双边投资条约中保护伞条款解释方法研究
发布时间：2018-11-24 16:32
【摘要】：随着国际投资活动的日益频繁,国际投资法律在投资活动中的作用越来越重要,但是国际投资法律的多边谈判长期没有进展,因此,双边投资条约(Bilateral Investment Treaties,以下简称BITs)成为规制国际投资活动的主要法律形式。根据2010年联合国贸易发展组织的报告,截至2009年底,BITs的数量已达2750个。而BITs在被各国广泛运用的同时,涉及BITs的国际投资争端也越来越多。在解决国际投资争端的过程中也产生很多争议,保护伞条款的解释就是其中之一。 自1959年首次出现在BITs中后,保护伞条款日益成为BITs中的一项规范特征。近年来,在解决投资争端国际中心(以下简称ICSID)受理的仲裁案件中都涉及了保护伞条款的解释问题,但是在这些案件中,仲裁庭对该条款采用的解释方法不同,导致案件最后的仲裁结果也是各不相同。保护伞条款的解释问题已成为国际投资争端解决以及国际投资法领域关注的焦点。随着我国改革开放,为了更好地促进对外贸易,与很多国家都缔结了BITs,其中很多BITs中都有保护伞条款。为保护伞条款找到一个适当的解释方法,平衡外国投资者与东道国的利益,对于我国来说至关重要。本文通过对各国BITs中的保护伞条款的比较,并参考ICSID仲裁庭关于保护伞条款解释问题的观点,对涉及保护伞条款解释方法的案例的比较分析,寻求一种恰当的解释,同时对我国在BITs实践中如何应对保护伞条款解释问题提出了相应的建议。 本文共分为四章,包括： 第一章是保护伞条款的概述。介绍了保护伞条款的渊源、定义、特征和表述特点。 第二章是保护伞条款解释方法争议原因探究。从解释方法争议的核心和实质两个方面对解释方法争议进行了剖析。 第三章是关于保护伞条款三种解释方法的观点介绍以及典型案例评析。介绍了学术界的关于保护伞条款解释的三种主要观点：限制性解释、扩大性解释和相对限制性解释。对三个典型案例的案情、判决以及仲裁庭裁判的理由进行详细介绍,并对三个案例的判决进行比较,结合仲裁庭的判决分析三种解释方法,找出最适当的解释方法。 第四章是我国应对保护伞条款解释方法分歧的对策。根据我国缔结的BITs中保护伞条款的情况,对我国在应对保护伞条款解释争议提出笔者的建议。
[Abstract]:With the increasing frequency of international investment activities, the role of international investment law in investment activities is becoming more and more important, but multilateral negotiations on international investment law have not made progress for a long time. Therefore, bilateral investment treaty (Bilateral Investment Treaties,) BITs (hereinafter referred to as BITs) has become the main legal form of regulating international investment activities. By the end of 2009, the number of BITs had reached 2750, according to the United Nations Trade and Development Organization in 2010. While BITs is widely used in many countries, there are more and more international investment disputes involving BITs. There are also many disputes in the process of settling international investment disputes, including the interpretation of umbrella clause. Since its first appearance in BITs in 1959, umbrella clause has increasingly become a normative feature of BITs. In recent years, the interpretation of the umbrella clause has been dealt with in arbitration cases accepted by the International Centre for the settlement of Investment disputes (hereinafter referred to as ICSID), but in these cases, the arbitration tribunal has adopted a different interpretation of the clause. The final arbitration result in the case is also different. The interpretation of umbrella clause has become the focus in the field of international investment dispute settlement and international investment law. With the reform and opening up of China, in order to promote foreign trade better, BITs, has been concluded with many countries, many of which have umbrella clauses in BITs. It is very important for our country to find an appropriate way to interpret the umbrella clause and balance the interests of foreign investors and host countries. In this paper, by comparing the umbrella clauses in the BITs of various countries and referring to the views of the ICSID arbitral tribunal on the interpretation of the umbrella clause, this paper makes a comparative analysis of the cases concerning the interpretation of the umbrella clause, and seeks a proper interpretation. At the same time, some suggestions on how to deal with the interpretation of umbrella clause in China's BITs practice are put forward. This paper is divided into four chapters, including: the first chapter is an overview of the umbrella clause. This paper introduces the origin, definition, characteristics and description of umbrella clause. The second chapter is the explanation method of umbrella clause. This paper analyzes the dispute of interpretation method from the core and essence of the dispute of interpretation method. The third chapter introduces the three interpretation methods of umbrella clause and the typical cases. This paper introduces three main views on the interpretation of umbrella clause in academic circles: restrictive interpretation, extended interpretation and relative restrictive interpretation. This paper introduces the case of three typical cases, the judgment and the reasons of the arbitration tribunal decision in detail, and compares the judgment of the three cases, and analyzes the three interpretation methods combined with the judgment of the arbitration tribunal, and finds out the most appropriate interpretation method. The fourth chapter is our country should protect umbrella clause interpretation method difference countermeasure. According to the situation of umbrella clause in BITs concluded by our country, this paper puts forward some suggestions on the interpretation of umbrella clause in our country.
