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UCP600未出版的正式意见TA640

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发表于 2009-9-8 22:20 | 显示全部楼层 |阅读模式

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单据上带有签字、标记、印戳或标签,即使该单据声明“已经认证(legalized)”而非“已经证实(certified)”,是否符合信用证的要求
$ Z; |0 ^/ T8 a* t9 L. lWhen a signature, mark, stamp or label is placed on a document, is the L/C complying even if the document states "legalized" instead of "certified"?
6 ?4 G8 r* O$ H5 l" F! [* Z. R/ E7 Q9 e8 w# U6 b$ H1 [( s
UCP600未出版的正式意见TA640
( k. U2 w+ O5 K+ \Official Opinion TA640 - Unpublished UCP 600
2 h( Q% Q) i# ~- j# `: F9 R  t9 I有关UCP600第3条和UCP500第20条(d)款
5 e/ g& T* I* a  I$ KFrom UCP600 - UCP 600 article 3 and UCP 500 sub-article 20 (d)
0 X* T: B' v& z# `9 q1 @% q# n, r3 m5 P! j
质疑
4 N: W% j: I3 @+ Z) l4 HQUERY : f& A- z9 V6 ?& @: t: ?7 Q
我们从N国的一家银行收到下述质疑:7 J! E' q  j/ |, [7 @# s
We received the following query from a bank in Country N: ( Z- ~' H  m, g: Y  V' a
“除了其他的条件外,我们经常收到信用证有这样的规定:‘商业发票由商会证实并由xxxx大使馆/领事馆认证。’* y, o9 u+ U% {1 I
UCP600第3条(第4段)和UCP500第20条(d)款规定:‘诸如单据须认证、签证、证明等类似要求,可由单据上任何看来满足该要求的签字、标记、印戳或标签来满足。’
: x) \' j8 P2 H: X1 Q: r! v; d& }3 \, S"On a regular basis we receive L/C's prescribing, amongst other conditions, 'commercial invoice to be certified by chamber of commerce and legalised by xxxx embassy/consulate.' 9 ~2 p" z8 ?  z. t0 g- J' K, Q+ g
UCP 600 article 3 (4th paragraph) and UCP 500 sub-article 20 (d) prescribes: '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 satisfy that requirement.' " N1 X4 C2 z) d' \2 h
在日常实务中,我们收到的许多商业发票(也有其他单据)是由商会认证的(仅看到签字)而不是由商会证实的(如有关信用证规定的那样)。
% ~9 W' ~/ d" h  @/ o) s2 S, l4 i( nIn daily practice, we receive many commercial invoices (and other documents) which are legalized (seen for the signature only) instead of certified by the chamber of commerce (as prescribed in the relative L/C.) # p% R" {& x0 l2 v
我们认为,由于下述两个理由而使单据不符:第一,信用证规定‘商业发票由商会证实’,而适用的UCP条款的措辞是‘满足该要求’(我们的意见是要求单据被证实)。7 n" k8 N6 }- E5 ]
In our opinion, the document is discrepant because of the following two reasons: first, the L/C prescribes 'commercial invoice to be certified by chamber of commerce' and the wording of the applicable UCP article reads 'to satisfy that requirement' (being - in our opinion - the requirement that the document is certified).
! d! r& d- ?7 {: L) ~  H第二,我们认为,单据的证实表示该单据的内容包括签字已被证实,而单据的认证仅表示签字经核实是具有法律约束力和有效的。你们同意我们的看法吗?”4 g( c6 s- c; S( A8 J
Second, we believe that the certification of a document means the full content of the document, including its signature, is certified and the legalization of a document means only that the signature is verified to be legally binding and valid. Do you endorse our opinion?" 8 ?3 q1 N  u+ N
我们讨论了这个质疑,出现下述意见分歧:第一,我们委员会中的几个成员完全同意N国银行的意见,他们也认为单据是不符的。第二,其他成员的意见如下:“诸如单据必须认证、签证、证实或类似的要求,可由表面看来满足了上述条件的单据上的任何签字、标记、印戳或标签来满足。该条款(如在信用证中所述)的实质不是‘证实、认证、签证’或类似的措辞要出现在单据中,而是某种形式的签字、标记、印戳或标签应当出现在单据中。”
( b% O: w( q7 A) ^1 I5 y) bWe have discussed the query and we have a difference of opinion, as follows: first, several members of our committee fully endorse the opinion of the bank in County N, and they also believe the document is discrepant. Second, other members believe as follows: "A requirement for a document to be legalized, visaed, certified or similar will be satisfied by any signature, mark, stamp or label on such document that on its face appears to satisfy the above condition. The essence of the article is not that the wording 'certified, or legalised, or visaed, or similar' (as mentioned in the L/C) is to appear in the document, but there be some form of signature, mark, stamp or label that should appear." 2 w& {. V; T0 Q  |
这些成员做出的结论是:“如果信用证规定某一单据必须由特定的一方证实、认证、签证或类似的要求,此类单据表明系由该特定方在单据上做出了某种形式的签字、标记、印戳或标签,就符合信用证的要求,即使该单据声明‘已经认证’而不是‘已经证实’。”& y& d7 A2 O7 z8 h" ^
These members conclude: "In case a L/C prescribes that a certain document must be certified legalized, visaed, or similar by a specific party and such document shows some form of signature, mark, stamp or label placed on the document by that specific party, such document is credit complying even in case the document, for instance, states 'legalized' instead of 'certified.'" / m8 g  r$ I# X
请告知你们支持哪一种意见。
. a3 b6 J+ u4 d( I) z7 z' EPlease let us know which of the two opinions you endorse.
