本文關(guān)鍵詞： 第三方出資 國(guó)際商事仲裁 利益沖突 披露義務(wù)　出處：《安徽大學(xué)》2017年碩士論文　論文類型：學(xué)位論文

【摘要】：第三方出資(Third Party Funding)日漸成為國(guó)際商事仲裁領(lǐng)域的熱點(diǎn)話題之一,但國(guó)際上對(duì)第三方出資尚無(wú)統(tǒng)一定義。具體而言,在國(guó)際商事仲裁中,第三方出資的主體是專門從事第三方出資活動(dòng)的個(gè)人或?qū)嶓w;出資的客體是"有意義的"商事仲裁請(qǐng)求;出資的對(duì)象是仲裁當(dāng)事人;出資方式主要是通過(guò)為仲裁申請(qǐng)人提供資金或其他物質(zhì)支持;出資的目的一般來(lái)說(shuō)是通過(guò)投資獲取收益,在勝訴時(shí),與被出資者分享一定比例的勝訴收益,而在敗訴時(shí),出資者對(duì)所支付的仲裁費(fèi)用不享有向被出資者追償?shù)臋?quán)利。第三方出資主要因其是與案件無(wú)關(guān)的第三人而區(qū)別于風(fēng)險(xiǎn)代理收費(fèi)制度;因其收益來(lái)源于勝訴案件收益的一定比例而區(qū)別于訴訟保險(xiǎn)制度;因第三方無(wú)法取代被出資者的地位而不同于債權(quán)轉(zhuǎn)讓制度。第三方出資能夠在實(shí)踐中得到發(fā)展源于其對(duì)被出資者合法權(quán)益的維護(hù)、對(duì)"無(wú)意義"之訴的篩選功能以及對(duì)違法行為者的震懾作用。當(dāng)然,通過(guò)其功能的發(fā)揮,第三方出資不僅促進(jìn)了糾紛的解決,維護(hù)了良好的社會(huì)秩序,也在一定程度上提高了商事仲裁的審判質(zhì)量,使司法壓力得到緩解。但是第三方出資在國(guó)際商事仲裁實(shí)踐中的發(fā)展也引發(fā)了一系列問(wèn)題。其作為與案件無(wú)關(guān)的案外人參與到仲裁中,勢(shì)必會(huì)造成與仲裁各當(dāng)事方的利益沖突問(wèn)題。在第三方出資案件中,出資者會(huì)對(duì)案件進(jìn)行不同程度干涉,從而引發(fā)與被出資者之間的利益沖突;出資者在案件中可能會(huì)掌握選聘律師的權(quán)利,從而可能引發(fā)與被出資者的律師之間的利益沖突;出資者因可能與仲裁員有潛在的利益關(guān)系,從而影響仲裁員的公正與獨(dú)立性。同時(shí),出資者作為案外人參與到仲裁中,其通過(guò)被出資者會(huì)獲得很多仲裁進(jìn)程相關(guān)的信息,甚至?xí)@得仲裁另一方當(dāng)事人的信息,而這些信息的泄漏很可能會(huì)為當(dāng)事人帶來(lái)很多不利影響。因此,第三方出資對(duì)仲裁的保密性帶來(lái)挑戰(zhàn)。出資者參與仲裁之后的費(fèi)用承擔(dān)問(wèn)題也引起廣泛關(guān)注,問(wèn)題焦點(diǎn)主要在于對(duì)第三方出資費(fèi)用的定性。當(dāng)被出資者勝訴時(shí),其是否可以要求仲裁被申請(qǐng)人賠償?shù)谌匠鲑Y仲裁產(chǎn)生的費(fèi)用?賠償?shù)馁M(fèi)用是否可以包括被出資者承諾分給第三方出資者的勝訴收益?可見(jiàn),第三方出資為仲裁費(fèi)用制度帶來(lái)很多新問(wèn)題。另外,第三方出資者在各種利益驅(qū)使以及出資關(guān)系缺乏透明度的因素影響下,也很容易引起濫訴問(wèn)題。第三方出資是近年來(lái)才進(jìn)入國(guó)際商事仲裁領(lǐng)域的新興事物,現(xiàn)行仲裁機(jī)構(gòu)規(guī)則對(duì)出資者以及其引起的問(wèn)題尚未進(jìn)行規(guī)定。因此,必須采取措施解決上述問(wèn)題,才能使其發(fā)揮應(yīng)有價(jià)值,推進(jìn)國(guó)際商事仲裁的發(fā)展。從仲裁機(jī)構(gòu)的角度來(lái)說(shuō),需要修改或重新解釋現(xiàn)行仲裁規(guī)則,規(guī)定仲裁當(dāng)事人、第三方出資者以及仲裁員的強(qiáng)制披露義務(wù),仲裁機(jī)構(gòu)在接到披露內(nèi)容后要開(kāi)始自動(dòng)審查利益沖突問(wèn)題;因第三方出資者對(duì)仲裁保密性的影響,現(xiàn)行仲裁規(guī)則可以將第三方出資者納入保密義務(wù)的主體,要求其對(duì)與仲裁有關(guān)的實(shí)體和程序信息以及在仲裁中獲取的其他信息進(jìn)行保密;而第三方出資仲裁費(fèi)用根據(jù)費(fèi)用類型不同,可分為兩種,一種是為了啟動(dòng)和維持仲裁程序所必須支付的費(fèi)用,另一種是在被出資者勝訴時(shí),依據(jù)出資協(xié)議需要支付給出資者的報(bào)酬。對(duì)第三方出資仲裁所發(fā)生的第一種費(fèi)用應(yīng)定性為仲裁費(fèi)用,被出資者勝訴時(shí),在由敗訴方承擔(dān)仲裁費(fèi)用的規(guī)則下,可以規(guī)定第三方出資仲裁的費(fèi)用由敗訴方承擔(dān);而對(duì)于第二種費(fèi)用,被出資者若向仲裁庭主張由仲裁被申請(qǐng)人承擔(dān),則有點(diǎn)過(guò)度補(bǔ)償?shù)男再|(zhì),對(duì)仲裁被申請(qǐng)人而言顯失公平。而第三方出資引起的濫訴問(wèn)題的解決也要基于仲裁當(dāng)事人、第三方出資者及仲裁員的披露義務(wù),使出資關(guān)系能夠透明化,從而減少濫訴行為的發(fā)生。我國(guó)是第三方出資發(fā)展的一個(gè)巨大的潛在市場(chǎng)。為提高我國(guó)仲裁機(jī)構(gòu)的競(jìng)爭(zhēng)力,我國(guó)應(yīng)看到第三方出資在國(guó)際商事仲裁領(lǐng)域的發(fā)展,積極引入第三方出資,吸引更多的商事主體選擇在我國(guó)的仲裁機(jī)構(gòu)進(jìn)行仲裁,推進(jìn)我國(guó)仲裁事業(yè)的發(fā)展。我國(guó)大陸引入第三方出資的必要性在于,一方面近年來(lái)我國(guó)商事仲裁快速發(fā)展,仲裁費(fèi)用負(fù)擔(dān)較重;另一方面我國(guó)大陸仲裁機(jī)構(gòu)在國(guó)際商事仲裁領(lǐng)域的競(jìng)爭(zhēng)力較弱。第三方出資在國(guó)際商事領(lǐng)域蓬勃發(fā)展的時(shí)期,我國(guó)大陸仲裁機(jī)構(gòu)要想提升在國(guó)際商事仲裁領(lǐng)域的競(jìng)爭(zhēng)力,必須要迎合時(shí)代的發(fā)展,引入第三方出資。同時(shí),也必須要清楚的認(rèn)識(shí)到其帶來(lái)的各種問(wèn)題,對(duì)我國(guó)現(xiàn)行的仲裁機(jī)構(gòu)規(guī)則進(jìn)行適當(dāng)?shù)男薷暮椭匦陆忉?盡可能的做到防患于未然。
