CITF-学习笔记（5.2.1洗钱 Money laundering）

5.2.1洗钱 Money laundering

洗钱是指隐瞒和转移非法获得的资金，然后将其重新引入金融系统的罪行。简而言之，洗钱的目的是使通过非法活动获得的”肮脏”资金看起来”干净”。
Money laundering refers to the offence of concealing(隐瞒) and transferring illegally obtained money, then reintroducing it back into the financial system. Put simply, the purpose of money laundering is to make ‘dirty’ money obtained through illegal activity look ‘clean’.

“洗钱”过程涉及改变非法采购资产的所有权，如现金、银行账户、汽车、机械和房屋，以掩盖潜在的非法交易。这些资产的来源被进一步伪装，以便这些来源看起来合法。然后，这些资产被引导回金融体系。
The ‘laundering’ process involves changing the ownership of illegally procured assets such as cash, bank accounts, cars, machinery and houses to hide underlying illicit transactions. The origin of these assets is further disguised so that the sources seem legitimate. These assets are then channelled back into the financial system.

从历史上看，”洗钱”一词仅适用于有组织犯罪进行的金融交易，例如非法毒品交易。然而，该术语现在也包括逃税和虚假会计等白领犯罪。
Historically, the term ‘money laundering’ was only applied to financial transactions carried out by organised crime such as in the illegal drug trade. However, the term now also covers white collar crime such as tax evasion and false accounting as well.

洗钱者正变得越来越老练，因此，发现可疑交易变得更加困难。例如，如果跟单信用证被用作”清理”资金的手段，则所有三个阶段都可以同时进行。
Money launderers are becoming increasingly sophisticated and it is, therefore, even more difficult to spot suspect transactions. For example, if a documentary credit is used as a means to ‘clean’ money, all of the three stages could take place at the same time.

在许多国家，法律要求银行制定程序，包括适当的工作人员培训，以防止洗钱。
In many countries, banks are required by law to have procedures in place, including appropriate staff training, to forestall money laundering.

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返回：5.2 金融犯罪的形式Forms of financial crime

CITF-学习笔记（ 5.2 金融犯罪的形式-Forms of financial crime）

 5.2 金融犯罪的形式-Forms of financial crime

5.2.1 Money laundering
5.2.2 Main methods used in trade‑based money laundering
5.2.3 Terrorist financing
5.2.4 Sanctions evasion
5.2.5 Sanctions relating to terrorist financing
5.2.6 Sanctions screening
5.2.7 Proliferation and proliferation financing
5.2.8 Other forms of financial crime

在接下来的部分中，我们将介绍洗钱，恐怖主义融资，逃避制裁以及导致金融犯罪的潜在活动。
In the sections that follow we will cover money laundering, terrorist financing, sanctions evasion and the underlying activities that drive financial crime.

洗钱-Money laundering
这是指隐瞒通过贩毒等刑事犯罪获得的资金来源的行为。您将在 5.2.1 节中了解有关此内容的更多信息。
This refers to the act of concealing the origins of money that has been obtained through criminal offences such as drug trafficking. You will learn more about this in section 5.2.1.

恐怖主义融资-Terrorist financing
资助恐怖主义融资是一个相当直截了当的问题，但很难找到恐怖分子的普遍定义。你将在第5.2.2节中更多地了解金融行动特别工作组（FATF）和联合国（UN）使用的恐怖主义行为定义。
Defining terrorist financing is a fairly straightforward matter, but it is difficult to find a universal definition of a terrorist. You will learn more about the definition of terrorist acts used by the Financial Action Task Force (FATF) and the United Nations (UN) in section 5.2.2.

逃避制裁-Sanctions evasion
实施国际制裁是为了威慑和惩罚破坏和平世界秩序稳定的活动。您将在第 5.2.3 节中了解有关制裁以及如何规避制裁的更多信息。
International sanctions are put in place to deter and punish activity that destabilises the peaceful world order. You will learn more about sanctions and how they are evaded in section 5.2.3.

