本文選題：雙邊投資協(xié)定　切入點：傘形條款　出處：《華東政法大學》2012年碩士論文　論文類型：學位論文

【摘要】：近年來，世界各國為促進和保護國際投資的發(fā)展，推進投資自由化、便利化和規(guī)范化，，紛紛制定和簽署各個層面上的投資協(xié)定。截至2011年上半年，世界上簽署國際投資協(xié)定超過6100個，其中雙邊投資協(xié)定逾4000個。 越來越多的雙邊投資協(xié)定和多邊投資協(xié)定都規(guī)定了傘形條款的內(nèi)容，用以規(guī)制締約一方東道國對締約另一方投資者的特殊承諾，傘形條款已漸漸成為國際投資協(xié)定的一項重要規(guī)范。但近年來在解決投資爭端國際中心（簡稱ICSID）仲裁的一些涉及傘形條款解釋的案件中，仲裁庭對傘形條款所適用的解釋理論以及最終得出的結(jié)論卻不盡相同，有些甚至完全相左。 這些不同的裁決結(jié)果使得傘形條款的解釋和適用問題難以確定，同時在學界也引起了相當?shù)年P(guān)注。隨著我國經(jīng)濟發(fā)展和改革開放的需要，我國在吸引和利用外資上面下足了功夫。在一些簽訂的雙邊投資協(xié)定中我國也加入傘形條款，但此時要面對的是如何對該條款進行解釋，有效地解決雙方發(fā)生的爭議，既不能有損國家主權(quán)又不能損害投資者利益的問題。本文通過介紹ICSID仲裁庭的三個案例，對比分析傘形條款適用的兩種傳統(tǒng)解釋理論——限制性和擴大性解釋理論以及新近發(fā)展的第三種解釋理論——相對限制性解釋理論，指出三者分歧所在以及產(chǎn)生分歧的根本原因，并對我國訂立雙邊投資協(xié)定的實踐以及為實現(xiàn)雙贏目的解決投資爭議提出相應的建議。 除引言和結(jié)語外，本文共分為三章。 第一章概述了傘形條款的歷史，通過介紹傘形條款的起源和發(fā)展，對其特征進行了具體分析。 第二章主要論述了ICSID仲裁庭以及學界對適用傘形條款的三種解釋理論——限制性解釋、擴大性解釋、相對限制性解釋的觀點和建議。重點分析和比較了ICSID仲裁庭是如何闡釋三種解釋理論的，并分析這三種解釋理論產(chǎn)生分歧的原因。這章是本文的核心。 第三章主要站在中國雙邊投資協(xié)定的角度上，厘清中國簽訂的雙邊投資協(xié)定及包含傘形條款部分的現(xiàn)狀，提出了對傘形條款更為適當?shù)慕忉尯瓦m用方法，從而得出對我國的雙邊投資協(xié)定實踐的啟示。
[Abstract]:In recent years, countries in the world for the development of the promotion and protection of international investment, promote investment liberalization, facilitation and standardization, have formulated and signed investment agreements at all levels. As of the first half of 2011, the world signed the agreement of international investment of more than 6100, of which more than 4000 bilateral investment agreements.
More and more bilateral investment agreements and multilateral investment agreements have stipulated the terms of the umbrella, is used to regulate the contracting party host to investors of the other contracting party special commitment, Umbrella Clause has gradually become an important norm in international investment agreements. But in recent years to solve Investment Disputes Arbitration International Center (ICSID) some involved in the interpretation of Umbrella Clause in the case, the application of the arbitration tribunal umbrella clause interpretation theory and conclusion is not the same, some even completely at odds.
These different ruling result and application of the umbrella clause interpretation is difficult to determine, has attracted considerable attention in the academic circles. With the needs of China's economic development and the reform and opening up, China's foot work in attracting and using foreign capital above. In some signed bilateral investment treaties in China also joined the umbrella the terms, but at this time to face is how to explain the terms, effectively resolve their disputes, not only undermine national sovereignty and can not damage the interests of investors. This paper describes three cases of ICSID by the arbitration tribunal, analysis of two kinds of traditional theory of interpretation of Umbrella Clause applicable restriction and extension explain the theory and recent development of third kinds of interpretation theory, relative restrictive interpretation theory comparison, pointing out that the three differences between the fundamental reason and disagreement, and made in China The practice of bilateral investment agreements and the corresponding suggestions for achieving a win-win goal to solve investment disputes.
In addition to the introduction and conclusion, this paper is divided into three chapters.
The first chapter outlines the history of the umbrella clause, and through the introduction of the origin and development of the umbrella clause, it makes a specific analysis of its characteristics.
The second chapter mainly discusses three kinds of theories to explain the terms of the ICSID arbitration tribunal and the academia for umbrella -- restrictive interpretation, expanded interpretation, relatively limited explanation of views and suggestions. Focus on the analysis and comparison of the ICSID arbitration tribunal is how to explain the three kinds of interpretation theory, and analyze the reasons of these three kinds of interpretation theory differences. This chapter is the core of this paper.
The third chapter mainly in Chinese bilateral investment agreement's point of view, clarify the bilateral investment agreement signed with the status quo of China and part of the umbrella clause, proposed to the umbrella clause is more appropriate interpretation and application of the method, thus obtains the Enlightenment of the bilateral investment treaty practice in our country.

【學位授予單位】：華東政法大學
【學位級別】：碩士
【學位授予年份】：2012
【分類號】：D996.4

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本文編號：1583619