【摘要】：隨著國(guó)際投資活動(dòng)的日益頻繁,國(guó)際投資法律在投資活動(dòng)中的作用越來(lái)越重要,但是國(guó)際投資法律的多邊談判長(zhǎng)期沒(méi)有進(jìn)展,因此,雙邊投資條約(Bilateral Investment Treaties,以下簡(jiǎn)稱BITs)成為規(guī)制國(guó)際投資活動(dòng)的主要法律形式。根據(jù)2010年聯(lián)合國(guó)貿(mào)易發(fā)展組織的報(bào)告,截至2009年底,BITs的數(shù)量已達(dá)2750個(gè)。而B(niǎo)ITs在被各國(guó)廣泛運(yùn)用的同時(shí),涉及BITs的國(guó)際投資爭(zhēng)端也越來(lái)越多。在解決國(guó)際投資爭(zhēng)端的過(guò)程中也產(chǎn)生很多爭(zhēng)議,保護(hù)傘條款的解釋就是其中之一。 自1959年首次出現(xiàn)在BITs中后,保護(hù)傘條款日益成為BITs中的一項(xiàng)規(guī)范特征。近年來(lái),在解決投資爭(zhēng)端國(guó)際中心(以下簡(jiǎn)稱ICSID)受理的仲裁案件中都涉及了保護(hù)傘條款的解釋問(wèn)題,但是在這些案件中,仲裁庭對(duì)該條款采用的解釋方法不同,導(dǎo)致案件最后的仲裁結(jié)果也是各不相同。保護(hù)傘條款的解釋問(wèn)題已成為國(guó)際投資爭(zhēng)端解決以及國(guó)際投資法領(lǐng)域關(guān)注的焦點(diǎn)。隨著我國(guó)改革開(kāi)放,為了更好地促進(jìn)對(duì)外貿(mào)易,與很多國(guó)家都締結(jié)了BITs,其中很多BITs中都有保護(hù)傘條款。為保護(hù)傘條款找到一個(gè)適當(dāng)?shù)慕忉尫椒?平衡外國(guó)投資者與東道國(guó)的利益,對(duì)于我國(guó)來(lái)說(shuō)至關(guān)重要。本文通過(guò)對(duì)各國(guó)BITs中的保護(hù)傘條款的比較,并參考ICSID仲裁庭關(guān)于保護(hù)傘條款解釋問(wèn)題的觀點(diǎn),對(duì)涉及保護(hù)傘條款解釋方法的案例的比較分析,尋求一種恰當(dāng)?shù)慕忉?同時(shí)對(duì)我國(guó)在BITs實(shí)踐中如何應(yīng)對(duì)保護(hù)傘條款解釋問(wèn)題提出了相應(yīng)的建議。 本文共分為四章,包括： 第一章是保護(hù)傘條款的概述。介紹了保護(hù)傘條款的淵源、定義、特征和表述特點(diǎn)。 第二章是保護(hù)傘條款解釋方法爭(zhēng)議原因探究。從解釋方法爭(zhēng)議的核心和實(shí)質(zhì)兩個(gè)方面對(duì)解釋方法爭(zhēng)議進(jìn)行了剖析。 第三章是關(guān)于保護(hù)傘條款三種解釋方法的觀點(diǎn)介紹以及典型案例評(píng)析。介紹了學(xué)術(shù)界的關(guān)于保護(hù)傘條款解釋的三種主要觀點(diǎn)：限制性解釋、擴(kuò)大性解釋和相對(duì)限制性解釋。對(duì)三個(gè)典型案例的案情、判決以及仲裁庭裁判的理由進(jìn)行詳細(xì)介紹,并對(duì)三個(gè)案例的判決進(jìn)行比較,結(jié)合仲裁庭的判決分析三種解釋方法,找出最適當(dāng)?shù)慕忉尫椒ā?第四章是我國(guó)應(yīng)對(duì)保護(hù)傘條款解釋方法分歧的對(duì)策。根據(jù)我國(guó)締結(jié)的BITs中保護(hù)傘條款的情況,對(duì)我國(guó)在應(yīng)對(duì)保護(hù)傘條款解釋爭(zhēng)議提出筆者的建議。
[Abstract]:With the increasing frequency of international investment activities, the role of international investment law in investment activities is becoming more and more important, but multilateral negotiations on international investment law have not made progress for a long time. Therefore, bilateral investment treaty (Bilateral Investment Treaties,) BITs (hereinafter referred to as BITs) has become the main legal form of regulating international investment activities. By the end of 2009, the number of BITs had reached 2750, according to the United Nations Trade and Development Organization in 2010. While BITs is widely used in many countries, there are more and more international investment disputes involving BITs. There are also many disputes in the process of settling international investment disputes, including the interpretation of umbrella clause. Since its first appearance in BITs in 1959, umbrella clause has increasingly become a normative feature of BITs. In recent years, the interpretation of the umbrella clause has been dealt with in arbitration cases accepted by the International Centre for the settlement of Investment disputes (hereinafter referred to as ICSID), but in these cases, the arbitration tribunal has adopted a different interpretation of the clause. The final arbitration result in the case is also different. The interpretation of umbrella clause has become the focus in the field of international investment dispute settlement and international investment law. With the reform and opening up of China, in order to promote foreign trade better, BITs, has been concluded with many countries, many of which have umbrella clauses in BITs. It is very important for our country to find an appropriate way to interpret the umbrella clause and balance the interests of foreign investors and host countries. In this paper, by comparing the umbrella clauses in the BITs of various countries and referring to the views of the ICSID arbitral tribunal on the interpretation of the umbrella clause, this paper makes a comparative analysis of the cases concerning the interpretation of the umbrella clause, and seeks a proper interpretation. At the same time, some suggestions on how to deal with the interpretation of umbrella clause in China's BITs practice are put forward. This paper is divided into four chapters, including: the first chapter is an overview of the umbrella clause. This paper introduces the origin, definition, characteristics and description of umbrella clause. The second chapter is the explanation method of umbrella clause. This paper analyzes the dispute of interpretation method from the core and essence of the dispute of interpretation method. The third chapter introduces the three interpretation methods of umbrella clause and the typical cases. This paper introduces three main views on the interpretation of umbrella clause in academic circles: restrictive interpretation, extended interpretation and relative restrictive interpretation. This paper introduces the case of three typical cases, the judgment and the reasons of the arbitration tribunal decision in detail, and compares the judgment of the three cases, and analyzes the three interpretation methods combined with the judgment of the arbitration tribunal, and finds out the most appropriate interpretation method. The fourth chapter is our country should protect umbrella clause interpretation method difference countermeasure. According to the situation of umbrella clause in BITs concluded by our country, this paper puts forward some suggestions on the interpretation of umbrella clause in our country.
【學(xué)位授予單位】：大連海事大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2011
【分類(lèi)號(hào)】：D996.4

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