我国国际商事仲裁临时保全措施研究
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摘要
国际商事仲裁临时保全措施是国际商事仲裁中的重要内容,对国际商事仲裁的顺利进行有着不可替代的作用和意义。目前,各国国内法和国际仲裁机构的仲裁规则以及《国际商事仲裁示范法》中对临时保全措施制度的某些方面的规定逐步走向协调统一,而与此相反的是我国当前的立法仍旧处在较为传统和保守的模式中。为了我国国际商事仲裁事业的发展,本文结合我国当前的实践状况与国际社会中的普遍立法,找出了我国国际商事仲裁临时保全措施需要完善的方面,并试图提出一些建议以期对其进行完善。
为了便于分析,本文首先界定了临时保全措施的称谓和定义以及在国际商事仲裁中的价值意义。尔后以我国国际商事仲裁临时保全措施的基本规定为出发点,简要分析了我国当前立法中存在的主要问题,即临时保全措施的发布主体、种类、仲裁前临时保全措施以及域外执行等方面存在的不足,紧接着通过第二至四章的内容提出我国立法中应该努力的方向和途径的浅显建议。
具体来说,第二章是在发布主体方面阐述了我国法院专属权力模式的弊端,然后结合各国国内法和国际机构仲裁规则的规定提出我国立法中应试图借鉴国际社会中普遍采纳的并存权力模式赋予法院和仲裁庭两个主体的发布决定权,并对二者之间的具体权限划分作了进一步分析。第三章针对我国仲裁前临时保全措施的缺失和仅有“财产保全”和“证据保全”两种保全措施种类的现状,从当事人利益的完褴性保护等方面探讨了这些情形下的现实堃境,并建议增设仲裁前临时保全措施制度和行为保全类的临时措施。第四章分析了国际商事仲裁临时保全措施价值实现的最后一个关节——域外执行,即分析了临时保全措施域外执行的国际状况,然后结合我国当前实际提出完善的途径和方向。本文最后在结语部分对我国国际商事仲裁临时保全措施的完善以期最终促进国际商事仲裁事业的发展进行了展望和期待。
Interim measures of protection in international commercial arbitration are very important, which contributes to the international commercial arbitration development with no other alternatives. Different provisions about interim measures of protection system show a tendency of being the same currently, according to the legal articles in different countries, arbitration rules of international institutions, and rules of UNTITRAL Model Law on International Commercial Arbitration, however, the related regulations in China are still limited by the traditional and conservative legislation model. In order to the development of international commercial arbitration career in China, and based on our country's practical situation and the common regulations in the international society, this article analyzes the defects of interim measures of protection, and tries to provide some useful advice.
Considering the convenience of analysis, this article firstly defines the interim measures of protection, and analyzes the value of the interim measures of protection as followed. Then, this article tries to find out the main defects of legislative and institutional arbitration rules in China, i.e. the lacking in the release, categories, time and extra-territorial implementation of the interim measures of protection. According to the foregoing research, this article provides some plain advice focusing on the development of legislative rules of China from chapter2to chapter four.
Specifically, the second chapter mains on the disadvantages of the court as the only authority of the release, then connecting with the rules of many countries and international arbitration institutions, suggests that our country should cite the international common model of double powers, i.e. to award the decision power of release to the court and arbitral court, and researches deeply on the division of specific power. The third chapter, based on the absence of applying for the interim measures of protection before the arbitration and the just two measures of protection, i.e. property protection and proof protection, researches on the practical difficulties from the whole protection for the parties, and suggests to add the system of supplying for the interim measures of protection before arbitration and the type of action protection measures. The fourth chapter analyzes the last step of realizing the value of international commercial interim measures of protection, i.e. the enforcement of extraterritorial. This chapter actually researches the international situation of extraterritorial enforcement, and then provides some advice for the development on the basis of the current practice. In the conclusion part, this article expects the perfect development of international commercial interim measures of protection in China which could contribute to the international commercial arbitration career.
