CAFTA投资者与东道国投资争端解决机制研究

发布时间：2018-06-27 10:14

本文选题：投资自由化 + 国家主权　；参考：《北京化工大学》2012年硕士论文

【摘要】：随着2009年8月15日中国-东盟《投资协议》的签订，中国和东盟成功的完成了中国-东盟自由贸易区协议的主要谈判，也直接促成了自由贸易区在2010年的全面建成。随着中国—东盟自贸区的发展，双方投资合作逐步加快，在基础设施建设、制造业、农业、通讯、电力、劳务合作、工程承包等诸多领域的投资合作进展顺利。东盟已经成为中国企业进行外国投资的首选地区之一，同时中国也成为东盟各国重要的投资市场。为了高效地解决在投资活动中发生的投资者与东道国之间的投资争议，2009年，各国签署了《人民共和国政府与东南亚国家联盟成员国全面经济合作框架协议投资协议》（简称《投资协议》）。在《投资协议》第14条对投资者与东道国之间的投资争议解决作出了规定，但是这些规定过于简略，无法应对不断发展的国际投资争端的复杂状况。本文正是以此为切入点，试图构建较为合理且实用的争端解决机制。本文主要分为四个部分：第一部分主要介绍投资者与东道国投资争端解决机制的建立。东盟各国与中国之间的投资贸易中私人投资占了很大的比例，投资争端的良好解决，对于促进投资活动的顺利进行和良好的投资环境的形成有着重要意义。第二部分对《投资协议》第14条作出了分析，提出了当下的争端解决机制中存在的问题。这些问题的产生一方面是由于各国之间的分歧较大，导致达成的协议有些部分过于保守；另一方面则是由于受到西方投资自由化思想的影响，协议的有些部分对各国主权有所损害。第三部分概述了投资争议解决方式的发展历史。从开始的不太重视到保护措施的不断加强，直到使用多边方式保护投资，形成了包括华盛顿公约、多边投资担保机构公约、北美自由协定和OECD多边投资协定在内的多种投资保护措施。但是可以看出，这些争端解决方式主要产生于西方发达国家之间。经过分析可以得出初步结论：这些争端解决方式的主流指导思想依然是投资的自由化。第四部分对存在的问题的复杂性做了进一步的分析，并提出了解决途径，主要分为两个方面：扩大一些程序性部分的自由化和在一些实体权利方面维护各国主权。解决争议的主要途径就在于建立自由贸易区本身内部专门的争端解决机构以及一系列配套措施，，既能高效解决争端，又不至于侵害到各国的主权。
[Abstract]:With the signing of the China-ASEAN Investment Agreement on August 15, 2009, China and ASEAN successfully completed the main negotiations of the China-ASEAN Free Trade area Agreement, which directly contributed to the completion of the Free Trade area in 2010. With the development of the China-ASEAN Free Trade area, the investment cooperation between the two sides has been speeded up, and the investment cooperation in infrastructure construction, manufacturing, agriculture, communications, electricity, labor cooperation, project contracting and many other fields is progressing smoothly. ASEAN has become one of the preferred regions for Chinese enterprises to make foreign investment, and China has also become an important investment market for ASEAN countries. In order to efficiently resolve investment disputes between investors and host countries in investment activities, in 2009, All countries have signed the Investment Agreement between the Government of the people's Republic of China and the ASEAN member countries. Article 14 of the Investment Agreement provides for the settlement of investment disputes between investors and the host country, but these provisions are too simple to cope with the complex situation of developing international investment disputes. This paper tries to construct a reasonable and practical dispute settlement mechanism. This paper is divided into four parts: the first part mainly introduces the establishment of investor-host country investment dispute settlement mechanism. Private investment accounts for a large proportion of the investment trade between ASEAN countries and China. A good settlement of investment disputes is of great significance to promote the smooth progress of investment activities and the formation of a good investment environment. The second part analyzes Article 14 of the Investment Agreement and points out the existing problems in the present dispute settlement mechanism. These problems arise, on the one hand, because of the great differences among countries, which lead to some parts of the agreement being too conservative, and on the other hand, because of the influence of Western ideas on investment liberalization. Some parts of the agreement undermine the sovereignty of nations. The third part summarizes the history of investment dispute settlement. From the beginning less attention to the strengthening of protection measures, until the use of multilateral approaches to protect investment, including the Washington Convention, the multilateral Investment guarantee Agency Convention, North American Free Agreement and OECD multilateral Investment Agreement, including a variety of investment protection measures. However, it can be seen that these dispute settlement methods mainly come from the western developed countries. After analysis, we can draw a preliminary conclusion that the main guiding ideology of these dispute settlement methods is still investment liberalization. The fourth part makes a further analysis of the complexity of the existing problems, and puts forward solutions, mainly divided into two aspects: expanding the liberalization of some procedural parts and safeguarding the sovereignty of States in some substantive rights. The main way to resolve disputes lies in the establishment of a special dispute settlement body within the Free Trade area and a series of supporting measures, which can solve disputes efficiently without infringing upon the sovereignty of each country.
【学位授予单位】：北京化工大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996.4

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