论国际商事仲裁中的第三方出资及其规制
发布时间：2018-03-01 14:16
本文关键词： 第三方出资 国际商事仲裁 利益冲突 披露义务 出处：《安徽大学》2017年硕士论文 论文类型：学位论文
【摘要】：第三方出资(Third Party Funding)日渐成为国际商事仲裁领域的热点话题之一,但国际上对第三方出资尚无统一定义。具体而言,在国际商事仲裁中,第三方出资的主体是专门从事第三方出资活动的个人或实体;出资的客体是"有意义的"商事仲裁请求;出资的对象是仲裁当事人;出资方式主要是通过为仲裁申请人提供资金或其他物质支持;出资的目的一般来说是通过投资获取收益,在胜诉时,与被出资者分享一定比例的胜诉收益,而在败诉时,出资者对所支付的仲裁费用不享有向被出资者追偿的权利。第三方出资主要因其是与案件无关的第三人而区别于风险代理收费制度;因其收益来源于胜诉案件收益的一定比例而区别于诉讼保险制度;因第三方无法取代被出资者的地位而不同于债权转让制度。第三方出资能够在实践中得到发展源于其对被出资者合法权益的维护、对"无意义"之诉的筛选功能以及对违法行为者的震慑作用。当然,通过其功能的发挥,第三方出资不仅促进了纠纷的解决,维护了良好的社会秩序,也在一定程度上提高了商事仲裁的审判质量,使司法压力得到缓解。但是第三方出资在国际商事仲裁实践中的发展也引发了一系列问题。其作为与案件无关的案外人参与到仲裁中,势必会造成与仲裁各当事方的利益冲突问题。在第三方出资案件中,出资者会对案件进行不同程度干涉,从而引发与被出资者之间的利益冲突;出资者在案件中可能会掌握选聘律师的权利,从而可能引发与被出资者的律师之间的利益冲突;出资者因可能与仲裁员有潜在的利益关系,从而影响仲裁员的公正与独立性。同时,出资者作为案外人参与到仲裁中,其通过被出资者会获得很多仲裁进程相关的信息,甚至会获得仲裁另一方当事人的信息,而这些信息的泄漏很可能会为当事人带来很多不利影响。因此,第三方出资对仲裁的保密性带来挑战。出资者参与仲裁之后的费用承担问题也引起广泛关注,问题焦点主要在于对第三方出资费用的定性。当被出资者胜诉时,其是否可以要求仲裁被申请人赔偿第三方出资仲裁产生的费用?赔偿的费用是否可以包括被出资者承诺分给第三方出资者的胜诉收益?可见,第三方出资为仲裁费用制度带来很多新问题。另外,第三方出资者在各种利益驱使以及出资关系缺乏透明度的因素影响下,也很容易引起滥诉问题。第三方出资是近年来才进入国际商事仲裁领域的新兴事物,现行仲裁机构规则对出资者以及其引起的问题尚未进行规定。因此,必须采取措施解决上述问题,才能使其发挥应有价值,推进国际商事仲裁的发展。从仲裁机构的角度来说,需要修改或重新解释现行仲裁规则,规定仲裁当事人、第三方出资者以及仲裁员的强制披露义务,仲裁机构在接到披露内容后要开始自动审查利益冲突问题;因第三方出资者对仲裁保密性的影响,现行仲裁规则可以将第三方出资者纳入保密义务的主体,要求其对与仲裁有关的实体和程序信息以及在仲裁中获取的其他信息进行保密;而第三方出资仲裁费用根据费用类型不同,可分为两种,一种是为了启动和维持仲裁程序所必须支付的费用,另一种是在被出资者胜诉时,依据出资协议需要支付给出资者的报酬。对第三方出资仲裁所发生的第一种费用应定性为仲裁费用,被出资者胜诉时,在由败诉方承担仲裁费用的规则下,可以规定第三方出资仲裁的费用由败诉方承担;而对于第二种费用,被出资者若向仲裁庭主张由仲裁被申请人承担,则有点过度补偿的性质,对仲裁被申请人而言显失公平。而第三方出资引起的滥诉问题的解决也要基于仲裁当事人、第三方出资者及仲裁员的披露义务,使出资关系能够透明化,从而减少滥诉行为的发生。我国是第三方出资发展的一个巨大的潜在市场。为提高我国仲裁机构的竞争力,我国应看到第三方出资在国际商事仲裁领域的发展,积极引入第三方出资,吸引更多的商事主体选择在我国的仲裁机构进行仲裁,推进我国仲裁事业的发展。我国大陆引入第三方出资的必要性在于,一方面近年来我国商事仲裁快速发展,仲裁费用负担较重;另一方面我国大陆仲裁机构在国际商事仲裁领域的竞争力较弱。第三方出资在国际商事领域蓬勃发展的时期,我国大陆仲裁机构要想提升在国际商事仲裁领域的竞争力,必须要迎合时代的发展,引入第三方出资。同时,也必须要清楚的认识到其带来的各种问题,对我国现行的仲裁机构规则进行适当的修改和重新解释,尽可能的做到防患于未然。
[Abstract]:Third party investment (Third Party Funding) has become one of the hot topics in the field of international commercial arbitration, international investment of third but there is no uniform definition. Specifically, in the international commercial arbitration, the third party is the main contribution of the individual or entity engaged in the third party investment activities; investment is the object of "commercial arbitration the meaning of" capital is the object of the request; arbitration; investment is the main way by providing funds or other material support for arbitration to the applicant; investment is generally to obtain income through investment in wins appeal, in favor of a certain percentage of the revenue sharing and be funded, while in court, the investor to pay the arbitration fee does not enjoy the right of recourse to the investor. Third party investment mainly because it is irrelevant to the case of third people from the risk representation system; because of its revenue comes from In a certain proportion of cases income differs from the litigation insurance system; by the third party can not be replaced by the investor's position is different from the transfer of creditor's rights system. Third party investors can get in practice due to the development of investor's legitimate rights and interests of the maintenance, screening function of "meaningless" lawsuit and deterrent. The misfeasor. Of course, through its function, the third party contribution not only to promote the settlement of the dispute, to maintain a good social order, but also improve the quality of the trial of commercial arbitration in a certain extent, the judicial pressure eased. But the third party investment development in the practice of international commercial arbitration also triggered a series of problems. As the case had nothing to do with the outsider to participate in the arbitration, and arbitration will cause the parties to the conflict of interests. In the case of third investment, the investor will be the case A different degree of interference, which caused by the conflict of interests between the investor and the