精簡600UCP的中英文版

1、111/111ICC UNIFORM CUSTOMS AND PRACTICE FOR DOCUMENTARY CREDITSUCP 600英文HYPERLINK l _UCP600中文版UCP600中文 TOC o 1-3 h z HYPERLINK l _Toc156374933FOREWORD PAGEREF _Toc156374933 h 2HYPERLINK l _Toc156374934INTRODUCTION PAGEREF _Toc156374934 h 4HYPERLINK l _Toc156374935Article 1 Application of UCP PAGEREF

2、 _Toc156374935 h 10HYPERLINK l _Toc156374936Article 2 Definitions PAGEREF _Toc156374936 h 11HYPERLINK l _Toc156374937Article 3 Interpretations PAGEREF _Toc156374937 h 13HYPERLINK l _Toc156374938Article 4 Credits v. Contracts PAGEREF _Toc156374938 h 14HYPERLINK l _Toc156374939Article 5 Documents v. G

3、oods, Services or Performance PAGEREF _Toc156374939 h 15HYPERLINK l _Toc156374940Article 6 Availability, Expiry Date and Place for Presentation PAGEREF _Toc156374940 h 15HYPERLINK l _Toc156374941Article 7 Issuing Bank Undertaking PAGEREF _Toc156374941 h 16HYPERLINK l _Toc156374942Article 8 Confirmin

4、g Bank Undertaking PAGEREF _Toc156374942 h 17HYPERLINK l _Toc156374943Article 9 Advising of Credits and Amendments PAGEREF _Toc156374943 h 19HYPERLINK l _Toc156374944Article 10 Amendments PAGEREF _Toc156374944 h 20HYPERLINK l _Toc156374945Article 11 Teletransmitted and Pre-Advised Credits and Amendm

5、ents PAGEREF _Toc156374945 h 22HYPERLINK l _Toc156374946Article 12 Nomination PAGEREF _Toc156374946 h 22HYPERLINK l _Toc156374947Article 13 Bank-to-Bank Reimbursement Arrangements PAGEREF _Toc156374947 h 23HYPERLINK l _Toc156374948Article 14 Standard for Examination of Documents PAGEREF _Toc15637494

6、8 h 24HYPERLINK l _Toc156374949Article 15 Complying Presentation PAGEREF _Toc156374949 h 27HYPERLINK l _Toc156374950Article 16 Discrepant Documents, Waiver and Notice PAGEREF _Toc156374950 h 27HYPERLINK l _Toc156374951Article 17 Original Documents and Copies PAGEREF _Toc156374951 h 29HYPERLINK l _To

7、c156374952Article 18 Commercial Invoice PAGEREF _Toc156374952 h 30HYPERLINK l _Toc156374953Article 19 Transport Document Covering at Least Two Different Modes of Transport PAGEREF _Toc156374953 h 31HYPERLINK l _Toc156374954Article 20 Bill of Lading PAGEREF _Toc156374954 h 33HYPERLINK l _Toc156374955

8、Article 21 Non-Negotiable Sea Waybill PAGEREF _Toc156374955 h 36HYPERLINK l _Toc156374956Article 22 Charter Party Bill of Lading PAGEREF _Toc156374956 h 38HYPERLINK l _Toc156374957Article 23 Air Transport Document PAGEREF _Toc156374957 h 40HYPERLINK l _Toc156374958Article 24 Road, Rail or Inland Wat

9、erway Transport Documents PAGEREF _Toc156374958 h 41HYPERLINK l _Toc156374959Article 25 Courier Receipt, Post Receipt or Certificate of Posting PAGEREF _Toc156374959 h 44HYPERLINK l _Toc156374960Article 26 On Deck, Shippers Load and Count, “Said by Shipper to Contain”and Charges Additional to Freigh

10、t PAGEREF _Toc156374960 h 44HYPERLINK l _Toc156374961Article 27 Clean Transport Document PAGEREF _Toc156374961 h 45HYPERLINK l _Toc156374962Article 28 Insurance Document and Coverage PAGEREF _Toc156374962 h 45HYPERLINK l _Toc156374963Article 29 Extension of Expiry Date or Last Day for Presentation P

