中国内地司法实践视角下的《纽约公约》问题研究

发布时间：2019-06-25 11:53

【摘要】：有社会就会有纠纷，于是需要防止和解决纠纷的场所、机构、程序以及有关的规则。纠纷的处理有不同的方式，例如，法院外当事人之间的协商、交涉和第三者介入的调解、仲裁，法院内的和解、调解和审判等。仲裁是法院诉讼之外解决民商事争议和纠纷的重要而有效的途径，也是司法外解决争议的一种最为制度化的形式，从性质上看，它实际上是一种准司法的方法。仲裁的快捷、保密和高效等性质往往被认为是争议之当事人选择仲裁来解决纠纷的重要原因。然而，在国际商事仲裁的视角下，与诉讼相比，仲裁真正的、无可争议的优势在于仲裁裁决根据《承认和执行外国仲裁裁决公约》在几乎全球范围内的可执行性。从国际社会由主权国家组成以及其成员地位平等、组织结构松散和权力分散的特点分析，这种特定的社会形态，使得国家间在国际交往特别是国际间司法制度的“流动性”方面存在天然的障碍。1958年《纽约公约》订立之前，因为没有对法院审查裁决规定任何限制措施，可以说根本不存在真正的国际仲裁。以《纽约公约》为代表的国际商事仲裁立法，不仅使私法庭的裁决能够在世界上绝大多数国家得到承认和执行，而且，，由《纽约公约》及其之后的一系列有关国际立法所建构的国际商事仲裁法律体系也成功地促成了世界范围内主要贸易国家国内立法的变革与协调。这些都使《纽约公约》成为“整个商法历史上最为有效的国际立法”。本文主要着眼于中国内地法院在适用《纽约公约》实践中的经验与不足，为研究者提供一条从理论到实践并从实践反推理论的路径。本文第一章主要从国际商事仲裁的基本概念入手，不囿于传统的有关国际商事仲裁性质的理论，提出了对于国际商事仲裁的运行层面和深层层面分别考察的观点，认为在国际商事仲裁的运行层面确实存在着契约性与司法权性的交互作用，但在其深层层面，司法权性以自己的方式体现着国家权力的存在。本章阐述了《纽约公约》框架下裁决的承认与执行的联系与区别，并提出了与国际民事诉讼程序中“临时措施”相类似的仲裁裁决“执行前程序”，该程序的存在目的即是为了保证执行的顺利进行。公约裁决与“非内国裁决”是公约确定的承认与执行的两种对象。裁决的承
[Abstract]:If there is a society, there will be disputes, so there is a need to prevent and resolve disputes, institutions, procedures and relevant rules. There are different ways to deal with disputes, such as consultation between the parties outside the court, mediation between negotiation and third party intervention, arbitration, settlement within the court, mediation and trial, etc. Arbitration is an important and effective way to solve civil and commercial disputes outside the court litigation, and it is also one of the most institutionalized forms of extrajudicial dispute resolution. In nature, it is actually a quasi-judicial method. The fast, confidential and efficient nature of arbitration is often considered to be an important reason for the disputing parties to choose arbitration to resolve the dispute. However, from the perspective of international commercial arbitration, compared with litigation, the real and indisputable advantage of arbitration lies in the enforceability of arbitral awards on an almost global scale in accordance with the Convention on the recognition and Enforcement of Foreign Arbitration Awards. From the analysis of the characteristics of the international community, which is composed of sovereign States and their equal membership, loose organizational structure and decentralization of power, this particular social pattern results in natural obstacles to international exchanges, in particular the "mobility" of the international judicial system. Prior to the conclusion of the 1958 New York Convention, there were no restrictive measures for court review decisions, It can be said that there is no real international arbitration at all. The legislation of international commercial arbitration, represented by the New York Convention, not only enables the decisions of private courts to be recognized and enforced in most countries in the world, but also successfully promotes the reform and coordination of the domestic legislation of the major trading countries in the world, as well as the legal system of international commercial arbitration constructed by the New York Convention and a series of relevant international legislation. All these make the New York Convention the most effective international legislation in the history of commercial law. This paper focuses on the experience and shortcomings of mainland Chinese courts in the application of the New York Convention, and provides a way for researchers to deduce the theory from theory to practice and from practice. The first chapter of this paper mainly starts with the basic concept of international commercial arbitration, not limited to the traditional theory of the nature of international commercial arbitration, puts forward the point of view of the operation level and deep level of international commercial arbitration respectively, and holds that there is indeed the interaction between contractual nature and judicial power in the operation level of international commercial arbitration, but at its deep level, Judicial power embodies the existence of state power in its own way. This chapter expounds the relationship and difference between recognition and enforcement of awards under the framework of the New York Convention, and puts forward the "pre-enforcement procedure" of arbitral awards similar to "interim measures" in international civil proceedings, the purpose of which is to ensure the smooth progress of enforcement. Convention decisions and non-domestic decisions are the two objects of recognition and enforcement established by the Convention. Acceptance of award
【学位授予单位】：中国政法大学
【学位级别】：博士
【学位授予年份】：2006
【分类号】：D997.4

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