基础活动-Underlying activities
The following are some of the underlying activities that drive financial crime.
1.人口拐卖 – “…通过武力、欺诈或欺骗招募、运送、转移、窝藏或接收人员，目的是利用他们牟利。所有年龄和各种背景的男人、妇女和儿童都可能成为这种罪行的受害者，这种罪行发生在世界每个地区。
Human trafficking – “… the recruitment, transportation, transfer, harbouring or receipt of people through force, fraud or deception, with the aim of exploiting them for profit. Men, women and children of all ages and from all backgrounds can become victims of this crime, which occurs in every region of the world.” (UNODC, no date a)
2.移民走私 – “…为经济或其他物质利益，为非正常进入移徙者非国民或非居民的国家提供便利。
Migrant smuggling – “… the facilitation, for financial or other material gain, of irregular entry into a country where the migrant is not a national or resident.” (UNODC, no date b)
3.非法药物 – 《2020年世界毒品报告》详细列出了2018年估计有2.69亿非法药物使用者。这占全球人口的5.3%
Illegal drugs – The World Drug Report 2020 details an estimated 269m users of illegal drugs in 2018. This represents 5.3% of the global population (UNODC, 2020).

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CITF-学习笔记（5.1 开立账户贸易和金融犯罪-Open account trade and financial crime）

5.1 开立账户贸易和金融犯罪-Open account trade and financial crime

Banks have played a crucial role in international trade’s meteoric rise through offering services and products that allow buyers and sellers to increase their trading activity.银行通过提供服务和产品，使买卖双方能够增加其交易活动，在国际贸易的迅速增长中发挥了至关重要的作用。

在任何贸易交易中，很可能在某个时候会涉及多家银行。但是，正如您在前面的主题中了解到的那样，银行很少与交易的货物进行身体接触;他们只处理文档。提供的文件的数量和形式因交易类型而异。
In any trade transaction, it is likely that more than one bank will be involved at some point. However, as you learned in earlier topics, banks rarely come into physical contact with the goods being traded; they deal only with documentation. The amount and form of documentation provided varies according to the type of transaction.

例如，有了跟单信用证，银行就可能可以获得运输、商业和财务文件，如提单、商业发票和汇票。相比之下，对于赊账交易，可能只有很少或根本没有可用的文件。因此，金融犯罪更难被发现，特别是在洗钱方面。
With documentary credits, for example, banks will probably have access to shipping, commercial and financial documents such as bills of lading, commercial invoices and bills of exchange. In contrast, with open account trade, there may be little or no documentation available. As a consequence,financial crime is much harder to detect, particularly in relation to money laundering.

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CITF-学习笔记（4.5.1 仲裁法院Arbitration courts）

4.5.1 仲裁法院Arbitration courts

有许多组织提供仲裁服务;ICC 就是其中之一。自1923年成立以来，国际商会国际仲裁法院（称为”法院”）已处理了23，300多起案件，2017年涉及当事人的案件和来自142个国家的仲裁（ICC，2018年）。其他仲裁法院包括：
There are a number of organisations that provide arbitration services; ICC is one of them. Since its inception in 1923, the ICC International Court of Arbitration (known as ‘the Court’) has handled more than 23,300 cases, and in 2017 the cases involved parties and arbitration from 142 countries (ICC, 2018). Other arbitration courts include:
• 伦敦国际仲裁院-the London Court of International Arbitration (LCIA);
• 美国仲裁协会国际争议解决中心-the American Arbitration Association International Centre for Dispute Resolution;
• 香港国际仲裁中心the Hong Kong International Arbitration Centre.

