《"十二五"普通高等教育规划教材·国际经济与贸易学系列:国际结算(第二版)(适用于双语教学)(英文版)》 吴国新, 王殊, 尹肖妮, 蒋秀娟, 洪静, 孙钰 9787302456872,7302456879
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本书作者具有多年国际贸易领域的从业经验和教学经验，针对该课程教学的特点，专门为国际结算双语授课的学校打造了这本理论与实务并重的教材。
作者简介
作者：吴国新
吴国新，男，1969年11月生，博士，上海对外经贸大学教授，硕士生导师。浙江省诸暨市人民政府纺织服装产业专家咨询委员会委员。曾任上海对外贸易学院MBA教育中心执行主任，上海应用技术学院经济与管理学院副院长等职。主持和承担国家自然科学基金项目、教育部人文社会科学研究项目、上海市哲学社会科学规划项目、上海市科学技术委员会科研项目、上海高校优秀青年教师后备人选支助项目等10多项科研项目。在 等国内外重要学术期刊上发表30多篇学术论文，其中，1篇被SSCI检索，1篇被EI检索，1篇被人大复印资料全文转载，2篇被ISTP检索收录。主编《2010上海技术管理研讨会论文集》。2004年12月，被评为上海市优秀青年教师后备人选，2008年12月，获“上海市优秀青年教师”荣誉称号。
目录
Chapter 1 General Introduction
1.1 Origin and Development of International Settlement
1.1.1 Basic Concepts and Content of International Settlement
1.1.2 Evolution of International Settlement
1.1.3 Characteristics of Modem International Settlements
1.2 Basis and Conditions of International Settlement
1.2.1 Correspondent Banks in International Settlement
1.2.2 Some Organizations Relevant to International Settlement
1.3 International Payment Systems
1.3.1 Brief Introduction
1.3.2 Some Major Payment Systems
Chapter 2 Instruments of International Settlement
2.1 An Overview of Negotiable Instrument
2.1.1 Definition of Negotiable Instrument
2.1.2 Chief Features of Negotiable Instrument
2.1.3 Parties to Negotiable Instrument
2.2 Bill of Exchange
2.2.1 Defrnition of Bill of Exchange
2.2.2 Contents of Bill of Exchange
2.2.3 Parties to Bill of Exchange
2.2.4 Classification of Bill of Exchange
2.2.5 Acts of Bill of Exchange
2.2.6 The Roles and Advantages of Bill of Exchange
2.3 Promissory Note
2.3.1 Definition of Promissory Note
2.3.2 Characteristics of Promissory Note
2.3.3 Contents of Promissory Note
2.3.4 Classification of Promissory Note
2.3.5 Liabilities of the Parties
2.3.6 Differences between Promissory Note and Bill of Exchange
2.4 Check
2.4.1 Defrnition of Check
2.4.2 Contents of Check
2.4.3 Features of Check
2.4.4 Parties to Check
2.4.5 Classification of Check
2.4.6 Check Clearing
2.4.7 A Banker's Duty to Honor Checks
2.4.8 Dishonor of Checks
2.4.9 Differences between Check and Bill of Exchange
2.5 Cases： A Fraud Case with Forged Draft
Chapter 3 Renuttance
3.1 Outline of Remittance
3.1.1 Defmition of Remittance
3.1.2 Parties to Remittance
3.1.3 Types of Remittance
3.1.4 Characteristics of Remittance
3.2 Procedure for Remittance
3.2.1 Procedure for Remittance
3.2.2 Comparison of the M／T， T／T and D／D
3.3 Application of Remittance
3.3.1 Practice of Remittance
3.3.2 Advantages and Disadvantages of Remittance
3.3.3 The Function of Remittance in International Trade
3.4 Cases： Case about T／T
Chapter 4 Collection
4.1 Overview of Collection
4.1.1 Definition of Collection
4.1.2 Parties to Collection
4.1.3 Types of Collection
