国际投资中的间接征收认定研究

发布时间：2018-03-11 02:07

本文选题：间接征收　切入点：治安权　出处：《湖南师范大学》2011年硕士论文　论文类型：学位论文

【摘要】：征收问题向来是国际投资保护领域最具争议的问题之一。20世纪90年代以来,大规模的征收已经不再是国际投资的主要威胁,取而代之的是间接征收案件。间接征收案件频频发生,且涉及巨额的赔偿请求,该问题日益引起普遍重视,而关注的焦点集中于如何认定“间接征收”。长期以来国际投资协定未针对间接征收做出明确界定,因此在实践中认定间接征收仍存在很大困难。中国现已成为仅次于美国位居世界第二的外国直接投资接受国,并且直接投资流出量也在日益增多,因此深入研究间接征收认定问题,为完善我国关于间接征收认定的规定提供参考,对减少我国可能面临的法律风险和保护我国海外投资利益具有重要意义。在研究相关案例的基础上,深入探讨间接征收认定的一般标准,对我国国内法的规定和双边投资条约及自由贸易协定中的间接征收条款的完善提出一些建议。首先,分析间接征收问题的演进,征收问题经过了由直接征收向间接征收演变的过程,争议焦点已演变为如何认定间接征收,在探讨间接征收认定的过程中,不可避免地需要谈及间接征收与国家治安权的界分问题。其次,阐述间接征收认定的相关规定及近期国际实践中重要的间接征收案件。再次,分析并探讨了间接征收认定的主要标准和在认定过程中需要考虑的因素。仲裁庭在实践中一般运用“单一效果标准”和“目的标准”,除此以外,为平衡国家与投资者之间的利益,还需考虑政府行为对投资的干涉程度、对投资者的投资期待的影响以及政府行为与目的之间的适当性,这些考虑因素被广泛运用于国际实践。最后,针对我国国内法规定和双边投资条约及自由贸易协定中存在的缺陷,在借鉴美国的投资协定及近些年我国较完善的投资协定的基础上,对完善我国间接征收规定提出意见。
[Abstract]:Expropriation has always been one of the most controversial issues in the field of international investment protection. Since 90s of the 20th century, large-scale expropriation has ceased to be a major threat to international investment. Instead of indirect expropriation cases, indirect expropriation cases occur frequently and involve huge claims for compensation. The focus of attention is on how to identify "indirect expropriation". IIAS have not clearly defined indirect expropriation for a long time. China is now the second largest recipient of foreign direct investment after the United States, and the volume of direct investment outflows is increasing. Therefore, the in-depth study on the identification of indirect expropriation provides a reference for perfecting the provisions on the identification of indirect expropriation in China. It is of great significance to reduce the legal risks that our country may face and to protect the interests of our country's overseas investment. On the basis of studying relevant cases, this paper deeply discusses the general standards of indirect expropriation, Some suggestions are put forward to perfect the provisions of domestic law and the indirect expropriation clauses in bilateral investment treaties and free trade agreements. First of all, it analyzes the evolution of indirect expropriation, which has gone through the process of evolution from direct expropriation to indirect expropriation. The dispute has evolved into how to identify indirect expropriation, and in the process of discussing the identification of indirect expropriation, Inevitably, we need to talk about the demarcation between indirect expropriation and the right of national security. Secondly, the relevant provisions of indirect expropriation and the important cases of indirect expropriation in recent international practice are elaborated. Again, This paper analyzes and discusses the main criteria of indirect expropriation determination and the factors to be considered in the process of determination. In addition, the arbitral tribunal generally uses "single effect criterion" and "objective standard" in practice. In order to balance the interests between the State and investors, it is also necessary to consider the extent to which government actions interfere with investment, the impact on investors' investment expectations and the appropriateness between government actions and objectives, These considerations are widely used in international practice. Finally, in the light of the deficiencies in the provisions of our domestic law and in bilateral investment treaties and free trade agreements, On the basis of drawing lessons from the investment agreements of the United States and our country's relatively perfect investment agreements in recent years, this paper puts forward some suggestions on how to perfect the regulations of indirect expropriation in our country.
【学位授予单位】：湖南师范大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.4

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