP represents the maximum obligation for seller.
Chapter 6
一、词汇
Sales by Seller’s／Buyer’s Sample 凭卖方样品买卖／凭买方样品买卖 Reference ／Duplicate Sample 基准样品／副样 Quality Tolerance 品质公差 Counter Sample 对等样品
More or Less Clauses 溢短装条款 Neutral Packing 中性包装 Customs Formality 报关手续
Inspection Certificate of Quality 质量检验证书 FDA 食品及药物管理局 Marking of Goods 标记货物 毛重gross weight
理论重量theoretical weight 净重net weight
约定皮重computed tare 公量conditioned weight 单位重量unit weight 含水量water capacity 习惯皮重customary tare 法定重量legal weight 实际皮重actual tare 从价税ad valorem duty 平均皮重average tare
货样不符goods not equal to the sample 副产品by-products
国家质量监督校验检疫总局General Administration of Quality Supervision，Inspection and Quarantine of the People’s Republic of China
二、翻译
1.包装材料的选用和装潢设计要考虑到商品的质量和价格。
The quality and price of commodities should be taken into consideration in choosing the packing material and package designing.
2.高档商品配上高档的包装，以显其优质与名贵。
A topper, matched with the superior-grade packing, speaks itself for its high quality and preciousness.
3.给中低档商品配上高档包装会过度提高商品的成本，影响产品的销路。
It will extremely increase the cost of the goods to pack the medium-low quality with the high quality material, and therefore, influence its sale.
4.一味讲究节约，给高档商品配上低档包装,也会影响商品的销售。
It will effect its marketing of the goods to doggedly strive for thrift in a way to pack the superior quality with the low quality material.
5.我们不仅要考虑商品的内在质量与外观形态，也要考虑顾客的品位要求。
We should take not only the quality and appearance of the goods into consideration, but also the customers’ taste and preference.
6.要增强我国出口商品在国际市场的竞争能力，就必须提高出口商品的质量。
We must improve the quality of the export goods so as to strengthen its competitiveness in the international market.
三、成交商品的名称
(1)、品名条款的注意事项 a. Be specific b. Be true to fact
c. Use internationally accepted name 中：
a.根据需要与可能约定成交商品的名称 b.合理描述成交的商品 c.正确使用成交商品的名称
d.品名条款的内容应当清楚、明确、具体
四、商品质量
(1)Sales by sample—凭样品买卖
Arts and crafts, garments, light industrial products and agricultural native products are generally sold by sample.
a. Sale by Seller’s Sample—凭卖方样品买卖
Representative samples/original samples/type samples are usually sent by seller to the buyer, and at the same time, duplicated samples are always kept by the seller for later reference. b. Sale by Buyer’s Samples—凭买方样品买卖
Buyer send a sample to the seller, who is asked to supply the goods in accordance with it. If it is impossible for seller to supply the goods according to the samples, seller may send to the buyer a sample of goods in similar quality, called return sample/counter sample(回样/对等样), as a proposal for the buyer’s condition. (2)、凭规格买卖
Specification are detailed descriptions of the goods to be sold. They include composition, content, purity, strength, size, etc. of the goods. (3)、凭等级买卖
In the case of the sale by grade, what you have to do with the terms of the quality of the commodity is just simply to state its grade. (4)、凭标准买卖
By standard we mean those specifications or grades that are laid down and proclaimed in a unified way by governmental departments or commercial organizations of a country. (商品的标准是指将商品的规格和等级予以标准化，商品的标准由国家、有关政府主管部门、交易所或国际性工商组织规定)
a. F.A.Q(Fair Average Quality—良好平均品质)
在国际贸易中对于某些品质变化较大而难以规定统一标准的农副产品“F.A.Q”这一术语来表示其品质。
b. G.M.Q(Good Merchantable Quality—适销品质) 用于木材和水产品。 (5)、凭商标和品牌买卖
Goods of the same brand or trademark are of the same quality. Their quality remains unified and
unchanged. So, using brand or trademark people can tell what quality the good possess. (6)、凭产地名称买卖
原产地证书(Certificate of origin) (7)、凭说明书和图样买卖
五、商品数量
(1)、计量单位 a.数量单位
Piece(件)、Pair(双)、Dozen(打)、Gross(罗)、Ream(令)、Roll(卷)、Set(套)、Bag(袋)、Bale(包) b.重量单位
gram(克)、kilogram(千克)、metric ton(公吨)、long ton(长吨)、short ton(短吨)、pound(磅)、ounce(盎司) c.长度单位
centimeter(厘米)、meter(米)、inch(英寸)、foot(英尺)、yard(码) d.面积单位
square meter(平方米)、square inch(平方英寸)、square foot(平方英尺)、square yard(平方码) e.容积单位
liter(升)、pint(品脱)、gallon(加仑)、bushel(蒲式耳) f.体积单位
cubic meter(立方米)、cubic centimeter(立方厘米)、cubic inch(立方英寸)、cubic foot(立方英尺)、cubic yard(立方码) (2)、单位换算(长度) 1mile=1760yard=1609.3m 1mile=5280feet
1yard=3feet=91.44cm 1foot=12inches=30.48cm 1inch=2.54cm
1meter=1.0936yards=3.2808feet (3)、计算重量的方法 a. Gross Weight(毛重) 商品本身重量+包装重量 b. Net Weight(净重) 毛重-皮重
四种计算皮重的方法
实际皮重、平均皮重、习惯皮重、约定皮重 (4)、公量(Conditioned Weight)
a.公量=商品干净量*(1+公定回潮率)
b.公量=商品净量*[(1+公定回潮率)/(1+实际回潮率)]
六、溢短装条款
通常情况下，对机动幅度范围内多装或少装部分，一般按合同价格计算。溢短装条款适用于散装货物。
七、Shipping Mark—运输包装标志(唛头)
In most cases, a shipping mark consists of the consignee or shipper, destination and packing number.
