UCP600中英文版10651.pdf

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1、 1 跟单信用证统一惯例（UCP600）Article 1 Application of UCP 第一条 UCP 的适用范围 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 which they may be applicable,any standby letter of cred

2、it)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.跟单信用证统一惯例，2007 年修订本，国际商会第 600 号出版物，适用于任何在正文中标明按本惯例办理的跟单信用证（包括本惯例适用范围内的备用信用证）。除非信用证明确修改或排除，本惯例对一切有关当事人均具有约束力。Article 2 Defin

3、itions 第二条 定义 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

4、at the place at which an act subject to these rules is to be performed.银行工作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。2 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。Complying presentation means a presentation that is in accordance with the terms and conditions of the credit

5、,the applicable provisions of these rules and international standard banking practice.相符交单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交单。Confirmation means a definite undertaking of the confirming bank,in addition to that of the issuing bank,to honour or negotiate a complying presentation.保兑意指保兑行在开证行之外对于相符

6、交单做出承付或议付的确定承诺。Confirming bank means the bank that adds its confirmation to a credit upon the issuing banks authorization 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 thereby constitutes a definite undertaking of the issuing ba

7、nk to honour a complying presentation.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交单予以承付的确定承诺。Honour means:a.to pay at sight if the credit is available by sight payment.b.to incur a deferred payment undertaking and pay at maturity if the credit is available by deferred payment.c.to accept a bill of exch

8、ange(“draft”)drawn by the beneficiary and pay at maturity if the credit is available by acceptance.承付意指：a.对于即期付款信用证即期付款。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 own behalf.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。3

9、Negotiation means the purchase by the nominated bank of drafts(drawn on a bank other than the nominated bank)and/or documents under a complying presentation,by advancing or agreeing to advance funds to the beneficiary on or before the banking day on which reimbursement is due to(to be paid the nomin

10、ated bank.议付意指指定银行在相符交单的情况下，在其应获得偿付的银行工作日当天或之前向受益人预付或者同意预付款项，从而购买汇票（其付款人为指定银行以外的其他银行）及/或单据的行为。Nominated bank means the bank with which the credit is available or any bank in the case of a credit available with any bank.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，任何银行均为指定银行。Presentation means either the delive

11、ry of documents under a credit to the issuing bank or nominated bank or the documents so delivered.交单意指信用证项下单据被提交至开证行或指定银行，抑或按此方式提交的单据。Presenter means a beneficiary,bank or other party that makes a presentation.交单人意指做出交单的受益人、银行或其他一方。Article 3 Interpretations 第三条 解释 For the purpose of these rules:就本惯

12、例而言：Where applicable,words in the singular include the plural and in the plural include the singular.在适用的条款中，单数的词形包含复数含义，复数的词形包含单数含义。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声明。4 A document may be signed by handwriting,facsimile signature,perforated s

13、ignature,stamp,symbol or any other mechanical 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 any signature,mark,stamp or label on the document which appears to

14、satisfy that requirement.当信用证含有要求使单据合法、签证、证实或对单据有类似要求的条件时，这些条件可由在单据上签字、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”,“competent”or“local”u

15、sed to describe the issuer of a document allow any issuer except the beneficiary to issue that document.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 as possible”will be disregarded.除非

16、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 similar will be interpreted as a stipulation that an event is to occur during a period of five calendar days before until five calendar days after the specified date,both start and end dates included.“在或大概”或类似词语用于某日期时，将被理解为一项约定，按此约定

17、，某项事件将在所述日期前后各五天内发生，起迄日均包括在内。The words“to”,“until”,“till”,“from”and“between”when used to determine a period of shipment include the date or dates mentioned,and the words“before”and“after”exclude the date mentioned.5 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

18、定装运日期时，包括提及日期。词语“X 月 X 日之前”(before)及“X 月 X 日之后”(after)不包括提及日期。The words“from”and“after”when used to determine a maturity date exclude the date mentioned.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提及日期。The terms“first half”and“second half”of a month shall be construed respectively as the 1st t

19、o the 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 1st to the 10th,the 11th to the 20th and the 21st to the last day of the month,all dat

20、es 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 credit by its nature is a separate transaction from the sale or other contract on which it may be based.Banks are in no way concerned with or bound by such contract,even if any

21、 reference whatsoever to it is included in the credit.Consequently,the undertaking of a bank to honour,to negotiate or to fulfil any other obligation under the credit is not subject to claims or defenses by the applicant resulting from its relationships with the issuing bank or the beneficiary.A ben

22、eficiary can in no case avail itself of the contractual relationships existing between banks or between the applicant and the issuing bank.6 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，一家银行作出承付、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