11、AGEREF _Toc156374963 h 47HYPERLINK l _Toc156374964Article 30 Tolerance in Credit Amount, Quantity and Unit Prices PAGEREF _Toc156374964 h 48HYPERLINK l _Toc156374965Article 31 Partial Drawings or Shipments PAGEREF _Toc156374965 h 49HYPERLINK l _Toc156374966Article 32 Instalment Drawings or Shipments

12、 PAGEREF _Toc156374966 h 50HYPERLINK l _Toc156374967Article 33 Hours of Presentation PAGEREF _Toc156374967 h 50HYPERLINK l _Toc156374968Article 34 Disclaimer on Effectiveness of Documents PAGEREF _Toc156374968 h 50HYPERLINK l _Toc156374969Article 35 Disclaimer on Transmission and Translation PAGEREF

13、 _Toc156374969 h 51HYPERLINK l _Toc156374970Article 36 Force Majeure PAGEREF _Toc156374970 h 52HYPERLINK l _Toc156374971Article 37 Disclaimer for Acts of an Instructed Party PAGEREF _Toc156374971 h 52HYPERLINK l _Toc156374972Article 38 Transferable Credits PAGEREF _Toc156374972 h 53HYPERLINK l _Toc1

14、56374973Article 39 Assignment of Proceeds PAGEREF _Toc156374973 h 56UCP600中文版UCP600HYPERLINK l _Toc156374974第一條 UCP的適用圍 PAGEREF _Toc156374974 h 59HYPERLINK l _Toc156374975第二條定義 PAGEREF _Toc156374975 h 59HYPERLINK l _Toc156374976第三條解釋 PAGEREF _Toc156374976 h 60HYPERLINK l _Toc156374977第四條信用證與合同 PAGER

15、EF _Toc156374977 h 61HYPERLINK l _Toc156374978第五條單據(jù)與貨物、服務(wù)或履約行為 PAGEREF _Toc156374978 h 61HYPERLINK l _Toc156374979第六條兌用方式、截止日和交單地點 PAGEREF _Toc156374979 h 61HYPERLINK l _Toc156374980第七條開證行責任 PAGEREF _Toc156374980 h 62HYPERLINK l _Toc156374981第八條保兌行責任 PAGEREF _Toc156374981 h 62HYPERLINK l _Toc1563749

16、82第九條信用證與其修改的通知 PAGEREF _Toc156374982 h 63HYPERLINK l _Toc156374983第十條修改 PAGEREF _Toc156374983 h 63HYPERLINK l _Toc156374984第十一條電訊傳輸?shù)暮皖A(yù)先通知的信用證和修改 PAGEREF _Toc156374984 h 64HYPERLINK l _Toc156374985第十二條指定 PAGEREF _Toc156374985 h 64HYPERLINK l _Toc156374986第十三條銀行之間的償付安排 PAGEREF _Toc156374986 h 64HYPER

17、LINK l _Toc156374987第十四條單據(jù)審核標準 PAGEREF _Toc156374987 h 64HYPERLINK l _Toc156374988第十五條相符交單 PAGEREF _Toc156374988 h 65HYPERLINK l _Toc156374989第十六條不符單據(jù)、放棄與通知 PAGEREF _Toc156374989 h 66HYPERLINK l _Toc156374990第十七條正本單據(jù)與副本 PAGEREF _Toc156374990 h 66HYPERLINK l _Toc156374991第十八條商業(yè)發(fā)票 PAGEREF _Toc15637499

18、1 h 67HYPERLINK l _Toc156374992第十九條涵蓋至少兩種不同運輸方式的運輸單據(jù) PAGEREF _Toc156374992 h 67HYPERLINK l _Toc156374993第二十條提單 PAGEREF _Toc156374993 h 68HYPERLINK l _Toc156374994第二十一條不可轉(zhuǎn)讓的海運單 PAGEREF _Toc156374994 h 69HYPERLINK l _Toc156374995第二十二條租船合同提單 PAGEREF _Toc156374995 h 70HYPERLINK l _Toc156374996第二十三條空運單據(jù)

