本文選題：國民待遇 + 相同情形�。� 參考：《西南政法大學(xué)》2012年碩士論文

【摘要】：新近簽訂的國際投資條約越來越多地規(guī)定投資的國民待遇，并明確指出國民待遇的適用條件即“相同情形（similar situations、like circumstances)”。而在世界貿(mào)易組織（WTO）體制下的國際貿(mào)易法領(lǐng)域中，國民待遇原則的適用則存在有“同類產(chǎn)品（like products）”的標(biāo)準(zhǔn)。國際投資仲裁中對國際投資國民待遇的“相同情形”的解釋方法，與GATT/WTO體制下專家組對“同類產(chǎn)品”的解釋方法具有一定的可比性。實踐中，國際投資仲裁的一些案件運用GATT/WTO的爭端解決機構(gòu)對“同類產(chǎn)品”的解釋來解釋投資法中的“相同情形”，這尤其體現(xiàn)在北美自由貿(mào)易協(xié)議（NAFTA）背景下早期的一些案件中。但是，近年來出現(xiàn)的某些投資仲裁案件對此種方法提出了反對。為此，有必要在審查貿(mào)易問題與投資問題存在的區(qū)別基礎(chǔ)上，對實際投資仲裁案例中的司法借鑒方法做出客觀評價，以對我國應(yīng)采取的立場做出指引。 通過文獻歸納總結(jié)、案例探討和比較分析的方法，本文以國民待遇跨領(lǐng)域適用為核心，分析國民待遇規(guī)則在國際貿(mào)易法領(lǐng)域和國際投資法領(lǐng)域不同的適用方式和條件，探討兩種適用方式的共通和差異之處。從現(xiàn)有國際投資仲裁實踐案例中洞察不同領(lǐng)域的規(guī)則適用路徑及規(guī)則借鑒方式，并以理論分析方式探討國際投資仲裁實踐做法的合理性和正當(dāng)性，對我國在外商投資待遇立法、雙邊投資協(xié)議簽訂和國際投資爭端中應(yīng)采取的立場提出建議。本論文擬通過以下四個部分展開論述： 第一章介紹國際投資法中的國民待遇標(biāo)準(zhǔn)，指出目前國內(nèi)研究存在的不足之處，通過考察現(xiàn)有國際投資協(xié)議和相關(guān)文件中頻繁出現(xiàn)的國民待遇條款，說明在多數(shù)國際文件中“相同情形”是投資國民待遇原則適用的具體條件之一，由此指出對“相同情形”概念界定的重要性。 第二章梳理目前涉及國際投資國民待遇條款的國際投資爭端，剖析仲裁庭和法院解釋投資國民待遇標(biāo)準(zhǔn)的方法，并進一步分析具體案件對作為國民待遇適用條件的“相同情形”術(shù)語的解釋，指出對“相同情形”條件尚沒有統(tǒng)一的解釋方法。 第三章從實踐案例出發(fā)，指出投資爭端中存在借鑒貿(mào)易法對“同類產(chǎn)品”概念解釋方法解釋投資法“相同情形”的普遍做法。為探討此種跨領(lǐng)域適用國民待遇原則做法的合理性與否，該章首先回顧國際貿(mào)易法中國民待遇適用條件“同類產(chǎn)品”的解釋方法；接著通過分析涉及貿(mào)易法和投資法規(guī)則借鑒的國際投資仲裁案件，洞察“同類產(chǎn)品”解釋與“相同情形”解釋存在的共通和差異之處；然后結(jié)合近些年反對兩個領(lǐng)域規(guī)則借鑒的國際投資仲裁實踐，以及國際貿(mào)易法和國際投資法的不同適用背景，對實踐中存在的此種司法借鑒做法做出較為客觀的評價。 第四章審查我國給予外資國民待遇的總體狀況，說明我國現(xiàn)有有關(guān)外資國民待遇的國內(nèi)立法尚有不符合國民待遇之處，同時我國簽訂的雙邊投資協(xié)議給予外資的國民待遇有較多限制。結(jié)合投資法發(fā)展趨勢和我國目前的經(jīng)濟形勢，指出我國在國內(nèi)投資立法、投資協(xié)議簽訂及國際投資爭端中應(yīng)采取的立場。
[Abstract]:The newly signed international investment treaties more and more stipulate the national treatment of investment, and clearly point out that the application condition of national treatment is "similar situations, like circumstances". In the field of International Trade Law under the World Trade Organization (WTO) system, the application of the principle of national treatment exists "similar products." The standard of "(like products)". The "same situation" in international investment arbitration in international investment arbitration has a certain comparability with the interpretation method of "similar products" by the expert group under the GATT/WTO system. In practice, some cases of international investment arbitration use the dispute settlement agency of GATT/WTO to "similar products." It explains the "same situation" in the investment law, especially in some early cases in the context of the North American Free Trade Agreement (NAFTA). However, in recent years, some of the investment arbitration cases have been opposed to this method. Therefore, it is necessary to examine the differences between trade and investment issues on the basis of the differences. The judicial reference method in the actual investment arbitration case makes an objective evaluation in order to guide our country's position.
Through the literature summary, case study and comparative analysis, this paper takes the application of the national treatment as the core, analyzes the different applicable ways and conditions of the national treatment rules in the field of international trade law and the field of international investment law, and probes into the common and discrepancy of the two applicable ways. This paper probes into the applicable ways and rules for reference of rules in different fields, and discusses the rationality and legitimacy of the practice of international investment arbitration by means of theoretical analysis, and puts forward suggestions on China's legislative proposals on the treatment of foreign investment, the signing of bilateral investment agreements and the international investment dispute. This paper is intended to pass through the following four departments. The sub expansion is discussed.
The first chapter introduces the standard of national treatment in the international investment law, points out the shortcomings of the current domestic research, and shows that the "same situation" in most international documents is one of the specific conditions for the application of the principle of the treatment of the people and people in most international documents. It points out the importance of defining the concept of "the same situation".
The second chapter combs the international investment disputes which involves the national treatment provisions of international investment, analyzes the methods of the arbitration tribunal and the court to explain the standard of the national treatment of investment, and further analyzes the explanation of the "same situation" terms as the conditions applicable to the national treatment, pointing out that there is no unified solution to the conditions of the "same situation". Release the method.
The third chapter, starting from the practice case, points out that there is a general practice of explaining the "same situation" by the method of trade law to explain the "same situation" in the concept of "similar products" in the investment dispute. In order to discuss the rationality of the practice of applying the principle of national treatment in such a cross field, the chapter first takes back to the applicable conditions of the national treatment in the international trade law " By analyzing the international investment arbitration cases involving the rules of Trade Law and investment law, we can see the common and discrepancy between the interpretation of "similar products" and "the same situation", and then combine the international investment arbitration practice which is used in recent years against the rules of the two fields, and international The different applicable backgrounds of Trade Law and international investment law make a more objective evaluation of the practice of judicial reference in practice.
The fourth chapter examines the overall situation of the national treatment given to foreign capital in our country. It shows that the existing domestic legislation on the national treatment of foreign capital is not in accordance with the national treatment, while the national treatment of the bilateral investment agreements signed by our country has more restrictions. China's position in domestic investment legislation, investment agreement signing and international investment disputes should be taken.
【學(xué)位授予單位】：西南政法大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2012
【分類號】：D996.4

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