23、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 主要的部分 of the credit,copies of the underlying 基础的；基本的 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做法。Article 5 Documents v.Goods,Services or Performance 第五

24、条 单据与货物服务或履约行为 Banks deal with documents and not with goods,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。Article 6 Availability,Expiry Date and Place for Presentation 第六条 兑用方式、有效期和交单地点 a.A credit must state the bank with which it is available or whether it i

25、s available with any bank.A credit available with a nominated bank is also available with the issuing bank.a.信用证必须规定可以有效兑用信用证的银行，或者信用证是否对任何银行均为有效。对于指定银行兑用的信用证同样也可在开证行兑用。b.A credit must state whether it is available by sight payment,deferred payment,acceptance or negotiation.b.信用证必须规定它是否适用于即期付款、延期付款、

26、承兑或议付。c.A credit must not be issued available by a draft drawn on the applicant.7 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 presentation.An expiry date stated for honour or negotiation will be deemed to be an expiry date for presentation.d.i 信用证必须规定交单的有效期。规定的用于承付或者议付的有效期将被

27、认为是交单的有效期。ii.The place of the bank with which the credit is available is the place for presentation.The place for presentation under a credit available with any bank is that of any bank.A place for presentation other than that of the issuing bank is in addition to the place of the issuing bank.ii.可以

28、兑用信用证的银行所在地就是交单的地点。对任何银行均可兑用的信用证其交单地即是任何银行的所在地。除规定的交单地点外，开证行所在地也是交单地点。e.Except as provided in sub-article 29(a),a presentation by or on behalf of the beneficiary must be made on or before the expiry date.e.除第二十九条 a 款的规定外，由受益人或代表受益人提交的单据必须在到期日当日或之前提交。Article 7 Issuing Bank Undertaking 第七条 开证行的承诺（责任）a

29、.Provided that the stipulated documents are presented to the nominated bank or to the issuing bank and that they constitute a complying presentation,the issuing bank must honour if the credit is available by:只要规定的单据提交至指定银行或开证行并构成相符交单，开证行必须按下述信用证兑用方式予以承付：i.sight payment,deferred payment or acceptance

30、 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.由指定银行即期付款而该指定银行未予付款；8 iii.deferred payment with a nominated bank and that nominated bank does not incur its deferred payment undertaking or,having incurred its deferred payment u

31、ndertaking,does not pay at maturity;iii.由指定银行延期付款而该指定银行未予承诺延期付款，或者虽已承诺延期付款但于到期日未予付款；iv.acceptance with a nominated bank and that nominated bank does not accept a draft drawn on it or,having accepted a draft drawn on it,does not pay at maturity;iv.由指定银行承兑以其为付款人的汇票而该指定银行未予承兑，或者虽已承兑以其为付款人的汇票但于到期日未予付款；v

32、.negotiation with a nominated bank and that nominated bank does not negotiate.v.由指定银行议付而该指定银行未予议付。b.An issuing bank is irrevocably bound to honour as of 从.时起 the time it issues the credit.b.信用证一旦开立，开证行即不可撤销地承担承付责任。c.An issuing bank undertakes to reimburse a nominated bank that has honoured or negoti

33、ated a complying presentation and forwarded the documents to the issuing bank.Reimbursement for the amount of a complying presentation under a credit available by acceptance or deferred payment is due at maturity,whether or not the nominated bank prepaid or purchased before maturity.An issuing banks

34、 undertaking to reimburse a nominated bank is independent of the issuing banks undertaking to the beneficiary.c.指定银行对于相符交单予以承付或者议付并将单据递交给开证行后，开证行即承担偿付该指定银行的责任。对于兑用方式为承兑或延期付款的信用证来说，无论指定银行在汇票或承诺付款到期日之前是否予以预付或者购买，开证行凭相符交单偿付该项金额应于该到期日进行。开证行偿付指定银行的责任独立于开证行对受益人的承诺。Article 8 Confirming Bank Undertaking 第八条

35、 保兑行的承诺（责任）9 a.Provided that the stipulated documents are presented to the confirming bank or to any other nominated bank and that they constitute a complying presentation,the confirming bank must:a.只要规定的单据提交至保兑行或者任何其他指定银行并构成相符交单，保兑行必须：i.honour,if the credit is available by：i.承付，如果信用证兑用方式为：a）sight p

36、ayment,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;b）由另一家指定银行即期付款而该指定银行未予付款；c）deferred payment with another nominated bank and that nominated bank does not incur its deferred payment unde