[Abstract]:Third party investment (Third Party Funding) has become one of the hot topics in the field of international commercial arbitration, international investment of third but there is no uniform definition. Specifically, in the international commercial arbitration, the third party is the main contribution of the individual or entity engaged in the third party investment activities; investment is the object of "commercial arbitration the meaning of" capital is the object of the request; arbitration; investment is the main way by providing funds or other material support for arbitration to the applicant; investment is generally to obtain income through investment in wins appeal, in favor of a certain percentage of the revenue sharing and be funded, while in court, the investor to pay the arbitration fee does not enjoy the right of recourse to the investor. Third party investment mainly because it is irrelevant to the case of third people from the risk representation system; because of its revenue comes from In a certain proportion of cases income differs from the litigation insurance system; by the third party can not be replaced by the investor's position is different from the transfer of creditor's rights system. Third party investors can get in practice due to the development of investor's legitimate rights and interests of the maintenance, screening function of "meaningless" lawsuit and deterrent. The misfeasor. Of course, through its function, the third party contribution not only to promote the settlement of the dispute, to maintain a good social order, but also improve the quality of the trial of commercial arbitration in a certain extent, the judicial pressure eased. But the third party investment development in the practice of international commercial arbitration also triggered a series of problems. As the case had nothing to do with the outsider to participate in the arbitration, and arbitration will cause the parties to the conflict of interests. In the case of third investment, the investor will be the case A different degree of interference, which caused by the conflict of interests between the investor and the investor may grasp; hiring lawyers in the case, which may lead to conflicts of interest between investors and lawyers; investors may and the arbitrator has the potential benefits of relationship, thus affecting the arbitrator's impartiality and independence. At the same time, the investor as an outsider to participate in the arbitration, the investor will get through a lot of information related to the arbitration proceedings, arbitration and even obtain the other party's information, and the information leakage is likely to bring many adverse effects to the parties. Therefore, the third parties invested on confidentiality the challenge. The investor participate arbitration after expenses also caused widespread concern, the problem is mainly focused on qualitative cost on third parties invested. When the investor is successful, it is It may require the applicant to compensate third investment arbitration