法院和其他机构制定了仲裁规则和示范合同条款。伦敦国际仲裁院（2021）建议在合同中插入以下仲裁条款
The Court and other institutions have established rules of arbitration and model contract terms. The LCIA (2021) recommends that the following arbitration clause be inserted into contracts:

• “Any dispute arising out of or in connection with this contract, including any question regarding its existence, validity or termination, shall be referred to and finally resolved by arbitration under the Rules of the LCIA, which Rules are deemed to be incorporated by reference to this clause.（由本合同引起或与本合同有关的任何争议，包括有关其存在、有效性或终止的任何问题，均应提交并最终根据伦敦国际仲裁院规则通过仲裁解决，该规则被视为通过参考本条款并入。）
• The number of arbitrators shall be [one/three].（仲裁员人数为[一名/三名]）
• The seat, or legal place, of arbitration shall be [City and/or Country].（仲裁地或法定地点应为[城市和/或国家]。）
• The language used in the arbitration proceedings shall be [. . .].（仲裁程序中使用的语言应为[. . ..]）
• The governing law of the contract shall be the substantive law of [. . .]（合同的准据法应为[……]的实体法。)”.
英国法院通过决定自由签订此类条款的企业应期望相应地解决争议，从而加强了仲裁条款的价值。
The English courts have reinforced the value of arbitration clauses by deciding that businesses that freely enter into such clauses should expect to resolve disputes accordingly.

通常，提出争议的一方将根据商定的理由将此事提交给仲裁法院。如果争议提交给国际刑事法院法院，另一方必须在30天内作出回应。
Typically, the party raising the dispute will refer the matter, with reasons, to the arbitration court agreed upon. If the dispute is submitted to the ICC Court, the other party must respond within 30 days.
然后，仲裁员将研究这些意见和相关文件，并听取当事人提出的论点。仲裁员将听取当事人传唤的证人，包括专家的证词，并可指定自己的专家审查这些问题。
The arbitrators will then study these submissions and related documents and hear the arguments put by the parties. The arbitrators will hear witnesses, including experts, called by the parties and may appoint their own experts to examine the issues.
仲裁员作出的决定，包括决定由谁支付仲裁费用，对当事人具有约束力。但是，将有一个上诉程序，例如，如果一方认为仲裁员有偏见。
The decision made by the arbitrators, including deciding who should pay the costs of arbitration, is binding upon the parties. However, there will be an appeal process, for example if one party feels that the arbitrators have been biased.

Conclusion
参与销售商品或服务的所有各方都应充分了解其权利，义务和责任。合同，无论采取何种形式，都是正式确定双方义务的最佳方式，并有助于避免争议。但是，可能会发生违约行为，如果发生误解或争议，则有指导方针和机构来促进解决方案。
All parties involved in a sale of goods or services should be well aware of their rights, duties and liabilities. A contract, in whatever form it takes, is the best way to formalise the obligations of both parties and helps to avoid disputes. However, breaches in contract can occur and, should there be a misunderstanding or dispute, there are guidelines and institutions to facilitate resolutions.

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CITF-学习笔记（ 4.5 争议处理和仲裁-Dispute handling and arbitration）

 4.5 争议处理和仲裁-Dispute handling and arbitration

无论合同起草得多么谨慎，都不可能预见到每一种可能性，当买卖双方不熟悉彼此的商业惯例、法律和习俗时，就会产生误解。
However carefully contracts are drawn up, it is impossible to foresee every eventuality and, when buyers and sellers are unfamiliar with each other’s commercial practices, laws and customs, misunderstandings will occur.