37、rtaking or,having incurred its deferred payment undertaking,does not pay at maturity;c）由另一家指定银行延期付款而该指定银行未予承诺延期付款，或者虽已承诺延期付款但于到期日未予付款；d）acceptance with another nominated bank and that nominated bank does not accept a draft drawn on it or,having accepted a draft drawn on it,does not pay at maturity;d

38、）由另一家指定银行承兑以其为付款人的汇票而该指定银行未予承兑，或者虽已承兑以其为付款人的汇票但于到期日未予付款；e）negotiation with another nominated bank and that nominated bank does not negotiate.e）由另一家指定银行议付而该指定银行未予议付。ii.negotiate,without recourse,if the credit is available by negotiation with the confirming bank.ii.议付，没有追索权，如果信用证兑用方式为由保兑行议付。b.A confir

39、ming bank is irrevocably bound to honour or negotiate as of the time it adds its confirmation to the credit.b.保兑行一旦对信用证加具保兑，即不可撤销地承担承付或者议付的责任。10 c.A confirming bank undertakes to reimburse another nominated bank that has honoured or negotiated a complying presentation and forwarded the documents to

40、the confirming bank.Reimbursement for the amount of a complying presentation under a credit available by acceptance or deferred payment is due at maturity,whether or not another nominated bank prepaid or purchased before maturity.A confirming banks undertaking to reimburse another nominated bank is

41、independent of the confirming banks undertaking to the beneficiary.c.另一家指定银行对于相符交单予以承付或者议付并将单据递交给保兑行后，保兑行即承担偿付该指定银行的责任。对于兑用方式为承兑或延期付款的信用证来说，无论另一家指定银行在汇票或承诺付款到期日之前是否予以预付或者购买，保兑行凭相符交单偿付该项金额应于该到期日进行。保兑行偿付另一家指定银行的责任独立于保兑行对受益人的承诺。d.If a bank is authorized or requested by the issuing bank to confirm a cre

42、dit but is not prepared to do so,it must inform the issuing bank without delay and may advise the credit without confirmation.d.开证行授权或要求一家银行对信用证加具保兑，而如果该银行不准备照办时，它必须毫不延误地告知开证行，并可不加保兑地通知该信用证。Article 9 Advising of Credits and Amendments 第九条 信用证及其修改的通知 a.A credit and any amendment may be advised to a b

43、eneficiary through an advising bank.An advising bank that is not a confirming bank advises the credit 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知受益人。非保兑行的通知行通知信用证及其修改无须承诺予以承付或议付。b.By advising the credit or amendment,the advising bank signifies that it has sati

44、sfied itself as to the apparent authenticity of the credit or amendment and that the advice accurately reflects the terms and conditions of the credit or amendment received.11 b.信用证或其修改一经通知，即表明通知行已确信该信用证或修改的表面真实性，面且该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

45、(“second advising bank”)to advise the credit and any amendment to the beneficiary.By advising the credit or amendment,the second advising bank signifies that it has satisfied itself as to the apparent authenticity of the advice it has received and that the advice accurately reflects the terms and co

46、nditions of the credit or amendment received.c.通知行可以利用另一家银行（“第二通知行”）的服务向受益人通知信用证及其修改。通知信用证或其修改一经通知，即表明第二通知行已确信所收到的通知的表面真实性，面且该转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 of an advising bank or second advising bank to advise a credit must use the same bank to advise any amendment theret

47、o.d.利用通知行或第二通知行的服务通知的银行，必须经由同一家银行通知其后的修改。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 which the credit,amendment or advice has been received.e.如果一家银行被要求通知信用证或其修改面该银行决定不予通知，则必须毫不延误地通知向其发送信用证、修改或通知的银行。f.If a bank is requ

48、ested to advise a credit or amendment but cannot satisfy itself as to the apparent authenticity of the credit,the amendment or the advice,it must so inform,without delay,the bank from which the instructions appear to have been received.If the advising bank or second advising bank elects nonetheless

49、to advise the credit or amendment,it must inform the beneficiary or second advising bank that it has not been able to satisfy itself as to the apparent authenticity of the credit,the amendment or the advice.f.如果被要求通知信用证或修改而该银行不能确定该信用证、修改或通知的表面真实性，则必须毫不延误地告知表面上看来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该信用证或修改，则必须

50、告知受益人或第二通知行其未能核实该信用证、修改或通知的表面真实性。12 Article 10 Amendments 第十条 修改 a.Except as otherwise provided by article 38,a credit can neither be amended nor cancelled without the agreement of the issuing bank,the confirming bank,if any,and the beneficiary.a.除本惯例第三十八条另有规定外，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.