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1学校代码：10254密级：论文编号：上海海事大学SHANGHAIMARITIMEUNIVERSITY硕士学位论文MASTERDISSERTATION论文题目：船舶抵押权相关法律问题研究学科专业：国际法学作者姓名：陈若佳指导老师：蒋正雄教授完成日期：二〇一〇年五月22摘要现代金融业本身的脆弱性正在金融危机爆发中显现出来，如何在价值创造与安全稳定中实现最优的安排体现在金融监管与贷款担保两方面。船舶融资领域中的船舶抵押是保证船舶融资业务正常开展的主要担保形式，对船舶抵押权相关法律问题的研究对于我国航运业，金融业皆有裨益。本文研究范围是由特殊抵押物船舶形成的担保法律关系下的船舶抵押权相关法律问题，包括船舶抵押权的基本理论以及船舶抵押权的设立、效力、实现。综合考量海商法下船舶关系与船舶抵押权关系的特殊性，运用大陆法系与英美法系的法学理论对船舶抵押权相关法律问题进行客观合理的剖析，结合案例，对我国立法与司法实践中产生的问题进行深入探讨，最后提出对应的建议。本文主要采用的研究方法有:比较分析法、历史分析法、逻辑分析法、文义分析法等。以船舶抵押权从设立到实现的整个逻辑过程为主线，提出见解，以法律的社会与经济效果为宗旨融会贯通地分析问题，从法律原则到法学基本理论再到实践中存在的问题，最后提出立法建议，形成一个完整的分析问题到解决问题的框架。除了引言和结论之外，本文共分为四章。第一章主要通过比较分析法与历史分析法以及文义分析法深刻剖析了船舶抵押权的性质、船舶抵押权的法律关系、船舶抵押权的实现问题、船舶抵押权的标的,在最后一个部分探讨了英国法下的船舶抵押权制度以及值得借鉴的方面。第二章以船舶抵押权设立的过程为主线，探讨了船舶抵押权设立中的基本问题，并提出自己见解，其中第二节船舶原始登记中提出了我国船舶国籍登记以及船舶所有权登记中存在的问题。第三章对我国船舶抵押权的效力进行了分析，包括船舶抵押权登记理论以及实务中的存在的问题以及船舶抵押权的法律效力等法律问题。本章具体涉及船舶抵押权登记的价值内涵与功能，船舶抵押权登记的模式选择，并结合我国与英美法下的登记制度作对比分析，提出我国船舶抵押权登记中存在的问题及对应的建议。第四章对船舶抵押权的实现问题进行分析，分别阐述了船舶优先权、船舶留置权、光船租赁权对船舶抵押权实现的影响，并提出了解决的对策与立法建议。3关键词：船舶抵押，抵押登记，抵押权的效力44ABSTRACTModernfinancialindustry'sfragilityhadbeenmanifestbythefinancialcrisis.Howtorealizethebestarrangementundertheprincipleofvaluecreationandfinancialstabilityreflectedinthefinancialsupervisionandloanguarantees.Shipmortgageinthefieldofshipfinancingisthemainformofsecuritytoensurenormaldevelopmentofshipfinancingbusiness,thestudyofthelegalproblemsofshipmortgageisprofitabletotheshippingindustryandfinancialindustryinChina.TheresearchscopeofthisstudyisthelegalproblemsofshipmortgageundertheSecurityLawformedbythespecialcollateralvessel,includingthebasictheoryofshipmortgage,theestablishofshipmortgage,theeffectsofshipmortgageandtherealizationofshipmortgage.BytheapplyingofthelegaltheoryofCivilLawandCommonLawandcasesaftercomprehensiveconsiderationofthespecificityofship'srelationandshipmortgageunderMaritimeLawthisthesishadgivenaproperandobjectiveanalyseofthelegalproblemsofshipmortgagefromthepointofChineselegislationandjudicialpractice,intheendthisthesisproposedcorrespondingsuggestions.Themainmethodsusedare:comparativeanalysis,historicalanalysis,logicalanalysis,literalanalysis.Theestablishmentofshipmortgagefromthewholelogicalprocesstoachievethemainline,putforwardideastothesocialandeconomiceffectsofthelawforthepurposeofdigestanalysis,fromthebasictheoryoflegalprinciplestolegalproblemsandthentopractice,andfinallyputforwardlegislationproposaltoformacompleteanalysisoftheproblemtotheframeworktosolvetheproblem.Chapter1haddissectthenatureofshipmortgage,thelegalrelationofshipmortgage,therealizationofshipmortgage,theobjectofshipmortgage,inthefinalpartofthischapterhadgivenanexplorationonshipmortgageunderCommonLawandtheworthdrawingaspectofthesystemofshipmortgageunderCommonLaw.Chapter2taketheestablishmentofshipmortgageastheprincipleline,probeintothebasicproblemintheestablishmentofshipmortgageandproposethepersonalopinion5abouttheseproblems.SectionTwomainlyreferstooriginalshipregistration,proposedtheproblemsexistedinChineseshipnationalityregistrationandownershipregistration.Chapter3analyzedtheeffectivenessofshipmortgage,includingthelegalproblemsonthetheoryoftheregistrationandthelegaleffectivenessofshipmortgageandpractice.Thischapterspecificallyreferstotheconnotationandvalueofshipmortgage,thefunctionofshipmortgage,thechoiceoftheregistrationmodeofshipmortgage.AndfurthergivenancomparativeanalysisontheconstitutionofChineseshipmortgageandAmericanshipmortgage.FinallythischapterputforwardtheproblemsexistedinChineseshipmortgageregistrationandproposedcorrespondingsuggestion.Chapter4discussedtherealizationofshipmortgage,includingmaritimeliens,possessoryliens,bareboatcharter'simpactonshipmortgage,andputforwardthecountermeasuresandlegislativeproposals.ChenRuojia(InternationalLaw)DirectedbyProf.JiangZhenxiongKEYWORDS:mortgageofship,registrationofmortgage,effectsofshipmortgage66目录引言...................................................................................................................................1第一章船舶抵押权基本理论分析.....................................................................................2第一节船舶抵押权的本质..............................................................................................2一、担保物权下的比较研究........................................................................................2二、船舶抵押权的历史渊源........................................................................................4三、船舶抵押权的内涵与机理....................................................................................4四、船舶抵押权的性质................................................................................................5第二节船舶抵押权客体分析..........................................................................................6一、船舶抵押权法律关系分析....................................................................................6二、船舶抵押权标的物分析........................................................................................7第三节船舶抵押权本体分析..........................................................................................8一、船舶抵押权人实现担保利益的问题分析...................................