国际能源投资合同中的稳定条款法律问题研究

发布时间：2018-04-03 22:13

本文选题：国际能源投资　切入点：投资合同　出处：《西南政法大学》2015年硕士论文

【摘要】：本文的题目是《国际能源投资合同中的稳定条款法律问题研究》,主要探讨在国际能源投资领域东道国政府与外国投资者如何通过投资合同中的条款选择和制定来防范东道国的法律和政治风险。文章主要从合同的角度分析稳定条款作为合同方在谈判中基于利益均衡的考虑而协商达成的对外投资风险管理条款,对于东道国单方面任意修改投资项目适用的法律法规政策行为的限制作用,以及平衡保护外国投资者合理期待的投资经济利益与维护东道国立法权、行政权之间关系的作用。稳定条款已适用于全球各地的能源投资合同中,并与投资条约一起从不同的角度保障能源投资的稳定性。由于投资者追求投资环境的稳定、财务可预测性和国际争端解决的可强制执行,东道国想要确保监管和立法的灵活性,最大的税收利益,并履行国家的人权与环境保护等社会义务,稳定条款在具体适用过程中,存在着适用主体不明确,条款内容设置不够完善,争端解决机制约定不明等问题。文章对关于稳定条款的这些法律问题进行探讨,并结合国际仲裁案例进行分析。且根据我国海外能源资源投资逐年增长的趋势,探讨稳定条款在我国的适用现状,并从投资者的角度分析我国在订立能源投资合同中的稳定条款时应当注意的问题和应对措施。论文引言部分对中国能源投资现状和能源投资合同进行概述,并对国内外关于稳定条款已讨论的法律问题采用文献研究和案例分析的方法进行研究,指出学界已有的研究动态成果和本文将探讨的法律问题。正文包括四个部分:第一部分对国际能源投资合同中稳定条款的概念和作用进行阐述,并通过国际投资合同中关于订立稳定条款的实践对稳定条款进行分类研究。对合同中的稳定条款与国际投资条约中与投资稳定性有关的公平公正待遇条款和保护伞条款进行比较,分析上述条款分别在合同与条约中对投资稳定的保护作用。指出稳定条款的适用现状以探讨稳定条款的发展趋势。第二部分通过对能源投资合同中稳定条款有效性和适用过程中关于适用主体、条款内容、争端解决和适用例外等法律问题的探讨,提出在订立稳定条款时外国投资者和东道国政府应当注意的问题和稳定条款引起的合同纠纷的争端解决机制。第三部分结合国际投资仲裁庭的相关案例着重分析稳定条款与国际投资条约的关系问题和关于稳定条款内容的解释问题,并通过稳定条款在国际大型能源投资项目中的具体实践进一步指出稳定条款的适用例外情况。第四部分对我国能源投资合同中适用的稳定条款进行分析,从中国投资者对外投资的角度考虑如何确保我国海外能源资源的稳定供给,希望对我国能源投资领域的稳定性措施研究提出有益建议。
[Abstract]:The title of this paper is "study on the legal issues of Stability clauses in International Energy Investment contracts", which mainly discusses how the host governments and foreign investors choose and formulate the terms in the international energy investment contracts.Guard against the legal and political risks of the host country.This paper mainly analyzes the stable clause, which is negotiated by the contracting parties on the basis of the consideration of the balance of interests in the negotiations, and analyzes the foreign investment risk management clause from the point of view of the contract.The restrictive effect of the laws, regulations and policies applied by the host country to the unilateral modification of the investment project, and the role of balancing the relationship between protecting the economic interests of investment reasonably expected by foreign investors and safeguarding the legislative and executive power of the host country.Stability clauses have been applied to energy investment contracts around the world, and together with investment treaties, the stability of energy investment is guaranteed from different angles.As investors seek stability in the investment environment, financial predictability and enforcement of international dispute resolution, host countries want to ensure regulatory and legislative flexibility to maximize tax benefits,And fulfill the social obligations such as human rights and environmental protection of the country, the stability clause in the specific application process, there are not clear applicable subject, clause content is not perfect, dispute settlement mechanism agreement is unclear and so on.This paper probes into these legal issues concerning the stability clause and analyzes the cases of international arbitration.According to the increasing trend of overseas investment in energy resources, this paper probes into the present situation of the application of the stability clause in our country, and analyzes the problems and countermeasures in concluding the stable clause in the energy investment contract from the point of view of the investors.In the introduction part of the paper, the current situation of China's energy investment and the energy investment contract are summarized, and the methods of literature research and case analysis are used to study the legal issues discussed at home and abroad on the stability clause.This paper points out the current research results and the legal issues to be discussed in this paper.The text includes four parts: the first part expounds the concept and function of the stable clause in the international energy investment contract, and classifies the stable clause through the practice of establishing the stable clause in the international investment contract.This paper compares the stability clause in the contract with the fair and just treatment clause and the umbrella clause in the international investment treaty, and analyzes the protective effect of the above clauses on the investment stability in the contract and the treaty respectively.This paper points out the current situation of the application of the stable clause in order to explore the development trend of the stable clause.The second part discusses the validity of the stability clause in the energy investment contract and the legal problems in the process of application, such as the subject of application, the content of the clause, the dispute settlement and the application exception, etc.The problems that foreign investors and host governments should pay attention to and the dispute settlement mechanism of contract disputes caused by stability clauses are put forward.The third part focuses on the analysis of the relationship between the stability clause and the international investment treaty and the interpretation of the content of the stability clause in the light of the relevant cases of the International Investment Arbitration Tribunal.Through the concrete practice of the stability clause in the international large energy investment project, the application exception of the stability clause is further pointed out.The fourth part analyzes the stability clauses applied in China's energy investment contracts, and considers how to ensure the stable supply of overseas energy resources from the perspective of Chinese investors' overseas investment.It is hoped that some useful suggestions will be put forward for the study of stability measures in the field of energy investment in China.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D923.6

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