4.2 Documentary Collection Practice
4.2.1 Procedure of Documentary Collection
4.2.2 Collection Application Form and Order
4.2.3 Uniform Rules for Collection
4.3 Risk Protection and Financing under Collection
4.3.1 Risks Involved
4.3.2 Financing under the Collection
4.4 Cases
4.4.1 Case 1： A Dispute Triggered by Collecting Bank as the Drawee of a Drafi under a Collection
4.4.2 Case 2： A Dispute over the Responsibilities of Collecting Bank under D／P Terms
Chapter 5 Letter of Credit
5.1 Overview of L／C
5.1.1 Definition of L／C
5.1.2 Contents and Form of L／C
5.1.3 Characteristics of L／C
5.1.4 Parties Involved in L／C
5.2 Procedures of L／C
5.2.1 Issuance
5.2.2 Amendment
5.2.3 Utilization and Settlement
5.3 Types of L／C （Including Standby L／C）
5.3.1 Confirmed Irrevocable Credit
5.3.2 According to the Mode of Availability
5.3.3 Straight Credit
5.3.4 Anticipatory Credit
5.3.5 Transferable Credit
5.3.6 Back—to—Back Credit
5.3.7 Revolving Credit
5.3.8 Reciprocal Credit
5.3.9 Standby L／C
5.4 Key Issues under L／C
5.4.1 The Role of Banks
5.4.2 Common Problems with Documentary Credits
5.4.3 Risk Protection
5.4.4 Financing under L／C
5.4.5 Documentary Credit Application
5.4.6 Best Practice When Dealing with an L／C
5.4.7 Bank Fees
5.4.8 Conclusions
5.5 Cases
5.5.1 Case 1： A Dispute Incurred by Reimbursement Clause
5.5.2 Case 2： A Dispute Arising from Criteria of Document Examination of the Bank
5.5.3 Case 3： Banco Santander SA vs.Banque Paribas
Chapter 6 Other Methods of International Settlement
6.1 Bank's Letter of Guarantee
6.1.1 Concepts of L／G
6.1.2 Parties to L／G
6.1.3 Typesof L／G
6.1.4 Procedure of L／G
6.1.5 Contents of L／G
6.1.6 Comparison between L／G and L／C
6.2 Internationat Factoring
6.2.1 Concepts of International Factoring
6.2.2 The History and Trends of International Factoring
6.2.3 Parties to International Factoring
6.2.4 Types of International Factoring
6.2.5 Procedures of International Factoring
6.2.6 Application of International Factoring
6.3 Forfeiting
6.3.1 Concepts of Forfeiting
6.3.2 The Development of Forfeiting
6.3.3 Characteristics of Forfeiting
6.3.4 Parties to Forfeiting
6.3.5 Procedure of Forfeiting
6.3.6 Advantages and Disadvantages of Forfeiting
6.4 Cases
Chapter 7 Documents Used in International Settlement
7.1 Commercial Documents
7.1.1 Commercial Invoice
7.1.2 Customs Invoice
7.1.3 Packing List
7.2 Transport Documents
7.2.1 Marine Bills of Lading
7.2.2 Airway Bill
7.2.3 Railway Bill
7.3 Insurance Documents
7.3.1 Insurance Policy
7.3.2 Insurance Certificate
7.4 Official Documents
7.4.1 Certificate of Origin
7.4.2 Inspection Certificate
7.5 Documents Examinations and Disposal of Discrepancies
7.5.1 Document Checklists
7.5.2 Documents Examination
7.5.3 Disposal of Discrepancies
7.6 Cases
……