ABC LONDON NOS.1-100
ABC——收货人代号(公司简称) LONDON——目的地
NOS.1-100——件数代号(第几箱-共几箱)
八、中性包装
中性包装是指既不表明生产国别、地名，也不标明商标或牌号的包装。
Chapter 7
一、词汇
油轮Oil tanker
定程租船Voyage Charter 滚装船Ro ／Ro vessel 定期租船Time Charter
载驳轮LASH（Light Aboard Ship） 光船租船Bare Boat Charter（BBC） 船期表sailing schedule 租船合同charter contract 滞期费demurrage charge
班轮运价表liner freight rate schedule 速遣费dispatch money
选卸附加费optional additional 直航附加费direct additional
转船附加费transshipment surcharge
港口拥挤附加费Port Congestion Surcharge 运输代理transportation agent 包裹package
拼箱货LCL（Less than container load） 结汇settlement
整箱货FCL（Full container load） 空运单Air waybill
集装箱货运站container yard 装运通知shipping notice 处置权right of disposal
Partial shipment ／transshipment 分批装船／转运 Bill of lading 提单 Clean B ／L 清洁提单 Order B ／L 指示提单
Combined transport B ／L 联合运输提单 Blank B／L 空白提单 Straight B／L 记名提单 Through B ／L 联运提单 Liner B／L 班轮提单
Ante-dated B ／L 倒签提单 Advanced B／L 预借提单
Consignment note 陆运或铁路运输通知 Blank endorsement 空白背书 IATA 国际航空运输协会
Combined transport documents 多式联运单据 FCL ／LCL 整箱交／拆箱接
二、判断题
1.Under FOB, the seller must give, the buyer prompt shipping advice as the goods are shipped on board the vessel.(√)
2.Demurrage is the extra charges a shipper pays for detaining a freight car or ship beyond time permitted for loading or unloading.(√)
3.Dispatch money is a fine imposed on the charter for the delay in the loading and unloading of the goods.(×)
4.Unclean B/L can be negotiated and accepted by the buyer and bank.(×)
5.A bill of lading is both a receipt for merchandise and a contract to deliver it as freight.(√) 6.Order B/L can be transferred with or without endorsement.(×)
三、翻译
1.Listed on the B/L are the rights and duties of the carrier and the sender of goods. 海运提单上列出了承运人和托运人之间的权利和义务。
2.Liner companies usually publish their sailing schedule in newspapers or distribute it among the consignors.
班轮公司通常把航海时间表登载在报纸上或者分发给托运人。
3.The unloading port should be the transshipment port in Combined Transport B/L. 在多式联运提单上，卸货港应该是提单许可的中转码头。
4.Container charges are of various kinds. There are additional container charges, by which the total freight is got by adding some additional rate to the basic rate.
集装箱收费是多种多样的。例如附加费，总费率的确定是基本费率加上附加费率
5.Advantages of containerization include less handling of cargo, more protection against pilferage, less exposure to the elements, and reduced cost of shipping.
集装箱的好处在于：方便处理货物，减少盗窃，减少暴露，节约装船成本。
6.运输单据表面注明货物系使用同一运输工具并经同一线路运输的,即使每套运输单据注明的装运日期不同及/或装货港、接受监督地、发运地不同,只要运输单据注明的目的地相同,也不视为分批装运。
Transport documents which appear on their face to indicate that shipment has been made on the same means of conveyance and for the same journey, provided they indicate the same
destination, will not be regarded as covering partial shipment, even if the transport documents indicate different dates of shipment and ／or different ports of loading, places of taking in charge, or dispatch.
7.清洁运输单据系指未载有明确宣称货物及/或包装状况有缺陷的条款或批注的运输单据。 Clean transport document is one which bears no clause or notation which expressly declares a defective condition of the goods and/or the packaging.
8.如托运人在提单中故意谎报货物的性质或价值,则承运人或船舶在任何情况下,对货物或与货物有关的灭失或损坏概不负责任。
Neither the carrier nor the shipper shall be responsible in any event for loss or damage to, or in connection with, goods if the nature or value thereof has been knowingly misstated by the shipper in the Bill of lading.
9.如果将运输或部分运输委托给实际承运人执行时,不管根据海上运输合同是否有权这样做,承运人仍须对全部运输负责。关于实际承运人所履行的运输,承运人应对实际承运人及其受雇人和代理人在他们的受雇范围内行事的作为或不作为负责。
Where the performance of the carriage or part thereof has been entrusted to an actual carrier,
whether or not in pursuance of a liberty under the contract of carriage by sea to do so, the carrier nevertheless remains responsible for the entire carriage. The carrier is responsible, in relation to the carriage performed by the actual carrier, for the acts and omissions of the actual carrier and of his servants and agents acting within the scope of their employment.
