国际投资仲裁中对人管辖的投资者国籍认定问题  

The Confirmation of Investor’s Nationality under Personal Jurisdiction in International Investment Arbitration

作　　者：孙南申[1] SUN Nanshen

机构地区：[1]复旦大学法学院,上海200433

出　　处：《国际商务研究》2021年第6期47-59,共13页International Business Research

基　　金：国家社会科学基金项目“国际投资争端解决程序的保障机制研究”(项目编号:17BFX145)。

摘　　要：投资者国籍问题是向东道国提起仲裁的一项基本条件。投资者请求权以仲裁管辖权为基础,仲裁管辖权行使以符合法定要求为条件。投资者的国籍归属是仲裁管辖的要件之一,投资者诉权与投资者国籍认定问题密切相关。投资者国籍归属的认定标准将决定投资者诉权能否成立。由于ICSID公约对"外国控制"的标准未作具体规定,仲裁庭在审查申请人国籍中会参照BIT中投资的规定,并对公约中"外国控制"作出善意解释。投资仲裁庭倾向于对BIT的"拥有或控制"不作限制性解释,认为BIT中"投资者"包括间接拥有和控制东道国公司的投资者。本文结合管辖异议中产生国籍认定的争议,分别从ICSID仲裁管辖的条件、外国控制与实际经营标准、返程投资的国籍归属、公司重组的国籍变更、诉权行使与平行仲裁等方面展开论述,并从类型化角度分析与归纳投资仲裁管辖中对国籍认定问题的处理原则与仲裁先例。The problem of investors’nationality is one of the basic conditions for the investor to file an arbitration against the host country.The claim right of investors is based on arbitration jurisdiction,and exercise of arbitration jurisdiction conditions upon complying with legal requirements.Therefore,the attribution of investor’s nationality is one of the basic conditions of arbitration jurisdiction,and there is close relation between confirmation of investor’s nationality and claim right of investors.The confirming criterion of the attribution of investor’s nationality will decide whether the claim right of investors can be established.Since ICSID Convention makes no concrete provisions on the meaning of foreign control,arbitral tribunals will refer to provisions relating to investment in BIT and make good faith construction on the meaning of foreign control under the Convention when examining the nationality of applicants.The investment arbitral tribunals tend not to make restricted explanation on the meaning of owning or control under BIT with the opinion that the term of investors in BIT includes the investor indirectly owning and controlling corporations of the host country.This article discusses the disputes relating to confirmation of nationality in jurisdiction objection from aspects of arbitral jurisdiction requirements of ICSID,the criteria of foreign control and actual operation,attribution of nationality for round trip investment,the change of nationality for corporation restructure,exercise of claim right and parallel arbitration,and concludes with analysis the disposal principles and arbitral precedents for nationality confirmation under investment arbitration jurisdiction at the angle of classification.

关 键 词：国际投资仲裁 对人管辖 投资者国籍 股东诉权 外国控制 

分 类 号：D996.4[政治法律—经济法学]