双边投资条约中的保护伞条款研究

发布时间：2018-03-21 17:06

本文选题：双边投资条约　切入点：保护伞条款　出处：《复旦大学》2013年硕士论文　论文类型：学位论文

【摘要】：跨国投资的繁荣发展带动了国际投资条约的大量缔结,保护伞条款是近代双边和多边投资条约中的重要条款,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。但是,不论是在理论层面还是实践层面,围绕该条款的争议从未停止。东道国与外国投资者之间签订的投资合同中一旦出现任何争议,如果不能将其归结为国际投资条约中明确规定的国家义务,则该具体投资合同项下的争议必须先经过东道国国内救济程序,而外国投资者却恰恰希望利用尚未明确约定适用范围的保护伞条款将此类投资争议一并纳入保护伞条款的兜底规定中,试图将所有投资争议上升至对国际投资条约的违反,从而规避东道国国内法律救济过程,直接由国际仲裁机构受理。但是如何平衡东道国和外国投资者之间的利益则是适用保护伞条款时必须考虑的问题。本文第一章是关于保护伞条款的渊源和现状的介绍。第一节介绍了保护伞条款的概念。本节将回答保护伞条款究竟只是对于国际公法上“有约必践”原则的另一种表达,还是一个全新的概念这一问题。第二节介绍了保护伞条款的历史渊源。通过梳理保护伞条款的前世今生,能够更好地理解它的宗旨和目的。第三节介绍了保护伞条款在双边投资条约中的运用,包括早期实践和现状等。本文第二章主要是从实证的角度分析保护伞条款。本章将主要围绕ICSID的保护伞条款实践展开。第一节主要介绍ICSID历史上关于保护伞条款限制性解释的代表案例——SGS v.Pakistan案。第二节主要介绍扩大性解释的代表性案例——SGS v.Philippines案。第三节将主要介绍ICSID在保护伞条款问题上的折中观点——E1Paso v.Argentina案。本章最后一节将在前三节分析的基础上简单总结出ICSID关于保护伞条款的主要争议焦点。本文第三章将在前文案例的基础上,对保护伞条款的相关争议焦点展开详细分析。第一节将就保护伞条款的适用范围和解释问题展开探讨。通过介绍前文的三个案件,梳理三种解释保护伞条款的不同方法,并提出保护伞条款合理的适用范围。第二节将研究排他性法院选择条款对保护伞条款的影响。第三节主要介绍保护伞条款措辞的重要性,包括常见措辞及对保护伞范围的影响,以及研究保护伞条款位置对其解释的影响。本文第四章主要探讨保护伞条款在中国的实践及其对中国影响和启示。第一节将从投资母国和东道国两个角度分析探讨保护伞条款对中国的利弊。第二节主要通过统计目前中国的具体实践,总结中国在保护伞条款上的实践特点。第三节则结合我国的立场提出中国应对保护伞条款的对策。
[Abstract]:The prosperity and development of transnational investment has led to the conclusion of a large number of international investment treaties. Umbrella clauses are important clauses in modern bilateral and multilateral investment treaties. Used to stipulate that a Contracting Party shall abide by its specific commitments to an investor of the other Contracting Party. However, the dispute over this clause has never ceased, both in theory and in practice. In the event of any dispute in an investment contract concluded between the host country and a foreign investor, if it cannot be attributed to the obligations of the State specified in the international investment treaty, The dispute under the specific investment contract must first go through the domestic relief procedure of the host country, Foreign investors, on the other hand, want to use umbrella clauses that have not been explicitly agreed upon to incorporate such investment disputes into the umbrella clause, in an attempt to raise all investment disputes to violations of international investment treaties. Thus avoiding the domestic legal relief process of the host country and accepting it directly by the international arbitration institution. However, how to balance the interests between the host country and the foreign investors is an issue that must be considered in the application of the umbrella clause. The first chapter introduces the origin and present situation of umbrella clause. The first section introduces the concept of umbrella clause. The second section introduces the historical origin of the umbrella clause. The third section introduces the application of umbrella clause in bilateral investment treaties, including early practice and current situation. The second chapter is mainly from the perspective of empirical analysis of umbrella clauses. This chapter will mainly focus on the practice of the umbrella clause of ICSID. The first section mainly introduces the representative cases of limited interpretation of umbrella clause in the history of ICSID. SGS v. Pakistan. Section 2 introduces the representative case of extended interpretation, SGS v. Philippines. Section III introduces ICSID's compromise on the umbrella clause: E1Paso v. Argentina. The last section of this chapter will be based on the previous three sections of analysis. A brief summary of ICSID's main controversy over the umbrella clause. In the third chapter, based on the previous cases, the author will make a detailed analysis of the relevant dispute focus of the umbrella clause. The first section will discuss the scope of application and interpretation of the umbrella clause. The second section will study the influence of exclusive court selection clause on umbrella clause. The third section mainly introduces the importance of umbrella clause wording. Include common terms and effects on umbrella scope, and study the influence of umbrella position on its interpretation. The fourth chapter mainly discusses the practice of umbrella clause in China and its influence and enlightenment on China. The first section will analyze the advantages and disadvantages of umbrella clause to China from the point of view of home country and host country. Through statistics on China's current concrete practice, The third section puts forward the countermeasures for China to deal with the umbrella clause combined with the position of our country.
【学位授予单位】：复旦大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D996.4

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