四、运输方式(海洋运输)
(1)、班轮运输(Conference Liner Vessel) 特点： a.四固定
固定的船期表 固定航线 固定港口 固定运费率
b.由船方负责配载装卸(装卸费包括在运费中)，船货双方于不计算滞期费和速遣费。 c.船货双方的权利、义务与责任豁免，以船方签发的提单条款为依据。 (2)、不定期船 船种
General cargo vessels 杂货船 Oil tankers 油轮
Container vessels 集装箱船 Oil/Bulk/Ore vessels 散装船 Ro/Ro vessels 滚装船
LASH(Lighter Aboard Ship) 载驳船 Refrigerator ship 冷藏船 Timber ship 木材船 (3)、租船运输
a. Voyage Charter 定程租船 b. Time Charter 定期租船
c. Bare Boat Charter 光船租船(承租人需要自行安排船长、船员，冰并负责他们的给养和船舶运营管理所需的一切费用。
五、运费计算
(1)、根据货物等级得出基本运费率 (2)、求出运费吨(W/M—公吨/立方米) 若W/M<1，按体积作为运费吨算运费 若W/M>1，按重量作为运费吨算运费 (3)、公式
F=Q*Fb*(1+附加费率之和) F—运费
Q—总货运量 Fb—基本运费率
答案：
因为：W/M=0.04/(0.3*0.6*0.5)<1 所以：按体积作为运费吨
又因为：F=Q*Fb*(1+附加费率之和)，附加费率之和为0.2+0.2+0.1=0.3 所以：F=(0.3*0.6*0.5*100)*109*(1+0.3)=1471.5
六、集装箱
(1)、标箱(Twenty Equivalent Unit—TEU) 规格：
长：20英尺(约5.69m) 宽：8英尺(约2.13m) 高：8’6’’英尺(约2.18m) (2)、整箱货/拼箱货
整箱货(Full Container Load—FCL)
整箱货有货方在工厂或仓库进行装箱，货物装箱后直接运交集装箱堆场(Container Yard, CY)等待装运。
拼箱货(Less than Container Load—LCL)
拼箱货由承运人在集装箱货运站(Container Freight Station, CFS)负责将不同发货人的少量货物拼在一个集装箱内，货到目的地(港)后，由承运人拆箱分拨给各收货人。
七、集装箱运输
(1)、分批发运(Partial Shipment)
分批发运是指一个合同项下的货物分若干批发运。 (2)、转运(Transshipment)
转运是指在装货港和卸货港之间的海运过程中，货物从一艘船卸下再装上另一艘船的运输。 同时满足三个条件则不属于分批装运 a.同一运输工具 b.同一线路运输的 c.同一目的地
八、提单(Bill of lading)
(1)、含义
海运提单是指由船长或船公司或其他代理人签发的，证明已收到特定货物，允诺将货物运到特定的目的地并交付给收货人的凭证。 (2)、提单的作用
a.货物收据(A receipt for goods)
b.物权凭证(A document of title of goods)
c.运输契约的证明(Evidence of the contract of carriage) (3)、提单分类
A.根据货物是否装船划分 a.已装船提单(On Board B/L)
是指承运人已将货物装上指定船舶后所签发的提单。 特点：
提单上必须以文字表明货物已装某船； 提单上记载装船日期；
提单上应有船长、船东、承运人或其代理人签字 b.备运提单(Received for Shipment B/L)
是指承运人已收到托运货物等待装运期间所签发的提单。 B.根据提单上对货物外表状况的批注划分 a.清洁提单(Clean B/L) 是指货物在装船时“表面状况良好”，承运人未加注货物或包装破损或有缺陷等批注的提单。 b.不清洁提单(Unclean B/L)
是指承运人明确加上货物或包装状况不良或有缺陷等批注的提单。 C.根据提单抬头划分 a.记名提单(Straight B/L)
是指提单的收货人栏(抬头)内填明收货人的名称，只能由该收货人提货的提单。 特点：
不能通过背书方式转让给第三方，不能流通。 b.不记名提单(Bearer B/L)
是指提单的收货人栏(抬头)内没有指明任何收货人，只注明提单持有人的提单。 特点：
谁持有提单，谁就可以提货； 无须背书即可转让，流通性极强； 风险很大
c.指示提单(Order B/L)
是指提单的收货人栏(抬头)内填写“凭指示(To Order)”或“凭某某人指示(To order of…)”等字样的提单。
特点：可经过背书转让
空白背书：是指提单转让人在提单背面签名，而不备注受让人名称。
记名背书：是指提单转让人除了在提单背面签名外，还列明受让人名称。 D.根据运输方式划分 a.直达提单 b.转船提单 c.联运提单
是指经过海运和其他运输方式联合运输时，由第一承运人所签发的包括全程运输的提单。 E.根据船舶运营方式划分 a.班轮提单 b.租船提单
F.根据提单内容的繁简划分 a.全式提单 b.略式提单
G.根据提单使用效力划分 a.正本提单 b.副本提单 过期提单
a.错过规定交单日期(提单签发后规定21天内交到议付行) b.晚于货物到达目的港日期的提单
Chapter 8
一、词汇
投保人insured
共同海损general average 投保金额insured amount 外来风险extraneous risks 保险单insurance policy
推定全损constructive average 海上风险marine risks 施救费用salvage charges
救助费用sue and labor expenses 意外事故misfortune 承保人insurer
单独海损particular average 保险费insurance premium
航空运输货物战争险air transportation war risk 陆运险land transportation risks
陆运一切险land transportation all risks 估损费用risk estimation charges
航空运输一切险air transportation all risks Ocean marine insurance 海运保险 War risks 战争险
Basic risks coverage 基本险种 Insured amount 投保金额
T.P.N.D 偷盗、失窃、提货不着险 Taint of odor 窜味险
Overland transportation insurance 陆上运输保险 Parcel post insurance 邮寄包裹保险 Free from particular average 平安险 Additional risks coverage 附加险别
Fresh water and ／or rain damage 淡水雨淋险 With particular average 水渍险
二、判断题
1.In ocean marine insurance, the assured can recover more than actual loss provided that be can provide evidence of further losses contingent on the actual loss.(√)
2.In ocean marine insurance, general average is to be borne by the carrier, who may upon presentation of evidence of the loss, recover the loss from the insurance underwriter.(√) 3.Partial loss or damage is never recoverable with FPA.(×)
4.Special additional coverages such as war risk, strikes and so on must be taken out together with
FPA and WPA.(×)
5.In essence, open policy is the same as the insurance certificate.(×)
6.Ocean marine insurance covers ships and their cargo only on the high seas and not on inland waterways.(√)
7.Without insurance, international trade is simply impossible to take place.(√)
8.Three types of risks are covered by ocean marine insurance, namely the perils of sea, the extraneous risks and the force majeure.(×)
9.Ocean marine insurance covers two types of losses, partial loss and total loss.(√)
三、翻译
1.货物在海运和装卸过程中会遇到各种危险,因而可能遭受某种损失。
Exposed to many risks in the process of transporting and loading and unloading, export goods face the possibility of loss.
