本文選題：第三方資助 + 利益沖突��； 參考：《中國政法大學》2017年碩士論文

【摘要】：隨著經濟全球化的深入和國際貿易的發(fā)展,仲裁費用也日趨高漲,不僅給當事人帶來不小的經濟負擔,還阻礙了國際仲裁的發(fā)展。與此同時,第三方出資安排開始進入國際仲裁領域,并逐漸發(fā)展成為一項融資產業(yè)。由于第三方資助在減輕當事人經濟負擔和轉移風險方面具有巨大優(yōu)勢,各國也開始支持和引導第三方資助仲裁的發(fā)展。但不可否認的是,第三方出資安排的介入對當前國際仲裁程序帶來不小的挑戰(zhàn),如何應對這些挑戰(zhàn),成為當前國際仲裁亟需解決的問題。本文將以國際仲裁程序為基礎,運用仲裁理論,以知名仲裁機構的仲裁規(guī)則和相關案例為支持,對第三方資助予以分析,并嘗試提出規(guī)制意見。全文共分為四章,分別從第三方資助的界定、對仲裁程序的挑戰(zhàn)、規(guī)制建議和對我國的思考四個角度進行論述。第一章介紹了第三方資助仲裁的概念、特點、性質及其發(fā)展歷史。本文所研究的國際仲裁中的第三方資助特指狹義的第三方資助,即由案外人出資支付仲裁申請人進行仲裁活動所需費用,并對勝訴結果分享利益,而不包括貸款、訴訟保險等廣義上的資助行為。然后本文對第三方資助的發(fā)展歷史進行了梳理,并分析了第三方資助得以興起和發(fā)展的原因。第二章分析了第三方資助對國際仲裁程序的影響,主要包括三方面的挑戰(zhàn):投資人與仲裁員之間的關系可能影響仲裁員自身的獨立性和公正性、被資助當事人與投資人分享案件資料和信息可能導致對保密義務的違反、涉及第三方出資安排的仲裁裁決可能面臨申請人敗訴時無法執(zhí)行以及被外國法院拒絕承認和執(zhí)行的情況。第三章是對國際仲裁機構如何應對第三方資助帶來的挑戰(zhàn)提出的幾點建議,仲裁機構可以通過修訂仲裁規(guī)則的方式,建立對第三方資助的披露和費用擔保制度。披露制度的建立是解決第三方資助帶來的所有問題的前提和基礎,主要包含兩部分內容:要求被資助當事人盡早向仲裁機構、對方當事人披露受資助的事實和投資人的身份;對資助協(xié)議的內容則交由仲裁員在案件審理過程中根據(jù)需要做出是否披露的裁定。費用擔保是為了保證被申請人為仲裁支持的合理費用得到補償,因此需要被申請人證明依賴于第三方出資安排進行仲裁的申請人無力負擔補償責任。第四章立足于我國仲裁實踐的發(fā)展,從披露制度和保密性兩個角度對貿仲仲裁規(guī)則提出建議,以期能夠在當前國內立法和實踐暫時空白的情況下,增加國際仲裁當事人選擇貿仲的可能性,為我國將來關于第三方資助仲裁的立法活動提供經驗和借鑒。
[Abstract]:With the deepening of economic globalization and the development of international trade, the arbitration costs are rising day by day, which not only brings not only the economic burden to the parties, but also hinders the development of international arbitration. At the same time, the third-party investment arrangements began to enter the field of international arbitration, and gradually developed into a financing industry. As third-party funding has great advantages in reducing the financial burden of the parties and transferring risks, countries have also begun to support and guide the development of third-party funding arbitration. However, it is undeniable that the intervention of the third party financing arrangement brings not small challenges to the current international arbitration procedure, and how to deal with these challenges has become a problem that needs to be solved urgently in the current international arbitration. Based on the international arbitration procedure and the arbitration theory and supported by the arbitration rules and relevant cases of well-known arbitration institutions, this paper will analyze the third party financing and try to put forward the regulatory opinions. The full text is divided into four chapters, respectively from the definition of third-party funding, the challenges to arbitration procedures, regulatory recommendations and thinking of four angles. The first chapter introduces the concept, characteristics, nature and history of third-party-funded arbitration. In the international arbitration studied in this paper, the third party financing refers to the narrow sense of third party financing, that is, the foreign party pays the expenses of the arbitration applicant for the arbitration activity, and shares the benefit of the outcome of the successful arbitration, excluding the loan. Litigation insurance and so on broad support behavior. Then, this paper reviews the history of third-party funding, and analyzes the reasons for the rise and development of third-party funding. Chapter II analyzes the impact of third-party funding on international arbitration proceedings, including three main challenges: the relationship between investors and arbitrators may affect the independence and impartiality of arbitrators themselves. The sharing of case information and information between the funded party and the investor may lead to a breach of the confidentiality obligation, Arbitral awards involving third-party funding arrangements may face failure to enforce in the event of an applicant's failure and refusal by a foreign court to recognize and enforce them. The third chapter is a few suggestions on how to deal with the challenge brought by the third party financing. The arbitration institution can establish the disclosure and cost guarantee system of the third party by revising the arbitration rules. The establishment of disclosure system is the premise and foundation to solve all the problems caused by the third party's financial assistance. It mainly includes two parts: requiring the funded party to disclose the facts of the subsidy and the identity of the investor to the arbitration institution as soon as possible; The content of the funding agreement is left to the arbitrator to decide whether or not to disclose it as necessary during the case. The purpose of the cost guarantee is to ensure that the reasonable cost of the respondent's support for the arbitration is compensated, so it is necessary for the respondent to prove that the applicant who relies on the arrangement of the third party's contribution to the arbitration is unable to bear the liability for the compensation. Chapter four, based on the development of arbitration practice in China, puts forward some suggestions on the arbitration rules from the perspective of disclosure system and confidentiality, in order to be able to make a temporary gap in current domestic legislation and practice. To increase the possibility of international arbitration parties to choose the trade position, and to provide experience and reference for our country's future legislation on the third party financing arbitration.
【學位授予單位】：中國政法大學
【學位級別】：碩士
【學位授予年份】：2017
【分類號】：D925.7

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相關碩士學位論文 前3條

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本文編號：1854327