接近正义:第三方资助国际投资仲裁的风险规制  

Access to Justice:Risk Regulations of Third-Party Funding in International Investment Arbitration

作　　者：汤霞 TANG Xia

机构地区：[1]华南师范大学法学院,广州510631

出　　处：《华南师范大学学报（社会科学版）》2022年第2期34-45,207,共13页Journal of South China Normal University：Social Science Edition

基　　金：华南师范大学青年培育基金“数字贸易国际规则制定的最新态势及中国的因应策略研究”(20sk17);河南省社会科学规划项目“中国(河南)自由贸易试验区外商投资促进法治保障体系研究”(2019BFX020)。

摘　　要：近年来,第三方资助经历了从禁止到允许的发展转变,并逐渐由诉讼领域向仲裁领域扩张,尤其在国际投资仲裁领域备受青睐。第三方资助国际投资仲裁为处于经济困境或意图寻求仲裁风险分担的申请人提供了接近正义的机会,也对东道国损害投资者利益的不法行为构成一定的威慑。但是,资助者为了获利可能会资助骚扰性主张、不承担不利费用的做法使得东道国胜诉时可能无法获得仲裁费用补偿,资助者参与投资仲裁程序的隐秘性可能导致资助者和仲裁员的利益冲突。国际社会应采取要求受资助者履行强制披露义务、赋予投资仲裁庭通过费用决定来规范受资助者和资助者行为的权力以及强化仲裁员的独立性和公正性意识等举措,以实现第三方资助国际投资仲裁的经济效用最大化。In recent years,third-party funding has undergone a transition from prohibition to permission and gradually expanded from litigation to arbitration,especially in the field of international investment arbitration.Third-party funding in international investment arbitration provides the applicants who are in economic distress or want to share the arbitration risk with the opportunity for access to justice and serves as a deterrent to the wrongdoings of host countries that harm the interests of investors.However,the profit-seeking nature of funders may lead to their filing of frivolous claims and the failure of the host country to obtain compensation of arbitration costs when winning the lawsuit,and the secrecy of the funders participation in the investment arbitration procedure may lead to conflicts of interest between funders and arbitrators.The international community should take measures such as requiring the funded parties to fulfill the mandatory disclosure obligation,granting investment arbitral tribunals the power to regulate the behavior of the funded parties and the funders through cost decision and strengthening the independence and impartiality consciousness of the arbitrators,so as to maximize the economic benefits of third-party funding in international investment arbitration.

关 键 词：国际投资仲裁 第三方资助 成本收益 风险规制 

分 类 号：D996.4[政治法律—经济法学]