本文選題：ICSID　切入點：外國投資者　出處：《華東政法大學》2011年碩士論文

【摘要】：隨著外商投資以及對外投資活動的日益頻繁,各國間利用國際仲裁機構(gòu)解決爭端的情形也逐漸增加。在這一背景下,“解決投資爭端國際中心”(International Centre for Settlement of Investment Disputes,下稱“ICSID”)的作用也在進一步加強。就ICSID而言,受理案件的前提是必須對案件擁有管轄權(quán);而作為衡量是否具有管轄權(quán)的一個重要前提——“外國投資者”的范圍,更是直接影響到案件的處理結(jié)果。一般而言,ICSID對外國投資者的定義主要體現(xiàn)在《解決國家與他國國民間投資爭端公約》(Convention on Settlement of Investment Disputes between States and Nationals of Other States,下稱《公約》)第25條中,即從自然人和法人兩方面分別來談ICSID的適用標準。但從目前的實踐來看,現(xiàn)在的仲裁庭顯然不滿足僅從《公約》角度進行定義,而是更多地將國家間締結(jié)的雙邊投資條約或者雙邊投資保護協(xié)定乃至多邊投資協(xié)定中對投資者的定義引入裁決中,并將其作為判斷外國投資者國籍的依據(jù)之一。這種擴大趨勢已經(jīng)逐步成為仲裁庭受案普遍適用的準則,也使得ICSID在無形中進一步伸展了裁決范圍、擴張了管轄權(quán)。此外,對于一般國際法原理的適用也成為仲裁庭做出是否管轄決定的重要標準,例如“意思自治”理念在案件中的運用,就為ICSID的管轄模式打開了新的思路。 首先,本文以ICSID對“外國投資者”的法律界定為著眼點,從ICSID的基本理論出發(fā),結(jié)合各國對該管轄模式的適用情況,分析了滿足ICSID管轄的“自然人投資者”所應當具備的要件�；谧匀蝗送顿Y者對于國籍所具有的天然依附性,在該部分中筆者著重強調(diào)了對國籍標準、國籍的時間要求以及國籍沖突時自然人投資者的身份認定,試圖通過多角度的分析對自然人投資者的理解做一個較為全面的概括。其次,本文就“法人投資者”所涉及的有關問題做出了分析,該部分主要以法人的“國籍標準”與“外來控制標準”為主線展開,由于法人投資者的理解問題在實踐中涉及了較多的案例,因此筆者試圖通過歸納法的運用,以求從紛繁復雜的案件中總結(jié)出ICSID的整體觀點和對于法人投資者定義的一般標準。再者,根據(jù)ICSID對雙邊投資條約、雙邊投資保護協(xié)定(Bilateral Investment Treaties,下稱“BITs”)中投資者的定義,結(jié)合我國在對外締結(jié)的BITs中對投資者的理解,本文著重闡述了“股東投資者”依據(jù)BITs的相關規(guī)定,作為獨立的仲裁申請人提出請求的新模式。最后,本文以中國首例由ICSID受理的Mr. Taz Yap v. The Republic of Peru案(文中簡稱“蔡葉深案”)1為主題,展開有關中國與ICSID關系的分析;并對該案中仲裁庭對投資者的認定做出解讀。通過本文的分析,筆者期待可以較為全面、深刻地探討ICSID中與外國投資者的認定有關的問題,并且總結(jié)出ICSID在這一定義上的理論依據(jù)與適用標準,以求更好地為實踐中可能出現(xiàn)的管轄權(quán)爭議以及投資者身份爭議提供依據(jù)。
[Abstract]:Along with the foreign investment and foreign investment activities have become increasingly frequent, between countries by international arbitration to resolve disputes also increased gradually. In this context, the International Center for settlement of investment disputes "(International Centre for Settlement of Investment Disputes, referred to as" ICSID ") the effect is further enhanced. ICSID, the premise of the acceptance of the case is to have jurisdiction over the case; and as an important measure of whether it has jurisdiction over the range of" foreign investors ", is the processing results directly affect the case. In general, ICSID for foreign investors mainly solve the country and his definition of investment disputes between nations convention" in "(Convention on Settlement of Investment Disputes between States and Nationals of Other States, hereinafter referred to as the" Convention ") in twenty-fifth, from the natural person and For the standard two corporate respectively to talk about ICSID. But judging from the current practice, the arbitration tribunal is apparently not satisfied only from the definition of "Convention", but more will be between countries concluded bilateral investment treaties or bilateral investment protection agreement and the multilateral agreement on investment of investors into the definition of the ruling, and as one of the foreign investors to judge nationality basis. This expanded trend has gradually become the arbitration tribunal case by universal standards, also makes the ICSID virtually extended the verdict, the expansion of the jurisdiction. In addition, the applicable principle of general international law has become an important standard to the jurisdiction of the arbitration tribunal to make a decision. For example, the concept of "autonomy" in the case of the application, it opens a new way of thinking for the jurisdiction of ICSID.
First of all, based on the ICSID of the legal definition of "foreign investors" as the starting point, starting from the basic theory of ICSID, combined with the application of the national jurisdiction mode, analyses the elements to meet the ICSID under the jurisdiction of the "natural person investors" should have. Based on natural person investors for natural dependence of nationality in this part, the author emphasizes on nationality criteria, time requirements and identity conflict of nationality nationality when the natural person investor recognition, analysis attempts to multi angle understanding of natural person investors to make a more comprehensive summary. Secondly, this paper makes an analysis on the issues related to institutional investors involved this part is mainly to corporate, launched the "nationality" and "external control standards" as the main line, to understand the problems of institutional investors in practice involves many cases due to, Therefore, the author tries to use the inductive method, in order to summarize the overall view of ICSID and the general standard for the definition of institutional investors from the complicated cases. Furthermore, according to the ICSID of bilateral investment treaties, bilateral investment protection agreement (Bilateral Investment Treaties, hereinafter referred to as "BITs") in the definition of investors, combined with our understanding of investors in foreign made in BITs, this paper focuses on the "shareholders" according to the relevant provisions of BITs, put forward the new mode of the independent arbitration request as the applicant. Finally, the Mr. Taz Yap v. in the country's first The Republic of by ICSID accepted Peru case (referred to as "Cai Ye case") 1 as the theme, analyzes on the relationship between ICSID and Chinese; and in the case of the arbitration tribunal to make the interpretation of investors identified. Through this analysis, I look forward to a more comprehensive and deep This paper discusses the problems related to the identification of foreign investors in ICSID, and summarizes the theoretical basis and applicable standards of ICSID in this definition, in order to better provide a basis for disputes in the practice and investor identity disputes.

【學位授予單位】：華東政法大學
【學位級別】：碩士
【學位授予年份】：2011
【分類號】：D996.4

【引證文獻】

相關碩士學位論文 前1條

1 馬靜靜;建立歐盟投資協(xié)定若干法律問題研究[D];廣西師范大學;2012年

，

本文編號：1660813