【学位授予单位】：大连海事大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.4
本文编号：2354366
[Abstract]:With the increasing frequency of international investment activities, the role of international investment law in investment activities is becoming more and more important, but multilateral negotiations on international investment law have not made progress for a long time. Therefore, bilateral investment treaty (Bilateral Investment Treaties,) BITs (hereinafter referred to as BITs) has become the main legal form of regulating international investment activities. By the end of 2009, the number of BITs had reached 2750, according to the United Nations Trade and Development Organization in 2010. While BITs is widely used in many countries, there are more and more international investment disputes involving BITs. There are also many disputes in the process of settling international investment disputes, including the interpretation of umbrella clause. Since its first appearance in BITs in 1959, umbrella clause has increasingly become a normative feature of BITs. In recent years, the interpretation of the umbrella clause has been dealt with in arbitration cases accepted by the International Centre for the settlement of Investment disputes (hereinafter referred to as ICSID), but in these cases, the arbitration tribunal has adopted a different interpretation of the clause. The final arbitration result in the case is also different. The interpretation of umbrella clause has become the focus in the field of international investment dispute settlement and international investment law. With the reform and opening up of China, in order to promote foreign trade better, BITs, has been concluded with many countries, many of which have umbrella clauses in BITs. It is very important for our country to find an appropriate way to interpret the umbrella clause and balance the interests of foreign investors and host countries. In this paper, by comparing the umbrella clauses in the BITs of various countries and referring to the views of the ICSID arbitral tribunal on the interpretation of the umbrella clause, this paper makes a comparative analysis of the cases concerning the interpretation of the umbrella clause, and seeks a proper interpretation. At the same time, some suggestions on how to deal with the interpretation of umbrella clause in China's BITs practice are put forward. This paper is divided into four chapters, including: the first chapter is an overview of the umbrella clause. This paper introduces the origin, definition, characteristics and description of umbrella clause. The second chapter is the explanation method of umbrella clause. This paper analyzes the dispute of interpretation method from the core and essence of the dispute of interpretation method. The third chapter introduces the three interpretation methods of umbrella clause and the typical cases. This paper introduces three main views on the interpretation of umbrella clause in academic circles: restrictive interpretation, extended interpretation and relative restrictive interpretation. This paper introduces the case of three typical cases, the judgment and the reasons of the arbitration tribunal decision in detail, and compares the judgment of the three cases, and analyzes the three interpretation methods combined with the judgment of the arbitration tribunal, and finds out the most appropriate interpretation method. The fourth chapter is our country should protect umbrella clause interpretation method difference countermeasure. According to the situation of umbrella clause in BITs concluded by our country, this paper puts forward some suggestions on the interpretation of umbrella clause in our country.
【学位授予单位】：大连海事大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.4
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