2.货物按照装在舱内的条款保了险,但实际上装在舱面上,受到损失后保险公司不负责赔偿。 Supposed that the goods is put on deck instead of in the cabin where it should be according to the clause stipulated in the insurance contract, insurer has the right to against any possible claims lodged by the insured.
3.舱面险,只包括落海,不包括雨淋和海水湿损。
Cabin coverage includes the risk of falling into ocean only, and excludes the risks of fresh water, rain and soak.
4.出口信用保险属一种保证保险。
Export credit insurance is a kind of credit insurances.
5.投保人在保险期内按购销合同约定的方式将货物交给承运人。
The insured should deliver the goods to the carrier by the agreed way before the maturity of insurance.
6.初值保险往往由卖方投保,增值保险则通常由买方投保。
Initial value assurance is settled by the seller normally, whereas increased value assurance is bought by the buyer.
7.在商业信用风险或政治风险中,当投保人不能取得货款或不能取得全部货款时,承保人负责赔偿。If the insured cannot get the whole or partial payment due to the commercial credit or political risks, the insurer should pay the indemnity.
8.海洋保险单是运输单据的一部分。承保人是海洋保险公司。
Marine insurance policy is the part of the Bill of Lading. Insurer is the marine insurance company.
9.Marine insurance coverages, broadly, cover loss of, or damage to, goods at sea.
从广义上来讲，海运保险的可保风险应包括货物在海上运输中可能的损失和损坏。
10.War clause is an insurance clause included in policies to cover against losses as a result of war. 战争条款是保单中的一项条款，用以保因战争引起损失的风险。
11.Insurance to cover W. A. plus T. P. N. D. and War Risk for 110% of the CIF value and to provide for claims, if any, payable in New York in U. S. currency.
保险应包括水渍险、偷盗失窃及提货不着险和战争险。保险金额为CIF 价的110％。 12.Warehouse-to-warehouse insurance covers risks to a shipment of goods from the time the
goods leaves the warehouse for commencement of transit and continue during ordinary course of transit until delivered to final warehouse at destination, or until the expiration of 15 days (or 30 days if destination is outside the limits of the port), whichever shall first occur.
仓至仓保险所承保的风险包括从货物因运输目的而离开仓库起经运输期间以及到达目的地仓库（或者到期日前１５ 天）为止，这段时间内产生的风险。
13.If the damages or losses done to the goods are caused by the perils covered by the insurer, the consignor should send the documents to the insurer for claim settlement. 如果保险人所投保的风险发生以至产生实际损失，托运人应该向保险人出示单证以取得赔偿。
四、海上保险的风险
(1)、海上风险(Perils of Sea) a.自然灾害(natural calamity) b.意外事故(fortuitous accidents) (2)、外来风险(Extraneous Risks)
a.一般意外事故(General Extraneous Risks)
凡一般外来原因造成的风险,称为一般外来风险,这类风险一般包括偷窃、提货不着、短量、混杂、沾污、渗漏、碰损、破醉、串味、受潮受热、包装破裂、淡水雨淋、钩损、锈损等。 b.特殊意外事故(Special Extraneous Risks)
特殊外来风险是指除一般外来风险以外的其他外来原因导致的风险,常见的特殊外来风险,主要有战争风险、罢工风险、进口国有关当局拒绝进口或没收货物的风险等。
五、海上损失
(1)、全部损失(Total Loss) a.实际全损(Actual Total Loss)
b.推定全损(Constructive Total Loss) 判断标准：
实际全损不可避免；
为避免实际全损所需支付的各种费用之和超过保险标的的价格 (2)、部分损失(Partial Loss) a.单独海损(Particular Average)
保险标的在运输过程中遭遇海上风险直接造成船舶或货物的部分损失，属于这种特定利益方的部分损失，即为单独海损。 b.共同海损(General Average)
在海洋运输途中,当船舶、货物或其他财产遭遇共同危险时,为了解除共同危险,有意采取合理的救难措施,所直接造成的特殊牺牲和支付的特殊费用,称为共同海损。 (3)、保障的费用
a.施救费用(Sue and Labor Expense)
施救费用是指货物遭遇承保范围内的事故时,被保险人或其代理人、雇员和受让人为避免或减少损失而采取各种抢救、保护措施所产生的合理费用。 b.救助费用(Salvage Charges)
载货船舶中途遭遇海难,由保险人和被保险人以外的第三者采取救助措施,在救助成功后,由被救方付给救助方的报酬,称为救助费用。由于救助行为使船、货避免或减少损失,从而可减少保险人的赔偿金额,故救助费用应由保险人负责赔偿。
六、海洋运输货物保险(险种及其投保范围)
(1)、平安险(FPA——Free from Particular Average) 全部损失+共同海损+意外事故造成的部分损失 单独海损不赔
(2)、水渍险(WAP——With Particular Average)
自然灾害和意外事故(海上风险)造成的全部损失或部分损失
(3)、一切险(All Risks=WAP+一般附加险)
海上风险(自然灾害+意外事故)+一般外来风险造成的部分或全部损失 (4)、附加险(Additional Coverage)
