论国际商事仲裁中的强行法及其适用

发布时间：2018-07-13 11:34

【摘要】：仲裁界的主流观点认为，仲裁庭的权限由双方当事人以协议赋予，其法律特征是“意思自治”、“契约自治”。法院地法上几乎没有争议的“强行法优于与其相冲突的当事人选择的其他国家或地区法律”的做法在国际商事仲裁中并不当然适用。理论上仲裁员应仅受当事人所选择法律的约束，不受与当事人所选择法律相冲突的另一个法律体系中强行法的支配。然而，国际商事仲裁实践并没有完全印证这一理论。仲裁机构所在地强行法和仲裁裁决承认与执行地强行法等与仲裁裁决有密切联系的其他国家或地区的强行法，都是仲裁员在仲裁过程中需要慎重考虑的。本文首先在第一部分分析了强行法的性质、认定及分类。仲裁协议、程序、实体方面的强行法适用影响深远，甚至决定一个仲裁裁决最终能否被承认与执行。因此有必要在文章第一部分对强行法的性质进行分析，并对如何认定强行法及强行法的分类加以说明。第二部分对当事人选择准据法中的强制性规则、仲裁机构所在地强制性规则、仲裁裁决承认与执行地强制性规则、合同履行地强制性规则、与争议双方有密切联系的其他国家或地区强制性规则及公共秩序进行系统分析，并提出笔者观点。第三部分探讨了因违反强行法被撤销的国际商事仲裁裁决能否被承认与执行问题。“强行法”并非作为一个独立的法律部门而存在或集中于某一法律文件而存在；在整个法律体系中，强行法是散见于各个法律部门或法律文件之中的。因此，本文第四部分对我国法律体系中仲裁协议、仲裁程序、仲裁实体三个方面的强行法进行了梳理和分析。在总结分析我国仲裁机构审理国际商事仲裁案件时如何适用我国法律体系中的强行法（即仲裁地强行法）和如何适用仲裁地强行法之外的强行法，尤其是裁决承认与执行地强行法的基础上，提出笔者的意见：我国仲裁机构审理国际商事仲裁案件时，中国法律体系中的强行法（即仲裁地强行法）并非必须无条件适用；我国（即仲裁地）强行法之外的其他法律体系中的强行法，包括合同准据法中的强行法，准据法以外的强行法（可能是某一国家或地区法律体系中的强行法，也可能是国际统一实体法或区域统一实体法中的强制性规则），尤其是裁决承认与执行地的强行法，基于平衡裁决可执行性和“尊重当事人意思自治”原则之间的关系，应区分不同情形，，分别予以考虑。
[Abstract]:The mainstream view of arbitration is that the jurisdiction of the arbitral tribunal is conferred by agreement between the parties, and its legal characteristics are "autonomy of will" and "autonomy of contract". The practice of "jus cogens superior to the law of other countries or regions chosen by the conflicting parties", which is almost undisputed in the law of the forum, does not necessarily apply in international commercial arbitration. In theory, arbitrators should only be bound by the law chosen by the parties and not subject to jus cogens in another legal system that conflicts with the law chosen by the parties. However, the practice of international commercial arbitration does not fully confirm this theory. The jus cogens of the place where the arbitration institution is located and the jus cogens of the place where the arbitral award is recognized and enforced are all the jus cogens of other countries or regions which are closely related to the arbitral award, which should be carefully considered by the arbitrators in the process of arbitration. The first part of this paper analyzes the nature, identification and classification of jus cogens. The application of jus cogens in arbitration agreements, procedures, and entities has far-reaching implications, and even determines whether an arbitral award can ultimately be recognized and enforced. Therefore, it is necessary to analyze the nature of jus cogens in the first part of the article, and explain how to identify jus cogens and the classification of jus cogens. The second part deals with the mandatory rules of the parties' choice of applicable law, the mandatory rules of the seat of the arbitration institution, the compulsory rules of the place of recognition and enforcement of the arbitral award, the compulsory rules of the place where the contract is performed, The mandatory rules and public order of other countries or regions which are closely related to both parties to the dispute are systematically analyzed, and the author's views are put forward. The third part discusses whether the international commercial arbitration award can be recognized and enforced because of breach of jus cogens. Jus cogens does not exist as an independent legal department or exists in a single legal document; in the whole legal system, jus cogens exists in various legal departments or legal documents. Therefore, the fourth part of this article combs and analyzes the compulsory law in three aspects of arbitration agreement, arbitration procedure and arbitration entity in our country's legal system. How to apply the jus cogens in the legal system of our country (that is, the jus cogens of the place of arbitration) and the jus cogens other than the jus cogens in the place of arbitration are summarized and analyzed. In particular, on the basis of the jus cogens of recognition and enforcement of the award, the author's opinion is put forward: when China's arbitration institutions hear cases of international commercial arbitration, the jus cogens in China's legal system (that is, the jus cogens of the place of arbitration) do not have to be applied unconditionally; Jus cogens in other legal systems other than jus cogens in our country (i.e. the place of arbitration), including jus cogens in the applicable law of contracts, laws other than jus cogens (which may be jus cogens in the legal system of a country or region), It may also be a mandatory rule in internationally uniform substantive law or regional uniform substantive law), in particular jus cogens between recognition of awards and the place of enforcement, based on the balance between the enforceability of awards and the principle of "respect for party autonomy", Different situations should be distinguished and considered separately.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D997.4

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