論國際商事仲裁中的強行法及其適用
發(fā)布時間：2018-07-13 11:34
【摘要】：仲裁界的主流觀點認為，仲裁庭的權限由雙方當事人以協(xié)議賦予，其法律特征是“意思自治”、“契約自治”。法院地法上幾乎沒有爭議的“強行法優(yōu)于與其相沖突的當事人選擇的其他國家或地區(qū)法律”的做法在國際商事仲裁中并不當然適用。理論上仲裁員應僅受當事人所選擇法律的約束，不受與當事人所選擇法律相沖突的另一個法律體系中強行法的支配。然而，國際商事仲裁實踐并沒有完全印證這一理論。仲裁機構所在地強行法和仲裁裁決承認與執(zhí)行地強行法等與仲裁裁決有密切聯系的其他國家或地區(qū)的強行法，都是仲裁員在仲裁過程中需要慎重考慮的。 本文首先在第一部分分析了強行法的性質、認定及分類。仲裁協(xié)議、程序、實體方面的強行法適用影響深遠，甚至決定一個仲裁裁決最終能否被承認與執(zhí)行。因此有必要在文章第一部分對強行法的性質進行分析，并對如何認定強行法及強行法的分類加以說明。第二部分對當事人選擇準據法中的強制性規(guī)則、仲裁機構所在地強制性規(guī)則、仲裁裁決承認與執(zhí)行地強制性規(guī)則、合同履行地強制性規(guī)則、與爭議雙方有密切聯系的其他國家或地區(qū)強制性規(guī)則及公共秩序進行系統(tǒng)分析，并提出筆者觀點。第三部分探討了因違反強行法被撤銷的國際商事仲裁裁決能否被承認與執(zhí)行問題�！皬娦蟹ā辈⒎亲鳛橐粋�獨立的法律部門而存在或集中于某一法律文件而存在；在整個法律體系中，強行法是散見于各個法律部門或法律文件之中的。因此，本文第四部分對我國法律體系中仲裁協(xié)議、仲裁程序、仲裁實體三個方面的強行法進行了梳理和分析。 在總結分析我國仲裁機構審理國際商事仲裁案件時如何適用我國法律體系中的強行法（即仲裁地強行法）和如何適用仲裁地強行法之外的強行法，尤其是裁決承認與執(zhí)行地強行法的基礎上，提出筆者的意見：我國仲裁機構審理國際商事仲裁案件時，中國法律體系中的強行法（即仲裁地強行法）并非必須無條件適用；我國（即仲裁地）強行法之外的其他法律體系中的強行法，包括合同準據法中的強行法，準據法以外的強行法（可能是某一國家或地區(qū)法律體系中的強行法，也可能是國際統(tǒng)一實體法或區(qū)域統(tǒng)一實體法中的強制性規(guī)則），尤其是裁決承認與執(zhí)行地的強行法，基于平衡裁決可執(zhí)行性和“尊重當事人意思自治”原則之間的關系，應區(qū)分不同情形，，分別予以考慮。
[Abstract]:The mainstream view of arbitration is that the jurisdiction of the arbitral tribunal is conferred by agreement between the parties, and its legal characteristics are "autonomy of will" and "autonomy of contract". The practice of "jus cogens superior to the law of other countries or regions chosen by the conflicting parties", which is almost undisputed in the law of the forum, does not necessarily apply in international commercial arbitration. In theory, arbitrators should only be bound by the law chosen by the parties and not subject to jus cogens in another legal system that conflicts with the law chosen by the parties. However, the practice of international commercial arbitration does not fully confirm this theory. The jus cogens of the place where the arbitration institution is located and the jus cogens of the place where the arbitral award is recognized and enforced are all the jus cogens of other countries or regions which are closely related to the arbitral award, which should be carefully considered by the arbitrators in the process of arbitration. The first part of this paper analyzes the nature, identification and classification of jus cogens. The application of jus cogens in arbitration agreements, procedures, and entities has far-reaching implications, and even determines whether an arbitral award can ultimately be recognized and enforced. Therefore, it is necessary to analyze the nature of jus cogens in the first part of the article, and explain how to identify jus cogens and the classification of jus cogens. The second part deals with the mandatory rules of the parties' choice of applicable law, the mandatory rules of the seat of the arbitration institution, the compulsory rules of the place of recognition and enforcement of the arbitral award, the compulsory rules of the place where the contract is performed, The mandatory rules and public order of other countries or regions which are closely related to both parties to the dispute are systematically analyzed, and the author's views are put forward. The third part discusses whether the international commercial arbitration award can be recognized and enforced because of breach of jus cogens. Jus cogens does not exist as an independent legal department or exists in a single legal document; in the whole legal system, jus cogens exists in various legal departments or legal documents. Therefore, the fourth part of this article combs and analyzes the compulsory law in three aspects of arbitration agreement, arbitration procedure and arbitration entity in our country's legal system. How to apply the jus cogens in the legal system of our country (that is, the jus cogens of the place of arbitration) and the jus cogens other than the jus cogens in the place of arbitration are summarized and analyzed. In particular, on the basis of the jus cogens of recognition and enforcement of the award, the author's opinion is put forward: when China's arbitration institutions hear cases of international commercial arbitration, the jus cogens in China's legal system (that is, the jus cogens of the place of arbitration) do not have to be applied unconditionally; Jus cogens in other legal systems other than jus cogens in our country (i.e. the place of arbitration), including jus cogens in the applicable law of contracts, laws other than jus cogens (which may be jus cogens in the legal system of a country or region), It may also be a mandatory rule in internationally uniform substantive law or regional uniform substantive law), in particular jus cogens between recognition of awards and the place of enforcement, based on the balance between the enforceability of awards and the principle of "respect for party autonomy", Different situations should be distinguished and considered separately.
