跟单信用证统一惯例UCP600.pdf

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1、.-跟单信用证统一惯例（UCP600）Article 1 Application of UCP第一条统一惯例的适用围The 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 whichthey may be applicable,any standby letter of credit)w

2、hen the text of the credit expressly indicatesthat it is subject to these rules.They are binding on all parties thereto unless expressly modified orexcluded by the credit.跟单信用证统一惯例，2007 年修订本，国际商会第600 号出版物，适用于所有在正文中标明按本惯例办理的跟单信用证（包括本惯例适用围的备用信用证）。除非信用证中另有规定，本惯例对一切有关当事人均具有约束力。Article 2 Definitions第二条 定

3、义For the purpose of these rules:就本惯例而言：Advising bank means the bank that advises the credit at the request of the issuing bank.通知行意指应开证行要求通知信用证的银行。Applicant means the party on whose request the credit is issued.申请人意指发出开立信用证申请的一方。Banking day means a day on which a bank is regularly open at the place

4、at which an act subject tothese rules is to be performed.银行日意指银行在其营业地正常营业，按照本惯例行事的行为得以在银行履行的日子。Beneficiary means the party in whose favour a credit is issued.受益人意指信用证中受益的一方。plying presentation means a presentation that is in accordance with the terms and conditions of thecredit,the applicable provis

5、ions of these rules and international standard banking practice.相符提示意指与信用证中的条款及条件、本惯例中所适用的规定及国际标准银行实务相一致的提示。Confirmation means a definite undertaking of the confirming bank,in addition to that of the issuingbank,to honour or negotiate a plying presentation.保兑意指保兑行在开证行之外对于相符提示做出兑付或议付的确定承诺。Confirming

6、bank means the bank that adds its confirmation to a credit upon the issuing banksauthorization or request.保兑行意指应开证行的授权或请求对信用证加具保兑的银行。Credit means any arrangement,however named or described,that is irrevocable and therebyconstitutes a definite undertaking of the issuing bank to honour a plying presen

7、tation.信用证意指一项约定，无论其如何命名或描述，该约定不可撤销并因此构成开证行对于相符提示予以兑付的确定承诺。Honour means:.可修编-.-a.to pay at sight if the credit is available by sight payment.b.b.to incur a deferred payment undertaking and pay at maturity if the credit is available bydeferred payment.c.c.to accept a bill of exchange(“draft”)drawn by

8、 the beneficiary and pay at maturity if the creditis available by acceptance.d.兑付意指：a.对于即期付款信用证即期付款。e.b.对于延期付款信用证发出延期付款承诺并到期付款。c.对于承兑信用证承兑由受益人出具的汇票并到期付款。Issuing bank means the bank that issues a credit at the request of an applicant or on its ownbehalf.开证行意指应申请人要求或代表其自身开立信用证的银行。Negotiation means the

9、 purchase by the nominated bank of drafts(drawn on a bank other thanthe nominated bank)and/or documents under a plying presentation,by advancing or agreeingto advance funds to the beneficiary on or before the banking day on which reimbursement isdue to(to be paid the nominated bank.议付意指被指定银行在其应获得偿付的

10、银行日或在此之前，通过向受益人预付或者同意向受益人预付款项的方式购买相符提示项下的汇票（汇票付款人为被指定银行以外的银行）及/或单据。Nominated bank means the bank with which the credit is available or any bank in the case of acredit available with any bank.被指定银行意指有权使用信用证的银行，对于可供任何银行使用的信用证而言，任何银行均为被指定银行。Presentation means either the delivery of documents under a cr

11、edit to the issuing bank ornominated bank or the documents so delivered.提示意指信用证项下单据被提交至开证行或被指定银行，抑或按此方式提交的单据。Presenter means a beneficiary,bank or other party that makes a presentation.提示人意指做出提示的受益人、银行或其他一方。Article 3 Interpretations第三条 释义For the purpose of these rules:就本惯例而言：Where applicable,words i

12、n the singular include the plural and in the plural include the singular.在适用的条款中，词汇的单复数同义。A credit is irrevocable even if there is no indication to that effect.信用证是不可撤销的，即使信用证中对此未作指示也是如此。A document may be signed by handwriting,facsimile signature,perforated signature,stamp,symbol or any other mechan

13、ical or electronic method of authentication.单据可以通过手签、签样印制、穿孔签字、盖章、符号表示的方式签署，也可以通过其它任何机械或电子证实的方法签署。A requirement for a document to be legalized,visaed,certified or similar will be satisfied by anysignature,mark,stamp or label on the document which appears to satisfy that requirement.当信用证含有要求使单据合法、签证、