19、PAGEREF _Toc156374996 h 70HYPERLINK l _Toc156374997第二十四條公路、鐵路或陸水運單據(jù) PAGEREF _Toc156374997 h 71HYPERLINK l _Toc156374998第二十五條快遞收據(jù)、郵政收據(jù)或投郵證明 PAGEREF _Toc156374998 h 72HYPERLINK l _Toc156374999第二十六條“貨裝艙面”、“托運人裝載和計數(shù)”、“容據(jù)托運人報稱”與運費之外的費用。 PAGEREF _Toc156374999 h 72HYPERLINK l _Toc156375000第二十七條清潔運輸單據(jù) PAGER

20、EF _Toc156375000 h 72HYPERLINK l _Toc156375001第二十八條保險單據(jù)與保險圍 PAGEREF _Toc156375001 h 72HYPERLINK l _Toc156375002第二十九條截止日或最遲交單日的順延 PAGEREF _Toc156375002 h 73HYPERLINK l _Toc156375003第三十條信用證金額、數(shù)量與單價的伸縮度 PAGEREF _Toc156375003 h 73HYPERLINK l _Toc156375004第三十一條部分支款或部分發(fā)運 PAGEREF _Toc156375004 h 73HYPERLIN

21、K l _Toc156375005第三十二條分期支款或分期發(fā)運 PAGEREF _Toc156375005 h 74HYPERLINK l _Toc156375006第三十三條交單時間 PAGEREF _Toc156375006 h 74HYPERLINK l _Toc156375007第三十四條關(guān)于單據(jù)有效性的免責 PAGEREF _Toc156375007 h 74HYPERLINK l _Toc156375008第三十五條關(guān)于信息傳遞和翻譯的免責 PAGEREF _Toc156375008 h 74HYPERLINK l _Toc156375009第三十六條不可抗力 PAGEREF _T

22、oc156375009 h 74HYPERLINK l _Toc156375010第三十七條關(guān)于被指示方行為的免責 PAGEREF _Toc156375010 h 75HYPERLINK l _Toc156375011第三十八條可轉(zhuǎn)讓信用證 PAGEREF _Toc156375011 h 75HYPERLINK l _Toc156375012第三十九條款項讓渡 PAGEREF _Toc156375012 h 76FOREWORDThis revision of the Uniform Customs and Practice for Documentary Credits (commonly

23、called “UCP”) is the sixth revision of the rules since they were first promulgated in 1933.It is the fruit of more than three years of work by the International Chamber of Commerces (ICC) Commission on Banking Technique and Practice.ICC, which was established in 1919, had as its primary objective fa

24、cilitating the flow of international trade at a time when nationalism and protectionism posed serious threats to the world trading system. It was in that spirit that the UCP were first introduced to alleviate the confusion caused by individual countries promoting their own national rules on letter o

25、f credit practice. The objective, since attained, was to create a set of contractual rules that would establish uniformity in that practice, so that practitioners would not have to cope with a plethora of often conflicting national regulations. The universal acceptance of the UCP by practitioners in

26、 countries with widely divergent economic and judicial systems is a testament to the rules success.It is important to recall that the UCP represent the work of a private international organization, not a governmental body. Since its inception, ICC has insisted on the central role of self-regulation

27、in business practice. These rules, formulated entirely by experts in the private sector, have validated that approach. The UCP remain the most successful set of private rules for trade ever developed.A range of individuals and groups contributed to the current revision, which is entitled UCP 600. Th

28、ese include the UCP Drafting Group, which sifted through more than 5000 individual comments before arriving at this consensus text; the UCP Consulting Group,consisting of members from more than 25 countries, which served as the advisory body reacting to and proposing changes to the various drafts; t

