提单物权效力论  

On the Real Right Effect of Bills of Lading

作　　者：孙思琪[1,2] SUN Siqi(School of Law,Shanghai Maritime University,Shanghai 201306,China;Law School,East China University of Political Science and Law,Shanghai 201620,China)

机构地区：[1]上海海事大学法学院,上海201306 [2]华东政法大学法律学院,上海201620

出　　处：《中国海商法研究》2025年第1期16-32,共17页Chinese Journal of Maritime Law

基　　金：2022年度上海市晨光计划“智能船舶私法规则研究”(22CGA56)。

摘　　要：提单的所谓物权凭证性质在中国长期存在争议,其实质是大陆法系所称提单的物权效力,系指交付提单与交付货物具有相同效力,由此可以满足货物物权变动的生效或对抗要件。英美法系认为提单是一种document of title,而大陆法系主要法域普遍均有提单物权效力的规定,长期以来形成了代表说、严格相对说、绝对说、物权效力否定说等较为稳定的学说。两大法系均认可提单代表货物的拟制占有或谓间接占有,提单的转让由此代表了货物占有的移转,但持有提单本身并不代表享有货物的所有权等物权。“提单代表货物”只是一种强调提单象征意义的简略表述。提单的物权效力在中国现行法下尚无明文规定,但具有作为习惯补充适用的空间,且《民法典》第598条也从买卖合同的角度提供了一定依据。提单交付对于货物所有权变动而言属于现实交付,而提单质押则应认定为权利质权。提单表征的货物拟制占有属于间接占有。提单电子化对物权效力的主要影响,应是如何对无形的电子提单认定占有。《海商法》修订应对提单的物权效力作出明确规定。There has long been controversy in Chinese law regarding the function of the bill of lading as a document of title.The Draft Shipping Law in the late Qing Dynasty and the legislations of the Republic of China both have provisions on the real right effect of bills of lading,but the Maritime Law of the People’s Republic of China does not make any provision for this.As early as the Republic of China,the view that the bill of lading is a document of title existed in theory.This view continued until the mid-1990s when it began to have a fierce debate in China over the real right effect of bills of lading.Cases during the Republic of China period rarely touched upon the real right effect of bills of lading.However,since the founding of the People’s Republic of China,courts at all levels have often made direct discussions in their judgments that the bill of lading is a document of title,among which Guiding Case No.111 of the Supreme People’s Court is the most typical.The common law system believes that the bill of lading is a document of title.In the common law system,serving as a document of title is one of the three functions of the bill of lading.The ocean bill of lading is the only document of title to goods at common law presently recognized under the English common law.As such,the transfer of a bill of lading is capable of transferring to the transferee the constructive/symbolic possession of the goods,and constructive possession means the control over a property without actual possession of it.The major jurisdictions of the civil law system generally have provisions on the real right effect of bills of lading,which is also called as the delivery effect of bills of lading.Based on the delivery effect of bills of lading,possession of bills of lading is equivalent to indirect possession of goods,and delivery of bills of lading is also equivalent to symbolic delivery of goods,which can meet the delivery required in transfer of property rights of goods.Over a long period of time,a stable distribution of theories

关 键 词：提单物权效力 document of title 交付 占有 物权变动 电子提单 

分 类 号：D996.19[政治法律—经济法学]