国际投资条约之保护伞条款研究
发布时间：2018-09-17 12:04
【摘要】：近年来,伴随着国际投资自由化、便利化、一体化的发展,国际直接投资发展迅速,外国投资者与东道国之间的国际投资争端的数量也呈现日益上升的趋势,并且投资争端的趋势也从以往的“政治性争端”逐渐向“管理性争端”转变。“保护伞条款”作为发达国家为保护投资者利益而创设的投资保护条款,经历了全面无条件到限制性适用再到相对限制性适用的演变。从创设之初单纯强调对投资者进行全方位的保护,到在保护投资者与维护东道国权益之间寻求平衡,“保护伞条款”在投资争端解决机制上为投资者提供了一种将违反东道国一投资者间投资合同的行为上升到违反条约的层面予以解决投资争端的方法。国际仲裁庭在解决“保护伞条款”的适用问题时面临的难题在于如何处理投资者依投资合同提起的合同之诉与依投资条约提出的条约之诉的关系问题以及如何确定仲裁管辖权。目前,国际仲裁实践中对“保护伞条款”的适用仍未形成统一意见,个案分析情况表明仲裁实践中表现出严重偏袒外国投资者的倾向,主要在于对投资条约中“保护伞条款”进行不当扩大解释,此举对东道国主权构成严重侵害。通过对投资条约中其他条款与“保护伞条款”之间的关系的深入分析,对“保护伞条款”的适用提出完善之建议,更好地发挥该条款在投资条约中的作用。同时结合我国缔结投资条约的现状与发展趋势,对我国作为资本输入国和资本输出国时在投资条约中是否订立“保护伞条款”以及如何订立分别提出建议,以求最大限度维护我国利益。
[Abstract]:In recent years, with the development of international investment liberalization, facilitation and integration, international direct investment has developed rapidly, and the number of international investment disputes between foreign investors and host countries has also shown an increasing trend. And the trend of investment disputes has changed from political disputes to management disputes. As an investment protection clause created by developed countries to protect the interests of investors, the "umbrella clause" has undergone an evolution from unconditional to restrictive application and then to relative restrictive application. From the beginning of its creation, it simply emphasized the all-around protection of investors, to seek a balance between protecting investors and safeguarding the rights and interests of the host country. The "umbrella clause" provides investors with a way to resolve the investment dispute by violating the investment contract between the host country and the investor to the level of violation of the treaty. The problems faced by the international arbitration tribunal in solving the application of the umbrella clause lie in how to deal with the relationship between the investor's litigation under the investment contract and the treaty suit under the investment treaty, and how to determine the arbitration jurisdiction. At present, the application of the umbrella clause in the practice of international arbitration has not yet formed a unified opinion. The case analysis shows that the arbitration practice shows a tendency to show a serious bias towards foreign investors. This is mainly due to the improper expansion of the umbrella clause in the investment treaty, which constitutes a serious infringement on the host country's sovereignty. Through the deep analysis of the relationship between the other clauses in investment treaties and the "umbrella clause", the author puts forward some suggestions for the application of the "umbrella clause", so as to give better play to the role of the clause in the investment treaty. At the same time, according to the current situation and development trend of investment treaties concluded in China, the paper puts forward some suggestions on whether China, as a capital importing country and a capital exporting country, makes "umbrella clauses" in investment treaties and how to make them. In order to maximize the protection of our interests.
【学位授予单位】：暨南大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.4
本文编号：2245861
[Abstract]:In recent years, with the development of international investment liberalization, facilitation and integration, international direct investment has developed rapidly, and the number of international investment disputes between foreign investors and host countries has also shown an increasing trend. And the trend of investment disputes has changed from political disputes to management disputes. As an investment protection clause created by developed countries to protect the interests of investors, the "umbrella clause" has undergone an evolution from unconditional to restrictive application and then to relative restrictive application. From the beginning of its creation, it simply emphasized the all-around protection of investors, to seek a balance between protecting investors and safeguarding the rights and interests of the host country. The "umbrella clause" provides investors with a way to resolve the investment dispute by violating the investment contract between the host country and the investor to the level of violation of the treaty. The problems faced by the international arbitration tribunal in solving the application of the umbrella clause lie in how to deal with the relationship between the investor's litigation under the investment contract and the treaty suit under the investment treaty, and how to determine the arbitration jurisdiction. At present, the application of the umbrella clause in the practice of international arbitration has not yet formed a unified opinion. The case analysis shows that the arbitration practice shows a tendency to show a serious bias towards foreign investors. This is mainly due to the improper expansion of the umbrella clause in the investment treaty, which constitutes a serious infringement on the host country's sovereignty. Through the deep analysis of the relationship between the other clauses in investment treaties and the "umbrella clause", the author puts forward some suggestions for the application of the "umbrella clause", so as to give better play to the role of the clause in the investment treaty. At the same time, according to the current situation and development trend of investment treaties concluded in China, the paper puts forward some suggestions on whether China, as a capital importing country and a capital exporting country, makes "umbrella clauses" in investment treaties and how to make them. In order to maximize the protection of our interests.
【学位授予单位】：暨南大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.4
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