【正文】 學(xué)校代碼：10254密 級(jí)：論文編號(hào)：上海海事大學(xué)SHANGHAI MARITIME UNIVERSITY 碩士學(xué)位論文 MASTER DISSERTATION 論文題目： 船舶抵押權(quán)相關(guān)法律問(wèn)題研究 學(xué)科專業(yè)： 國(guó)際法學(xué) 作者姓名： 陳若佳 指導(dǎo)老師： 蔣正雄 教授 完成日期： 二〇一〇年五月 摘 要現(xiàn)代金融業(yè)本身的脆弱性正在金融危機(jī)爆發(fā)中顯現(xiàn)出來(lái)，如何在價(jià)值創(chuàng)造與安全穩(wěn)定中實(shí)現(xiàn)最優(yōu)的安排體現(xiàn)在金融監(jiān)管與貸款擔(dān)保兩方面。船舶融資領(lǐng)域中的船舶抵押是保證船舶融資業(yè)務(wù)正常開(kāi)展的主要擔(dān)保形式，對(duì)船舶抵押權(quán)相關(guān)法律問(wèn)題的研究對(duì)于我國(guó)航運(yùn)業(yè)，金融業(yè)皆有裨益。本文研究范圍是由特殊抵押物船舶形成的擔(dān)保法律關(guān)系下的船舶抵押權(quán)相關(guān)法律問(wèn)題，包括船舶抵押權(quán)的基本理論以及船舶抵押權(quán)的設(shè)立、效力、實(shí)現(xiàn)。綜合考量海商法下船舶關(guān)系與船舶抵押權(quán)關(guān)系的特殊性，運(yùn)用大陸法系與英美法系的法學(xué)理論對(duì)船舶抵押權(quán)相關(guān)法律問(wèn)題進(jìn)行客觀合理的剖析，結(jié)合案例，對(duì)我國(guó)立法與司法實(shí)踐中產(chǎn)生的問(wèn)題進(jìn)行深入探討，最后提出對(duì)應(yīng)的建議。本文主要采用的研究方法有:比較分析法、歷史分析法、邏輯分析法、文義分析法等。以船舶抵押權(quán)從設(shè)立到實(shí)現(xiàn)的整個(gè)邏輯過(guò)程為主線，提出見(jiàn)解，以法律的社會(huì)與經(jīng)濟(jì)效果為宗旨融會(huì)貫通地分析問(wèn)題，從法律原則到法學(xué)基本理論再到實(shí)踐中存在的問(wèn)題，最后提出立法建議，形成一個(gè)完整的分析問(wèn)題到解決問(wèn)題的框架。除了引言和結(jié)論之外，本文共分為四章。第1章 主要通過(guò)比較分析法與歷史分析法以及文義分析法深刻剖析了船舶抵押權(quán)的性質(zhì)、船舶抵押權(quán)的法律關(guān)系、船舶抵押權(quán)的實(shí)現(xiàn)問(wèn)題、船舶抵押權(quán)的標(biāo)的,在最后一個(gè)部分探討了英國(guó)法下的船舶抵押權(quán)制度以及值得借鑒的方面。第2章 以船舶抵押權(quán)設(shè)立的過(guò)程為主線，探討了船舶抵押權(quán)設(shè)立中的基本問(wèn)題，并提出自己見(jiàn)解，其中第二節(jié)船舶原始登記中提出了我國(guó)船舶國(guó)籍登記以及船舶所有權(quán)登記中存在的問(wèn)題。 第三章對(duì)我國(guó)船舶抵押權(quán)的效力進(jìn)行了分析，包括船舶抵押權(quán)登記理論以及實(shí)務(wù)中的存在的問(wèn)題以及船舶抵押權(quán)的法律效力等法律問(wèn)題。本章具體涉及船舶抵押權(quán)登記的價(jià)值內(nèi)涵與功能，船舶抵押權(quán)登記的模式選擇，并結(jié)合我國(guó)與英美法下的登記制度作對(duì)比分析，提出我國(guó)船舶抵押權(quán)登記中存在的問(wèn)題及對(duì)應(yīng)的建議。 第四章對(duì)船舶抵押權(quán)的實(shí)現(xiàn)問(wèn)題進(jìn)行分析，分別闡述了船舶優(yōu)先權(quán)、船舶留置權(quán)、光船租賃權(quán)對(duì)船舶抵押權(quán)實(shí)現(xiàn)的影響，并提出了解決的對(duì)策與立法建議。關(guān)鍵詞：船舶抵押，抵押登記，抵押權(quán)的效力ABSTRACT Modern financial industry39。s fragility had been manifest by the financial crisis. How to realize the best arrangement under the principle of value creation and financial stability reflected in the financial supervision and loan guarantees. Ship mortgage in the field of ship financing is the main form of security to ensure normal development of ship financing business,the study of the legal problems of ship mortgage is profitable to the shipping industry and financial industry in China.The research scope of this study is the legal problems of ship mortgage under the Security Law formed by the special collateral vessel, including the basic theory of ship mortgage, the establish of ship mortgage, the effects of ship mortgage and the realization of ship mortgage.By the applying of the legal theory of Civil Law and Common Law and cases after prehensive consideration of the specificity of ship39。