costs incurred? Whether the cost of compensation may include investor commitments to third party investors in favor of the income? Visible, brings many new problems of third party funding for the arbitration fee system. In addition, the third party investor influence in a variety of factors driven by the interests and lack of investment relations transparency, it is very easy to cause the abuse of litigation. The third parties invested is a new thing in recent years before entering the field of international commercial arbitration, the arbitration rules of the investor and the problem caused by not specified. Therefore, measures must be taken to solve the above problems, can play its proper value, promote the development of international commercial arbitration arbitration institution. From the point of view, need to modify or re interpretation of existing rules of arbitration, arbitration provisions, third party investors and The compulsory disclosure obligations of arbitrators and arbitration institutions to start automatic review of conflicts of interest in receiving the disclosure; by the third party investor on the confidentiality of the arbitration, the arbitration rules can be third party investors into the main body of confidentiality, secrecy on the requirements relating to arbitration and the substantive and procedural information other information in arbitration; and third party investment arbitration fee according to the cost of different types can be divided into two kinds, one is to be paid to initiate and maintain the arbitration costs, the other one is in favor of being funded, according to investor's investment agreement to pay compensation to the first. The cost of capital by third party arbitration shall be characterized as the costs of arbitration is in favor of the investor, the arbitration fees shall be borne by the losing party rules, can provide third party investment arbitration expense The losing party; while for the second charges, was funded to the arbitration tribunal if arbitration is advocated by the applicant has nature of excessive compensation, to the applicant in terms of unconscionability. To solve the third investment caused by the excessive litigation problems should also be based on the arbitration of the parties, the third party investor the arbitrator and disclosure obligations, the investment relationship can be transparent, so as to reduce the abuse of litigation behavior. China is a huge potential market for third party funded development. In order to improve the competitiveness of the arbitration institution in our country, our country should see the development of the third party contribution in the field of International commercial arbitration, and actively introduce third investment, choose arbitration in the arbitration institutions of China to attract more commercial entities, to promote the development of arbitration in China. China is necessary to introduce the third party investment is a commercial arbitration in China in recent years 蹇，

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