国际投资争端仲裁的透明度改革研究

发布时间：2017-12-31 10:08

本文关键词：国际投资争端仲裁的透明度改革研究　出处：《山东大学》2016年硕士论文　论文类型：学位论文

【摘要】：国际投资仲裁的透明度问题始于《北美自由贸易协定》,在CSID仲裁规则》下得到积极跟进,并在2014年的UNCITRAL《透明度公约》和《透明度规则》中后来居上。国际投资仲裁中的透明度规则主要包含仲裁信息上的公开,仲裁程序监督,仲裁裁决的公开三方面,主要涉及的个人与国家这对传统意义上不平等的主体,这也为之后投资仲裁程序埋下了改革的种子。研究国际投资争端仲裁的透明度改革问题,必将会涉及到NAFTA、ICSID和UNCITRAL三大仲裁机制。三大机制下各自仲裁规则的修订及发展的比较,是国际投资仲裁透明度改革发展研究的起点和关键,同时各大机制的修订及新规则的出现反映了投资实践对理论的需求趋势,也是对透明度改革实现路径的很好回答。随着《透明度规则》和《透明度公约》的签署和公开,透明度规则已经成为国际投资仲裁领域无法绕避的问题,但是保密性一直是仲裁的基本原则,从何种程度上加以突破或者改变仍旧是实践需要进一步考量的问题。本文在介绍透明度的同时,就透明度与秘密性之间的博弈也进行了分析,之后将透明度原则的适用落脚于中国的投资实践。本文第一部分主要对国际投资争端仲裁中的透明度问题进行了法理上的分析,指出透明度研究的价值取向以及在国际投资仲裁中增强透明度的合理性,进而简要的梳理出在国际投资仲裁中增强透明度的实现路径。尽管透明度改革是国际投资仲裁程序的大势所趋,但是如何进行改革,以何种深度来接纳透明度仍旧需要思考。本文第二部分通过具体分析制度与制度下的案例相结合,通过对NAFTA和ICSID的理论分析和实证分析,着重研究最新通过的《透明度规则》和《透明度条约》,并对规则和条约下的透明度原则适用标准进行阐述,以期对中国的投资实践提供借鉴。本部分同时分析了透明度实践对于现阶段投资实践的影响以及投资条约的新发展,无论是多边还是双边投资条约,必然会很大程度上反映透明度改革实践。进而文章第三部分以两者为借鉴去分析透明度原则和传统秘密性原则的博弈,通过透明度改革对原有仲裁秘密性的颠覆,进而论证透明度规则应该建立国际统一的适用标准,并分析了现阶段各个国家对于透明度改革的态度。本文第四部分回归到透明度改革对于中国投资实践的影响,主要包括对于目前中国正在签订的BIT条约和其他国际条约的影响,以及接纳透明度可以会对中国的国内法制及仲裁规则的冲击,并对中国是否应该积极参与透明度改革提出建议。综上所述,本文通过比较分析的方法,将实证研究与理论研究相结合,对透明度改革及其适用、影响进行了详细了阐述,最后回归到我国立法与司法实践中的问题,希望能对我国相关立法的完善以及投资实践有所裨益。
[Abstract]:The issue of transparency in international investment arbitration "began in the North American Free Trade Agreement", are actively follow up on the CSID Arbitration Rules >, and catch up from behind transparency in UNCITRAL< convention > and < 2014 >. Transparency rules in international investment arbitration arbitration transparency rules mainly contains information on the public supervision and arbitration arbitration procedure, open three mainly, inequality involving the individual and the state of the traditional sense of the subject, this is after the investment arbitration procedures laid the seeds of reform. Transparency on Reform of international investment dispute arbitration, will involve NAFTA, ICSID and UNCITRAL three arbitration mechanism. Comparison revision and development of the three mechanisms the arbitration rules, is the starting point and the key to the development of the reform of the international investment arbitration transparency, the mechanism appears at the same time revised and new rules reflect the investment The practice of demand theory, but also on the path to achieve good transparency reform with transparency rules answer. < > and < > the transparency convention signed and open, transparency has become the field of international investment arbitration can not avoid the problem, but security has always been the basic principles of arbitration, to break or change to what extent is still the practice needs further consideration problems. Based on the introduction of transparency and game between transparency and secrecy are analyzed, then the principle of transparency is settled in the investment practice. Chinese analyzed on Jurisprudence in the first part of the international investment dispute arbitration transparency problems, pointed out study on the value orientation of transparency and rationality to enhance transparency in the international investment arbitration, and then briefly sorted out in the international investment arbitration In the realization of the path to enhance transparency. Although transparency reform is represent the general trend of international investment arbitration procedures, but how to reform, in which the depth to accept transparency still need to think. The second part of this paper through the analysis of system and system of combining case, through theoretical analysis and empirical analysis of NAFTA and ICSID, focuses on the research of < transparency rules > and < the transparency of the treaty, and elaborates the applicable rules and treaties under the principle of transparency standards, provide reference for the investment practice in order to Chinese. This part also analyzes the practice for the new development of transparency effects of the current investment practice and investment treaties, whether multilateral or bilateral investment treaties that will largely reflect the transparency and reform practice. The third part of the article to them for reference to analyze the principle of transparency and tradition Secret game principle, through transparency reform to subvert the original arbitration confidentiality, applicable standards and that the transparency rules should be set up unified international, and analysis of the various countries at this stage for transparency toward reform. The fourth part return to the impact on investment China transparency reform practice, mainly including the influence on the current Chinese BIT treaty sign and other international treaties, as well as the impact of the domestic legal system and may accept the transparency of the arbitration rules Chinese, and whether China should actively participate in the proposed transparency reform. To sum up, this paper through the comparative analysis method, empirical research and theoretical research on the combination of transparency reform and its application, the effect of in detail, and finally return to the legislative and judicial practice in our country, the hope of China related legislation The improvement and investment practice are beneficial.

【学位授予单位】：山东大学
【学位级别】：硕士
【学位授予年份】：2016
【分类号】：D996.4

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