Chapter 8 Non—trade Settlement
Chapter 9 Cyber Payments
Appendix 1 Glossary
Appendix 2 ICC Uniform Rules for Collections
Appendix 3 ICC Uniform and Practice for Documentary Credit
Appendix 4 International Standby Practices （ISP98）
Appendix 5 ICC Uniform Rules for Bank—to—Bank Reimbursements under Documentary Credits （OCC Publication No.525）
References
Postscript
后记
序言
随着我国对外贸易的发展，国际结算业务面临着前所未有的发展机遇。国际结算业务能否顺利进行直接影响到企业贸易货款的收付和银行的声誉。为此，加强银企合作，帮助外贸企业加速资金周转和规避风险就显得十分重要。
无论是从事国际业务的银行工作人员还是外贸企业的业务人员，都需要对国际结算的相关理论和国际惯例有一个比较全面的认识和掌握。为适应这一需求，我们编写了《国际结算》这本书。在本书编写过程中，我们充分考虑到国际贸易和国际结算方面国际惯例的新变化和发展，例如，国际商会最新修订的《跟单信用证统一惯例》第600号出版物（简称UCP600），于2007年7月1日生效。同时，我们还特别注重体现以下特色：① 注重理论与实践相结合，力求原理清晰、实务突出，有利于培育学生综合应用能力和实际操作能力。② 突出应用性和操作性，该部分的知识内容力求与国际结算的具体业务紧密相连，强调案例分析。本书的许多素材来源于银行和企业结算的实践，主要包括：本人1995年到中国银行上海市浦东分行国际贸易结算部教学实践时索取的资料；近十多年来，本人在外贸类公司进行企业内训和专业培训中收集的结算素材。
本书共9章，力求做到理论和实践相结合，注重实际操作能力的培养。书中的内容涵盖国际贸易结算工具、国际贸易结算方式、国际结算单据以及国际结算方面的国际贸易惯例等。为方便读者使用，本书附录载有国际商会第600号《跟单信用证统一惯例》、国际商会第522号《托收统一规则》、国际商会《国际备用信用证实务》（ISP98）以及国际商会第525号《国际商会有关信用证项下银行偿付的统一规则》等。另外，为了方便教学，使教师高效、便捷地使用本书，我们特别提供免费的电子课件，读者可登录清华大学出版社网站免费下载。
本书由哈尔滨工业大学威海分校的尹肖妮、河南工业大学的王殊、上海对外经贸大学的蒋秀娟和吴国新、圣母湖大学商学院的孙钰、上海应用技术学院的洪静、上海商学院的何一红等老师编写。全书由吴国新负责大纲编写和组稿，由蒋秀娟老师和日内瓦大学的
Seamus Taggart博士审稿。在此，我们对两位主审在百忙中参与审稿表示感谢，同时还要感谢我们在编写本书的过程中参考的有关著作和文献的作者，谨对他们致以深切的谢意。
由于时间仓促，加之编者水平与经验有限，本教材在内容、编排和格式等方面，难免有不妥之处，敬请同行和广大读者指正。
吴国新
后记
本书是作者根据多年的教学、实践经验，为适应高等院校双语教学需要而编写的教材，书中对当前国际结算中采用的结算方式、结算工具、结算单据等内容做了详细介绍
文摘
版权页：
插图：
It may happen that a credit in favor of the benericiary is not stated to be transferable， meanwhile， the beneficiary himselfis just a middleman and needs to purchase them from another supplier.In this case， a back—to—back letter ofcredit can be used as an alternative to the transferable letter of credit.
Rather than transferring the original letter of credit to the supplier， once the letter ofcredit is received by the exporter from the opening bank， that letter of credit is used as security to establish a second letter of credit drawn on the exporter in favor of his supplier.So a back—to—back documentary credit process actually involves two separate documentary credits： one opened by the buyer in favor of the seller， and one opened for the account of the seller naming the actual supplier of the goods as the beneficiary.The first beneficiary of the first documentary credit becomes the applicant for the second documentary credit， who is responsible to the bank for payment regardless of whether or not he himselfis paid under the first credit.The terms and conditions of a back—to—back credit should be based on the primary credit so as to enable the beneficiary of the primary credit to pfoduce and surrender the documents in accordance with the terms and conditions of the primary credit.