s relation and ship mortgage under Maritime Law this thesis had given a proper and objective analyse of the legal problems of ship mortgage from the point of Chinese legislation and judicial practice,in the end this thesis proposed corresponding suggestions.The main methods used are: parative analysis, historical analysis, logical analysis, literal analysis. The establishment of ship mortgage from the whole logical process to achieve the main line, put forward ideas to the social and economic effects of the law for the purpose of digest analysis, from the basic theory of legal principles to legal problems and then to practice, and finally put forward legislation proposal to form a plete analysis of the problem to the framework to solve the problem. Chapter 1 had dissect the nature of ship mortgage,the legal relation of ship mortgage, the realization of ship mortgage,the object of ship mortgage,in the final part of this chapter had given an exploration on ship mortgage under Common Law and the worth drawing aspect of the system of ship mortgage under Common Law.Chapter 2 take the establishment of ship mortgage as the principle line,probe into the basic problem in the establishment of ship mortgage and propose the personal opinion about these Two mainly refers to original ship registration,proposed the problems existed in Chinese ship nationality registration and ownership registration.Chapter 3 analyzed the effectiveness of ship mortgage, including the legal problems on the theory of the registration and the legal effectiveness of ship mortgage and chapter specifically refers to the connotation and value of ship mortgage,the function of ship mortgage,the choice of the registration mode of ship further given an parative analysis on the constitution of Chinese ship mortgage and American ship this chapter put forward the problems existed in Chinese ship mortgage registration and proposed corresponding suggestion. Chapter 4 discussed the realization of ship mortgage, including maritime liens, possessory liens, bareboat charter39。