国际投资条约之重大安全例外条款研究

发布时间：2018-06-07 11:02

本文选题：国际投资条约 + 重大安全例外条款　；参考：《广西大学》2017年硕士论文

【摘要】：在国际投资市场中,国际投资条约中的重大安全例外条款在平衡东道国利益和投资者利益方面发挥着重要作用。本文以重大安全例外条款为关键点,通过对该条款基本概念、缘起及发展、价值、解释与适用等基本理论问题进行深入、系统的研究,进一步梳理与反思当前ICSID仲裁实践中重大安全例外条款的争议问题。在此基础上,剖析了中外投资条约中的重大安全例外条款的不足之处并提出完善之策。本文正文包含五个部分:第一章为重大安全例外条款概述。本章阐述了例外条款、一般例外条款与重大安全例外条款以及二者的关系,梳理了重大安全例外条款缘起及发展状况,并对重大安全例外条款的价值进行探索。第二章为重大安全例外条款的条约约文规定。本章首先分析了重大安全例外条款的解释方法。其次,从重大安全例外条款的适用范围和适用的关联性要求、目的性要求、限制性要求剖析了重大安全例外条款的适用问题。第三章为ICSID仲裁中重大安全例外条款的实践。本章首先介绍了由阿根廷金融危机引发的美国投资者将阿根廷诉至ICSID仲裁庭的案情。其次,进一步详细分析ICSID对阿根廷援引重大安全例外条款的解释以及适用,具体从阿根廷抗辩的理由、仲裁申请者的理由、仲裁庭观点几个方面进行分析。最后,总结与反思上述判例中的争议焦点问题。即经济危机是否属于重大安全、重大安全例外条款与习惯国际法“危急情况”的关系、重大安全例外条款性质的认定、重大安全例外措施“唯一”的认定、适用重大安全例外条款的法律后果。第四章为中外投资条约中重大安全例外条款的实践现状及不足。首先梳理出中外投资条约中重大安全例外条款数量较少、出现形式不同,以及重大安全例外范围界定的表述各有差异的实践现状。其次,总结出以下不足,“重大安全例外”的范围不明确、大部分重大安全利益事项的判断权归属不明确、重大安全例外措施与目标之间的关联性要求不统一、未明确援用重大安全例外条款的法律效果。第五章为完善中外投资条约中重大安全例外条款的对策。先从资本输入大国对重大安全例外规则影响、资本输出大国对重大安全例外规则影响、双重身份情形下对重大安全例外规则的影响论述了完善该条款的必要性。最后,提出具体的完善之策,即从客观考虑双重身份下国际投资条约的签订明确“重大安全例外”的范围、明确重大安全利益范围的判断权归属、统一重大安全例外措施与目标之间的关联性要求、明确援用重大安全例外条款的法律效果。
[Abstract]:In the international investment market, the important security exception clause in the international investment treaty plays an important role in balancing the interests of the host country and the investor. This article takes the major safety exception clause as the key point, through the basic concept, the origin and the development, the value, the explanation and the application and so on basic theory question carries on the thorough, the system research. Further comb and reflect on the current ICSID arbitration practice of major security exception clause dispute. On this basis, this paper analyzes the deficiencies of the major security exception clauses in the Sino-foreign investment treaties and puts forward some suggestions. The text of this paper contains five parts: the first chapter is an overview of major security exceptions. This chapter expounds the exception clause, the general exception clause and the major security exception clause and their relationship, combs the origin and development of the major security exception clause, and explores the value of the major security exception clause. The second chapter is the treaty provisions of the major security exception clause. This chapter first analyzes the interpretation of major security exceptions. Secondly, this paper analyzes the application of major safety exception clauses from the scope of application, the relevance requirements, the purpose requirements and the restrictive requirements. The third chapter is the practice of major security exception clause in ICSID arbitration. This chapter first introduces the case of U.S. investors bringing Argentina to the ICSID tribunal triggered by Argentina's financial crisis. Secondly, it further analyzes the interpretation and application of the major security exception clause invoked by ICSID in Argentina, the reasons of the Argentine defense, the reasons of the applicant for arbitration, and the viewpoint of the arbitration tribunal. Finally, summarize and reflect on the dispute focus in the above cases. That is, whether the economic crisis is a major security, the relationship between the major security exception clause and the "necessity" of customary international law, the determination of the nature of the major security exception clause, and the "sole" determination of the major security exception measure. The legal consequences of the application of the major security exception. The fourth chapter is the practice status and deficiency of the major security exception clause in the Sino-foreign investment treaty. First of all, it combs out the actual situation that the number of major security exception clauses in Sino-foreign investment treaties is relatively small, the appearance forms are different, and the definition of major security exception scope is different. Secondly, the following shortcomings are summarized: the scope of "major safety exception" is not clear, the right to judge most major security interests is not clear, and the correlation between major security exception measures and objectives is not unified. The legal effect of invoking the major security exception clause is not clear. The fifth chapter is the countermeasure of perfecting the major security exception clause in the Sino-foreign investment treaty. This paper discusses the necessity of perfecting the major security exception rule from the influence of capital importing country on major security exception rule, capital exporting country on major security exception rule and dual status on major security exception rule. Finally, the paper puts forward the concrete and perfect measures, that is, from the objective consideration of the dual status, the signing of international investment treaties clearly defines the scope of "major security exceptions" and the right to judge the scope of major security interests. Unifies the correlation between the major safety exception and the target, and clarifies the legal effect of applying the major safety exception.
【学位授予单位】：广西大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D996.4

【相似文献】