《纽约公约》下已撤销外国商事仲裁裁决的承认与执行

发布时间：2018-04-27 08:15

本文选题：已撤销外国商事仲裁裁决承认与执行 + 《纽约公约》第五条第七条　；参考：《复旦大学》2012年硕士论文

【摘要】：当一项商事仲裁裁决被做出地国法院撤销后,其效力就不存在了,在裁决做出地国和其他国家均得不到承认与执行。然而,随着全球经济贸易的发展,旧的国际商事仲裁体系已不能完全满足新时代的需要,一些国家已经开始挑战传统的观点和实践,并在一些仲裁案件中做出了与传统理论相悖的裁决。比如法国,其国内法院在一系列的案件中,均承认与执行了已被外国法院撤销的仲裁裁决；在著名的Chromalloy案中,美国法院也执行了已被埃及法院撤销的仲裁裁决。这些司法实践,在国际商事仲裁的理论和实践领域都引起了激烈的争论。本文从争论的起因——对《纽约公约》相关条款的理解不同以及相关理论的发展两方面入手,对该问题进行探讨,并在此基础上,对进一步完善我国已撤销外国商事仲裁裁决的承认与执行问题的相关制度提出建议。依照传统的仲裁属地主义观点,仲裁裁决依附于特定国家的内国法；当裁决在该国被撤销后,该仲裁裁决即丧失法律效力,在仲裁地国及任何其他国家均得不到承认和执行。然而,由于1958年《关于承认和执行外国仲裁裁决的公约》(以下简称“纽约公约”)在具体措辞和条文规定上仍有不明确之处,加上受到新兴理论仲裁“非本地化”等的影响,法国、卢森堡、奥地利、美国等一些国家都有了承认和执行已撤销的外国商事仲裁裁决的司法实践。这些实践中尤以Hilmarton和Chromalloy案为代表,反映了不同国家对《纽约公约》相关条款的不同解读,亦在国际理论界和实务届引起了激烈的争论。争论主要围绕着“已撤销裁决的可执行性”问题展开,具体涉及到对执行已撤销裁决的理论依据之争、《纽约公约》的适用和解释之争、撤销制度存废之争等等。本文拟在《纽约公约》有关规定的法律框架下,对已撤销外国商事仲裁裁决的承认与执行问题的含义、各国实践以及理论基础进行探讨,结合我国目前对该问题的立法规定和实践现状,对我国的已撤销外国商事仲裁裁决的承认与执行制度提出进一步完善的建议。全文共分为五章：第一章首先在明确适用《纽约公约》的外国商事仲裁裁决的概念及范畴的基础上,对商事仲裁裁决的撤销及不予执行制度的概念和价值进行介绍,并结合《纽约公约》第五条规定对该两种司法监督制度的特殊关系进行分析。第二章对《纽约公约》中导致已撤销外国商事仲裁裁决的可执行性存在争议的主要条款——第五条、第七条进行解释和分析,以明确公约的真正含义。第三章介绍了主要《纽约公约》缔约国对已撤销外国商事裁决的承认与执行问题的国内立法及司法实践,并分析这些国家对于《纽约公约》的前述条款的理解并评析国际上对于该问题的实践趋势。第四章对已撤销外国商事仲裁裁决的承认与执行的理论依据进行深入分析,包括商事仲裁裁决的效力来源的影响,“非本地化”理论的影响以及优先/次要管辖权理论的影响三个方面,并在此基础上对已撤销外国商事仲裁裁决的承认与执行的利弊进行分析,进而探析是否存在克服承认与执行已撤销外国商事仲裁裁决之弊端的方法。第五章将首先介绍我国学界对于已撤销外国商事仲裁裁决的执行问题的主要观点以及我国对该问题的规定和立场,并在此基础上结合第一章对公约条款的解读,第三章归纳出的目前的外国商事仲裁的司法实践趋势以及第四章对该制度的利弊分析,总结我国目前该制度规定上还可以改进的地方,并对完善我国的相关规定及指导我国日后可能出现的司法实践提出建议。
[Abstract]:However , with the development of global economic and trade , the old international commercial arbitration system cannot fully meet the needs of the new era . However , with the development of global economic and trade , the old international commercial arbitration system has begun to challenge the traditional view and practice , and in some arbitration cases , it has made a decision contrary to the traditional theory .
In the famous Chromalloy case , the American court has also executed the arbitration award which has been revoked by the Egyptian court . These judicial practices have caused a heated debate in the theory and practice of international commercial arbitration . This paper discusses the problem from the understanding of the relevant articles of the New York Convention and the development of the relevant theories . On the basis of this , some suggestions are put forward to further improve the recognition and enforcement of the arbitral award of foreign commercial arbitration .

The arbitration award is attached to the internal national law of a specific country in accordance with the traditional view of arbitration .
After the award has been revoked in the country , the arbitral award , which is not recognized and enforced in both the forum State and any other country , has been recognized and enforced in some countries such as France , Luxembourg , Austria and the United States . However , in some countries , such as Hilmarton and Chromalloy , there is a heated debate in some countries such as France , Luxembourg , Austria , the United States , etc .

Under the legal framework of the relevant provisions of the New York Convention , this paper discusses the meaning , national practice and theoretical basis of the recognition and enforcement of the award of foreign commercial arbitration , and puts forward some suggestions for further improvement of the recognition and enforcement of the arbitral award in China .

In the first chapter , the concept and value of the award of commercial arbitration and the concept and value of the non - enforcement system are introduced , and the special relationship between the two judicial supervision systems is analyzed in accordance with Article 5 of the New York Convention .

The second chapter explains and analyzes the main clauses _ 5 and 7 of the dispute concerning the enforceability of the arbitral award in the New York Convention , in order to clarify the real meaning of the Convention .

Chapter Three introduces the domestic legislation and judicial practice of the State party of the New York Convention on the recognition and enforcement of the revoked foreign commercial award , and analyses the international understanding of the foregoing provisions of the New York Convention and analyses the international practice trend of the issue .

The fourth chapter analyzes the theoretical basis of the recognition and enforcement of the award of foreign commercial arbitration , including the influence of the effective source of commercial arbitration award , the influence of " non - localization " theory and the influence of the preferential / secondary jurisdiction theory , and analyzes the pros and cons of the recognition and enforcement of the arbitral award of foreign commercial arbitration .

The fifth chapter introduces the main viewpoints of China ' s academic circles on the implementation of the arbitration award of foreign commercial arbitration and the rules and positions of our country on the subject . On the basis of this , the author summarizes the current trend of judicial practice of foreign commercial arbitration and the advantages and disadvantages of the fourth chapter , summarizes the current practice trend of foreign commercial arbitration and the advantages and disadvantages of this system , summarizes the relevant regulations of our country and puts forward some suggestions to improve our country ' s relevant regulations and guide our future judicial practice .

【学位授予单位】：复旦大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D997.4

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