发生这种情况时，有三种解决争议的基本方法：
When this happens, there are three basic means of resolving a dispute:
1) 双方首先试图达成双方都满意的妥协。这很便宜，没有第三方费用（仲裁员或律师），如果成功，也不会妨碍未来共同开展业务的机会。
Both sides first attempt to reach a mutually satisfactory compromise. This is cheap, with no third‑party fees (arbitrators or lawyers) and, if successful, will not get in the way of future opportunities for doing business together.
2) 仲裁涉及双方同意以独立的方式解决争议，并决定各方应采取何种措施来解决问题。这涉及到成本。
Arbitration involves both sides agreeing to an independent means of resolving a dispute and deciding what each party should do to resolve matters. There are costs involved.
3) 一种涉及律师和法院的法律补救措施，可能在不熟悉的司法管辖区。在双方都听取了法律意见后，他们可以同意妥协或将事情提交法院做出决定。向法院申请解决争议的决定通常是最后的手段，因为结果的不确定性，成本和当事人之间经常产生的不良情绪。然而，当一般法律原则有争议时，这可能是唯一的选择。
A legal remedy involving lawyers and courts, maybe in unfamiliar jurisdictions. After both sides have taken legal advice, they may agree to compromise or take matters before a court for a decision. An application to a court for a decision to resolve a dispute is usually a last resort because of the uncertainty of outcome, the cost and the bad feeling that is often engendered between the parties. However, when a general principle of law is at issue, this may be the only option.

当发生争议时，海外代理可以证明是有用的。事实上，信誉良好的代理商应首先防止争议的发生。然而，情况并非总是如此。代理商通常与海外客户具有相同的国籍和文化，可能会偏离对其委托人利益的全力支持，特别是在不保持定期沟通的情况下。
Overseas agents can prove to be useful when a dispute arises. In fact, a reputable agent should prevent a dispute from arising in the first place. However, that is not always the case. Agents, frequently of the same nationality and culture as the overseas customer, can stray from full support of their principal’s interests, particularly if regular communication is not maintained.
由于争议总是有可能最终在法庭上结束，因此合同必须指定将适用的管辖权，并且指定的管辖权应得到尊重，其法律是明确的。如果合同中包含仲裁条款，则指定的司法管辖区应为仲裁的宽容。
Because there is always a possibility that a dispute may end up in court, it is vital that contracts specify the jurisdiction that will apply and that the jurisdiction specified is one that is respected and whose laws are clear. If arbitration clauses are included in a contract, the jurisdiction specified should be one that is tolerant of arbitration.
仲裁的发生可能是因为合同当事人已将仲裁条款写入合同，要么是因为当发生争议时，他们同意通过仲裁解决问题。
Arbitration can come about either because the parties to a contract have written an arbitration clause into the contract or because, when a dispute has arisen, they have agreed to resolve the issues by arbitration.

国际商事仲裁示范法
MODEL LAW ON INTERNATIONAL COMMERCIAL ARBITRATION
有些国家采用了贸易法委员会的《国际商事仲裁示范法》（最初于1985年出版）。本法将仲裁协议定义为：
Some countries have adopted UNCITRAL’s ‘Model Law on International Commercial Arbitration’(originally published in 1985). This law defines an arbitration agreement as:
1.”当事各方同意将他们之间就一种确定的法律关系（不论是合同关系还是非合同关系）已经发生或可能发生的所有或某些纠纷提交仲裁”
“an agreement by the parties to submit to arbitration all or certain disputes which have arisen or which may arise between them in respect of a defined legal relationship, whether contractual or not”;
2.”仲裁协议可以采用合同中仲裁条款的形式，也可以采用单独协议的形式”
“an arbitration agreement may be in the form of an arbitration clause in a contract or in the form of a separate agreement”. (UNCITRAL, 2008, p4)
因此，仲裁可以涵盖商业合同的所有方面，而不仅仅是运输问题。使用Incoterms®将更容易解决问题。
Arbitration can therefore cover all aspects of a commercial contract, not just transport issues. The use of Incoterms® will make it easier to resolve matters covered by Incoterms®.

 

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CITF-学习笔记（4.4.1《销售公约》的内容-Content of the CISG）

4.4.1《销售公约》的内容-Content of the CISG

The CISG is divided into four parts.