本书作者具有多年国际贸易领域的从业经验和教学经验，针对该课程教学的特点，专门为国际结算双语授课的学校打造了这本理论与实务并重的教材。
作者简介
作者：吴国新
吴国新，男，1969年11月生，博士，上海对外经贸大学教授，硕士生导师。浙江省诸暨市人民政府纺织服装产业专家咨询委员会委员。曾任上海对外贸易学院MBA教育中心执行主任，上海应用技术学院经济与管理学院副院长等职。主持和承担国家自然科学基金项目、教育部人文社会科学研究项目、上海市哲学社会科学规划项目、上海市科学技术委员会科研项目、上海高校优秀青年教师后备人选支助项目等10多项科研项目。在 等国内外重要学术期刊上发表30多篇学术论文，其中，1篇被SSCI检索，1篇被EI检索，1篇被人大复印资料全文转载，2篇被ISTP检索收录。主编《2010上海技术管理研讨会论文集》。2004年12月，被评为上海市优秀青年教师后备人选，2008年12月，获“上海市优秀青年教师”荣誉称号。
目录
Chapter 1 General Introduction
1.1 Origin and Development of International Settlement
1.1.1 Basic Concepts and Content of International Settlement
1.1.2 Evolution of International Settlement
1.1.3 Characteristics of Modem International Settlements
1.2 Basis and Conditions of International Settlement
1.2.1 Correspondent Banks in International Settlement
1.2.2 Some Organizations Relevant to International Settlement
1.3 International Payment Systems
1.3.1 Brief Introduction
1.3.2 Some Major Payment Systems
Chapter 2 Instruments of International Settlement
2.1 An Overview of Negotiable Instrument
2.1.1 Definition of Negotiable Instrument
2.1.2 Chief Features of Negotiable Instrument
2.1.3 Parties to Negotiable Instrument
2.2 Bill of Exchange
2.2.1 Defrnition of Bill of Exchange
2.2.2 Contents of Bill of Exchange
2.2.3 Parties to Bill of Exchange
2.2.4 Classification of Bill of Exchange
2.2.5 Acts of Bill of Exchange
2.2.6 The Roles and Advantages of Bill of Exchange
2.3 Promissory Note
2.3.1 Definition of Promissory Note
2.3.2 Characteristics of Promissory Note
2.3.3 Contents of Promissory Note
2.3.4 Classification of Promissory Note
2.3.5 Liabilities of the Parties
2.3.6 Differences between Promissory Note and Bill of Exchange
2.4 Check
2.4.1 Defrnition of Check
2.4.2 Contents of Check
2.4.3 Features of Check
2.4.4 Parties to Check
2.4.5 Classification of Check
2.4.6 Check Clearing
2.4.7 A Banker's Duty to Honor Checks
2.4.8 Dishonor of Checks
2.4.9 Differences between Check and Bill of Exchange
2.5 Cases： A Fraud Case with Forged Draft
Chapter 3 Renuttance
3.1 Outline of Remittance
3.1.1 Defmition of Remittance
3.1.2 Parties to Remittance
3.1.3 Types of Remittance
3.1.4 Characteristics of Remittance
3.2 Procedure for Remittance
3.2.1 Procedure for Remittance
3.2.2 Comparison of the M／T， T／T and D／D
3.3 Application of Remittance
3.3.1 Practice of Remittance
3.3.2 Advantages and Disadvantages of Remittance
3.3.3 The Function of Remittance in International Trade
3.4 Cases： Case about T／T
Chapter 4 Collection
4.1 Overview of Collection
4.1.1 Definition of Collection
4.1.2 Parties to Collection
4.1.3 Types of Collection
4.2 Documentary Collection Practice
4.2.1 Procedure of Documentary Collection
4.2.2 Collection Application Form and Order
4.2.3 Uniform Rules for Collection
