第三方资助对国际仲裁程序的影响及规制建议

发布时间：2018-05-06 23:14

本文选题：第三方资助 + 利益冲突　；参考：《中国政法大学》2017年硕士论文

【摘要】：随着经济全球化的深入和国际贸易的发展,仲裁费用也日趋高涨,不仅给当事人带来不小的经济负担,还阻碍了国际仲裁的发展。与此同时,第三方出资安排开始进入国际仲裁领域,并逐渐发展成为一项融资产业。由于第三方资助在减轻当事人经济负担和转移风险方面具有巨大优势,各国也开始支持和引导第三方资助仲裁的发展。但不可否认的是,第三方出资安排的介入对当前国际仲裁程序带来不小的挑战,如何应对这些挑战,成为当前国际仲裁亟需解决的问题。本文将以国际仲裁程序为基础,运用仲裁理论,以知名仲裁机构的仲裁规则和相关案例为支持,对第三方资助予以分析,并尝试提出规制意见。全文共分为四章,分别从第三方资助的界定、对仲裁程序的挑战、规制建议和对我国的思考四个角度进行论述。第一章介绍了第三方资助仲裁的概念、特点、性质及其发展历史。本文所研究的国际仲裁中的第三方资助特指狭义的第三方资助,即由案外人出资支付仲裁申请人进行仲裁活动所需费用,并对胜诉结果分享利益,而不包括贷款、诉讼保险等广义上的资助行为。然后本文对第三方资助的发展历史进行了梳理,并分析了第三方资助得以兴起和发展的原因。第二章分析了第三方资助对国际仲裁程序的影响,主要包括三方面的挑战:投资人与仲裁员之间的关系可能影响仲裁员自身的独立性和公正性、被资助当事人与投资人分享案件资料和信息可能导致对保密义务的违反、涉及第三方出资安排的仲裁裁决可能面临申请人败诉时无法执行以及被外国法院拒绝承认和执行的情况。第三章是对国际仲裁机构如何应对第三方资助带来的挑战提出的几点建议,仲裁机构可以通过修订仲裁规则的方式,建立对第三方资助的披露和费用担保制度。披露制度的建立是解决第三方资助带来的所有问题的前提和基础,主要包含两部分内容:要求被资助当事人尽早向仲裁机构、对方当事人披露受资助的事实和投资人的身份;对资助协议的内容则交由仲裁员在案件审理过程中根据需要做出是否披露的裁定。费用担保是为了保证被申请人为仲裁支持的合理费用得到补偿,因此需要被申请人证明依赖于第三方出资安排进行仲裁的申请人无力负担补偿责任。第四章立足于我国仲裁实践的发展,从披露制度和保密性两个角度对贸仲仲裁规则提出建议,以期能够在当前国内立法和实践暂时空白的情况下,增加国际仲裁当事人选择贸仲的可能性,为我国将来关于第三方资助仲裁的立法活动提供经验和借鉴。
[Abstract]:With the deepening of economic globalization and the development of international trade, the arbitration costs are rising day by day, which not only brings not only the economic burden to the parties, but also hinders the development of international arbitration. At the same time, the third-party investment arrangements began to enter the field of international arbitration, and gradually developed into a financing industry. As third-party funding has great advantages in reducing the financial burden of the parties and transferring risks, countries have also begun to support and guide the development of third-party funding arbitration. However, it is undeniable that the intervention of the third party financing arrangement brings not small challenges to the current international arbitration procedure, and how to deal with these challenges has become a problem that needs to be solved urgently in the current international arbitration. Based on the international arbitration procedure and the arbitration theory and supported by the arbitration rules and relevant cases of well-known arbitration institutions, this paper will analyze the third party financing and try to put forward the regulatory opinions. The full text is divided into four chapters, respectively from the definition of third-party funding, the challenges to arbitration procedures, regulatory recommendations and thinking of four angles. The first chapter introduces the concept, characteristics, nature and history of third-party-funded arbitration. In the international arbitration studied in this paper, the third party financing refers to the narrow sense of third party financing, that is, the foreign party pays the expenses of the arbitration applicant for the arbitration activity, and shares the benefit of the outcome of the successful arbitration, excluding the loan. Litigation insurance and so on broad support behavior. Then, this paper reviews the history of third-party funding, and analyzes the reasons for the rise and development of third-party funding. Chapter II analyzes the impact of third-party funding on international arbitration proceedings, including three main challenges: the relationship between investors and arbitrators may affect the independence and impartiality of arbitrators themselves. The sharing of case information and information between the funded party and the investor may lead to a breach of the confidentiality obligation, Arbitral awards involving third-party funding arrangements may face failure to enforce in the event of an applicant's failure and refusal by a foreign court to recognize and enforce them. The third chapter is a few suggestions on how to deal with the challenge brought by the third party financing. The arbitration institution can establish the disclosure and cost guarantee system of the third party by revising the arbitration rules. The establishment of disclosure system is the premise and foundation to solve all the problems caused by the third party's financial assistance. It mainly includes two parts: requiring the funded party to disclose the facts of the subsidy and the identity of the investor to the arbitration institution as soon as possible; The content of the funding agreement is left to the arbitrator to decide whether or not to disclose it as necessary during the case. The purpose of the cost guarantee is to ensure that the reasonable cost of the respondent's support for the arbitration is compensated, so it is necessary for the respondent to prove that the applicant who relies on the arrangement of the third party's contribution to the arbitration is unable to bear the liability for the compensation. Chapter four, based on the development of arbitration practice in China, puts forward some suggestions on the arbitration rules from the perspective of disclosure system and confidentiality, in order to be able to make a temporary gap in current domestic legislation and practice. To increase the possibility of international arbitration parties to choose the trade position, and to provide experience and reference for our country's future legislation on the third party financing arbitration.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D925.7

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