本文選題：雙邊投資條約　切入點：保護傘條款　出處：《復(fù)旦大學》2013年碩士論文　論文類型：學位論文

【摘要】：跨國投資的繁榮發(fā)展帶動了國際投資條約的大量締結(jié),保護傘條款是近代雙邊和多邊投資條約中的重要條款,用以規(guī)定締約一方應(yīng)遵守其對締約另一方投資者所作的特定承諾。但是,不論是在理論層面還是實踐層面,圍繞該條款的爭議從未停止。 東道國與外國投資者之間簽訂的投資合同中一旦出現(xiàn)任何爭議,如果不能將其歸結(jié)為國際投資條約中明確規(guī)定的國家義務(wù),則該具體投資合同項下的爭議必須先經(jīng)過東道國國內(nèi)救濟程序,而外國投資者卻恰恰希望利用尚未明確約定適用范圍的保護傘條款將此類投資爭議一并納入保護傘條款的兜底規(guī)定中,試圖將所有投資爭議上升至對國際投資條約的違反,從而規(guī)避東道國國內(nèi)法律救濟過程,直接由國際仲裁機構(gòu)受理。但是如何平衡東道國和外國投資者之間的利益則是適用保護傘條款時必須考慮的問題。 本文第一章是關(guān)于保護傘條款的淵源和現(xiàn)狀的介紹。第一節(jié)介紹了保護傘條款的概念。本節(jié)將回答保護傘條款究竟只是對于國際公法上“有約必踐”原則的另一種表達,還是一個全新的概念這一問題。第二節(jié)介紹了保護傘條款的歷史淵源。通過梳理保護傘條款的前世今生,能夠更好地理解它的宗旨和目的。第三節(jié)介紹了保護傘條款在雙邊投資條約中的運用,包括早期實踐和現(xiàn)狀等。 本文第二章主要是從實證的角度分析保護傘條款。本章將主要圍繞ICSID的保護傘條款實踐展開。第一節(jié)主要介紹ICSID歷史上關(guān)于保護傘條款限制性解釋的代表案例——SGS v.Pakistan案。第二節(jié)主要介紹擴大性解釋的代表性案例——SGS v.Philippines案。第三節(jié)將主要介紹ICSID在保護傘條款問題上的折中觀點——E1Paso v.Argentina案。本章最后一節(jié)將在前三節(jié)分析的基礎(chǔ)上簡單總結(jié)出ICSID關(guān)于保護傘條款的主要爭議焦點。 本文第三章將在前文案例的基礎(chǔ)上,對保護傘條款的相關(guān)爭議焦點展開詳細分析。第一節(jié)將就保護傘條款的適用范圍和解釋問題展開探討。通過介紹前文的三個案件,梳理三種解釋保護傘條款的不同方法,并提出保護傘條款合理的適用范圍。第二節(jié)將研究排他性法院選擇條款對保護傘條款的影響。第三節(jié)主要介紹保護傘條款措辭的重要性,包括常見措辭及對保護傘范圍的影響,以及研究保護傘條款位置對其解釋的影響。 本文第四章主要探討保護傘條款在中國的實踐及其對中國影響和啟示。第一節(jié)將從投資母國和東道國兩個角度分析探討保護傘條款對中國的利弊。第二節(jié)主要通過統(tǒng)計目前中國的具體實踐,總結(jié)中國在保護傘條款上的實踐特點。第三節(jié)則結(jié)合我國的立場提出中國應(yīng)對保護傘條款的對策。
[Abstract]:The prosperity and development of transnational investment has led to the conclusion of a large number of international investment treaties. Umbrella clauses are important clauses in modern bilateral and multilateral investment treaties. Used to stipulate that a Contracting Party shall abide by its specific commitments to an investor of the other Contracting Party. However, the dispute over this clause has never ceased, both in theory and in practice. In the event of any dispute in an investment contract concluded between the host country and a foreign investor, if it cannot be attributed to the obligations of the State specified in the international investment treaty, The dispute under the specific investment contract must first go through the domestic relief procedure of the host country, Foreign investors, on the other hand, want to use umbrella clauses that have not been explicitly agreed upon to incorporate such investment disputes into the umbrella clause, in an attempt to raise all investment disputes to violations of international investment treaties. Thus avoiding the domestic legal relief process of the host country and accepting it directly by the international arbitration institution. However, how to balance the interests between the host country and the foreign investors is an issue that must be considered in the application of the umbrella clause. The first chapter introduces the origin and present situation of umbrella clause. The first section introduces the concept of umbrella clause. The second section introduces the historical origin of the umbrella clause. The third section introduces the application of umbrella clause in bilateral investment treaties, including early practice and current situation. The second chapter is mainly from the perspective of empirical analysis of umbrella clauses. This chapter will mainly focus on the practice of the umbrella clause of ICSID. The first section mainly introduces the representative cases of limited interpretation of umbrella clause in the history of ICSID. SGS v. Pakistan. Section 2 introduces the representative case of extended interpretation, SGS v. Philippines. Section III introduces ICSID's compromise on the umbrella clause: E1Paso v. Argentina. The last section of this chapter will be based on the previous three sections of analysis. A brief summary of ICSID's main controversy over the umbrella clause. In the third chapter, based on the previous cases, the author will make a detailed analysis of the relevant dispute focus of the umbrella clause. The first section will discuss the scope of application and interpretation of the umbrella clause. The second section will study the influence of exclusive court selection clause on umbrella clause. The third section mainly introduces the importance of umbrella clause wording. Include common terms and effects on umbrella scope, and study the influence of umbrella position on its interpretation. The fourth chapter mainly discusses the practice of umbrella clause in China and its influence and enlightenment on China. The first section will analyze the advantages and disadvantages of umbrella clause to China from the point of view of home country and host country. Through statistics on China's current concrete practice, The third section puts forward the countermeasures for China to deal with the umbrella clause combined with the position of our country.
【學位授予單位】：復(fù)旦大學
【學位級別】：碩士
【學位授予年份】：2013
【分類號】：D996.4

【參考文獻】

相關(guān)期刊論文 前2條

1 李小麗;;基于專利組合分析的技術(shù)并購對象甑選研究——美國生物制藥技術(shù)型企業(yè)的實證[J];情報雜志;2009年09期

2 尚明;投資保護協(xié)定對海外投資的法律保障[J];投資北京;2005年08期

，

本文編號：1644770