14、证实或对单据有类似要求的条件时，这些条件可.可修编-.-由在单据上签字、标注、盖章或标签来满足，只要单据表面已满足上述条件即可。Branches of a bank in different countries are considered to be separate banks.一家银行在不同国家设立的分支机构均视为另一家银行。Terms such as first class,well known,qualified,independent,official,petent or localused to describe the issuer of a document allow an

15、y issuer except the beneficiary to issue thatdocument.诸如第一流、著名、合格、独立、正式、有资格、当地等用语用于描述单据出单人的身份时，单据的出单人可以是除受益人以外的任何人。Unless required to be used in a document,words such as prompt,immediately or as soon aspossible will be disregarded.除非确需在单据中使用，银行对诸如迅速、立即、尽快之类词语将不予置理。The expression on or about or simil

16、ar will be interpreted as a stipulation that an event is tooccur during a period of five calendar days before until five calendar days after the specified date,both start and end dates included.于或约于或类似措辞将被理解为一项约定，按此约定，某项事件将在所述日期前后各五天发生，起迄日均包括在。The words to,until,till,“from”and“between”when used to d

17、etermine a period of shipmentinclude the date or dates mentioned,and the words“before”and after exclude the datementioned.词语月日止（to）、至月日（until）、直至月日(till)、从月日(from)及“在 X月 X 日至 X 月 X 日之间”(between)用于确定装运期限时，包括所述日期。词语“X 月 X日之前”(before)及“X 月 X 日之后”(after)不包括所述日期。The words“from”and after when used to dete

18、rmine a maturity date exclude the datementioned.词语“从 X 月 X 日”（from）以及“X 月 X 日之后”(after)用于确定到期日时不包括所述日期。The terms first half and second half of a month shall be construed respectively as the 1st tothe 15th and the 16th to the last day of the month,all dates inclusive.术语上半月和下半月应分别理解为自每月1 日至 15 日和16 日至

19、月末最后一天，包括起迄日期。The terms beginning,middle and end of a month shall be construed respectively as the 1stto the 10th,the 11th to the 20th and the 21st to the last day of the month,all dates inclusive.术语月初、月中和月末应分别理解为每月 1 日至 10 日、11 日至 20 日和 21 日至月末最后一天，包括起迄日期。Article 4 Credits v.Contracts第四条 信用证与合同a.A

20、credit by its nature is a separate transaction from the sale orother contract on which it may be based.Banks are in no way concerned with or bound by suchcontract,even if any reference whatsoever to it is included in the credit.Consequently,theundertaking of a bank to honour,to negotiate or to fulfi

21、l any other obligation under the credit is notsubject to claims or defences by the applicant resulting from its relationships with the issuing bankor the beneficiary.A beneficiary can in no case avail itself of the contractual relationships existing between banks or.可修编-.-between the applicant and t

22、he issuing bank.a.就性质而言，信用证与可能作为其依据的销售合同或其它合同，是相互独立的交易。即使信用证中提及该合同，银行亦与该合同完全无关，且不受其约束。因此，一家银行作出兑付、议付或履行信用证项下其它义务的承诺，并不受申请人与开证行之间或与受益人之间在已有关系下产生的索偿或抗辩的制约。受益人在任何情况下，不得利用银行之间或申请人与开证行之间的契约关系。b.An issuing bank should discourage any attempt by the applicant to include,as an integral part ofthe credit,copi

23、es of the underlying contract,proforma invoice and the like.b.开证行应劝阻申请人将基础合同、形式发票或其它类似文件的副本作为信用证整体组成部分的作法。Article 5 Documents v.Goods,Services or Performance第五条 单据与货物服务行为Banks deal with documents and not withgoods,services or performance to which the documents may relate.银行处理的是单据，而不是单据所涉及的货物、服务或其它行为

24、。Article 6 Availability,Expiry Date and Place for Presentation第六条 有效性、有效期限及提示地点a.A credit must state the bank with which it isavailable or whether it is available with any bank.A credit available with a nominated bank is alsoavailable with the issuing bank.a.信用证必须规定可以有效使用信用证的银行，或者信用证是否对任何银行均为有效。对于被指

25、定银行有效的信用证同样也对开证行有效。b.A credit must state whether it is available by sight payment,deferred payment,acceptance ornegotiation.b.信用证必须规定它是否适用于即期付款、延期付款、承兑抑或议付。c.A credit must not be issued available by a draft drawn on the applicant.c.不得开立包含有以申请人为汇票付款人条款的信用证。d.i.A credit must state an expiry date for p