29、he more than 400 members ofthe ICC Commission on Banking Technique and Practice who made ertinentsuggestions for changes in the text; and ICC national committees worldwide which took an active role in consolidating comments from their members. ICC also expresses its gratitude to practitioners in the

30、 transport and Insurance industries, whose perceptive suggestions honed the final draft.Guy Sebban Secretary GeneralInternational Chamber of CommerceINTRODUCTIONIn May 2003, the International Chamber of Commerce authorized the ICC Commission on Banking Technique and Practice (Banking Commission) to

31、begin a revision of the Uniform Customs and Practice for Documentary Credits, ICC Publication 500.As with other revisions, the general objective was to address developments in the banking, transport and insurance industries. Additionally, there was a need to look at the language and style used in th

32、e UCP to remove wording that could lead to inconsistent application and interpretation.When work on the revision started, a number of global surveys indicated that, because of discrepancies, approximately 70% of documents presented under letters of credit were being rejected on first presentation. T

33、his obviously had, and continues to have, a negative effect on the letter of credit being seen as a means of payment and, if unchecked, could have serious implications for maintaining or increasing its market share as a recognized means of settlement in international trade. The introduction by banks

34、 of a discrepancy fee has highlighted the importance of this issue, especially when the underlying discrepancies have been found to be dubious or unsound. Whilst the number of cases involving litigation has not grown during the lifetime of UCP 500, the introduction of the ICCs Documentary Credit Dis

35、pute Resolution Expertise Rules (DOCDEX) in October 1997 (subsequently revised in March 2002) has resulted in more than 60 cases being decided.To address these and other concerns, the Banking Commission established a Drafting Group to revise UCP 500. It was also decided to create a second group, kno

36、wn as the Consulting Group, to review and advise on early drafts submitted by the Drafting Group.The Consulting Group, made up of over 40 individuals from 26 countries, consisted of banking and transport industry experts. Ably co-chaired by John Turnbull, Deputy General Manager, Sumitomo Mitsui Bank

37、ing Corporation Europe Ltd, London and CarloDi Ninni, Adviser, Italian Bankers Association, Rome, the Consulting Group provided valuable input to the Drafting Group prior to release of draft texts to ICC national committees.The Drafting Group began the review process by analyzing the content of the

38、official Opinions issued by the Banking Commission under UCP 500. Some 500 Opinions were reviewed to assess whether the issues involved warranted a change in, an addition to or a deletion of any UCP article. In addition, consideration was given to the content of thefour Position Papers issued by the

39、 Commission in September 1994, the two Decisions issued by the Commission (concerning the introduction of the euro and the determination of what constituted an original document under UCP 500 sub-article 20(b) and the decisions issued in DOCDEX cases. During the revision process, notice was taken of

40、 the considerable work that had been completed in creating the International Standard Banking Practice for the Examination of Documents under Documentary Credits (ISBP), ICC Publication 645. This publicationhas evolved into a necessary companion to the UCP for determining compliance of documents wit

41、h the terms of letters of credit. It is the expectation of the Drafting Group and the Banking Commission that the application of the principles contained in the ISBP, including subsequent revisions thereof, will continue during the time UCP 600 is in force. At the time UCP 600 is implemented, there

42、will be an updated version of theISBP to bring its contents in line with the substance and style of the new rules. The four Position Papers issued in September 1994 were issued subject to their application under UCP 500; therefore, they will not be applicable under UCP 600. The essence of the Decisi

43、on covering the determination of an original document has been incorporated into the text of UCP 600. The outcome of the DOCDEX cases were invariably based on existing ICC Banking Commission Opinions and therefore contained no specific issues that required addressing in these rules.One of the struct

44、ural changes to the UCP is the introduction of articles covering definitions (article 2) and interpretations (article 3). In providing definitions of rolesplayed by banks and the meaning of specific terms and events, UCP 600 avoids the necessity of repetitive text to explain their interpretation and

45、 application. Similarly, the article covering interpretations aims to take the ambiguity out of vague or unclear language that appears in letters of credit and to provide a definitive elucidation of other characteristics of the UCP or the credit.During the course of the last three years, ICC nationa

