论“干净的手”原则在国际投资仲裁中的适用  

An Analysis on the Application of Clean Hands Doctrine in International Investment Arbitration

作　　者：马迅[1] 

机构地区：[1]重庆工商大学法学院,重庆400067

出　　处：《现代法学》2016年第5期149-158,共10页Modern Law Science

基　　金：重庆工商大学2011年度博士科研启动经费项目"国际投资法中的发展问题研究"

摘　　要：近年以来,"干净的手"原则在国际法的许多领域都引起了热烈的讨论。在国际投资仲裁中,也有许多东道国援引该原则作为对有违法行为的投资者仲裁请求的抗辩。针对投资者的违法行为,仲裁庭需要考虑相关投资条约中的合法性要求、该违法行为的严重程度、违法行为的发生时间等因素,最终决定如何处理。虽然"干净的手"原则本身并非国际习惯法或一般法律原则,但是仲裁庭可能援引善意原则、合法性原则、国际公共政策等原则以达到适用该原则之同样目的,而作为投资者一方则可以使用比例原则、禁止反言、举证责任等原则作为该原则的抗辩。在当前国际投资法的框架下,仲裁庭裁决此类案件的分析顺序应该是:违法行为的时间、违法行为的严重性、仲裁请求提起的依据、相关条约中的合法性要求。Clean Hands Doctrine raises many hot discussions in several international law areas. In international investment arbitrations, many defendant countries also invoke this doctrine as a defense to the claims of investors who have illegality in their investment. With respect to investors＇ illegality, the arbitration tribunal shall decide how to deal with the case, considering several factors such as the legality requirement in relevant investment treaty, severity and time of the illegality. Although the Clean Hands Doctrine is not customary international law or a general principle of law, the tribunal may invoke several other legal doctrines to reach the similar outcome, such as good faith, legality rule and international public policy. Investors may invoke other legal principles as counter defenses, such as proportionality, estoppel and burden of proof. In the present international investment law framework, the sequence of a tribunal＇ s consideration upon such factors to deal with the case should be： time of the illegality, severity of the illegality, the basis of the arbitration claims, and the legality requirement in relevant treaty.

关 键 词：“干净的手”原则 国际投资仲裁 合法性 善意原则 国际公共政策 

分 类 号：D996.4[政治法律—经济法学]