4.3 Risk Protection and Financing under Collection
4.3.1 Risks Involved
4.3.2 Financing under the Collection
4.4 Cases
4.4.1 Case 1： A Dispute Triggered by Collecting Bank as the Drawee of a Drafi under a Collection
4.4.2 Case 2： A Dispute over the Responsibilities of Collecting Bank under D／P Terms
Chapter 5 Letter of Credit
5.1 Overview of L／C
5.1.1 Definition of L／C
5.1.2 Contents and Form of L／C
5.1.3 Characteristics of L／C
5.1.4 Parties Involved in L／C
5.2 Procedures of L／C
5.2.1 Issuance
5.2.2 Amendment
5.2.3 Utilization and Settlement
5.3 Types of L／C （Including Standby L／C）
5.3.1 Confirmed Irrevocable Credit
5.3.2 According to the Mode of Availability
5.3.3 Straight Credit
5.3.4 Anticipatory Credit
5.3.5 Transferable Credit
5.3.6 Back—to—Back Credit
5.3.7 Revolving Credit
5.3.8 Reciprocal Credit
5.3.9 Standby L／C
5.4 Key Issues under L／C
5.4.1 The Role of Banks
5.4.2 Common Problems with Documentary Credits
5.4.3 Risk Protection
5.4.4 Financing under L／C
5.4.5 Documentary Credit Application
5.4.6 Best Practice When Dealing with an L／C
5.4.7 Bank Fees
5.4.8 Conclusions
5.5 Cases
5.5.1 Case 1： A Dispute Incurred by Reimbursement Clause
5.5.2 Case 2： A Dispute Arising from Criteria of Document Examination of the Bank
5.5.3 Case 3： Banco Santander SA vs.Banque Paribas
Chapter 6 Other Methods of International Settlement
6.1 Bank's Letter of Guarantee
6.1.1 Concepts of L／G
6.1.2 Parties to L／G
6.1.3 Typesof L／G
6.1.4 Procedure of L／G
6.1.5 Contents of L／G
6.1.6 Comparison between L／G and L／C
6.2 Internationat Factoring
6.2.1 Concepts of International Factoring
6.2.2 The History and Trends of International Factoring
6.2.3 Parties to International Factoring
6.2.4 Types of International Factoring
6.2.5 Procedures of International Factoring
6.2.6 Application of International Factoring
6.3 Forfeiting
6.3.1 Concepts of Forfeiting
6.3.2 The Development of Forfeiting
6.3.3 Characteristics of Forfeiting
6.3.4 Parties to Forfeiting
6.3.5 Procedure of Forfeiting
6.3.6 Advantages and Disadvantages of Forfeiting
6.4 Cases
Chapter 7 Documents Used in International Settlement
7.1 Commercial Documents
7.1.1 Commercial Invoice
7.1.2 Customs Invoice
7.1.3 Packing List
7.2 Transport Documents
7.2.1 Marine Bills of Lading
7.2.2 Airway Bill
7.2.3 Railway Bill
7.3 Insurance Documents
7.3.1 Insurance Policy
7.3.2 Insurance Certificate
7.4 Official Documents
7.4.1 Certificate of Origin
7.4.2 Inspection Certificate
7.5 Documents Examinations and Disposal of Discrepancies
7.5.1 Document Checklists
7.5.2 Documents Examination
7.5.3 Disposal of Discrepancies
7.6 Cases
……
Chapter 8 Non—trade Settlement
Chapter 9 Cyber Payments
Appendix 1 Glossary
Appendix 2 ICC Uniform Rules for Collections
