UNCITRAL机制下国际投资仲裁透明度规则体系研究

发布时间：2018-06-06 01:55

本文选题：国际投资仲裁 + 透明度　；参考：《山东大学》2017年硕士论文

【摘要】：随着国际直接投资数量的飞速增长和投资市场的日渐活跃,提交至各机构仲裁庭的投资仲裁案件数量也急剧增加。作为目前解决投资者和东道国之间基于条约争端最主要的方式之一,国际投资仲裁制度的改革动向受到广泛关注。长期以来,国际投资仲裁固守保密性原则,仲裁过程和结果无法曝光在社会公众的监督之下,使得仲裁裁决结果的合理性受到质疑。为了化解这一"正当性危机",平衡投资者与国家间的利益,实现投资仲裁程序法的统一化,国际投资领域开始了一系列的规则改革,其中透明度相关规则的改革成为重点内容。提升国际投资仲裁程序的透明度,在实体上能够平衡东道国政府与私人投资者之间的利益,在程序上加强公众对仲裁程序和裁决结果的监督,有效促进投资仲裁向更高效、专业、公正的方向发展。NAFTA最早将透明度规则纳入其体系,2006年ICSID修改其仲裁规则时也加入了透明度条款,并经过了多次修订。目前透明度改革发展的最新成果,是UNCITRAL分别于2013年和2014年通过的《透明度规则》和《透明度公约》。这两个文件的出台,标志着UNCITRAL机制下透明度规则体系的基本形成,也表明UNCITRAL走在了国际投资仲裁领域透明度规则改革的前列。逐渐推进的透明度改革无疑将会给中国经济带来影响和冲击,作为吸引外资和对外投资的双重大国,中国应该时刻关注国际投资领域的新生立法,关注其他国家和主要国际组织在国际投资领域的最新动向,关注学术领域关于投资仲裁透明度的研究成果,转变现有对透明度规则完全排斥的观念,谨慎考虑国内法治与国际法大环境的联动改革,争取在未来的国际投资活动中掌握更大的话语权和主动权。本文将从透明度规则的起源和发展过程入手,论证其在国际投资仲裁的立法和各国政府实践中出台的必要性,梳理透明度规则在近几十年的改革成果,并引出本文的研究重点——以《透明度规则》和《透明度公约》为主要内容的UNCITRAL透明度规则体系,通过对这两个文件具体条款的内容剖析,进一步对其进行价值分析和比较研究,最后在总结世界其他各国对透明度问题态度和实践的基础上,指明我国未来投资仲裁实践的发展方向。
[Abstract]:With the rapid growth of the amount of international direct investment and the increasingly active investment market, the number of investment arbitration cases submitted to the arbitral tribunals of various institutions has also increased sharply. As one of the most important ways to solve the treaty-based disputes between investors and host countries, the reform trend of international investment arbitration system has been paid more and more attention. For a long time, international investment arbitration adheres to the principle of confidentiality, and the arbitration process and results cannot be exposed under the supervision of the public, which makes the reasonableness of the arbitration award questionable. In order to resolve this "legitimacy crisis", balance the interests between investors and countries, and realize the unification of the procedure law of investment arbitration, a series of rules reforms have been initiated in the field of international investment, among which the reform of transparency rules has become the key content. Enhancing the transparency of international investment arbitration procedures, balancing the interests of host governments and private investors physically, enhancing public oversight of arbitration proceedings and the results of awards, and effectively promoting more efficient investment arbitration, Professional and impartial development. NAFTA first incorporated transparency rules into its system. ICSID amended its arbitration rules in 2006 by adding transparency clauses, which have been revised many times. The latest achievements of the transparency reform are the rules on Transparency and the Convention on Transparency adopted by UNCITRAL in 2013 and 2014 respectively. The introduction of these two documents marks the basic formation of the transparency rules system under the UNCITRAL mechanism, and also indicates that UNCITRAL is in the forefront of the transparency rules reform in the field of international investment arbitration. The gradual progress in transparency reform will undoubtedly have an impact on China's economy. As a large country that attracts both foreign investment and foreign investment, China should always pay close attention to the emerging legislation in the field of international investment. Following recent developments in the field of international investment by other countries and major international organizations, as well as the results of research in the academic field on transparency in investment arbitration, and changing existing notions of total exclusion of transparency rules, We should carefully consider the linkage reform between the domestic rule of law and the general environment of international law and strive to have a greater voice and initiative in the future international investment activities. Starting with the origin and development of transparency rules, this paper demonstrates the necessity of its introduction in the legislation of international investment arbitration and the practice of various governments, and combs the reform achievements of transparency rules in recent decades. And leads to the research focus of this paper-the UNCITRAL transparency rules system, which takes the rules on Transparency and the Convention on Transparency as the main content, through the analysis of the contents of the specific articles of these two documents. Finally, on the basis of summarizing the attitude and practice of other countries on transparency, the author points out the development direction of China's investment arbitration practice in the future.
【学位授予单位】：山东大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D997.4

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