非合意合并仲裁研究

发布时间：2018-08-31 15:46

【摘要】：非合意合并仲裁制度是为了解决多方多合同争议给仲裁带来的实践问题而提出的制度创新。由于传统的国际商事仲裁理论与实践存在不足，不能圆满地解决多方多合同争议的问题。对关联仲裁进行合并审理，便是理论界与实务界为了应对这一挑战所提出的对策。本文则主要研究在缺乏当事人明示合意的情形之下对关联仲裁进行合并的制度。通过实证研究和价值研究等方式，在我国仲裁制度的背景下，全面系统的构建起非合意合并仲裁制度的框架。除了引言与结语之外，本文分为四个部分。引言对非合意合并仲裁问题的提出背景做了阐述，并总结了现有研究现状，提出了本文的研究目标。第一部分通过介绍多方多合同争议的范围、分析多方多合同交易仲裁的困境明确了“合并仲裁”的定义，之后探讨了“非合意”的含义，，并与仲裁第三人、事实上的合并仲裁等相关概念进行了比较研究，从而明确了本文的逻辑起点。第二部分则在梳理国内外理论研究观点的基础上，分支持说与反对说两派对非合意合并仲裁制度的存废之争进行了列举分析并作出简要总结。第三部分则用实证研究的视角，归纳分析了其他国家与地区在非合意合并仲裁问题上的已有规制与实践。着重分析了美国、荷兰、香港等国立法与法院判例对非合意合并仲裁所持态度，还分析了各常设国际仲裁机构如国际商会仲裁院（ICCCA）、伦敦海事仲裁员协会（LMAA）对非合意合并仲裁这一问题作出的现有规则。然后总结出各国的立法与实践的态度与发展趋势，为之后的研究提供参考。第四部分立足于我国国情，首先归纳总结了我国在非合意合并仲裁方面的现有立法与实践，提出我国不仅存在非合意合并仲裁制度的立法空白也存在立法需求。接下来，通过价值取向和仲裁优势分析两个角度，对非合意合并仲裁理论根基进行了探讨，提出该制度是符合仲裁的价值取向并能够平衡仲裁传统优势。最后，在理论构建的基础之上，对该制度实务操作方面的各个问题进行了探索，主要包括：非合意合并仲裁的决定主体、法律适用问题、适用条件等三个基本问题以及合并后仲裁庭的组成、仲裁费用的分担、以及在《纽约公约》之下裁决的承认与执行问题三个程序问题。最后在结语部分，本文总结了非合意合并仲裁制度研究可能为仲裁参与者和仲裁立法者带来的启示。
[Abstract]:The non-consensual merger arbitration system is a system innovation to solve the practical problems caused by multi-party and multi-contract disputes. The traditional international commercial arbitration theory and practice are insufficient to solve the multi-party and multi-contract disputes satisfactorily. This paper mainly studies the system of merging related arbitration in the absence of express consent of the parties. By means of empirical research and value research, a comprehensive and systematic framework of non-consensual merger arbitration system is established under the background of China's arbitration system. Besides, this article is divided into four parts.
In the introduction, the background of the arbitration of non-consensual merger is expounded, the current research situation is summarized, and the research goal of this paper is put forward.
In the first part, by introducing the scope of multi-party and multi-contract disputes, analyzing the dilemma of multi-party and multi-contract transaction arbitration, the definition of "merger arbitration" is made clear, and then the meaning of "non-consent" is discussed, and a comparative study is made with other related concepts such as arbitration third party and de facto merger arbitration, so as to clarify the logical starting point of this paper.
In the second part, on the basis of combing the domestic and foreign theoretical research viewpoints, the dissertation lists and analyzes the disputes between the two parties on the preservation and abolition of the arbitration system of non-consensual merger and makes a brief summary.
The third part, from the perspective of empirical research, summarizes and analyzes the existing regulations and practices of other countries and regions on the issue of non-consensual merger arbitration, emphatically analyzes the attitude of legislation and court precedents of the United States, the Netherlands, Hong Kong and other countries towards non-consensual merger arbitration, and also analyzes the standing international arbitration institutions such as the International Chamber of Commerce Arbitration Court (ICC). CCA, London Maritime Arbitrators Association (LMAA) on the issue of non-consensual merger arbitration of the existing rules. Then summed up the legislative and practical attitudes and trends of development in various countries, for future research reference.
The fourth part, based on the actual situation of our country, firstly summarizes the existing legislation and practice of arbitration in non-consensual merger, and points out that there are not only legislative gaps but also legislative needs in the system of arbitration in non-consensual merger. Finally, on the basis of theoretical construction, this paper explores the practical operation of the system, including three basic questions: the subject of decision, the application of law, and the conditions of application of the system. Three procedural issues are discussed: the composition of the arbitral tribunal after the merger, the sharing of arbitration costs, and the recognition and enforcement of awards under the New York Convention.
Finally, in the concluding part, this paper summarizes the implications that the study of the arbitration system of non-consensual merger may bring to arbitration participants and arbitration legislators.
【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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