第一部分 – 适用范围和一般规定（第1-13条）
Part I – Sphere of application and general provisions (Articles 1–13)
《销售公约》适用于缔约国之间的货物销售合同。无论双方居住在同一国家还是不同国家，它都适用。缔约国的贸易商与尚未批准《销售公约》的国家（如印度）的贸易商之间的合同可载有一项条款，在发生仲裁时，《销售公约》将适用该条款。《销售公约》管理私营企业之间货物国际销售合同;它不适用于向消费者销售和服务的销售，某些特定类型商品的销售也不在其范围之内（例如，库存和股票、船舶、飞机和电力的销售不受《销售公约》管辖）。
The CISG is applied to sale of goods contracts between contracting states. It applies whether the parties reside in the same country or different countries. A contract between a trader from a contracting state and a trader from a country that has not ratified the CISG, such as India, may contain a clause that, in the event of arbitration, the CISG would apply. The CISG governs contracts for the international sales of goods between private businesses; it does not apply to sales to consumers and sales of services, and sales of certain specified types of goods are also outside its scope (for example, sales of stocks and shares, ships, planes and electricity are not governed by CISG).
该条约的一个有争议的特点是，是否需要签署合同才能具有约束力。《销售公约》允许销售合同是口头的或未签署的;但是，在某些国家/地区，除非以书面形式签订，否则合同无效。合同当事人需要了解适用的规则。
One of the controversial features of the treaty is whether or not a contract needs to be signed to be binding. The CISG allows for a sales contract to be oral or unsigned; however, in some countries, a contract is not valid unless written. Parties to a contract will need to be aware of the rules that apply.

第二部分 – 合同的订立（第14-24条）
Part II – Formation of the contract (Articles 14–24)
任何合同要约必须发给某对象时，必须提供货物的全部细节，包括价格和数量，并且必须表明提出要约的人在接受要约时受约束的意图。
Any offer to contract must be addressed to a person, must give full details of the goods, including price and quantity, and must indicate an intention for the person making the offer to be bound on acceptance.
一般而言，一旦要约发出，只有在收到要约之前或同时或在受要约人接受要约之前，撤回到达被要约人（即要约被要约的一方）时，才可随后撤销要约。有些要约无法撤销，例如，当受要约人合理地依赖要约是不可撤销的时。
Generally, once the offer has been made, it may only be subsequently revoked if the withdrawal reaches the offeree (ie the party to whom the offer has been made) before or at the same time as the offer has been received ,or before the offeree has accepted the offer. There are some offers that cannot be revoked, for example when the offeree has reasonably relied upon the offer as being irrevocable.
《销售公约》要求采取积极行动表示接受。不活动或沉默不被承认为接受。
The CISG demands a positive act to indicate acceptance. Inactivity or silence is not recognised as acceptance.

第三部分 货物销售（第25-88条）
Part III – Sale of goods (Articles 25–88)
第25-88条概述了卖方和买方的义务，包括买方和卖方的共同义务，以及风险的转移。
Articles 25–88 outline the obligations of the seller and of the buyer, including those common to the buyer and seller, and the passing of risk.
根据《销售公约》，卖方”必须按照合同的要求交付货物，交出与货物有关的任何单据并转让货物的财产”（贸易法委员会，2010年，第9页）。买方的义务是采取”可以合理预期”的一切步骤（第18页），以便既收货又付款。此外，买方应检查货物，并在”合理时间”（第12页）内告知卖方任何不符合同情形。
Under the CISG, the seller “must deliver the goods, hand over any documents relating to them and transfer the property of the goods, as required by the contract” (UNCITRAL, 2010, p9). The duty of the buyer is to take all steps “which could reasonably be expected” (p18) in order to both take delivery of the goods and pay for them. In addition, the buyer is to examine the goods and advise the seller within a “reasonable time” (p12) of any lack of conformity.
虽然《销售公约》概述了风险何时从卖方转移到买方，但在实践中，将遵循潜在的国际贸易术语解释通则®（如FOB或CIF）
Although the CISG outlines when the risk passes from the seller to the buyer, in practice it is the underlying Incoterm® (such as FOB or CIF) that will be followed (see Topic 6 for further discussion of Incoterms®).

