UCP600的中英文对照版Word格式.docx
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跟单信用证统一惯例
英文中文
UCP600中文版UCP600
FOREWORD
ThisrevisionoftheUniformCustomsandPracticeforDocumentaryCredits(commonlycalled“UCP”)isthesixthrevisionoftherulessincetheywerefirstpromulgatedin1933.ItisthefruitofmorethanthreeyearsofworkbytheInternationalChamberofCommerce’s(ICC)CommissiononBankingTechniqueandPractice.
ICC,whichwasestablishedin1919,hadasitsprimaryobjectivefacilitatingtheflowofinternationaltradeatatimewhennationalismandprotectionismposedseriousthreatstotheworldtradingsystem.ItwasinthatspiritthattheUCPwerefirstintroduced–toalleviatetheconfusioncausedbyindividualcountries’promotingtheirownnationalrulesonletterofcreditpractice.Theobjective,sinceattained,wastocreateasetofcontractualrulesthatwouldestablishuniformityinthatpractice,sothatpractitionerswouldnothavetocopewithaplethora过剩ofoftenconflictingnationalregulations.TheuniversalacceptanceoftheUCPbypractitionersincountrieswithwidelydivergenteconomicandjudicialsystemsisatestamenttotherules’success.
ItisimportanttorecallthattheUCPrepresenttheworkofaprivateinternationalorganization,notagovernmentalbody.Sinceitsinception,ICChasinsistedonthecentralroleofself-regulationinbusinesspractice.Theserules,formulatedentirelybyexpertsintheprivatesector,havevalidated使有效thatapproach.TheUCPremainthemostsuccessfulsetofprivaterulesfortradeeverdeveloped.
Arangeofindividualsandgroupscontributedtothecurrentrevision,whichisentitledUCP600.TheseincludetheUCPDraftingGroup,whichsiftedthroughmorethan5000individualcommentsbeforearrivingatthisconsensustext;
theUCPConsultingGroup,consistingofmembersfrommorethan25countries,whichservedastheadvisorybodyreactingtoandproposingchangestothevariousdrafts;
themorethan400membersoftheICCCommissiononBankingTechniqueandPracticewhomadepertinentsuggestionsforchangesinthetext;
andICCnationalcommitteesworldwidewhichtookanactiveroleinconsolidating合并commentsfromtheirmembers.ICCalsoexpressesitsgratitudetopractitionersinthetransportandInsuranceindustries,whoseperceptivesuggestionshoned把。
。
磨锋利thefinaldraft.
GuySebban
SecretaryGeneral
InternationalChamberofCommerce
INTRODUCTION
InMay2003,theInternationalChamberofCommerceauthorizedtheICCCommissiononBankingTechniqueandPractice(BankingCommission)tobeginarevisionoftheUniformCustomsandPracticeforDocumentaryCredits,ICCPublication500.
Aswithotherrevisions,thegeneralobjectivewastoaddressdevelopmentsinthebanking,transportandinsuranceindustries.Additionally,therewasaneedtolookatthelanguageandstyleusedintheUCPtoremovewordingthatcouldleadtoinconsistentapplicationandinterpretation.
Whenworkontherevisionstarted,anumberofglobalsurveysindicatedthat,becauseofdiscrepancies,approximately70%ofdocumentspresentedunderlettersofcreditwerebeingrejectedonfirstpresentation.Thisobviouslyhad,andcontinuestohave,anegativeeffectontheletterofcreditbeingseenasameansofpaymentand,ifunchecked,couldhaveseriousimplicationsformaintainingorincreasingitsmarketshareasarecognizedmeansofsettlementininternationaltrade.Theintroductionbybanksofadiscrepancyfeehashighlightedtheimportanceofthisissue,especiallywhentheunderlyingdiscrepancieshavebeenfoundtobedubious含糊的orunsound.WhilstthenumberofcasesinvolvinglitigationhasnotgrownduringthelifetimeofUCP500,theintroductionoftheICC’sDocumentaryCreditDisputeResolutionExpertiseRules(DOCDEX)inOctober1997(subsequentlyrevisedinMarch2002)hasresultedinmorethan60casesbeingdecided.
