国际投资仲裁中透明度规则问题研究

发布时间：2018-03-19 18:03

本文选题：投资仲裁　切入点：透明度　出处：《郑州大学》2017年硕士论文　论文类型：学位论文

【摘要】：在国际投资仲裁中,仲裁坚持秘密性原则,注重对投资者私人利益的保护,而忽略了对东道国公共利益的保护,这极大地损害了东道国的利益,引发了国际社会对仲裁公正性的质疑,因此国际社会呼吁对投资仲裁机制进行改革,增加仲裁程序的透明度。《北美自由贸易协定》中最早出现了关于投资仲裁透明度的规定,并通过实践建立了“法庭之友”制度,随后国际投资争端解决中心、联合国国际贸易法委员会也对仲裁规则进行了修订,增加了透明度的规定,这些都促进了国际投资仲裁机制的发展。投资仲裁透明度的发展有力地保护了仲裁中的公共利益,但也带来了一些问题,国际投资仲裁的透明度改革严重削弱了仲裁的特性,限制了争议当事人之间的的合意,扩大了仲裁庭的权力,同时透明度规则在发展程度上也不尽相同,规定模糊、不明确。因此,国际社会应该正确认识透明度的改革,加强国际社会的合作和仲裁机构的改革,制定出合理、具体的仲裁规则。在投资仲裁透明度的问题上,中国也必须坚持正确的态度,积极支持投资仲裁透明度改革,同时积极参与仲裁规则的制定,参与到世界经济规则的制定当中,为我国赢得在世界经济秩序中的话语权。文章由四部分组成,第一部分首先介绍了国际投资仲裁透明度的内容,其次分别对联合国国际贸易法委员会的《透明度规则》,国际投资争端解决中心的仲裁规则以及《北美自由贸易协定》在仲裁透明度方面的规定进行了叙述,并作简单分析;第二部分首先对仲裁秘密性进行分析,认为其保护的私人利益与仲裁涉及的公共利益之间的冲突是仲裁透明度的存在的根本原因,同时认为国际社会对仲裁公开、透明的要求是对公共利益的保护,从这两个角度分析了投资仲裁透明度的实质;第三部分主要介绍了投资仲裁透明度存在的问题,并针对透明度存在的问题提出相应的解决方法;第四部分叙述了中国在投资仲裁方面的实践及其面临的挑战,并为中国如何应对上述挑战提出了几点建议,着重提出中国应该借鉴美国的双边投资范本模式制定自身的投资范本,维护自身的国家利益。
[Abstract]:In international investment arbitration, arbitration adheres to the principle of secrecy and pays attention to the protection of the private interests of investors, while neglecting the protection of the public interests of the host country, which greatly damages the interests of the host country. The international community called for the reform of the investment arbitration mechanism and increased the transparency of the arbitration process. The North American Free Trade Agreement (NAFTA) was the first to provide for transparency in investment arbitration, The amicus curiae system was established through practice, and subsequently the International Centre for the settlement of Investment disputes and the United Nations Commission on International Trade Law revised the arbitration rules to increase transparency provisions, These have promoted the development of the international investment arbitration mechanism. The development of transparency in investment arbitration has effectively protected the public interest in arbitration, but has also brought about some problems. The transparency reform of international investment arbitration has seriously weakened the character of arbitration. It limits the agreement between the parties to the dispute, expands the powers of the arbitral tribunal, and at the same time, the rules on transparency are not identical in degree of development, vague and unclear. Therefore, the international community should correctly understand the reform of transparency, Strengthening cooperation among the international community and reforming arbitration institutions, and formulating reasonable and specific arbitration rules. On the issue of transparency in investment arbitration, China must also adhere to a correct attitude and actively support the reform of transparency in investment arbitration. At the same time, we actively participate in the formulation of arbitration rules, participate in the formulation of world economic rules, and win our country the right to speak in the world economic order. The article is composed of four parts. The first part introduces the transparency of international investment arbitration. Secondly, the rules on Transparency of the United Nations Commission on International Trade Law (UNCITRAL), the arbitration rules of the International Centre for settlement of Investment disputes (ICSID) and the provisions of the North American Free Trade Agreement (NAFTA) on the transparency of arbitration are described and analyzed briefly. The second part firstly analyzes the secrecy of arbitration, and points out that the conflict between the private interests protected by the arbitration and the public interest involved in arbitration is the fundamental reason for the existence of arbitration transparency, and the international community is open to arbitration at the same time. The requirement of transparency is the protection of public interest. The essence of transparency in investment arbitration is analyzed from these two angles. The third part mainly introduces the problems of transparency in investment arbitration. In part 4th, the author describes China's practice in investment arbitration and the challenges it faces, and puts forward some suggestions on how to deal with the above challenges. It is emphasized that China should draw lessons from the model model of bilateral investment of the United States to develop its own investment model and safeguard its own national interests.
【学位授予单位】：郑州大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D997.4

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