国际投资仲裁中的“第三方参与”法律问题研究

发布时间：2018-05-01 18:24

本文选题：国际投资仲裁 + “第三方参与”规则　；参考：《广西大学》2011年硕士论文

【摘要】：国际投资仲裁中的“第三方参与”规则是指在仲裁庭审理案件的过程中,争端当事方以外的第三方向仲裁庭提供与案件有关的事实或者适用法律方面的意见,以影响裁决的一项制度。国际投资仲裁当中的“第三方参与”包括普通法庭之友以及非争端缔约方的参与(母国参与)。在目前主要几种投资仲裁机制如ICSID仲裁机制和UNCITRAL仲裁机制都是援用或直接适用国际商事仲裁来解决投资争端,早期都具保密性特征。而国际投资协定传统上并不包括“第三方参与”的规定。由于国际投资仲裁通常牵涉到政府为保护公共利益目的的管理行为,因而,国际投资仲裁会影响到东道国的管理决策。此时,在保密程序基础上作出的裁决会影响到国家的政策方针的实施,不利于维护社会公共利益,进而不利于维护国际投资仲裁的合法性与正当性。因此,“第三方参与”规则逐渐出现在相关仲裁规则以及案例当中。晚近,中国正在与美国、加拿大等发达国家进行BIT谈判,对方提出的BIT草案中都已拟定“第三方参与”条款,那么,中国是否应接受这些“第三方参与”条款?因此,“第三方参与”规则就成为一个急需解决的课题。经过较深入的研究,本文得出结论：从中国这一主要以资本输入国身份参加国际投资活动的发展中国家来说,在一定条件下接受“第三方参与”规则,总体上利大于弊。除引言与结论外,论文共分为四章：第一章介绍“第三方参与”规则如何进入国际投资仲裁中且得到快速发展。第二章探讨“第三方参与”规则在ICSID体制、UNCITRAL以及美国BIT (2004)范本的最新发展,同时通过对国际投资仲裁案例的分析,概括出仲裁庭在“第三方参与”规则方面的一些倾向性,以便为中国是否接受“第三方参与”规则的探讨打下基础。第三章分析接受“第三方参与”规则所带来的潜在利益及消极影响。得出结论：从中国这一主要以资本输入国身份参加国际投资活动的发展中国家来说,总体上利大于弊。第四章从主体、权利及义务三个方面对如何构建中国式BIT中的“第三方参与”规则提出建议。
[Abstract]:The "third party participation" rule in international investment arbitration refers to a third party other than a party to a dispute who provides the arbitral tribunal with factual or applicable legal advice relating to the case in the course of the hearing of the case by the arbitral tribunal, A system to influence decisions. "third party participation" in international investment arbitration includes the participation of amicus curiae and non-disputing parties (home country participation). At present, several major investment arbitration mechanisms, such as ICSID arbitration mechanism and UNCITRAL arbitration mechanism, are used or directly applied to international commercial arbitration to settle investment disputes. IIAS have traditionally not included the provision of "third-party participation". Because the international investment arbitration usually involves the management behavior of the government for the purpose of protecting the public interest, the international investment arbitration will affect the host country's management decision. At this time, the decision made on the basis of the confidential procedure will affect the implementation of the state's policy and policy, which is not conducive to safeguarding the social and public interests, and thus to safeguarding the legitimacy and legitimacy of international investment arbitration. Therefore, the "third party participation" rules gradually appear in the relevant arbitration rules and cases. Recently, China is negotiating with the United States, Canada and other developed countries in the BIT negotiations, the other side has proposed the BIT draft has formulated "third party participation" clauses, so, should China accept these "third party participation" clauses? Therefore, the "third party participation" rule has become an urgent problem. After a deep study, this paper draws a conclusion that China, a developing country that mainly participates in international investment activities as a capital importing country, accepts the "third party participation" rule under certain conditions, which generally has more advantages than disadvantages. In addition to the introduction and conclusion, the paper is divided into four chapters: The first chapter introduces how the "third party participation" rules enter the international investment arbitration and develop rapidly. The second chapter discusses the latest development of the "third party participation" rules in the ICSID system and the United States BIT 2004) model. At the same time, through the analysis of the cases of international investment arbitration, it generalizes some preferences of the arbitration tribunal in the "third party participation" rules. In order to lay a foundation for China to accept the "third-party participation" rule. The third chapter analyzes the potential benefits and negative effects of accepting the "third party participation" rules. The conclusion is that China, a developing country that mainly participates in international investment activities as a capital importing country, has more advantages than disadvantages on the whole. Chapter four gives some suggestions on how to construct the rules of "third party participation" in Chinese BIT from three aspects: subject, right and obligation.
【学位授予单位】：广西大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D997.4

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