【摘要】：非合意合并仲裁制度是為了解決多方多合同爭(zhēng)議給仲裁帶來(lái)的實(shí)踐問(wèn)題而提出的制度創(chuàng)新。由于傳統(tǒng)的國(guó)際商事仲裁理論與實(shí)踐存在不足，不能圓滿地解決多方多合同爭(zhēng)議的問(wèn)題。對(duì)關(guān)聯(lián)仲裁進(jìn)行合并審理，便是理論界與實(shí)務(wù)界為了應(yīng)對(duì)這一挑戰(zhàn)所提出的對(duì)策。本文則主要研究在缺乏當(dāng)事人明示合意的情形之下對(duì)關(guān)聯(lián)仲裁進(jìn)行合并的制度。通過(guò)實(shí)證研究和價(jià)值研究等方式，在我國(guó)仲裁制度的背景下，全面系統(tǒng)的構(gòu)建起非合意合并仲裁制度的框架。除了引言與結(jié)語(yǔ)之外，本文分為四個(gè)部分。 引言對(duì)非合意合并仲裁問(wèn)題的提出背景做了闡述，并總結(jié)了現(xiàn)有研究現(xiàn)狀，提出了本文的研究目標(biāo)。 第一部分通過(guò)介紹多方多合同爭(zhēng)議的范圍、分析多方多合同交易仲裁的困境明確了“合并仲裁”的定義，之后探討了“非合意”的含義，，并與仲裁第三人、事實(shí)上的合并仲裁等相關(guān)概念進(jìn)行了比較研究，從而明確了本文的邏輯起點(diǎn)。 第二部分則在梳理國(guó)內(nèi)外理論研究觀點(diǎn)的基礎(chǔ)上，分支持說(shuō)與反對(duì)說(shuō)兩派對(duì)非合意合并仲裁制度的存廢之爭(zhēng)進(jìn)行了列舉分析并作出簡(jiǎn)要總結(jié)。 第三部分則用實(shí)證研究的視角，歸納分析了其他國(guó)家與地區(qū)在非合意合并仲裁問(wèn)題上的已有規(guī)制與實(shí)踐。著重分析了美國(guó)、荷蘭、香港等國(guó)立法與法院判例對(duì)非合意合并仲裁所持態(tài)度，還分析了各常設(shè)國(guó)際仲裁機(jī)構(gòu)如國(guó)際商會(huì)仲裁院（ICCCA）、倫敦海事仲裁員協(xié)會(huì)（LMAA）對(duì)非合意合并仲裁這一問(wèn)題作出的現(xiàn)有規(guī)則。然后總結(jié)出各國(guó)的立法與實(shí)踐的態(tài)度與發(fā)展趨勢(shì)，為之后的研究提供參考。 第四部分立足于我國(guó)國(guó)情，首先歸納總結(jié)了我國(guó)在非合意合并仲裁方面的現(xiàn)有立法與實(shí)踐，提出我國(guó)不僅存在非合意合并仲裁制度的立法空白也存在立法需求。接下來(lái)，通過(guò)價(jià)值取向和仲裁優(yōu)勢(shì)分析兩個(gè)角度，對(duì)非合意合并仲裁理論根基進(jìn)行了探討，提出該制度是符合仲裁的價(jià)值取向并能夠平衡仲裁傳統(tǒng)優(yōu)勢(shì)。最后，在理論構(gòu)建的基礎(chǔ)之上，對(duì)該制度實(shí)務(wù)操作方面的各個(gè)問(wèn)題進(jìn)行了探索，主要包括：非合意合并仲裁的決定主體、法律適用問(wèn)題、適用條件等三個(gè)基本問(wèn)題以及合并后仲裁庭的組成、仲裁費(fèi)用的分擔(dān)、以及在《紐約公約》之下裁決的承認(rèn)與執(zhí)行問(wèn)題三個(gè)程序問(wèn)題。 最后在結(jié)語(yǔ)部分，本文總結(jié)了非合意合并仲裁制度研究可能為仲裁參與者和仲裁立法者帶來(lái)的啟示。
[Abstract]:The non-consensual merger arbitration system is a system innovation to solve the practical problems caused by multi-party and multi-contract disputes. The traditional international commercial arbitration theory and practice are insufficient to solve the multi-party and multi-contract disputes satisfactorily. This paper mainly studies the system of merging related arbitration in the absence of express consent of the parties. By means of empirical research and value research, a comprehensive and systematic framework of non-consensual merger arbitration system is established under the background of China's arbitration system. Besides, this article is divided into four parts.
In the introduction, the background of the arbitration of non-consensual merger is expounded, the current research situation is summarized, and the research goal of this paper is put forward.
In the first part, by introducing the scope of multi-party and multi-contract disputes, analyzing the dilemma of multi-party and multi-contract transaction arbitration, the definition of "merger arbitration" is made clear, and then the meaning of "non-consent" is discussed, and a comparative study is made with other related concepts such as arbitration third party and de facto merger arbitration, so as to clarify the logical starting point of this paper.
In the second part, on the basis of combing the domestic and foreign theoretical research viewpoints, the dissertation lists and analyzes the disputes between the two parties on the preservation and abolition of the arbitration system of non-consensual merger and makes a brief summary.
The third part, from the perspective of empirical research, summarizes and analyzes the existing regulations and practices of other countries and regions on the issue of non-consensual merger arbitration, emphatically analyzes the attitude of legislation and court precedents of the United States, the Netherlands, Hong Kong and other countries towards non-consensual merger arbitration, and also analyzes the standing international arbitration institutions such as the International Chamber of Commerce Arbitration Court (ICC). CCA, London Maritime Arbitrators Association (LMAA) on the issue of non-consensual merger arbitration of the existing rules. Then summed up the legislative and practical attitudes and trends of development in various countries, for future research reference.
The fourth part, based on the actual situation of our country, firstly summarizes the existing legislation and practice of arbitration in non-consensual merger, and points out that there are not only legislative gaps but also legislative needs in the system of arbitration in non-consensual merger. Finally, on the basis of theoretical construction, this paper explores the practical operation of the system, including three basic questions: the subject of decision, the application of law, and the conditions of application of the system. Three procedural issues are discussed: the composition of the arbitral tribunal after the merger, the sharing of arbitration costs, and the recognition and enforcement of awards under the New York Convention.
Finally, in the concluding part, this paper summarizes the implications that the study of the arbitration system of non-consensual merger may bring to arbitration participants and arbitration legislators.
【學(xué)位授予單位】：西南政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類號(hào)】：D997.4

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