为了便于分析,本文首先界定了临时保全措施的称谓和定义以及在国际商事仲裁中的价值意义。尔后以我国国际商事仲裁临时保全措施的基本规定为出发点,简要分析了我国当前立法中存在的主要问题,即临时保全措施的发布主体、种类、仲裁前临时保全措施以及域外执行等方面存在的不足,紧接着通过第二至四章的内容提出我国立法中应该努力的方向和途径的浅显建议。
具体来说,第二章是在发布主体方面阐述了我国法院专属权力模式的弊端,然后结合各国国内法和国际机构仲裁规则的规定提出我国立法中应试图借鉴国际社会中普遍采纳的并存权力模式赋予法院和仲裁庭两个主体的发布决定权,并对二者之间的具体权限划分作了进一步分析。第三章针对我国仲裁前临时保全措施的缺失和仅有“财产保全”和“证据保全”两种保全措施种类的现状,从当事人利益的完褴性保护等方面探讨了这些情形下的现实堃境,并建议增设仲裁前临时保全措施制度和行为保全类的临时措施。第四章分析了国际商事仲裁临时保全措施价值实现的最后一个关节——域外执行,即分析了临时保全措施域外执行的国际状况,然后结合我国当前实际提出完善的途径和方向。本文最后在结语部分对我国国际商事仲裁临时保全措施的完善以期最终促进国际商事仲裁事业的发展进行了展望和期待。
Interim measures of protection in international commercial arbitration are very important, which contributes to the international commercial arbitration development with no other alternatives. Different provisions about interim measures of protection system show a tendency of being the same currently, according to the legal articles in different countries, arbitration rules of international institutions, and rules of UNTITRAL Model Law on International Commercial Arbitration, however, the related regulations in China are still limited by the traditional and conservative legislation model. In order to the development of international commercial arbitration career in China, and based on our country's practical situation and the common regulations in the international society, this article analyzes the defects of interim measures of protection, and tries to provide some useful advice.
Considering the convenience of analysis, this article firstly defines the interim measures of protection, and analyzes the value of the interim measures of protection as followed. Then, this article tries to find out the main defects of legislative and institutional arbitration rules in China, i.e. the lacking in the release, categories, time and extra-territorial implementation of the interim measures of protection. According to the foregoing research, this article provides some plain advice focusing on the development of legislative rules of China from chapter2to chapter four.
Specifically, the second chapter mains on the disadvantages of the court as the only authority of the release, then connecting with the rules of many countries and international arbitration institutions, suggests that our country should cite the international common model of double powers, i.e. to award the decision power of release to the court and arbitral court, and researches deeply on the division of specific power. The third chapter, based on the absence of applying for the interim measures of protection before the arbitration and the just two measures of protection, i.e. property protection and proof protection, researches on the practical difficulties from the whole protection for the parties, and suggests to add the system of supplying for the interim measures of protection before arbitration and the type of action protection measures. The fourth chapter analyzes the last step of realizing the value of international commercial interim measures of protection, i.e. the enforcement of extraterritorial. This chapter actually researches the international situation of extraterritorial enforcement, and then provides some advice for the development on the basis of the current practice. In the conclusion part, this article expects the perfect development of international commercial interim measures of protection in China which could contribute to the international commercial arbitration career.
引文
1参见1976年《联合国国际贸易法委员会仲裁规则》第26条.
2参见《国际商事仲裁示范法》的1985年版和2006年修订版两个版本的第9条和第17条.
3参见2000年《美国仲裁协会国际仲裁规则》第21条.
4参见1998年《国际商会仲裁规则》第23条.
5参见1998年《英国伦敦国际仲裁院仲裁规则》第25条.
6参见1999年《斯德哥尔摩商会仲裁协会仲裁规则》第31条.
7参见任明艳.国际商事仲裁中临时保全措施研究.上海：上海交通大学出版社,2010.14.
8赵千喜.国际商事仲裁中临时措施的适用问题——兼及我国仲裁立法的完善.仲裁与法律,2005,97：12.
9参见联合国国际贸易法委员会1999年A/CN.9/460号文件,第117段.
10刘晓红.国际商事仲裁专题研究,北京：法律出版社,2009.312-313.
11杜新丽.国际商事仲裁理论与实践专题研究.北京：中国政法大学出版社,2009.194.