第四部分 – 最后条款（第89-101条）
Part IV – Final provisions (Articles 89–101)
最后条款概述了《销售公约》如何以及何时生效、允许的保留和声明，以及《销售公约》适用于两个贸易国有相同或类似法律的国际销售。
The final provisions outline how and when the CISG comes into force, permitted reservations and declarations, and the application of the CISG to international sales where both trading countries have the same or similar law.

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返回：4.4 《联合国国际货物销售合同公约》（《销售公约》）
UN Convention on Contracts for the International Sale of Goods (CISG)

CITF-学习笔记（4.4.2 对《销售公约》的批评-Criticism of the CISG）

4.4.2 对《销售公约》的批评-Criticism of the CISG

在发生违约的情况下，法院作出的决定在不同缔约国之间可能不一致。这是因为法官自然会使用国内法中常见的基本原则和方法来解释《销售公约》。
In the event of breaches in contract, decisions made by the courts can be inconsistent between different contracting countries. This is because the CISG is naturally interpreted by judges using the underlying principles and methods that are common in their domestic law.

条约的多语言版本彼此之间并不完全一致- 尽管这可以说是所有翻译成多种语言的条约。
There is also criticism that the multiple‑language versions of the treaty are not totally consistent with each other – although this could be said about all treaties that are translated into multiple languages.

《销售公约》不完整。例如，《销售公约》既不考虑电子合同，也不考虑服务销售，也不管辖合同的有效性。
There is also criticism that the CISG is incomplete. For example, the CISG considers neither electronic contracts nor the sale of services, and it does not govern the validity of the contract.

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返回：4.4 《联合国国际货物销售合同公约》（《销售公约》）
UN Convention on Contracts for the International Sale of Goods (CISG)

CITF-学习笔记（4.4 《联合国国际货物销售合同公约》（《销售公约》） UN Convention on Contracts for the International Sale of Goods (CISG)）

4.4 《联合国国际货物销售合同公约》（《销售公约》）
UN Convention on Contracts for the International Sale of Goods (CISG)

推荐阅读：
4.4.1 Content of the CISG
4.4.2 Criticism of the CISG

1980年《销售公约》是一项国际法协定，规定了关于国际货物销售合同订立的法律规则守则。《销售公约》是由联合国国际贸易法委员会（贸易法委员会）制定的，虽然它于1980年在维也纳签署，但直到1998年1月1日才生效，当时有11个国家批准了它。它有时被称为”维也纳公约”。
The 1980 CISG is an agreement under international law that provides a code of legal rules governing the formation of contracts for the international sale of goods. The CISG was developed by the United Nations Commission on International Trade Law (UNCITRAL) and although it was signed in Vienna in 1980 it did not come into force until 1 January 1998, when it was ratified by 11 countries. It is sometimes referred to as ‘the Vienna Convention’.

截至2020年9月，它已得到94个国家的批准，占世界贸易的很大一部分。
As of September 2020, it had been ratified by 94 countries, which accounts for a significant proportion of world trade.

