论第三方资助商事仲裁中的保密原则内涵——从董勒成等与国银飞机租赁有限公司案切入

在“董勒成等与国银飞机租赁有限公司申请不予执行与撤销仲裁裁决”两案中,两法院一致认为所谓仲裁保密性即“不向外界公开”,而由于国银公司已主动披露了第三方有关情况,因此满足了仲裁对透明度的要求,故认定案涉第三方资助行为未违反仲裁的保密性原则,从而分别驳回了其不予执行与撤销仲裁裁决的诉求。法院的裁定肯定了第三方资助机构参与仲裁并不必然违反保密性原则这一观点,有助于第三方资助仲裁行为在我国的发展,但也引发了对仲裁保密性原则与资助协议保密条款之关系的探讨。从现有规则来看,我国对保密性原则内涵的阐释略显狭窄,亦未规范第三方资助仲裁的披露规则。结合本案及他国实践,在仲裁保密性原则内涵上应扩展到保护商业秘密不公开,所涵盖的对象在特殊情况下可延伸至可能威胁仲裁中所涉及的商业秘密的第三方。基于资助协议的保密性条款,被资助方在仲裁中仅披露第三方的基本信息即可,无需披露资助协议中的具体内容。

In the two cases of“Dong Lecheng et al.'s application for non-recognition and enforcement of arbitration Award with Bank of China Aircraft Leasing Co.,LTD.”,both courts agreed that the so-called confidentiality of arbitration is“not open to the outside world”,and since CDB Leasing has voluntarily disclosed the relevant information of a third party,thus meeting the requirements for transparency of arbitration,it was concluded that the third-party financing in the case did not violate the confidentiality principle of arbitration.Thus,they rejected their claims of non-recognition and enforcement of arbitration award respectively.The court’s ruling confirms that the third party financing organization’s participation in arbitration doesn’t necessarily violate the confidentiality principle,and is conducive to the development of the third party financing arbitration in our country,but it also raises discussion of the relationship between the confidentiality principle of arbitration and the confidentiality clause of financing agreement.From the existing rules,the interpretation of confidentiality principle is slightly narrow,and does not standardize the disclosure rule of third-party financing arbitration.By drawing insights from this case and experiences in other countries,the scope of the arbitration confidentiality principle should be broadened.This extension aims to safeguard the confidentiality of trade secrets,encompassing potential threats to the involved trade secrets from third parties under special circumstances.Based on the confidentiality clause of the funding agreement,the funder can only disclose the basic information of the third party in the arbitration.