26、resentation.An expiry date stated for honour ornegotiation will be deemed to be an expiry date for presentation.d.i 信用证必须规定提示单据的有效期限。规定的用于兑付或者议付的有效期限将被认为是提示单据的有效期限。ii.The place of the bank with which the credit is available is the place for presentation.The place forpresentation under a credit avail

27、able with any bank is that of any bank.A place for presentation otherthan that of the issuing bank is in addition to the place of the issuing bank.ii.可以有效使用信用证的银行所在的地点是提示单据的地点。对任何银行均为有效的信用证项下单据提示的地点是任何银行所在的地点。不同于开证行地点的提示单据的地点是开证行地点之外提交单据的地点。e.Except as provided in sub-article 29(a),a presentation by

28、 or onbehalf of the beneficiary must be made on or before the expiry date.e.除非如 29(a)中规定，由受益人或代表受益人提示的单据必须在到期日当日或在此之前提交。Article 7 Issuing Bank Undertaking.可修编-.-第七条 开证行的承诺a.Provided that the stipulated documents are presented to thenominated bank or to the issuing bank and that they constitute a ply

29、ing presentation,the issuingbank must honour if the credit is available by:倘若规定的单据被提交至被指定银行或开证行并构成相符提示，开证行必须按下述信用证所适用的情形予以兑付：i.sight payment,deferred payment or acceptance with the issuing bank;i.由开证行即期付款、延期付款或者承兑；ii.sight payment with a nominated bank and that nominated bank does not pay;ii.由被指定银行即

30、期付款而该被指定银行未予付款；iii.deferred payment with a nominated bank and that nominated bank does not incur its deferredpayment undertaking or,having incurred its deferred payment undertaking,does not pay at maturity;iii.由被指定银行延期付款而该被指定银行未承担其延期付款承诺，或者虽已承担延期付款承诺但到期未予付款；iv.acceptance with a nominated bank and th

31、at nominated bank does not accept a draft drawn on itor,having accepted a draft drawn on it,does not pay at maturity;iv.由被指定银行承兑而该被指定银行未予承兑以其为付款人的汇票，或者虽已承兑以其为付款人的汇票但到期未予付款；v.negotiation with a nominated bank and that nominated bank does not negotiate.v.由被指定银行议付而该被指定银行未予议付。b.An issuing bank is irrevo

32、cably bound to honour as of the time it issues the credit.b.自信用证开立之时起，开证行即不可撤销地受到兑付责任的约束。c.An issuing bank undertakes to reimburse a nominated bank that has honoured ornegotiated aplying presentation and forwarded the documents to the issuing bank.Reimbursement for theamount of a plying presentation

33、 under a credit available by acceptance or deferred payment is due atmaturity,whether or not the nominated bank prepaid or purchased before maturity.An issuingbanks undertaking to reimburse a nominated bank is independent of the issuing bank s undertakingto the beneficiary.c.开证行保证向对于相符提示已经予以兑付或者议付并将

34、单据寄往开证行的被指定银行进行偿付。无论被指定银行是否于到期日前已经对相符提示予以预付或者购买，对于承兑或延期付款信用证项下相符提示的金额的偿付于到期日进行。开证行偿付被指定银行的承诺独立于开证行对于受益人的承诺。Article 8 Confirming Bank Undertaking第八条 保兑行的承诺a.Provided that the stipulated documents are presented to theconfirming bank or to any other nominated bank and that they constitute a plying pres

35、entation,theconfirming bank must:a.倘若规定的单据被提交至保兑行或者任何其他被指定银行并构成相符提示，保兑行必须：i.honour,if the credit is available by：i.兑付，如果信用证适用于：a.sight payment,deferred payment or acceptance with the confirming bank;a.由保兑行即期付款、延期付款或者承兑；b.sight payment with another nominated bank and that nominated bank does not pay;

36、b.由另一家被指定银行即期付款而该被指定银行未予付款；.可修编-.-c.deferred payment with another nominated bank and that nominated bank does not incur itsdeferred payment undertaking or,having incurred its deferred payment undertaking,does not pay atmaturity;c.由另一家被指定银行延期付款而该被指定银行未承担其延期付款承诺，或者虽已承担延期付款承诺但到期未予付款；d.acceptance with a

37、nother nominated bank and that nominated bank does not accept a draft drawnon it or,having accepted a draft drawn on it,does not pay at maturity;d.由另一家被指定银行承兑而该被指定银行未予承兑以其为付款人的汇票，或者虽已承兑以其为付款人的汇票但到期未予付款；e.negotiation with another nominated bank and that nominated bank does not negotiate.e.由另一家被指定银行议付