已批准该条约的国家在条约中被称为”缔约国”。《销售公约》被视为已纳入这些缔约国之间任何贸易的国内法，除非个别合同的明文条款排除在外。
Countries that have ratified the treaty are referred to within the treaty as ‘contracting states’. The CISG is deemed to be incorporated into the domestic law of any trade between these contracting states, unless excluded by the express terms of the individual contract.
该名单中的主要缺席者包括印度，南非和英国，由于国内法律和政府原因，它们都决定不批准《销售公约》。
The major absentees from this list include India, South Africa and the UK, which for domestic legal and governmental reasons have all decided not to ratify the CISG.
在与尚未批准条约的国家的对应方打交道时，贸易商需要意识到，除非合同中另有规定，否则当地法律和习俗通常将适用，他们不应依赖条约条款来涵盖这些交易。
When dealing with counterparties in countries that have not ratified the treaty, traders need to be aware that local laws and customs will normally apply, unless otherwise specified in the contract, and they should not rely on the terms of the treaty to cover these transactions.
《销售公约》为起草国际合同确立了普遍规则，并允许出口商避免选择法律，而法律选择是涉及法律冲突的案件诉讼的一个阶段。
The CISG establishes universal rules for drafting international contracts and allows the exporter to avoid choice of law, which is a stage in the litigation of a case involving conflicts of laws.
《销售公约》以六种语言编写，贸易法委员会（2010年，第32页）将每种语言描述为”同等作准”，其风格都使用通俗易懂的语言。每一项案文都避免使用国内法律术语，并加以翻译，以便缔约国能够方便地加以解释。
The CISG is written in six languages – each described as “equally authentic” by UNCITRAL (2010, p32)– in a style that uses plain language. Each text avoids domestic legal terminologies and is translated so that it can be easily interpreted by the contracting states.

位于发展中国家的小型和中型企业和贸易商在与发达国家较大的对应方打交道时，往往具有相对较弱的讨价还价地位。此外，他们在谈判合同时通常无法获得法律咨询。通过为属于其范围的合同提供公平和统一的条例，《销售公约》可以对这些企业特别有利。
Small and mediu‑sized enterprises and traders located in developing countries can often have a relatively weak bargaining position when dealing with larger counterparties from the developed world. In addition, they generally lack access to legal advice when negotiating a contract. By providing fair and uniform regulations for contracts falling under its scope, the CISG can be particularly beneficial to such businesses.

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CITF-学习笔记（4.3 合同管理 Contract management）

4.3 合同管理 Contract management

这个过程 – 从潜在的订单到确定的合同，最后到交付 – 通常非常耗时，并且可能涉及卖方方面的多个部门。在合同前阶段，卖方必须与其销售部门和生产或供应部门联系，以便能够报出潜在的交货日期和价格。账户或出口部门必须熟悉并准备出口文件。
The process – from potential order to a firm contract and finally to delivery – will often be time‑consuming and may involve several departments on the seller’s side. At pre‑contract stage, the seller will have to liaise with its sales department and the production or supply department to be able to quote potential delivery dates and prices. The accounts or export department will have to become familiar with, and prepare, export documentation.

信用控制经理必须了解如何管理风险，并考虑最合适的结算方法。这可以是通过赊账，跟单信用证，提前付款或通过账单收取付款，具体取决于新客户的信用状况和状态报告。我们探索这些结算方法，以及与每种结算方法相关的买方和卖方风险。
The credit control manager must understand how to manage the risks and consider the most appropriate method of settlement. That could be payment by open account, documentary credit,payment in advance or by bill for collection, depending on the new customer’s credit standing and status report. We explore these methods of settlement, and the buyer and seller risks associated with each one, in more detail in Topic 7.

为了履行合同，需要团队合作，每个相关人员都必须谨慎处理其交易部分，以确保货物出口符合相关合同。
To fulfil the contract, a team effort is required and everyone involved must handle their part of the transaction with care to ensure that the export of goods is made in accordance with the relevant contract.
1.需要订购供应品或安排劳动力。
Supplies need to be ordered or labour arranged.
2.必须生产货物。
Goods must be manufactured.
3.必须安排包装。
Packaging must be arranged.
4.必须预订运输和运输空间。
Transport and shipping space must be booked.
5.货物必须及时发往港口、机场或目的地，或及时送达服务。
Goods will have to be despatched to the port, airport or place of destination in time, or services delivered in a timely manner.
6.所有必要的文件应由出口文件部门获取和提供。
All necessary documentation should be obtained and supplied by the export documentation department.
7.应告知买家运输细节。
The buyer should be advised of shipping details.
8.所有必要的文件必须尽快直接或通过银行系统提交给买方付款，具体取决于合同中规定的付款方式。
All necessary documents must be submitted for payment directly to the buyer or via the banking system, depending on the method of payment set out in the contract, as quickly as possible.
9.需要有效的出口订单管理来监督所有这些功能并定期检查进度。
Effective export order management will be required to oversee all these functions and to periodically check progress.