a.一般附加险(General Additional Coverage——11种) 偷窃提货不着险、淡水雨淋险渗漏险、短量险、钩损险、混杂沾污险、碰损破碎险、生锈险、串味险、受潮受热险。
b.特殊附加险(Special Additional Coverage) 战争险 罢工险
Chapter 9
一、词汇
Cost structure 成本构成 Cost of production 生产成本 Profit margin 边际利润 Selling cost 销售成本 Target costing 目标成本法
Everyday low pricing （EDLP） 每日低价 Total fixed cost 总固定成本 Variable cost 变动成本
Skimming price strategy 撇脂定价战略 Penetration strategy 渗透定价战略 Floating exchange risk 浮动汇率风险 成本导向定价法pricing based on cost 盈亏平衡定价法break-even pricing 边际成本定价法Marginal cost pricing 损益两平点break-even point 计价货币money of account 支付货币money of payment 硬货币hard currency 软货币soft currency 汇率exchange rate
价款调整price adjustment
佣金／折扣commission ／discount Country Currency Britain GBP pound
Japan JPY Japanese Yan France FRF French Franc
Australia AUP Australian dollar China CNY RMB Yuan Burma BUK Burmese Kyat
Singapore SGD Singapore dollar
New Zealand NZD New Zealand dollar Thailand THP Thai Baht
Malaysia MYR Malaysian dollar Nepal NPR Nepalese Rupee India INR India Rupee
Indonesia IDR Indonesian Rupiah Swiss CHF Swiss Franc
Philippines PHP Philippine Peso Italy ITL Italian Lira
二、术语价格(Terms of Price)
(1)、术语价格构成
FOB价格=进货成本价+国内费用+净利润
CFR价格=进货成本价+国内费用+国外运费+净利润
CIF价格=进货成本价+国内费用+国外运费+国外保险费+净利润 (2)、术语价格换算 a. CIF—FOB
CIF价格=FOB价格+国外运费+国外保险费
变形：CIF价格=FOB价格+CIF价格*(1+原保险加成率)+国外运费
FOB价格=CIF价格*[1-(1+原保险加成率)*保险费率累加]-国外运费
FOB价格+国外运费
CIF价格=
1−(1+原保险加成率)∗保险费率累加
b. CFR—CIF
CFE价格=CIF价格*[1-(1+保险加成率)*保险费率累加]
CFR价格
变形：CIF价格= 1−(1+原保险加成率)∗保险费率累加
c. CFR—FOB
CFR价格= FOB价格+国外运费
三、含佣价(C-included Price)
(1)、书写方式
用英文字母“C”代表佣金(Commission)，并注明佣金的百分比。例如：每公吨1000美元, CIFC3%,香港。 (2)、佣金计算方式
a.单位货物佣金=含佣价*佣金率 b.(单位)净价=含佣价-单位货物佣金
例：卖方报价为某货物每公吨1000美元, CIFC3%,则： 每公吨货物应支付的佣金=1000×3%=30(美元) 卖方每公吨实际收入=1 000-30=970(美元)
净价
c.含佣价= 1−佣金率
例：已知某商品对外报价为不含佣金CIF价2000美元,外商要求报 CIFC4%。若保持我方的净收入不变,则对外改报的含佣价应为： 含佣价= 1−4%=2083.83
2000
三、术语价格换算与含佣价结合
答案：
Chapter 10
一、词汇
信用状况 credit standard
远期信用证time L ／C, usance L／C 通知银行advising bank
信用证有效期the maturity of L／C 交付运单delivery of B／L
支付保障条款confirmation of credit 支付结算payment and settlement
申请人与受益人applicant and beneficiary 国际保理international factoring
irrevocable letter of credit 不可撤销信用证 confirmed L／C 保兑信用证
revocable letter of credit 可撤销信用证 sight draft 即期汇票
commercial bill of exchange 商业汇票 time draft 远期汇票
governmental guarantee 政府保函 drawee 付款人
二、词语填空
1.Irrevocable L／C is a letter of credit that cannot be canceled or changed with the consent of all parties involved.
2.Time draft is a commercial bill of exchange calling for payment to be made at some time after delivery.
3.Drawee is a person or party who is to receive a draft.
4.Revocable is a letter of credit that can be changed by any of the parties involved.
5.Sight draft is a commercial bill of exchange that requires payment to be made as soon as it is presented to the party obligated to pay.
6.Confirmed L／C is a letter of credit to which a bank in the exporter’s country adds its guarantee of payment.
7.Commercial bill of exchange is an instrument of payment in international business that instructs the importer to forward payment to the exporter.
8.Governmental guarantee is an agreement of the government to be responsible for the fulfillment of someone else’s promise.
三、翻译
1.在跟单托收中,银行起中介作用,把汇款人的单据转给代收银行,并从代收行接受款项。 In documentary collection, the remitting banks acting as the intermedium, delivers documents of the remitter to the collecting bank and accept payment from the colleting bank.