12最高人民法院网.http://www.court.gov.cn/qwfb/sfsj/201105/t20110525_100996.htm,2012年1月15日最后访问.
13杜开林.对一起仲裁证据保全案的评析——兼论现行仲裁证据保全法律规定的不足.法律适用,2003,5：59.
14杜新丽.国际商事仲裁理论与实践专题研究.北京：中国政法大学出版社,2009.157.
17赵秀文.《国际商事仲裁示范法》对临时性保全措施条款的修订.时代法学,2009,7(3)：4.
18 Art.26 of UNCITRAL Arbitration Rules.
19 Art.23 of ICC Arbitration Rules.
20 See Alan Redfern & Martin Hunter, Law and Practice of International Commercial Arbitration, 2nded,, Swell, 1991,p.307.
21 William Wang,"International Arbitration:The Need for Uniform Interim Measures of Relief' 28 Brook. J. Int'l L. (2003), p.1089.
22 William Wang, "International Arbitration:The Need for Uniform Interim Measures of Relief", 28 Brook. J. Int'l L. (2003), p.1085.
23李露.国际商事仲裁临时措施研究：[中国政法大学硕十学位论文].北京：中国政法大学,2011.
21 Art.44 of 1996 Arbitration Act of England.
25张烨.论防止仲裁程序的拖延和破坏(三).中国仲裁网http://www.china-arbitration.com/news.php?id=1278,2012年1月15日最后访问.
26参见涉外仲裁司法研讨会会议纪要.仲裁与法律通讯,1997,5：36.
27赵秀文.国际商事仲裁现代化研究.北京：法律出版社,2010.218-219.
28 See Richard Happ,40 Years New York Convention:Past, Present and Future,2 Vindo bona J.(1998),p.59.
29 Resort Condominiums International Inc. v. Ray Bolwell. and Resort Condominiums (Australasia) Pty Ltd., the Supreme Court of Queensland, (1993)118 ALR 655-657.
30 Sperry Int'l Trade, Inc. v. Government of Israel,689 F.2d 301(2 Cir.1982).
31参见2000年3月举行的第32届联合国国际贸易法委员会仲裁工作组会议文件A/CN.9/WG.11/WP.108,第83段.
42 See Stephen M. Ferguson, Interim Measures of Protection in International Commercial Arbitration:Problems, Proposed Solutions, and Anticipated Results,12-WTR Currents:Int'I Trade L.J.(2003),p.58.
33任明艳.国际商事仲裁中临时保全措施研究.上海： 上海交通大学出版社,2010.161.
341998年《德国民事诉讼法》第1041条和第1062条.
[1]任明艳.国际商事仲裁中临时保全措施研究.上海：上海交通大学出版社,2010.
[2]刘晓红.国际商事仲裁专题研究.北京：法律出版社,2009.
[3]刘晓红、袁发强.国际商事仲裁.北京：北京大学出版社,2010.
[4]杜新丽.国际商事仲裁理论与实践专题研究.北京：中国政法大学出版社,2009.
[5]林一飞.最新商事仲裁与司法实务专题案例》(第二眷).北京：对外经济贸易大学出版社,2009.
[6]法律出版社法规中心.国际条约及常用国际惯例.北京：法律出版社,2011.
[7]赵秀文.国际商事仲裁现代化研究.北京：法律出版社,2010.
[8]赵秀文.国际商事仲裁法原理与案例教程.北京：法律出版社,2010.
[9]赵秀文.国际商事仲裁法(第二版).北京：中国人民大学出版社,2008.
[10]韩建.涉外仲裁司法审查.北京：法律出版社,2006.
[1]李露.国际商事仲裁临时措施研究：[中国政法大学硕士学位论文].北京：中国政法大学,2011.
[2]杜开林.对一起仲裁证据保全案的评析——兼论现行仲裁证据保全法律规定的不足.法律适用,2003,5.
[3]赵千喜.国际商事仲裁中临时措施的适用问题——兼及我国仲裁立法的完善.仲裁与法律,2005,97.
[4]赵秀文.《国际商事仲裁示范法》对临时性保全措施条款的修订.时代法学,2009,3.