从订购日期到最终完成日期之间的成本变化并不罕见，必须考虑到这种风险，无论是在原材料，劳动力成本，保险和运费方面，还是在汇率波动的始终存在的因素中。如果合同要有利可图且可行，卖方将需要监控所有这些问题。
Changes in costs between the dates of order and final completion are not unusual and such risks must be allowed for, whether in raw materials, labour costs, insurance and freight costs, or the ever‑present factor of fluctuating exchange rates. The seller will need to monitor all of these issues if the contract is to be profitable and viable.

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CITF-学习笔记（4.2 订单流程 The ordering process）

4.2 订单流程 The ordering process

以下列表概括性地概述了卖方和买方之间如何处理订单。请注意，这只是一个指南，不包括跟单信用证或汇票等金融工具。
The following list outlines in general terms how an order may be processed between a seller and a buyer. Note that this is only a guide and does not include financial instruments such as documentary credits or bills of exchange.
1.收到买家的询问
An enquiry is received from a buyer.
2.卖方确定他们是否能够履行订单以及是否需要进行任何修改等。
The seller determines whether they are able to fulfil the order and whether any modifications are required, etc.
3.进行出口成本计算工作，以核实交易在商业上是否可行。
An export‑costing exercise is carried out to verify whether the transaction is commercially viable.
4.卖方此时可以进行尽职调查，以确定买方的信誉。
Due diligence may be carried out by the seller at this point to establish the creditworthiness of the buyer.
5.向买方提交书面报价
A written quotation is submitted to the buyer.
6.如果买方接受报价，则他们下订单。
If the buyer accepts the quotation, they place an order.
7.卖方接受订单。
The seller accepts the order.
8.订单由卖方处理，并安排货物的运输或服务的交付。
The order is processed by the seller and arrangements are made for shipment of the goods or delivery of services.
9.Goods are shipped.
10.任何相关文件都直接转发给买方或通过银行系统提交给买方。
Any relevant documents are forwarded direct to the buyer or through the banking system for presentation to the buyer.
11.收到货物或交付服务
Goods are received or services are delivered.
12.付款在合同规定的时间和方法进行。
Payment is made at the time and according to the method set out in the contract.
在已建立关系的情况下，可以使用电子邮件/传真或电子文档。
Where there is an established relationship, email/fax or electronic documentation may be used.

对于某些国家/地区，卖方必须向买方提供形式发票，并提供拟议装运的所有详细信息。买方可能要求这样做，以遵守当地的进口管制，或向中央银行申请释放外汇，或获得批准签发跟单信用证。
For some countries, the seller has to provide the buyer with a pro forma invoice, giving all the details of the proposed shipment. This may be required by the buyer to comply with local import controls, or for an application to the central bank for a release of foreign exchange, or to obtain approval for the issue of a documentary credit.

在没有现有协议的情况下，卖方可能会在贸易查询后甚至非常意外地收到形式发票。在这种情况下，它代表潜在买方的合同要约。卖方需要对买方进行所有必要的查询，然后决定是否接受提交的形式发票，协商更改或拒绝更改。
Where there is no existing agreement, a seller may receive a pro forma invoice following a trade enquiry or even quite unexpectedly. In such cases, it represents a contractual offer from a potential buyer. The seller would need to make all necessary enquiries regarding the buyer and then decide whether to accept the pro forma invoice as submitted, to negotiate changes or to refuse it.

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