【作者】 王丹；

【导师】 李志文；

【作者基本信息】 大连海事大学 ， 海商法学， 2011， 硕士

【摘要】 本文以贷款人的法律风险控制为视角,立足于我国现行法律规定,结合方便旗船的特点以及融资中的具体风险,提出有针对性的法律风险防范措施。本文分五章展开论述。第一章分析方便旗船融资基础问题。方便旗船融资的专有特征是融资对象为悬挂方便旗的船舶,同时还具有投入高、技术性强、回报期长、风险性较大等-般特征。方便旗船公司多注册为单船公司,由该单船公司作为名义上或形式上的船舶所有人。方便旗单船公司有利于资金核算,在融资方面占有优势,如获得国家优惠税收政策支持,避开国家融资政策限制,拓宽船舶融资渠道。在我国,贷款融资和融资租赁是方便旗船舶融资的主要方式。第二章归纳方便旗船融资的法律风险,概括为法律规则和法律事实引起的融资风险。表现为方便旗船融资过程中面临多重法律管辖,方便旗国与港口国、船舶运营地、实际船东所属国之间的法律冲突,对贷款人的预期利益带来法律适用不确定的影响；方便旗船极易成为海上侵权主体,将削弱方便旗船舶抵押担保的效力；在方便旗船舶融资租赁模式下,贷款人将面临诸多船舶所有人责任风险。第三、四、五章分别对方便旗船融资事前、事中、事后法律风险控制方法进行了详细的论述。充分的事前调查是保证贷款人做出正确融资决策的必要前提,通过对船旗国法律和政治状况的调查、对方便旗船舶所有人权属和资信状况的调查、对方便旗船本身质量状况以及船舶优先权和船舶留置权的设置状况调查,指引贷款人到对其有利的司法领域办理融资手续,避免发生融资欺诈、做出正确的融资决策。事中通过合理地约定担保条款、保险条款以及有关船舶安全保障条款,有效控制贷款人法律风险的发生,并将法律风险的不利后果限制在可控范围。事后密切关注法律事实和法律规则变化,通过船舶扣押拍卖、公司法人人格否认,及时行使船舶抵押权,有效保障贷款人权益。更多还原

【Abstract】 Standing on the position of the lenders, the author has proposed certain measures to prevent legal risks in flag of convenience ship financing. This thesis is based on China’s current laws and combined with the specific characteristics of risks in flag of convenience ship financing.This thesis is divided into five chapters to analyze the issue.The first chapter analyzes the basic problems of flag of convenience ship financing with the characteristic that the financing funds is only aimed to flag of convenience vessels, meanwhile it also represents some general features, such as intensive capital input with technical and higher risks which returns in a relatively long period of time. Most flag of convenience shipping companies are registered as a single ship company, nominally owned the single ship. Enjoying some financing advantages as tax incentives, such companies would avoid the limitation of national financing policy and widen the channels for ship financing with clear financial account. In China, the typical modes in flag of convenience ship financing are ship mortgage finance and financial lease.The second chapter discusses the legal risks in flag of convenience ship financing, which generally caused by the rules of law and legal facts. In the process of finance, facing multiple jurisdictions among the flag state, port State, ship operator’s state and the actual ship owner’s state leads to the legal conflict, which would make an impact on the expected interests of lenders when the law application is uncertain. It is frequent that flag of convenience vessels involve in maritime tort. As a result, mortgage on flag of convenience vessels is weak. In the financial lease mode, the lenders will directly take the responsibility as a ship owner.Chapter three to five respectively present the measures of legal risks control during the whole process of ship financing with flag of convenience. Before ship financing, accurate survey assist lenders to make an appropriate financial decision, which includes legal and political status of the flag State, the ownership of vessels with convenience flag, the credit status of actual owner, the quality of ships, in addition to maritime lien. Accurate survey in advance also makes lenders choose proper state to perform financing procedures and avoid financial fraud. Then concluding a contract reasonably with warranty provisions, insurance items and safeguard agreements related to the safety of ships could effectively control legal risks and restrict adverse consequences. Lenders should also pay attention to the changes of legal facts and law, while fulfill the ship mortgage by auction. In particular circumstance, lenders would make a lawsuit to pierce the corporate veil and demand parent company to shoulder the responsibility.更多还原