Appendix 3 ICC Uniform and Practice for Documentary Credit
Appendix 4 International Standby Practices （ISP98）
Appendix 5 ICC Uniform Rules for Bank—to—Bank Reimbursements under Documentary Credits （OCC Publication No.525）
References
Postscript
后记
序言
随着我国对外贸易的发展，国际结算业务面临着前所未有的发展机遇。国际结算业务能否顺利进行直接影响到企业贸易货款的收付和银行的声誉。为此，加强银企合作，帮助外贸企业加速资金周转和规避风险就显得十分重要。
无论是从事国际业务的银行工作人员还是外贸企业的业务人员，都需要对国际结算的相关理论和国际惯例有一个比较全面的认识和掌握。为适应这一需求，我们编写了《国际结算》这本书。在本书编写过程中，我们充分考虑到国际贸易和国际结算方面国际惯例的新变化和发展，例如，国际商会最新修订的《跟单信用证统一惯例》第600号出版物（简称UCP600），于2007年7月1日生效。同时，我们还特别注重体现以下特色：① 注重理论与实践相结合，力求原理清晰、实务突出，有利于培育学生综合应用能力和实际操作能力。② 突出应用性和操作性，该部分的知识内容力求与国际结算的具体业务紧密相连，强调案例分析。本书的许多素材来源于银行和企业结算的实践，主要包括：本人1995年到中国银行上海市浦东分行国际贸易结算部教学实践时索取的资料；近十多年来，本人在外贸类公司进行企业内训和专业培训中收集的结算素材。
本书共9章，力求做到理论和实践相结合，注重实际操作能力的培养。书中的内容涵盖国际贸易结算工具、国际贸易结算方式、国际结算单据以及国际结算方面的国际贸易惯例等。为方便读者使用，本书附录载有国际商会第600号《跟单信用证统一惯例》、国际商会第522号《托收统一规则》、国际商会《国际备用信用证实务》（ISP98）以及国际商会第525号《国际商会有关信用证项下银行偿付的统一规则》等。另外，为了方便教学，使教师高效、便捷地使用本书，我们特别提供免费的电子课件，读者可登录清华大学出版社网站免费下载。
本书由哈尔滨工业大学威海分校的尹肖妮、河南工业大学的王殊、上海对外经贸大学的蒋秀娟和吴国新、圣母湖大学商学院的孙钰、上海应用技术学院的洪静、上海商学院的何一红等老师编写。全书由吴国新负责大纲编写和组稿，由蒋秀娟老师和日内瓦大学的
Seamus Taggart博士审稿。在此，我们对两位主审在百忙中参与审稿表示感谢，同时还要感谢我们在编写本书的过程中参考的有关著作和文献的作者，谨对他们致以深切的谢意。
由于时间仓促，加之编者水平与经验有限，本教材在内容、编排和格式等方面，难免有不妥之处，敬请同行和广大读者指正。
吴国新
后记
本书是作者根据多年的教学、实践经验，为适应高等院校双语教学需要而编写的教材，书中对当前国际结算中采用的结算方式、结算工具、结算单据等内容做了详细介绍
文摘
版权页：
插图：
It may happen that a credit in favor of the benericiary is not stated to be transferable， meanwhile， the beneficiary himselfis just a middleman and needs to purchase them from another supplier.In this case， a back—to—back letter ofcredit can be used as an alternative to the transferable letter of credit.
Rather than transferring the original letter of credit to the supplier， once the letter ofcredit is received by the exporter from the opening bank， that letter of credit is used as security to establish a second letter of credit drawn on the exporter in favor of his supplier.So a back—to—back documentary credit process actually involves two separate documentary credits： one opened by the buyer in favor of the seller， and one opened for the account of the seller naming the actual supplier of the goods as the beneficiary.The first beneficiary of the first documentary credit becomes the applicant for the second documentary credit， who is responsible to the bank for payment regardless of whether or not he himselfis paid under the first credit.The terms and conditions of a back—to—back credit should be based on the primary credit so as to enable the beneficiary of the primary credit to pfoduce and surrender the documents in accordance with the terms and conditions of the primary credit.
| ISBN | 9787302456872,7302456879 |
|---|---|
| 出版社 | 清华大学出版社 |
| 作者 | 吴国新 |
| 尺寸 | 16 |