[5]赵健.联合国《国际商事仲裁示范法》2006年修订条款评述--兼论对我国仲裁立法与实践的影响.中国国际私法与比较法年刊,2007,10.
[1]涉外仲裁司法研讨会会议纪要.仲裁与法律通讯,1997,5.
[2]联合国国际贸易法委员会1999年A/CN.9/460号文件.
[3]第32届联合国国际贸易法委员会仲裁工作组会议文件A/CN.9/WG.Ⅱ/WP.108,2000.
[1]Alan Redfern & Martin Hunter, Law and Practice of International Commercial Arbitration,2nd ed., Swell & Maxwell,1991.
[2]Resort Condominiums International Inc. v. Ray Bolwell. and Resort Condominiums (Australasia) Pty Ltd., the Supreme Court of Queensland, (1993)118 ALR 655-657.
[3]Richard Happ,40 Years New York Convention:Past, Present and Future,2 Vindobona J.1998.
[4]Sperry Int'l Trade, Inc. v. Government of Israel,689 F.2d 301(2 Cir.1982).
[5]Stephen M. Ferguson, Interim Measures of Protection in International Commercial Arbitration:Problems, Proposed Solutions, and Anticipated Results, 12-WTR Currents:Int'l Trade L.J.,2003.
[6]The ICC International Court of Arbitration Bulletin, Vol.9/No.1,May 1998.
[7]William Wang, International Arbitration:The Need for Uniform Interim Measures of Relief, 28 Brook. J. Int'l L.,2003.
[1]北京仲裁委员会网.http://www.bjac.org.cn/,2012年1月10日最后访问.
[2]张烨.论防止仲裁程序的拖延和破坏(三).中国仲裁网.http://www.china-arbitration.com/news.php?id=1278,2012年1月15日最后访问.
[3]联合国国际贸易法委员会网http://www.uncitral.org/uncitral/zh/uncitral_texts/arbitration/1985Model arbitrat ion status.html,2012年2月10日最后访问.
[4]最高人民法院网http://www.court.gov.cn/qwfb/sfsj/201105/t20110525_100996.htm,2012年1月15日最后访问.
2参见《国际商事仲裁示范法》的1985年版和2006年修订版两个版本的第9条和第17条.
3参见2000年《美国仲裁协会国际仲裁规则》第21条.
4参见1998年《国际商会仲裁规则》第23条.
5参见1998年《英国伦敦国际仲裁院仲裁规则》第25条.
6参见1999年《斯德哥尔摩商会仲裁协会仲裁规则》第31条.
7参见任明艳.国际商事仲裁中临时保全措施研究.上海：上海交通大学出版社,2010.14.
8赵千喜.国际商事仲裁中临时措施的适用问题——兼及我国仲裁立法的完善.仲裁与法律,2005,97：12.
9参见联合国国际贸易法委员会1999年A/CN.9/460号文件,第117段.
10刘晓红.国际商事仲裁专题研究,北京：法律出版社,2009.312-313.
11杜新丽.国际商事仲裁理论与实践专题研究.北京：中国政法大学出版社,2009.194.
12最高人民法院网.http://www.court.gov.cn/qwfb/sfsj/201105/t20110525_100996.htm,2012年1月15日最后访问.
13杜开林.对一起仲裁证据保全案的评析——兼论现行仲裁证据保全法律规定的不足.法律适用,2003,5：59.
14杜新丽.国际商事仲裁理论与实践专题研究.北京：中国政法大学出版社,2009.157.
17赵秀文.《国际商事仲裁示范法》对临时性保全措施条款的修订.时代法学,2009,7(3)：4.
18 Art.26 of UNCITRAL Arbitration Rules.
19 Art.23 of ICC Arbitration Rules.
20 See Alan Redfern & Martin Hunter, Law and Practice of International Commercial Arbitration, 2nded,, Swell, 1991,p.307.
21 William Wang,"International Arbitration:The Need for Uniform Interim Measures of Relief' 28 Brook. J. Int'l L. (2003), p.1089.