2.如果货运单的提交时间太短,这通常是不可接受的。
It is always unacceptable if the delivery time of B／L is too short. 3.结算时,出口商应向议付银行提交信用证所要求的各种单证。
Exporter should present the documents listed in the L／C to the negotiating bank for payment. 4.基本信用证有两种基本形式:可撤销信用证和不可撤销信用证。不可撤销信用证也有两种类型:不保兑的不可撤销信用证和保兑的不可撤销信用证。
Letter of credit includes two basic categories：revocable and irrevocable. The latter one is then classified into two types：confirmed and unconfirmed.
5.特殊信用证有几种形式:备用信用证、循环信用证、延期信用证、红条信用证、可转让信用证、背对背信用证等等。
Some Special L／Cs include：standby L／C, recycled L／C, red-cross L／C, negotiable L／C, back to back L／C etc.
6.对买卖双方来说,每一种信用证都各有利弊,而且,银行担保付款所承担的风险越大,它提供该项服务的收费也就越高。
All kinds of L／Cs have advantages and disadvantages to buyers and sellers. And the more risks which banks take for confirmation of payment the more they will charge for such services.
四、票据
(1)、汇票(Bill of Exchange)
汇票是出票人(drawer)签发的,委托付款人(drawee)在见票时或者在指定日期无条件支付确定的金额给收款(payee)人或者持票人的票据。 a.汇票上须记载的事项 表明“汇票”的字样； 无条件支付的命令； 确定的金额；
受票人/付款人(Drawee’s)的签名和地址； 受款人/收款人(Drawer’s)的签名； 出票日期和地点； 期限； 支付地点
(2)、出票(Issue)
出票(Issue),即汇票的签发,是指出票人在汇上填写付款人、付款金额、付款日期和地点以及受款人等项目,经签字交给收款人的行为。可见,出票由两个动作组出票人写成汇票在汇票E签字;二是出票人将汇票交付给,款人。由于出票是设立债权债务的行为,所以只有经过交付,汇票才开始生效。 (3)、背书(Endorsement)
背书(Endorsement)是转让汇票权利的一种法定手续,指持票人在汇票的背面记载背书文句、签名,并把汇票交付给被背书人的行为。 背书分类：
a.记名背书(Special Endorsement)。背书人(endorser)先作被背书人(endorsee)的记载,再签字。例如: “付给Smith或其指定人” (Pay to Smith or Order),经过记名背书的汇票,被背书人可以再作背书,转让给他人。
b. 空白背书(Blank Endorsement)。背书人在汇票背面签字,但不记载被背书人的名称。经空白背书之后,受让人可以不需背书,仅凭交付再继续转让汇票。 c. 限制性背书(Restrictive Endorsement)。背书人在背书中加注限制汇票继续流通的文字,例如: “仅付A银行\" (Pay to A Bank only)。 (4)、提示(Presentation)
提示(Presentation) ,又称见票(Sight) ,是指收款人或持票人将汇票提交付款人要求付款或承兑的行为。 提示分类：
a.付款提示(Presentation for Payment),指汇票的持票人向付款人或承兑人出示汇票要求付款的行为。
b. 承兑提示(Presentation for Acceptance) ,指远期汇票的持票人向付款人出示汇票,要求付款人承诺到期付款的行为。 (5)、承兑(Acceptance)
承兑(Acceptance)是指汇票付款人承诺在汇票到期日支付汇票金额的票据行为。
承兑的具体手续是由付,在汇票正面写上“承兑”字样,注明承兑的日期,并由付款人签名,
交还收款人或其他持票人。
(6)、付款(Payment)
付款(Payment)是指付款人向持票人按汇票金额支付票款的行为。
无论是即期汇票,还是远期汇票,当持票人做付款提示时,付款人均应立即付款。对即期汇票,
在持票人提示汇票时,付款人即应付款;而对远期汇票,付款人经过承兑后,在汇票到期日付款。
(7)、拒付(Dishonor)
拒付(Dishonor) ,也称退票,指持票人的汇票要求承兑时,遭到拒绝承兑 (Dishonour by
Non-acceptance),或持票人提示汇票要求付款时,遭到拒绝付款 (Dishonour by Non-payment)。 追索权：如汇票在合理时间内提示,遭到拒绝承兑,或在到期日提示,遭到拒绝付款,对持票人
立即产生追索权,他有权向其“前手”追索票款。 行使追索权的条件：
a.汇票遭到付款人拒绝承兑或拒绝付款。
b.持票人已在法定期限内向付款人作承兑提示或付款提示。 c.持票人为了行使追索权应及时作成拒付证书(Protest)。 (8)、汇票分类
a.按出票人不同划分 银行汇票(Banker's Draft)
是指由银行签发的汇票,是一家银行向另一家银行发出的书面支付命令,出票人和付款人都是银行。
商业汇票(Trade Bill)
是指由企业或个人签发的汇票。商业汇票的付款人可以是企业、个人或银行。 b.按有无附属单据划分 光票(Clean Bill)
是由出票人开立的不附任何单据的汇票。银行汇票多为光票。光票常在国际贸易中支付佣金、待垫费用以及收取货款尾数时开立。 跟单汇票(Documentary Bill)