【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】：D997.4
本文編號：2119219
[Abstract]:The mainstream view of arbitration is that the jurisdiction of the arbitral tribunal is conferred by agreement between the parties, and its legal characteristics are "autonomy of will" and "autonomy of contract". The practice of "jus cogens superior to the law of other countries or regions chosen by the conflicting parties", which is almost undisputed in the law of the forum, does not necessarily apply in international commercial arbitration. In theory, arbitrators should only be bound by the law chosen by the parties and not subject to jus cogens in another legal system that conflicts with the law chosen by the parties. However, the practice of international commercial arbitration does not fully confirm this theory. The jus cogens of the place where the arbitration institution is located and the jus cogens of the place where the arbitral award is recognized and enforced are all the jus cogens of other countries or regions which are closely related to the arbitral award, which should be carefully considered by the arbitrators in the process of arbitration. The first part of this paper analyzes the nature, identification and classification of jus cogens. The application of jus cogens in arbitration agreements, procedures, and entities has far-reaching implications, and even determines whether an arbitral award can ultimately be recognized and enforced. Therefore, it is necessary to analyze the nature of jus cogens in the first part of the article, and explain how to identify jus cogens and the classification of jus cogens. The second part deals with the mandatory rules of the parties' choice of applicable law, the mandatory rules of the seat of the arbitration institution, the compulsory rules of the place of recognition and enforcement of the arbitral award, the compulsory rules of the place where the contract is performed, The mandatory rules and public order of other countries or regions which are closely related to both parties to the dispute are systematically analyzed, and the author's views are put forward. The third part discusses whether the international commercial arbitration award can be recognized and enforced because of breach of jus cogens. Jus cogens does not exist as an independent legal department or exists in a single legal document; in the whole legal system, jus cogens exists in various legal departments or legal documents. Therefore, the fourth part of this article combs and analyzes the compulsory law in three aspects of arbitration agreement, arbitration procedure and arbitration entity in our country's legal system. How to apply the jus cogens in the legal system of our country (that is, the jus cogens of the place of arbitration) and the jus cogens other than the jus cogens in the place of arbitration are summarized and analyzed. In particular, on the basis of the jus cogens of recognition and enforcement of the award, the author's opinion is put forward: when China's arbitration institutions hear cases of international commercial arbitration, the jus cogens in China's legal system (that is, the jus cogens of the place of arbitration) do not have to be applied unconditionally; Jus cogens in other legal systems other than jus cogens in our country (i.e. the place of arbitration), including jus cogens in the applicable law of contracts, laws other than jus cogens (which may be jus cogens in the legal system of a country or region), It may also be a mandatory rule in internationally uniform substantive law or regional uniform substantive law), in particular jus cogens between recognition of awards and the place of enforcement, based on the balance between the enforceability of awards and the principle of "respect for party autonomy", Different situations should be distinguished and considered separately.
【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】：D997.4
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