Toaddresstheseandotherconcerns,theBankingCommissionestablishedaDraftingGrouptoreviseUCP500.Itwasalsodecidedtocreateasecondgroup,knownastheConsultingGroup,toreviewandadviseonearlydraftssubmittedbytheDraftingGroup.TheConsultingGroup,madeupofover40individualsfrom26countries,consistedofbankingandtransportindustryexperts.Ablyco-chairedbyJohnTurnbull,DeputyGeneralManager,SumitomoMitsuiBankingCorporationEuropeLtd,LondonandCarloDiNinni,Adviser,ItalianBankersAssociation,Rome,theConsultingGroupprovidedvaluableinputtotheDraftingGrouppriortoreleaseofdrafttextstoICCnationalcommittees.TheDraftingGroupbeganthereviewprocessbyanalyzingthecontentoftheofficialOpinionsissuedbytheBankingCommissionunderUCP500.Some500Opinionswerereviewedtoassesswhethertheissuesinvolvedwarrantedachangein,anadditiontooradeletionofanyUCParticle.Inaddition,considerationwasgiventothecontentofthefourPositionPapersissuedbytheCommissioninSeptember1994,thetwoDecisionsissuedbytheCommission(concerningtheintroductionoftheeuroandthedeterminationofwhatconstitutedanoriginaldocumentunderUCP500sub-article20(b)andthedecisionsissuedinDOCDEXcases.Duringtherevisionprocess,noticewastakenoftheconsiderableworkthathadbeencompletedincreatingtheInternationalStandardBankingPracticefortheExaminationofDocumentsunderDocumentaryCredits(ISBP),ICCPublication645.Thispublication
hasevolvedintoanecessarycompaniontotheUCPfordeterminingcomplianceofdocumentswiththetermsoflettersofcredit.ItistheexpectationoftheDraftingGroupandtheBankingCommissionthattheapplicationoftheprinciplescontainedintheISBP,includingsubsequentrevisionsthereof,willcontinueduringthetimeUCP600isinforce.AtthetimeUCP600isimplemented,therewillbeanupdatedversionofthe
ISBPtobringitscontentsinlinewiththesubstanceandstyleofthenewrules.ThefourPositionPapersissuedinSeptember1994wereissuedsubjecttotheirapplicationunderUCP500;
therefore,theywillnotbeapplicableunderUCP600.TheessenceoftheDecisioncoveringthedeterminationofanoriginaldocumenthasbeenincorporatedintothetextofUCP600.TheoutcomeoftheDOCDEXcaseswereinvariablybasedonexistingICCBankingCommissionOpinionsandthereforecontainednospecificissuesthatrequiredaddressingintheserules.OneofthestructuralchangestotheUCPistheintroductionofarticlescoveringdefinitions(article2)andinterpretations(article3).Inprovidingdefinitionsofrolesplayedbybanksandthemeaningofspecifictermsandevents,UCP600avoidsthenecessityofrepetitivetexttoexplaintheirinterpretationandapplication.Similarly,thearticlecoveringinterpretationsaimstotaketheambiguityoutofvagueorunclearlanguagethatappearsinlettersofcreditandtoprovideadefinitiveelucidationofothercharacteristicsoftheUCPorthecredit.Duringthecourseofthelastthreeyears,ICCnationalcommitteeswerecanvassedonarangeofissuestodeterminetheirpreferencesonalternativetextssubmittedbytheDraftingGroup.TheresultsofthisexerciseandtheconsiderableinputfromnationalcommitteesonindividualitemsinthetextisreflectedinthecontentofUCP600.TheDraftingGroupconsidered,notonlythecurrentpracticerelativetothedocumentarycredit,butalsotriedtoenvisagethefutureevolutionofthatpractice.ThisrevisionoftheUCPrepresentstheculminationofoverthreeyearsofextensiveanalysis,review,debateandcompromiseamongstthevariousmembersoftheDraftingGroup,themembersoftheBankingCommissionandtherespectiveICCnationalcommittees.ValuablecommenthasalsobeenreceivedfromtheICCCommissiononTransportandLogistics,theCommissiononCommercialLawandPracticeandtheCommitteeonInsurance.Itisnotappropriateforthispublicationtoprovideanexplanationastowhyanarticlehasbeenwordedinsuchawayorwhatisintendedbyitsincorporationintotherules.ForthoseinterestedinunderstandingtherationaleandinterpretationofthearticlesofUCP600,thisinformationwillbefoundintheCommentarytotherules,ICCPublication601,whichrepresentstheDraftingGroup’sviews.OnbehalfoftheDraftingGroupIwouldliketoextendourdeepappreciationtothemembersoftheConsultingGroup,ICCnationalcommitteesandmembersoftheBankingCommissionfortheirprofessionalcommentsandtheirconstructiveparticipationinthisprocess.SpecialthanksareduetothemembersoftheDraftingGroupandtheirinstitutions,whoarelistedbelowinalphabeticalorder.NicoleKeller–VicePresident,ServiceInternationalProducts,DresdnerBankAG,Frankfurt,Germany;
RepresentativetotheICCCommissiononBankingTechniqueandPractice;
LaurenceKooy–LegalAdviser,BNPParibas,Paris,France;
RepresentativetotheICCCommissiononBankingTechniqueandPractice.
KatjaLehr–BusinessManager,TradeServicesStandards,SWIFT,LaHulpe,Belgium,thenVicePresident,MembershipRepresentation,InternationalFinancialServicesAssociation,NewJersey,USA;
OleMalmqvist–VicePresident,DanskeBank,Copenhagen,Denmark;
PaulMiserez–HeadofTradeFinanceStandards,SWIFT,LaHulpe,Belgium;
RepresentativetotheICCCommissiononBankingTechniqueandPractice;
René
Mueller–Director,CreditSuisse,Zurich,Switzerland;
CheeSengSoh–Consultant,AssociationofBanksinSingapore,Singapore;
DanTaylo