是指附带有关单据的汇票,附带单据可能是发票、提单、保险单、产地证明等。商业汇票多为跟单汇票。
c.按付款时间不同划分
即期汇票(Sight Bill或 Demand Draft)
是指持票人向付款人提示后对方立即付款,又称“见票即付”汇票。银行汇票多是即期汇票。 远期汇票(Time Bill或Usance Bill)
是指在出票一定期限后或特定日期付款的汇票。远期汇票多为商业汇票。 远期汇票的付款时间,有以下几种规定办法: 见票后若干天付款(At xx days after sight)； 出票后若干天付款(At xx days after date)；
提单签发日后若干天付款(At xx days after date of Bill of Lading)； 指定日期付款(Fixed date) (9)、本票(Promissory Notes)
本票是出票人签发的,承诺自己在见票时无条件支付确定的金额给收款人或持票人的票据。简言之,本票是出票人对受款人承诺无条件支付一定金额的票据。 (9)、支票(Cheque)
支票是出人签发的委托办理支票存款业务的银行或者其他金融机构在见票时无条件支付确定金额给收款人或持票人的票据。 支票的种类
a.记名支票(Check Payable to Order)是在支票的收款人一栏,写明收款人的姓名,如“支付某人或指定人” (Pay sb. or Order) ;取款时须有收款人签章,方可支取。
b.不记名支票(Check Payable to Bearer),又称空白支票。支票上不记载收款人姓名,只写“付来人” (Pay Bearer)。取款时持票人无须在支票背面签章,即可支取。
c.划线支票(Crossed Check )是在支票正面划两道平行线的支票。划线支票不同于一般支票。一般支票可委托银行收款入账,也可由持票人自行提取现款。而划线支票只能委托银行代收票款入账。
d.保付支票(Certified Check)是指由付款银行在支票上加盖“保付”戳记并签字的支票。支票一经保付,付款银行就负有绝对付款的义务。保付支票具有更好的信誉,可靠性增强,身价也随之提高,更有利于流通。
五、支付方式(Payment Methods)
(1)、汇付(Remittance)
汇付(Remittance)又称汇款,指付款人(债务人)主动通过银行或其他途径将款项汇交收款人(债权人)的一种结算方式。 汇付方式的当事人：
汇款人( Remitter)。即汇出款项的人,在进出口交易中,汇款人通常是进口人；
收款人(Payee or Beneficiary)。即收取款项的人,在进出口交易中,收款人通常是出口人； 汇出行(Remitting Bank)。即受汇款人的委托汇出款项的银行,通常是在进口地的银行；
汇入行(Paying Bank)。即受汇出行委托解付汇款的银行,故又称解付行,在对外贸易中,通常是出口地的银行。 汇付的方式：
电汇 (Telegraphic Transfer-T/T) 信汇 (Mail Transfer-M/T) 票汇(Demand Draft-D/D) (2)、托收(Collection)
托收是指由接到托收指示的银行根据所收到的指示处理金融单据和/或商业单据,以便取得付款/承兑,或凭付款/承兑交出商业单据,或凭其他条款或条件交出单据。 托收方式的当事人：
委托人(Principal或Consignor),即委托银行向国外付款人代收货款的人,通常为出口人； 托收行( Remitting Bank),即接受出口商的委托代为收款的出口地银行。托收行有义务按照委托人的指示办事,它与委托人之间是委托代理关系。因此,托收行对单据的正确性不负责任； 代收行(Collecting Bank)，是指接受托收行的委托向付款人收取票款的进口地银行,它通常是托收银行的国外分行或代理行。代收行应遵照托收行的指示,尽快向付款人提示汇票,要求其付款或承兑,并在付款或承兑后,及时通知托收行；
提示行(Presenting Bank)，是指向付款人提示汇票和单据的银行。代收行可以自己兼任提示行,也可以委托与付款人有账户往来关系的银行作提示行；
付款人(Drawee)，是根据托收指示,向其提示单据的人。如使用汇票,即为汇票的受票人,也就是付款人,通常为进口人。
托收的分类：
A.据委托人签发的汇票是否附有单据划分： a.光票托收(Clean Collection)
是指委托人仅签发金融单据不附有商业单据的托收,即提交金融单据委托银行代为收款。 b.跟单托收(Documentary Collection)是指委托人签发的金融单据中附有商业单据或不附有金融单据的商业单据的托收。
B.按照货物单据和货款的支付是否同时进行划分：
a.付款交单(Documents against Payment,简称D/P)是指出口人的交单以进口人的付款为条件,即出口人发货后,取得装运单据,委托银行办理托收,并指示银行只有在进口人付清货款后,才能把商业单据交给进口人。
在付款交单情况下,按付款时间的不同又可细分：
即期付款交单(Documents against Payment at sight,简称D/P at sight)
即出口人发货后开具即期汇票连同商业单据,通过银行向进口人提示,进口人见票后立即付款,进口人在付清货款后向银行领取商业单据。
远期付款交单(Documents against Payment after sight,简称D/P after sight)
即出口人发货后开具远期汇票连同商业单据,通过银行向进口人提示,进口人审核无误后即在汇票上进行承兑,于汇票到期日付清货款后再领取商业单据。 b.承兑交单(Documents against Acceptance,简称D/A)
是指出口人的交单以进口人在汇票上承兑为条件。即出口人在装运货物后开具远期汇票,连同商业单据,通过银厅向进口人提示,进口人承兑汇票后,代收银行即将商业单据交给进口人,在汇票到期时,方履行付款义务。承兑交单只适用于远期汇票的托收。 托收风险防范
a.对于贸易管理和外汇管制较严的国家和地区，不宜使用托收方式。以免货到目的地后，由于不准进口或收不到外汇而造成损失。
