中国双边投资协定中伞形条款解释问题研究

发布时间：2018-03-08 11:02

本文选题：双边投资协定　切入点：伞形条款　出处：《华东政法大学》2012年硕士论文　论文类型：学位论文

【摘要】：近年来，世界各国为促进和保护国际投资的发展，推进投资自由化、便利化和规范化，，纷纷制定和签署各个层面上的投资协定。截至2011年上半年，世界上签署国际投资协定超过6100个，其中双边投资协定逾4000个。越来越多的双边投资协定和多边投资协定都规定了伞形条款的内容，用以规制缔约一方东道国对缔约另一方投资者的特殊承诺，伞形条款已渐渐成为国际投资协定的一项重要规范。但近年来在解决投资争端国际中心（简称ICSID）仲裁的一些涉及伞形条款解释的案件中，仲裁庭对伞形条款所适用的解释理论以及最终得出的结论却不尽相同，有些甚至完全相左。这些不同的裁决结果使得伞形条款的解释和适用问题难以确定，同时在学界也引起了相当的关注。随着我国经济发展和改革开放的需要，我国在吸引和利用外资上面下足了功夫。在一些签订的双边投资协定中我国也加入伞形条款，但此时要面对的是如何对该条款进行解释，有效地解决双方发生的争议，既不能有损国家主权又不能损害投资者利益的问题。本文通过介绍ICSID仲裁庭的三个案例，对比分析伞形条款适用的两种传统解释理论——限制性和扩大性解释理论以及新近发展的第三种解释理论——相对限制性解释理论，指出三者分歧所在以及产生分歧的根本原因，并对我国订立双边投资协定的实践以及为实现双赢目的解决投资争议提出相应的建议。除引言和结语外，本文共分为三章。第一章概述了伞形条款的历史，通过介绍伞形条款的起源和发展，对其特征进行了具体分析。第二章主要论述了ICSID仲裁庭以及学界对适用伞形条款的三种解释理论——限制性解释、扩大性解释、相对限制性解释的观点和建议。重点分析和比较了ICSID仲裁庭是如何阐释三种解释理论的，并分析这三种解释理论产生分歧的原因。这章是本文的核心。第三章主要站在中国双边投资协定的角度上，厘清中国签订的双边投资协定及包含伞形条款部分的现状，提出了对伞形条款更为适当的解释和适用方法，从而得出对我国的双边投资协定实践的启示。
[Abstract]:In recent years, countries in the world for the development of the promotion and protection of international investment, promote investment liberalization, facilitation and standardization, have formulated and signed investment agreements at all levels. As of the first half of 2011, the world signed the agreement of international investment of more than 6100, of which more than 4000 bilateral investment agreements.
More and more bilateral investment agreements and multilateral investment agreements have stipulated the terms of the umbrella, is used to regulate the contracting party host to investors of the other contracting party special commitment, Umbrella Clause has gradually become an important norm in international investment agreements. But in recent years to solve Investment Disputes Arbitration International Center (ICSID) some involved in the interpretation of Umbrella Clause in the case, the application of the arbitration tribunal umbrella clause interpretation theory and conclusion is not the same, some even completely at odds.
These different ruling result and application of the umbrella clause interpretation is difficult to determine, has attracted considerable attention in the academic circles. With the needs of China's economic development and the reform and opening up, China's foot work in attracting and using foreign capital above. In some signed bilateral investment treaties in China also joined the umbrella the terms, but at this time to face is how to explain the terms, effectively resolve their disputes, not only undermine national sovereignty and can not damage the interests of investors. This paper describes three cases of ICSID by the arbitration tribunal, analysis of two kinds of traditional theory of interpretation of Umbrella Clause applicable restriction and extension explain the theory and recent development of third kinds of interpretation theory, relative restrictive interpretation theory comparison, pointing out that the three differences between the fundamental reason and disagreement, and made in China The practice of bilateral investment agreements and the corresponding suggestions for achieving a win-win goal to solve investment disputes.
In addition to the introduction and conclusion, this paper is divided into three chapters.
The first chapter outlines the history of the umbrella clause, and through the introduction of the origin and development of the umbrella clause, it makes a specific analysis of its characteristics.
The second chapter mainly discusses three kinds of theories to explain the terms of the ICSID arbitration tribunal and the academia for umbrella -- restrictive interpretation, expanded interpretation, relatively limited explanation of views and suggestions. Focus on the analysis and comparison of the ICSID arbitration tribunal is how to explain the three kinds of interpretation theory, and analyze the reasons of these three kinds of interpretation theory differences. This chapter is the core of this paper.
The third chapter mainly in Chinese bilateral investment agreement's point of view, clarify the bilateral investment agreement signed with the status quo of China and part of the umbrella clause, proposed to the umbrella clause is more appropriate interpretation and application of the method, thus obtains the Enlightenment of the bilateral investment treaty practice in our country.

【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996.4

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