38、而该被指定银行未予议付。ii.negotiate,without recourse 无追索权,if the credit is available by negotiation with the confirming bank.ii.若信用证由保兑行议付，无追索权地议付。b.A confirming bank is irrevocably bound to honour or negotiate as of the time it adds itsconfirmation to the credit.b.自为信用证加具保兑之时起，保兑行即不可撤销地受到兑付或者议付责任的约束。c.A confi

39、rming bank undertakes to reimburse another nominated bank that has honoured ornegotiated a plying presentation and forwarded the documents to the confirming bank.Reimbursement for the amount of a plying presentation under a credit available by acceptance ordeferred payment is due at maturity,whether

40、 or not another nominated bank prepaid or purchasedbefore maturity.A confirming banks undertaking to reimburse another nominated bank isindependent of the confirming banks undertaking to the beneficiary.c.保兑行保证向对于相符提示已经予以兑付或者议付并将单据寄往开证行的另一家被指定银行进行偿付。无论另一家被指定银行是否于到期日前已经对相符提示予以预付或者购买，对于承兑或延期付款信用证项下相符提

41、示的金额的偿付于到期日进行。保兑行偿付另一家被指定银行的承诺独立于保兑行对于受益人的承诺。d.If a bank is authorized or requested by the issuing bank to confirm a credit but is not prepared todo so,it must inform the issuing bank without delay and may advise the credit without confirmation.d.如开证行授权或要求另一家银行对信用证加具保兑，而该银行不准备照办时，它必须不延误地告知开证行并仍可通知此份

42、未经加具保兑的信用证。Article 9 Advising of Credits and Amendments第九条 信用证及修改的通知a.A credit and any amendment may be advised to abeneficiary through an advising bank.An advising bank that is not a confirming bank advises thecredit and any amendment without any undertaking to honour or negotiate.a.信用证及其修改可以通过通知行通

43、知受益人。除非已对信用证加具保兑，通知行通知信用证不构成兑付或议付的承诺。b.By advising the credit or amendment,the advising bank signifies that it has satisfied itself as tothe apparent authenticity of the credit or amendment and that the advice accurately reflects theterms and conditions of the credit or amendment received.b.通过通知信用证或

44、修改，通知行即表明其认为信用证或修改的表面真实性得到满足，且通知准确地反映了所收到的信用证或修改的条款及条件。c.An advising bank may utilize the services of another bank(“second advising bank”)to advise the.可修编-.-credit and any amendment to the beneficiary.By advising the credit or amendment,the secondadvising bank signifies that it has satisfied itself

45、 as to the apparent authenticity of the advice it hasreceived and that the advice accurately reflects the terms and conditions of the credit or amendmentreceived.c.通知行可以利用另一家银行的服务（“第二通知行”）向受益人通知信用证及其修改。通过通知信用证或修改，第二通知行即表明其认为所收到的通知的表面真实性得到满足，且通知准确地反映了所收到的信用证或修改的条款及条件。d.A bank utilizing the services o

46、f an advising bank or second advising bank to advise a credit mustuse the same bank to advise any amendment thereto.d.如一家银行利用另一家通知行或第二通知行的服务将信用证通知给受益人，它也必须利用同一家银行的服务通知修改书。e.If a bank is requested to advise a credit or amendment but elects not to do so,it must so inform,without delay,the bank from wh

47、ich the credit,amendment or advice has been received.e.如果一家银行被要求通知信用证或修改但决定不予通知，它必须不延误通知向其发送信用证、修改或通知的银行。f.If a bank is requested to advise a credit or amendment but cannot satisfy itself as to the apparentauthenticity of the credit,the amendment or the advice,it must so inform,without delay,the ban

48、kfrom which the instructions appear to have been received.If the advising bank or second advisingbank elects nonetheless to advise the credit or amendment,it must inform the beneficiary or secondadvising bank that it has not been able to satisfy itself as to the apparent authenticity of the credit,t

49、he amendment or the advice.f.如果一家被要求通知信用证或修改，但不能确定信用证、修改或通知的表面真实性，就必须不延误地告知向其发出该指示的银行。如果通知行或第二通知行仍决定通知信用证或修改，则必须告知受益人或第二通知行其未能核实信用证、修改或通知的表面真实性。Article 10 Amendments第十条 修改a.Except as otherwise provided by article 38,a credit can neither be amendednor cancelled without the agreement of the issuing ba

50、nk,the confirming bank,if any,and thebeneficiary.a.除本惯例第38 条另有规定外，凡未经开证行、保兑行（如有）以及受益人同意，信用证既不能修改也不能撤销。b.An issuing bank is irrevocably bound by an amendment as of the time it issues the amendment.Aconfirming bank may extend its confirmation to an amendment and will be irrevocably bound as ofthe time