46、l committees were canvassed on a range of issues to determine their preferences on alternative texts submitted by the Drafting Group. The results of this exercise and the considerable input from national committees on individual items in the text is reflected in the content of UCP 600. The Drafting

47、Group considered, not only the current practice relative to the documentary credit, but also tried to envisage the future evolution of that practice.This revision of the UCP represents the culmination of over three years of extensive analysis, review, debate and compromise amongst the various member

48、s of the Drafting Group, the members of the Banking Commission and the respective ICC national committees. Valuable comment has also been received from the ICC Commission on Transport and Logistics, the Commission on Commercial Law and Practice and the Committee on Insurance.It is not appropriate fo

49、r this publication to provide an explanation as to why an article has been worded in such a way or what is intended by its incorporation into the rules.For those interested in understanding the rationale and interpretation of the articles of UCP 600, this information will be found in the Commentary

50、to the rules, ICC Publication 601, which represents the Drafting Groups views.On behalf of the Drafting Group I would like to extend our deep appreciation to the members of the Consulting Group, ICC national committees and members of the Banking Commission for their professional comments and their c

51、onstructive participation in this process. Special thanks are due to the members of the Drafting Group and their institutions, who are listed below in alphabetical order.Nicole Keller Vice President, Service International Products, Dresdner Bank AG,Frankfurt, Germany; Representative to the ICC Commi

52、ssion on Banking Technique and Practice;Laurence Kooy Legal Adviser, BNP Paribas, Paris, France; Representative to the ICC Commission on Banking Technique and Practice.Katja Lehr Business Manager, Trade Services Standards, SWIFT, La Hulpe, Belgium,then Vice President, Membership Representation, Inte

53、rnational Financial Services Association, New Jersey, USA; Representative to the ICC Commission on Banking Technique and Practice;Ole Malmqvist Vice President, Danske Bank, Copenhagen, Paul Miserez Head of Trade Finance Standards, SWIFT, La Hulpe, Belgium;Representative to the ICC Commission on Bank

54、ing Technique and Practice;Ren Mueller Director, Credit Suisse, Zurich, Commission on Banking Technique and Practice;Chee Seng Soh Consultant, Association of Banks in Singapore, Singapore;Representative to the ICC Commission on Banking Technique and Practice;Dan Taylor President and CEO, Internation

55、al Financial Services Association., New Jersey USA; Vice Chairman, ICC Commission on Banking Technique and Practice;Alexander Zelenov Director, Vnesheconombank, Moscow, Russia; Vice Chairman,ICC Commission on Banking Technique and Practice;Ron Katz Policy Manager, ICC Commission on Banking Technique

56、 and Practice,International Chamber of Commerce, Paris, France.The undersigned had the pleasure of chairing the Drafting Group.It was through the generous giving of their knowledge, time and energy that this revision was accomplished so successfully. As Chair of the Drafting Group, I would like to e

57、xtend to them and to their institutions my gratitude for their contribution, for a job well done and for their friendship. I would also like to extend my sincere thanks to themanagement of ABN AMRO Bank N.V., for their understanding, patience and support during the course of this revision process.Ga

58、ry CollyerCorporate Director,ABN AMRO Bank N.V., London, Article 1 Application of UCPThe Uniform Customs and Practice for Documentary Credits, 2007 Revision, ICC Publication no. 600 (“UCP”) are rules that apply to any documentary credit (“credit”) (including, to the extent to which they may be appli

59、cable, any standby letter of credit) when the text of the credit expressly indicates that it is subject to these rules. They are binding on all parties thereto unless expressly modified or excluded by the credit.Article 2 DefinitionsFor the purpose of these rules:Advising bank means the bank that ad

60、vises the credit at the request of the issuing bank.Applicant means the party on whose request the credit is issued.Banking day means a day on which a bank is regularly open at the place at which an act subject to these rules is to be performed.Beneficiary means the party in whose favour a credit is