论保护伞条款及选择管辖条款对其作用的限制

发布时间：2018-03-20 22:13

本文选题：保护伞条款　切入点：选择管辖条款　出处：《华东政法大学》2012年硕士论文　论文类型：学位论文

【摘要】：目前许多双边投资协定中都订入了保护伞条款，用以规定缔约一方应遵守其对缔约另一方投资者所作的特定承诺。晚近在解决投资争端国际中心（简称ICSID）中出现了一系列涉及保护伞条款适用的仲裁案件，但这些案件的仲裁庭在裁决中对该条款所采用的解释方法以及最终得出的结论却各不相同，有些甚至完全相左。这使得保护伞条款的适用问题难以确定，同时在学界也引起了相当的关注。至今西方学界仍没有统一的意见。本文旨在通过对ICSID仲裁庭对于保护伞条款的一系列判决的分析，试图找到在实践中切实可行的在承认保护伞条款存在意义的同时有效地对其适用范围进行有效限制的手段。笔者认为，一味的否定保护伞条款的做法是不合理的，保护伞条款大规模的出现在双边和多边条约中以及其设立目的就已经证明了其存在的意义。但另一方面，目前的仲裁实践表现出对保护伞条款的适用范围进行限制的倾向。目前从实体法角度，无论是理论还是实践方面，西方学界都没有一个得到大多数学者认可的方案，笔者旨在从实用的角度，认为从程序角度是存在有效地对保护伞条款进行适当限制的方案的。从近来ICSID相关裁决来看，体现了仲裁庭对于投资合同中管辖选择条款予以尊重的倾向。我国与外国签订的双边投资保护协定中也存在着一定数量的保护伞条款，采取何种策略，实属重要。本文从我国外商投资和对外投资的实际情况，以对ICSID仲裁庭之前的裁决的分析为切入点，对我国应采取的应对措施提出建议。除引论和结语外，本文共分为五章。第一章概括介绍保护伞条款的起源和发展，以及由保护伞条款引发的争论第二章论述保护伞条款存在的意义及其必要性第三章指出对保护伞条款的范围存在不同的解释及保护伞条款适用范围的倾向性分析及结论第四章论述选择管辖条款对“保护伞条款”的限制作用。第五章论述中国与保护伞条款以及我国应采取的策略。
[Abstract]:At present, many bits include umbrella clauses. A series of recent arbitration cases involving the application of umbrella clauses in the International Centre for the Resolution of Investment disputes (ICSID), which provides that one Contracting Party shall comply with its specific commitments to the investors of the other Contracting Party. But the way in which the arbitral tribunals in these cases interpreted the clause in their decisions and the resulting conclusions were different, some completely different, made it difficult to determine the application of the umbrella clause, At the same time, it has also aroused considerable concern in academic circles. So far, there is still no unified opinion in western academic circles. The purpose of this paper is to analyze the series of decisions of the ICSID arbitral tribunal on the umbrella clause. This paper attempts to find a practical and practical means to effectively limit the scope of application of umbrella clauses while acknowledging the significance of them in practice. The author thinks that it is unreasonable to blindly negate umbrella clauses. The emergence of umbrella clauses on a large scale in bilateral and multilateral treaties, as well as the purpose for which they were established, has proved their existence... but on the other hand, The current arbitration practice shows a tendency to limit the scope of application of the umbrella clause. At present, from the perspective of substantive law, neither theory nor practice has been approved by most scholars in the western academic circles. From a practical point of view, the author thinks that there is a program to limit the umbrella clause effectively from the point of view of procedure. It reflects the tendency of the arbitral tribunal to respect the jurisdictional selection clause in the investment contract. There are a certain number of umbrella clauses in bilateral investment protection agreements between China and foreign countries. Based on the analysis of the ruling before the ICSID arbitration tribunal, this paper puts forward some suggestions on the countermeasures to be taken in our country. In addition to the introduction and conclusion, this article is divided into five chapters. Chapter one introduces the origin and development of umbrella clause and the controversy caused by umbrella clause. The second chapter discusses the significance and necessity of the umbrella clause. The third chapter points out that there are different interpretations of the scope of umbrella clause and the tendency analysis and conclusion of the scope of application of umbrella clause. Chapter 4th discusses the restrictive effect of the choice of jurisdiction clause on the umbrella clause. Chapter 5th discusses China and umbrella clauses and the strategies China should adopt.
【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

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