国际商事仲裁中的国家豁免问题研究

发布时间：2018-05-11 04:11

本文选题：国家及其财产豁免 + 限制豁免　；参考：《华东政法大学》2015年硕士论文

【摘要】：国家及其财产豁免作为一项重要的国际法原则,是国际法上的研究热点,同时也在经济全球一体化的浪潮中成为国际社会的热点。当前,国家以民事主体的身份角色越来越多地参与国际商事交易当中。国际商事仲裁作为一项理想的商事法律争议解决机制往往被主权国家和当事人选择而订立于商事合同的仲裁条款或者仲裁协议中来保障双方利益,促进交易的顺利进行。在有效的仲裁裁决的管辖和执行阶段,主权国家援引国家豁免,从而拒绝承认与执行已经成为国际仲裁的一个重大问题。本文将以乍得案与刚果案为基础,提出本文着眼的焦点问题,分四个部分进行论述:本文在开篇首先介绍了乍得案和刚果案的案情、判决结果以及争议焦点。提出本文需要论证的论点:第一,关于绝对豁免与有限豁免原则以及我国的相关立场;第二,在国际商事仲裁下对于主权国家豁免原则的探究。在第二章中,文章就国家豁免的理论及发展进行论述。对绝对豁免和限制豁免原则分专节加以介绍,尤其是对限制豁免原则的判定标准和限制豁免原则的当前发展趋势着重论述之,得出限制豁免是当前国际社会的一大趋势的客观现实情况,为接下来的论述以及本文需要得出的结论和提出的建议铺垫。在第三章中,文章重点探究了国际商事仲裁的国家豁免问题。探讨了在国际商事仲裁背景下国家管辖豁免与执行豁免,就管辖豁免与执行豁免的概念、形式分别进行展开。重点在于诉讼管辖阶段及执行阶段的国家豁免要逐一放弃,签订仲裁条款可以认定为以默示的方式放弃了国家豁免,这种放弃不及于仲裁执行阶段。最后一章中,阐述了中国有关国家豁免的实践、法律现状并对我国面临的问题加以分析。最后提出中国应当逐步转向限制豁免原则的建议。现阶段中国没有关于国家及其财产豁免的专门法,对于国家豁免问题的规定少之又少,在刚果案中坚持的绝对豁免原则立场从长远看来并不十分明智。中国有必要向限制豁免逐渐转变立场,并尽快制定自己的国家及其财产豁免法。结论部分总结了文章的主要内容。国家豁免问题作为当今国际法的重点问题受到持续的关注,限制豁免主义在当今成为一股趋势。限制豁免原则保护个体的同时有效地维护了经济的稳定持续发展,我国应当明确国家豁免原则的立场,借鉴其他国家的立法经验,尽快制定中国的国家及其财产豁免法,逐步调整绝对豁免主义,适当地去适用限制豁免原则,为我国对外经济交往的深度发展铺平道路。
[Abstract]:As an important principle of international law, the immunity of States and their property is a hot research topic in international law, and it has also become a hot spot in international society in the tide of global economic integration. At present, as a civil subject, the state is more and more involved in international commercial transactions. As an ideal mechanism for settling disputes in commercial law, international commercial arbitration is often chosen by sovereign states and parties and concluded in the arbitration clauses or arbitration agreements of commercial contracts to protect the interests of both parties and to promote the smooth progress of transactions. In the stage of jurisdiction and enforcement of an effective arbitral award, the sovereign State invokes the immunity of the State, thus refusing to recognize and enforce the award has become a major issue in international arbitration. Based on the case of Chad and Congo, this paper puts forward the focus of this paper, which is divided into four parts: at the beginning of this paper, the case of Chad and Congo, the result of judgment and the focus of dispute are introduced. The thesis puts forward the arguments that need to be demonstrated in this paper: first, about the principle of absolute immunity and limited immunity and the relevant position of our country; second, the research on the principle of sovereign state immunity under international commercial arbitration. In the second chapter, the article discusses the theory and development of state immunity. Introducing the principle of absolute and restricted immunity in a separate section, in particular the criteria for determining the principle of restricted immunity and the current trends in the principle of restricted immunity, The conclusion that the restricted immunity is an objective reality of a major trend in the international community at present lays the groundwork for the following discussion as well as the conclusions and suggestions that this paper needs to draw. In the third chapter, the article focuses on the state immunity of international commercial arbitration. In the context of international commercial arbitration, the concept and form of immunity from jurisdiction and immunity from execution are discussed. The key point is that the state immunity in the jurisdictional stage and the enforcement stage should be waived one by one, and the signing of an arbitration clause can be regarded as an implied waiver of State immunity, which is less than that in the enforcement stage of arbitration. In the last chapter, the author expounds the practice and legal status of state immunity in China and analyzes the problems facing China. Finally, China should gradually turn to the principle of limiting immunity. At present, China does not have a special law on the immunity of the state and its property, and there are very few regulations on the issue of state immunity. In the Congo case, the principled stand of absolute immunity is not very sensible in the long run. It is necessary for China to gradually change its stance towards restricted immunity and to enact its own law on immunity of the state and its property as soon as possible. The conclusion part summarizes the main contents of the article. The issue of state immunity, as a key issue of international law, has been paid more and more attention, and the doctrine of restricted immunity has become a trend. The principle of limiting immunity protects individuals while effectively safeguarding the steady and sustainable development of the economy. China should clarify the stand of the principle of state immunity, draw lessons from the legislative experience of other countries, and formulate as soon as possible the law on exemption of China's state and its property. Gradually adjust the absolute immunity doctrine and apply the principle of restriction exemption properly, which will pave the way for the deep development of our country's foreign economic exchanges.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D997.4

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