investor may grasp; hiring lawyers in the case, which may lead to conflicts of interest between investors and lawyers; investors may and the arbitrator has the potential benefits of relationship, thus affecting the arbitrator's impartiality and independence. At the same time, the investor as an outsider to participate in the arbitration, the investor will get through a lot of information related to the arbitration proceedings, arbitration and even obtain the other party's information, and the information leakage is likely to bring many adverse effects to the parties. Therefore, the third parties invested on confidentiality the challenge. The investor participate arbitration after expenses also caused widespread concern, the problem is mainly focused on qualitative cost on third parties invested. When the investor is successful, it is It may require the applicant to compensate third investment arbitration costs incurred? Whether the cost of compensation may include investor commitments to third party investors in favor of the income? Visible, brings many new problems of third party funding for the arbitration fee system. In addition, the third party investor influence in a variety of factors driven by the interests and lack of investment relations transparency, it is very easy to cause the abuse of litigation. The third parties invested is a new thing in recent years before entering the field of international commercial arbitration, the arbitration rules of the investor and the problem caused by not specified. Therefore, measures must be taken to solve the above problems, can play its proper value, promote the development of international commercial arbitration arbitration institution. From the point of view, need to modify or re interpretation of existing rules of arbitration, arbitration provisions, third party investors and The compulsory disclosure obligations of arbitrators and arbitration institutions to start automatic review of conflicts of interest in receiving the disclosure; by the third party investor on the confidentiality of the arbitration, the arbitration rules can be third party investors into the main body of confidentiality, secrecy on the requirements relating to arbitration and the substantive and procedural information other information in arbitration; and third party investment arbitration fee according to the cost of different types can be divided into two kinds, one is to be paid to initiate and maintain the arbitration costs, the other one is in favor of being funded, according to investor's investment agreement to pay compensation to the first. The cost of capital by third party arbitration shall be characterized as the costs of arbitration is in favor of the investor, the arbitration fees shall be borne by the losing party rules, can provide third party investment arbitration expense The losing party; while for the second charges, was funded to the arbitration tribunal if arbitration is advocated by the applicant has nature of excessive compensation, to the applicant in terms of unconscionability. To solve the third investment caused by the excessive litigation problems should also be based on the arbitration of the parties, the third party investor the arbitrator and disclosure obligations, the investment relationship can be transparent, so as to reduce the abuse of litigation behavior. China is a huge potential market for third party funded development. In order to improve the competitiveness of the arbitration institution in our country, our country should see the development of the third party contribution in the field of International commercial arbitration, and actively introduce third investment, choose arbitration in the arbitration institutions of China to attract more commercial entities, to promote the development of arbitration in China. China is necessary to introduce the third party investment is a commercial arbitration in China in recent years 蹇，
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