s impact on ship mortgage, and put forward the countermeasures and legislative proposals. Chen Ruojia (International Law) Directed by ZhenxiongKEYWORDS: mortgage of ship, registration of mortgage, effects of ship mortgage目 錄引 言 1第一章 船舶抵押權(quán)基本理論分析 2第一節(jié) 船舶抵押權(quán)的本質(zhì) 2一、擔(dān)保物權(quán)下的比較研究 2二、船舶抵押權(quán)的歷史淵源 4三、船舶抵押權(quán)的內(nèi)涵與機(jī)理 4四、船舶抵押權(quán)的性質(zhì) 5第二節(jié) 船舶抵押權(quán)客體分析 6一、船舶抵押權(quán)法律關(guān)系分析 6二、船舶抵押權(quán)標(biāo)的物分析 7第三節(jié) 船舶抵押權(quán)本體分析 8一、船舶抵押權(quán)人實(shí)現(xiàn)擔(dān)保利益的問(wèn)題分析 8二、我國(guó)關(guān)于船舶抵押權(quán)的法律規(guī)定 10三、英國(guó)法下的船舶抵押權(quán)分析 11第二章 船舶抵押權(quán)的設(shè)立 15第一節(jié) 船舶抵押權(quán)的設(shè)立概述 15一、船舶抵押權(quán)設(shè)立過(guò)程 15二、船舶抵押合意形式要求的比較分析 15第二節(jié) 船舶原始登記 17一、船舶原始登記概述 17二、船舶原始登記對(duì)船舶抵押權(quán)實(shí)現(xiàn)的影響 18三、案例分析與問(wèn)題 19四、船舶國(guó)籍登記與船舶所有權(quán)登記的法律法規(guī)與完善 23第三章 船舶抵押權(quán)的效力 26第一節(jié) 船舶抵押權(quán)登記 26一、船舶抵押權(quán)登記問(wèn)題的提出 26二、船舶抵押權(quán)登記的價(jià)值內(nèi)涵及功能 27三、船舶抵押權(quán)登記模式選擇 28四、英美法下的船舶抵押權(quán)登記制度及啟示 29五、船舶抵押權(quán)登記制度問(wèn)題分析 31第二節(jié) 船舶抵押權(quán)效力 33一、船舶抵押權(quán)效力概述 33二、我國(guó)船舶抵押權(quán)效力法律法規(guī)的完善 33第四章 船舶抵押權(quán)實(shí)現(xiàn)問(wèn)題分析 35第一節(jié) 船舶抵押權(quán)與船舶優(yōu)先權(quán)實(shí)現(xiàn)的競(jìng)合 35一、船舶優(yōu)先權(quán)的起源 35二、船舶優(yōu)先權(quán)的性質(zhì) 35三、船舶優(yōu)先權(quán)與船舶抵押權(quán)實(shí)現(xiàn)中的沖突 38四、船舶優(yōu)先權(quán)與船舶抵押權(quán)沖突的解決方法 39五、構(gòu)建我國(guó)優(yōu)先性船舶抵押權(quán)制度 39第二節(jié) 船舶抵押權(quán)與船舶留置權(quán)實(shí)現(xiàn)的競(jìng)合 40一、船舶留置權(quán)性質(zhì) 40二、船舶留置權(quán)對(duì)船舶抵押權(quán)實(shí)現(xiàn)的影響 40三、船舶抵押權(quán)與船舶留置權(quán)實(shí)現(xiàn)沖突的解決 41第三節(jié) 船舶抵押權(quán)與光船租賃權(quán)之間的沖突及解決 41一、船舶抵押權(quán)與光船租賃權(quán)之間的沖突 41二、船舶抵押權(quán)與光船租賃權(quán)實(shí)現(xiàn)沖突的解決 42結(jié) 論 43參考文獻(xiàn) 44致 謝 46引 言理論研究重在為社會(huì)實(shí)踐服務(wù)，選擇船舶抵押權(quán)作為研究課題基于以下幾點(diǎn)：第一，上海正在建設(shè)航運(yùn)中心與金融中心，航運(yùn)業(yè)的發(fā)展離不開(kāi)船舶融資，船舶抵押作為船舶融資中重要的擔(dān)保方式影響著船舶融資業(yè)務(wù)的開(kāi)展，研究與船舶抵押權(quán)相關(guān)的法律問(wèn)題對(duì)我國(guó)航運(yùn)金融服務(wù)軟環(huán)境的建設(shè)有著重要的意義。第二，金融危機(jī)爆發(fā)，西方融資來(lái)源枯竭使得中資銀行發(fā)展船舶融資業(yè)面臨契機(jī)與挑戰(zhàn)并存的局面。挑戰(zhàn)一則來(lái)源于信貸安全的保證，另一則源于對(duì)業(yè)務(wù)能力的把握。進(jìn)行船舶抵押權(quán)相關(guān)法律問(wèn)題的研究對(duì)銀行提高信貸風(fēng)險(xiǎn)防范能力有著重要作用。第三，中資銀行業(yè)務(wù)量的增多以及金融環(huán)境的復(fù)雜化意味著在未來(lái)，有我國(guó)當(dāng)事人參與以及由我國(guó)海事法院解決的船舶抵押糾紛案件會(huì)涉及到一些更加復(fù)雜的法律問(wèn)題。這使得對(duì)船舶抵押法律制度的研究有了必要。第四，現(xiàn)時(shí)雖然航運(yùn)景氣度有所回升，但許多船東和造船企業(yè)仍然面臨著船舶融資困難的問(wèn)題。船舶抵押權(quán)擔(dān)保債權(quán)實(shí)現(xiàn)的信度是銀行評(píng)估貸款風(fēng)險(xiǎn)，決定放貸與否的先決條件。合理完善的船舶抵押擔(dān)保制度能保障抵押權(quán)人的合法利益，同時(shí)也在一定程度上消除了船東資金融通的障礙。我國(guó)學(xué)者對(duì)船舶抵押權(quán)的研究主要集中在船舶抵