国际投资仲裁中的第三方参与制度研究

发布时间：2018-05-29 00:35

本文选题：第三方参与 + 国际投资仲裁　；参考：《北京交通大学》2017年硕士论文

【摘要】：20世纪90年代中、后期以来,随着国际投资流量的增大以及国际投资仲裁机制在国际投资条约和投资实践中的广泛使用,国际投资仲裁案件数量开始迅猛增长。根据联合国贸易与发展会议的统计,截止2015年底,国际投资仲裁案件总数已经达到696起,涉及107个国家,其中既有委内瑞拉、厄瓜尔多这样的发展中国家,也有美国、加拿大等发达国家。然而过分倾向于保护投资者利益的国际投资仲裁机制不仅引发了东道国的主权危机和社会价值危机,而且引发了国际投资仲裁机制本身的合法性危机。第三方参与作为投资者与国家争端仲裁机制的制度设计,通过向仲裁庭提供其所知的与案件事实或法律相关的信息参与到具体案件中来,增强了仲裁的透明度,在一定程度上缓解了这种合法性危机。通过不断完善相关投资仲裁规则和仲裁实践,各国也纷纷承认和吸收了第三方参与制度。所以,我国应该客观、理性的分析第三方参与制度引入国际投资仲裁对我国的影响,积极主动地利用第三方参与制度,以便更好地保护外国投资者和我国的公共利益。本文先通过文献分析法和历史分析法,对于第三方参与制度的概念进行梳理,将第三方分为非争端缔约方和一般第三方,并简要概括第三方参与的特征。其次,本文从理论上对现有的国际投资仲裁规范中的第三方参与制度的发展进行总结并分析,如NAFTA、ICSID和UNCITRAL中的第三方参与制度,由于中加BIT是我国引入第三方参与的初步尝试,本文也对其进行简要分析。再次,在实践方面,本文主要列举了 Piero Foresti和PopeTalbot这两个案例,分别从非政府组织和非争端缔约方的角度分析第三方参与对仲裁裁决的影响以及存在的问题,通过实践分析,提出相应的改进对策。最后指出国际投资仲裁中的第三方参与制度对提升我国引进来和走出去战略的重要意义,我国对引入第三方参与制度所应持有的态度,并提出我国参与国际投资仲裁的相应措施。
[Abstract]:Since the late 1990s, with the increase of international investment flow and the widespread use of international investment arbitration mechanism in international investment treaties and investment practice, the number of international investment arbitration cases has increased rapidly. According to the United Nations Conference on Trade and Development, by the end of 2015, the total number of international investment arbitration cases had reached 696, involving 107 countries, including Venezuela, developing countries such as Ecuador and the United States. Canada and other developed countries. However, the excessive tendency to protect the interests of investors in the international investment arbitration mechanism not only caused the host country's sovereignty crisis and social value crisis, but also caused the legitimacy crisis of the international investment arbitration mechanism itself. Third party participation, as the institutional design of investor-state dispute arbitration mechanism, enhances the transparency of arbitration by providing the arbitral tribunal with information relevant to the facts or laws of the case, which is known to the arbitral tribunal. To some extent, this crisis of legitimacy has been alleviated. Through the continuous improvement of relevant investment arbitration rules and arbitration practices, countries have also recognized and absorbed the third party participation system. Therefore, our country should objectively and rationally analyze the influence of the third party participation system on our country, and take the initiative to make use of the third party participation system in order to better protect the foreign investors and the public interests of our country. In this paper, the third party is divided into non-disputing parties and general third parties by literature analysis and historical analysis, and the characteristics of third-party participation are briefly summarized. Secondly, this paper theoretically summarizes and analyzes the development of the third-party participation system in the existing international investment arbitration norms, such as NAFTA-ICSID and the third-party participation system in UNCITRAL. Because China and Canada BIT is a preliminary attempt to introduce third-party participation in our country. This article also carries on the brief analysis to it. Thirdly, in practice, this paper mainly enumerates the two cases of Piero Foresti and PopeTalbot, analyzes the impact of third-party participation on arbitration award from the perspective of non-governmental organizations and non-dispute parties, and analyzes the existing problems through practice. Put forward the corresponding improvement countermeasure. Finally, it points out that the third party participation system in the international investment arbitration is of great significance to the promotion of our country's strategy of bringing in and going out, and the attitude that our country should hold towards the introduction of the third party participation system. And put forward our country to participate in the corresponding measure of international investment arbitration.
【学位授予单位】：北京交通大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D997.4

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