b.在使用托收方式时，出口合同应争取按CIF或CIP条件成立。 c.运输方式若为非海运方式，不宜使用托收方式。 (3)、信用证(Letter of Credit)
信用证是一种银行开立的凭装运单据付款的书面承诺。 A.信用的特点：
a.信用证是一种银行信用； b.信用证是一项单据业务；
在信用证结算方式下,受益人所提交的单据不仅要做到“单证相符” (受益人提交的单据表面
上与信用证规定的条款相符)，还要做到“单单相符”(受益人提交的各种单据之间在表面上不得互不一致)。
c.信用证是独立于其他合同之外的一种自足的法律文件。 B.信用证涉及的当事人： a开证申请人(Applicant)
申请人是指要求开立信用证的一方。在实际业务中,申请人通常为进口商/买家。. b.开证行(Issuing Bank)
开证行是指应开证申请人的要求或代表自己开出信用证的银行。
在实际业务中,开证行一般为进口地的银行。开证行和开证申请人(通常为进口商)之间的契
约是开证申请书。进口商在申请开证时,应根据开证行的要求,交付押金及手续费;开证行应
根据申请书条款,正确、及时地开出信用证。 c.通知行(Advising Bank)
指应开证行要求通知信用证的银行,通知行通常是出口地银行,而且一般是开证行的代理行。 d.受益人(Beneficiary)
是指有权使用信用证的人。在实际业务中,受益人通常是出口商或实际供货人/卖家。 e.议付行(Negotiating Bank)
是指买入或贴现受益人按信用证规定提交的汇票及/或单据的银行。
Chapter 11
一、词汇
索赔claims
不可抗力force majeure 仲裁条款arbitration clause 仲裁员arbitrator
做出裁决issue an award
提出仲裁申请submit dispute to arbitration 国际商会International Chamber of Commerce 美国仲裁协会American Arbitration Association 听证hear a case
中国国际经济贸易仲裁委员会China International Economic ＆ Trade Arbitration Commission 首席仲裁员presiding arbitrator
二、不可抗力事件(Force Majeure)
不可抗力事件的范围较广，它包括自然力量引起的水灾、旱灾、冰灾、雷电、暴风雨、地震、海啸等和社会原因引起的战争、暴动、骚乱、政府颁布禁令封锁禁运和调整政策制度等。 (1)、不可抗力的后果： a.解除合同
b.延期履行合同
三、解决合同争议的方式
(1)、解决方式
a.友好协商(Negotiation) b.调解(Conciliation) c.仲裁(Arbitration) d.诉讼(Litigation) (2)、仲裁
仲裁协议是指合同当事人或争议双方达成的有关解决彼此争议的一种书面协议。 仲裁的结果是终局的、有约束力的(Final & Bonding)
Chapter 13
一、订立合同的步骤
(1)、询盘(Enquiry)
询盘是准备购买或出售商品的人向潜在的供货人或买主探i该商品的成交条件或交易的可能性的业务行为,它不具有法律上的约束力。
询盘的内容可以涉及某种商品的品质、规格、数量、包装、价格和装运等成交条件,也可以
索取样品,其中多数是询问成交价格,因此在实际业务中也有人把询盘称作询价。 (2)、发盘(Offer)
凡向一个或一个以上的特定的人提出的订立合同的建议,如果其内容十分确定并且表明发盘人有在其发盘一旦得到接受就受其约束的意思,即构成发盘。 A.发盘有效期
a.规定最迟接受的期限
例如，限6月6日复,或限6月6日复到此地。当规定限6月6日复时,按有些国家的法律解释,受盘人只要在当地时间6月6日24点以前将表示接受的通知投邮或发出即可。但在国际贸易中,由于交易双方所在地的时间大多存在差异,所以发盘人往往采取以接受通知送达发盘人为准的规定方法。按此规定,受盘人的接受通知不得迟于6月6日内送达发盘人。 b.规定一段接受的期限
例如,发盘有效期为6天,或发盘限8天内复。
发盘包括实盘(Offer with Engagement)与虚盘(Offer without Engagement) An offer with engagement mostly provides the term of validity(有效期). B.发盘效力的终止/失效
a.在发盘规定的有效期内未被接受,或虽未规定有效期,但在合理时间内未被接受,则发盘的效力即告终止。
b.发盘被发盘人依法撤销。
c.被受盘人拒绝或还盘之后,即拒绝或还盘通知送达发盘人时,发盘的效力即告终止。(还盘即d对原发盘的拒绝，原发盘失效，新发盘产生)
d.发盘人发盘之后,发生了不可抗力事件,如所在国政府对发盘中的商品或所需外汇发布禁令等。在这种情况下,按出现不可抗力可免除责任的一般原则,发盘的效力即告终止。
e.发盘人或受盘人在发盘被接受前丧失行为能力(如患精神病等),则该发盘的效力也可终止。 (3)、还盘(Counter-Offer)
还盘是指受盘人不同意或不完全同意发盘提出的各项条件,并提出了修改意见,建议原发盘人考虑,即还盘是对发盘条件进行添加、限制或其他更改的答复。 (4)、接受(Acceptance)
接受在法律上称为承诺,它是指受盘人在发盘规定的时限内,以声明或行为表示同意发盘提 的各项条件。
接受的实质是对发盘表示同意。
受盘人对发盘表示接受,既可以通过口头或书面向发盘人发表声明的方式接受,也可以通过
其他实际行动来表示接受。
沉默或不行为本身,并不等于接受 A.逾期接受
逾期接受是否有效，关键看发盘人如何表态。 B.接受的撤回或修改
如果撤回通知于接受原发盘应生效之前或同时送达发盘人，接受得予撤回。由于接受在送达发盘人时才产生法律效力，故撤回或修改接受的通知只要先于原接受通知或与原发盘接受通知同时送达发盘人，则接受可以撤回或修改。
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