区域贸易安排投资争端仲裁法律问题研究

发布时间：2018-06-12 02:55

本文选题：NAFTA + CAFTA　；参考：《西南政法大学》2012年硕士论文

【摘要】：2009年8月15日，中国——东盟投资协议的生效实施，首次将私人与国家间的投资争端纳入CAFTA解决范围。投资者可以通过国际投资仲裁的方式直接起诉东道国请求赔偿，这对东道国的国家经济主权形成了极大的威胁和挑战。而看似充满危险性和缺乏“正当性”的投资仲裁机制却在另一个区域贸易安排——北美自由贸易区中运行了将近二十年。区域投资自由化的趋势不可阻挡，区域投资争端仲裁机制只会不断地前进而不会被废除。因此，如何在保护投资者的合法权益以促进区域投资的发展和维护东道国国家主权，避免遭遇滥诉这两者之间找到平衡，是区域投资协议目标实现的重要保障。本文尝试从RTA投资争端仲裁的相关具体法律问题入手，发现会影响到上述“平衡”的问题，同时借鉴NAFTA第11章理论和实践中存在的优缺点，对CAFTA投资仲裁制度的完善提出建议。全文超过三万字，除引言外，共有四个部分。第一部分主要研究RTA投资争端仲裁管辖权问题。分别从主体——投资者的国籍确认、客体——投资的范围以及引起争端的国家“措施”的范围和主观——当事双方对仲裁的同意三个管辖权的构成要件进行分析，，并提出在CAFTA中严格适用投资者“国籍继续原则”、缩小“投资”定义范围、去除“措施”前“普遍适用”的限制以及借鉴、改进NAFTA“弃权条款”的相关建议。第二部分主要研究法律适用问题。通过对NAFTA和中国与东盟各国BITs中投资仲裁适用法律规定的评析，提出制定统一的CAFTA投资仲裁法律适用规则的建议。第三部分研究投资仲裁的程序问题及透明度问题。首先通过对NAFTA投资仲裁程序的评析提出对CAFTA相关制度的完善建议。其次研究了RTA对于投资仲裁透明度的客观需求和NAFTA的“法庭之友”制度的内涵和不足。第四部分主要研究执行问题和监督上诉问题。通过对CAFTA投资仲裁执行制度的完善建议和RTA仲裁监督机制的缺失的研究，提出了在RTA构建仲裁上诉机制的构想。
[Abstract]:On August 15, 2009, China-ASEAN Investment Agreement came into effect, and the investment disputes between private and state were brought into the scope of CAFTA for the first time. Investors can directly sue the host country for compensation through international investment arbitration, which poses a great threat and challenge to the host country's national economic sovereignty. Investment arbitration, which seems to be fraught with danger and lack of legitimacy, has been operating in another regional trade arrangement, the North American Free Trade area (NAFTA) for nearly two decades. The trend of regional investment liberalization is unstoppable, and the arbitration mechanism of regional investment disputes will not be abolished. Therefore, how to find a balance between protecting the legitimate rights and interests of investors, promoting the development of regional investment, safeguarding the national sovereignty of host countries and avoiding excessive litigation is an important guarantee for the realization of the objectives of regional investment agreements. This paper attempts to start with the specific legal issues related to RTA investment dispute arbitration, and finds that the above mentioned "balance" problems will be affected, and at the same time draw lessons from the advantages and disadvantages of NAFTA Chapter 11 in theory and practice. This paper puts forward some suggestions on the perfection of CAFTA investment arbitration system. The full text is more than 30,000 words, except for the introduction, there are four parts. The first part mainly studies the jurisdiction of RTA investment dispute arbitration. Analyzing the three constitutive elements of jurisdiction, respectively, from the nationality of the subject-investor, the scope of the object-investment and the scope of the "measures" of the State that gave rise to the dispute, and the consent of the parties to the arbitration. In addition, it is proposed to strictly apply the "nationality continuing principle" in CAFTA, narrow down the definition of "investment", remove the limitation of "universal application" before "measures", and draw lessons from it. The second part mainly studies the application of law. Based on the analysis of NAFTA and the applicable laws and regulations of investment arbitration in bits of China and ASEAN countries, the author puts forward some suggestions for establishing uniform applicable rules of CAFTA investment arbitration law. The third part studies the procedure and transparency of investment arbitration. First of all, through the analysis of NAFTA investment arbitration procedure, the paper puts forward some suggestions on the improvement of CAFTA related system. Secondly, it studies the objective demand of RTA for the transparency of investment arbitration and the connotation and deficiency of NAFTA's amicus curiae system. Based on the suggestions of CAFTA investment arbitration execution system and the lack of RTA arbitration supervision mechanism, this paper puts forward the idea of establishing arbitration appeal mechanism in RTA.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D997.4

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