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; U3 W8 ]7 Q6 Q4 e6 X- e3 k6 K分析/结论
- e$ ~8 x. L$ m2 Y: LANALYSIS/CONCLUSION1 v- u/ F8 ~4 U7 d% P3 Y8 }8 {# N
你们提到的信用证条款,即商业发票由商会证实并由xxxx大使馆/领事馆认证,包含了两个不同的要求,(1)发票由商会证实,(2)然后该单据由大使馆或者领事馆认证。
/ [" I7 }. K8 o4 k+ DThe term of the credit to which you refer, i.e., commercial invoice to be certified by chamber of commerce and legalized by xxxx embassy/consulate, contains two distinct requirements (1) that the invoice be certified by a chamber of commerce and (2) that the document then be legalized by an embassy or consulate. " }9 n1 L, m! I2 V+ q
出现在UCP600第3条(第4段)和UCP500第20条(d)款的措辞,其中第3条第4段的原文引述在质疑中,反映了在信用证没有提供明确的、表明符合证实及/或认证的要求条件时,对“已经证实(certified)”和“已经认证(legalized)”措辞的解释。
- Q/ F- F& Y( M( \The wording that appears in UCP 600 article 3 (4th paragraph) and UCP 500 sub-article 20 (d), for which the text in article 3 has been quoted in the query, reflects the interpretation of the words "certified" and "legalized" where the credit does not provide specific requirements to evidence compliance with a request for certification and/or legalization. ; N8 }& Q. Y1 _; G+ |
如果在质疑中所要求那种形式的商业发票没有包含商会证实和大使馆或领事馆认证的证明,那么该发票是明显不符的。确实,词语“已经证实(certified)”和“已经认证(legalized)”经常在商会和大使馆或领事馆证实或认证的情况下交替使用。然而,这并不能改变所讨论的质疑中分别由不同机构证实和认证的要求。
+ z; H( n" J7 ^( [) C4 mIf a commercial invoice, in the form requested in the query, does not contain evidence of certification by a chamber of commerce and legalization by an embassy or consulate, then it is clearly discrepant. It is true that often the terms "certified" and "legalized" are used interchangeably in the context of an action by a chamber of commerce and an embassy or consulate. However, this does not detract from the fact that under the query being discussed the requirement was for certification and legalization by the respective bodies.
. C3 U' Z# j+ I' ~% u- t  u对于由商会证实,UCP500和UCP600的要求是,单据必须显示签字、标记、印戳或标签以满足信用证中由商会证实的要求。信用证中缺少有关证实形式的词语时,没有要求银行确定此类证实的范围,即无论该证实是有关单据上的签字还是有关单据的内容。
0 X8 y; h8 K6 I; }For certification by a chamber of commerce, the requirement under UCP 500 and 600 is that the document must evidence a signature, mark, stamp or label that appears to satisfy the requirement in the credit of certification by a chamber of commerce. Absent any wording in the credit as to the form of certification, a bank is not required to determine the scope of such certification, i.e., whether it be in respect of a signature thereon or the data content of the document. 7 y4 K7 z' t! l8 q- ~9 P. E& w) i
单据的认证需要一定的程序,即在一个国家(“文件来源国”)出具的单据需要在另一个国家(“文件目的国”)使用,单据在文件目的国被认可为有效文件前必须经过“证实(authenticated)”或“认证(legalized)”。发生认证的情况一般是,在商会证实的基础上,通常再扩展到对商会签字的证实。此外,认证可由签字、标记、印戳或标签表明,以满足信用证中由指定的大使馆或领事馆认证的要求。
3 `2 H. l, |& wLegalization of documents entails a process whereby documents issued in one country ("Source Country") need to be used in another country ("Destination Country") and must be "authenticated" or "legalized" before they can be recognized as valid in the destination country. Legalization generally occurs on the strength of certification by a chamber of commerce and usually extends to the verification of the signature of the chamber of commerce. Again, legalization may be evidenced by a signature, mark, stamp or label that appears to satisfy the requirement in the credit of legalization by the named embassy or consulate.) r9 H  A- U7 q9 p: P( T
没有要求“已经证实(certified)”、“已经认证(legalized)”或“已经签证(visaed)”等词语需要出现在商业发票上。商会一般会在单据上加盖印戳并签字,开证行可能并不懂得与签字所关联的印戳和任何词语,比如,使用的是受益人国家的语言。同样,认证声明或印戳中使用的语言通常是进口国家的语言。正是由于这些原因,UCP规定银行接受看来已满足证实或认证要求的任何形式的签字、印戳、标记或标签。
: {1 D' S& N1 K3 K3 [& tThere is no requirement that the words "certified", "legalized" or "visaed", etc. appear on the commercial invoice. A chamber of commerce will generally add its stamp and signature to the document. The stamp and any wording linked to the signature may not be in a language understood by the issuing bank, e.g., it is in the language of the country of the beneficiary. Similarly, the language used in any legalization statement or stamp is generally that of the importing country. It is for these reasons that the UCP provides for banks to accept any form of signature, stamp, mark or label that appears to satisfy a requirement for certification or legalization.
- R& i' m- M; w  g4 @% Y( ~+ N7 c  O质疑中的国家委员会给出的意见中,第二个意见正确地运用了UCP600第3条(第4段)和UCP500第20条(d)款的用语。
1 |' @8 q( t5 t0 Z: f! FOf the opinions given by the national committee in the query, the second opinion is the correct application of the wording in UCP 600 article 3 (4th paragraph) and UCP 500 sub-article 20 (d).
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