22 William Wang, "International Arbitration:The Need for Uniform Interim Measures of Relief", 28 Brook. J. Int'l L. (2003), p.1085.
23李露.国际商事仲裁临时措施研究：[中国政法大学硕十学位论文].北京：中国政法大学,2011.
21 Art.44 of 1996 Arbitration Act of England.
25张烨.论防止仲裁程序的拖延和破坏(三).中国仲裁网http://www.china-arbitration.com/news.php?id=1278,2012年1月15日最后访问.
26参见涉外仲裁司法研讨会会议纪要.仲裁与法律通讯,1997,5：36.
27赵秀文.国际商事仲裁现代化研究.北京：法律出版社,2010.218-219.
28 See Richard Happ,40 Years New York Convention:Past, Present and Future,2 Vindo bona J.(1998),p.59.
29 Resort Condominiums International Inc. v. Ray Bolwell. and Resort Condominiums (Australasia) Pty Ltd., the Supreme Court of Queensland, (1993)118 ALR 655-657.
30 Sperry Int'l Trade, Inc. v. Government of Israel,689 F.2d 301(2 Cir.1982).
31参见2000年3月举行的第32届联合国国际贸易法委员会仲裁工作组会议文件A/CN.9/WG.11/WP.108,第83段.
42 See Stephen M. Ferguson, Interim Measures of Protection in International Commercial Arbitration:Problems, Proposed Solutions, and Anticipated Results,12-WTR Currents:Int'I Trade L.J.(2003),p.58.
33任明艳.国际商事仲裁中临时保全措施研究.上海： 上海交通大学出版社,2010.161.
341998年《德国民事诉讼法》第1041条和第1062条.
[1]任明艳.国际商事仲裁中临时保全措施研究.上海：上海交通大学出版社,2010.
[2]刘晓红.国际商事仲裁专题研究.北京：法律出版社,2009.
[3]刘晓红、袁发强.国际商事仲裁.北京：北京大学出版社,2010.
[4]杜新丽.国际商事仲裁理论与实践专题研究.北京：中国政法大学出版社,2009.
[5]林一飞.最新商事仲裁与司法实务专题案例》(第二眷).北京：对外经济贸易大学出版社,2009.
[6]法律出版社法规中心.国际条约及常用国际惯例.北京：法律出版社,2011.
[7]赵秀文.国际商事仲裁现代化研究.北京：法律出版社,2010.
[8]赵秀文.国际商事仲裁法原理与案例教程.北京：法律出版社,2010.
[9]赵秀文.国际商事仲裁法(第二版).北京：中国人民大学出版社,2008.
[10]韩建.涉外仲裁司法审查.北京：法律出版社,2006.
[1]李露.国际商事仲裁临时措施研究：[中国政法大学硕士学位论文].北京：中国政法大学,2011.
[2]杜开林.对一起仲裁证据保全案的评析——兼论现行仲裁证据保全法律规定的不足.法律适用,2003,5.
[3]赵千喜.国际商事仲裁中临时措施的适用问题——兼及我国仲裁立法的完善.仲裁与法律,2005,97.
[4]赵秀文.《国际商事仲裁示范法》对临时性保全措施条款的修订.时代法学,2009,3.
[5]赵健.联合国《国际商事仲裁示范法》2006年修订条款评述--兼论对我国仲裁立法与实践的影响.中国国际私法与比较法年刊,2007,10.
[1]涉外仲裁司法研讨会会议纪要.仲裁与法律通讯,1997,5.
[2]联合国国际贸易法委员会1999年A/CN.9/460号文件.
[3]第32届联合国国际贸易法委员会仲裁工作组会议文件A/CN.9/WG.Ⅱ/WP.108,2000.
[1]Alan Redfern & Martin Hunter, Law and Practice of International Commercial Arbitration,2nd ed., Swell & Maxwell,1991.
[2]Resort Condominiums International Inc. v. Ray Bolwell. and Resort Condominiums (Australasia) Pty Ltd., the Supreme Court of Queensland, (1993)118 ALR 655-657.
[3]Richard Happ,40 Years New York Convention:Past, Present and Future,2 Vindobona J.1998.
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