试析ICSID仲裁案例中“投资者”界定
发布时间：2018-11-26 21:38
【摘要】：随着经济全球化的纵深发展,国际投资迅猛增加,国家和投资者之间的争端也随之而产生。为了促进和保护国际投资,经过多方努力,1965年3月18日《解决国家与他国国民间投资争端公约》在世界银行的主持下达成,并根据该《公约》创设了“解决投资争端国际中心”。经过将近五十年的投资仲裁实践,ICSID逐渐发展成为一个解决国家与投资者之间争端的最重要的机构,每年受理的案件倍增。一个争端要能在ICSID中心得以解决,首先应当满足其管辖权的要求,何者能够成为ICSID下“受保护的投资者”,《华盛顿公约》并没有明确的规定。在ICSID的仲裁实践中,各个仲裁庭以公约为基础,结合争端双方可适用的投资条约,对是否是适格的投资者进行了界定,期间发展出了一些相对固定的标准,但是在一些问题上,各个仲裁庭采取了一些不一致的态度。 本文主要采用案例比较和分析的方法,对ICSID仲裁案例中的仲裁庭在相同或者类似问题上的态度进行比较,分析其中存在的问题,对统一投资者的界定提出建议,这在当前国际投资迅猛发展的背景下,希望能够提供借鉴意义。 ICSID中对投资者界定的法律依据主要有公约第二十五条以及相关的投资协定中对投资者的规定,因此,本文将首先对华盛顿公约和其他国际投资条约中关于投资者的一些主要规定予以阐述；本文的第二部分从ICSID仲裁庭所作的界定投资者的案例出发,分析其中所存在的问题,主要有揭开公司面纱的标准问题和仲裁庭在对《华盛顿公约》和其他投资条约进行解释的时候法律适用问题。在该部分,将首先对涉及这些问题的相关理论问题进行阐述,然后结合ICSID仲裁实践中的界定投资者的做法,分析其中已经发展出来相对固定的标准以及仍旧存在争议的地方；在本文的第三部分,将分析ICSID仲裁裁决的影响,这种影响主要表现为两方面,一方面是对国际投资法的影响,一方面是各国对其所签订的投资条约以及内国法所做出的变动。在本文的最后一部分,将对投资者界定中存在的问题分别提出笔者的建议,主要包括间接控制和揭开公司面纱的标准、仲裁庭进行法律适用和解释的标准、以及如何保持仲裁裁决的一致性三个方面。
[Abstract]:With the development of economic globalization, international investment increases rapidly, and disputes between countries and investors also arise. In order to promote and protect international investment, the Convention on the settlement of Private Investment disputes between States and other States was concluded on 18 March 1965 under the auspices of the World Bank, In accordance with the Convention, the International Centre for the settlement of Investment disputes was created. After nearly 50 years of investment arbitration practice, ICSID has gradually developed into the most important institution for resolving disputes between the state and investors, and the number of cases handled every year has doubled. In order to solve a dispute in the ICSID center, the requirement of jurisdiction should be satisfied first, and the Washington Convention does not clearly stipulate who can become a "protected investor" under the ICSID. In the arbitration practice of ICSID, each arbitration tribunal based on the convention, combined with the applicable investment treaty between the two parties to the dispute, defines whether the investor is qualified or not, during which some relatively fixed criteria have been developed, but on some issues, The arbitral tribunals adopted some inconsistent attitudes. This paper mainly adopts the method of case comparison and analysis, compares the attitude of arbitration tribunal in ICSID arbitration case on the same or similar issues, analyzes the existing problems, and puts forward some suggestions on the definition of unified investor. This in the current rapid development of international investment background, hope to provide reference significance. The legal basis for the definition of investors in the ICSID is the provisions of Article 25 of the Convention and the relevant investment agreements. This paper will first of all describe some of the main provisions of the Washington Convention and other international investment treaties on investors; The second part of this paper starts from the case of defining the investor made by the ICSID arbitration tribunal, and analyzes the existing problems. There are mainly the issues of the standards for the lifting of the corporate veil and the application of the law in the interpretation of the Washington Convention and other investment treaties by the arbitral tribunal. In this part, first of all, the related theoretical issues related to these issues will be elaborated, and then combined with the practice of defining investors in the practice of ICSID arbitration, this paper analyzes the relatively fixed standards that have been developed and the places where there are still disputes; In the third part of this paper, we will analyze the influence of ICSID arbitration award, which is mainly reflected in two aspects: one is the influence on international investment law, the other is the change of investment treaty and domestic law signed by each country. In the last part of this paper, the author's suggestions on the problems in the definition of investors are put forward, including the standards of indirect control and lifting of the corporate veil, the standards of the application and interpretation of the law by the arbitral tribunal. And how to maintain the consistency of arbitration award three aspects.
【学位授予单位】：湖南师范大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996
本文编号：2359692
[Abstract]:With the development of economic globalization, international investment increases rapidly, and disputes between countries and investors also arise. In order to promote and protect international investment, the Convention on the settlement of Private Investment disputes between States and other States was concluded on 18 March 1965 under the auspices of the World Bank, In accordance with the Convention, the International Centre for the settlement of Investment disputes was created. After nearly 50 years of investment arbitration practice, ICSID has gradually developed into the most important institution for resolving disputes between the state and investors, and the number of cases handled every year has doubled. In order to solve a dispute in the ICSID center, the requirement of jurisdiction should be satisfied first, and the Washington Convention does not clearly stipulate who can become a "protected investor" under the ICSID. In the arbitration practice of ICSID, each arbitration tribunal based on the convention, combined with the applicable investment treaty between the two parties to the dispute, defines whether the investor is qualified or not, during which some relatively fixed criteria have been developed, but on some issues, The arbitral tribunals adopted some inconsistent attitudes. This paper mainly adopts the method of case comparison and analysis, compares the attitude of arbitration tribunal in ICSID arbitration case on the same or similar issues, analyzes the existing problems, and puts forward some suggestions on the definition of unified investor. This in the current rapid development of international investment background, hope to provide reference significance. The legal basis for the definition of investors in the ICSID is the provisions of Article 25 of the Convention and the relevant investment agreements. This paper will first of all describe some of the main provisions of the Washington Convention and other international investment treaties on investors; The second part of this paper starts from the case of defining the investor made by the ICSID arbitration tribunal, and analyzes the existing problems. There are mainly the issues of the standards for the lifting of the corporate veil and the application of the law in the interpretation of the Washington Convention and other investment treaties by the arbitral tribunal. In this part, first of all, the related theoretical issues related to these issues will be elaborated, and then combined with the practice of defining investors in the practice of ICSID arbitration, this paper analyzes the relatively fixed standards that have been developed and the places where there are still disputes; In the third part of this paper, we will analyze the influence of ICSID arbitration award, which is mainly reflected in two aspects: one is the influence on international investment law, the other is the change of investment treaty and domestic law signed by each country. In the last part of this paper, the author's suggestions on the problems in the definition of investors are put forward, including the standards of indirect control and lifting of the corporate veil, the standards of the application and interpretation of the law by the arbitral tribunal. And how to maintain the consistency of arbitration award three aspects.
【学位授予单位】：湖南师范大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996
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