国际商事仲裁中第三方资助行为的规制——以受资方信息披露义务为视角

The Regulation of Third-party Funding in International Commercial Arbitration——From the Perspective of the Disclosure Obligation of the Funded Parties

第三方资助在缓解国际商事仲裁当事人资金窘境的同时,也给仲裁程序带来了诸多法律风险。由于资助的隐蔽性,传统上以仲裁员为唯一主体的信息披露制度难以规制国际商事仲裁中第三方资助行为。为及时明确潜在利益冲突,保障仲裁程序的公正性,促进仲裁裁决的承认与执行,有必要对受资方也课以信息披露义务。目前,我国内地在第三方资助仲裁上存在立法空白,不仅难以有效规制第三方资助引发的法律风险,还会阻碍第三方资助模式的良性发展,不利于提升我国仲裁机构在国际上的竞争力。鉴于此,我国应通过立法明确第三方资助仲裁的合法性,强调软法对规制第三方资助行为的调适作用。在具体制度建设上,建议从信息披露的范围、属性、时机和形式等方面优化受资方信息披露制度的规则设计。

While third-party funding has operated to alleviate the financial dilemma of the parties in international commercial arbitration,it also brings some legal risks to the arbitration procedures.In view of the secrecy of third-party funding,the traditional information disclosure system with arbitrators as the sole subject is difficult to adapt to the needs of regulating third-party funding.In order to find potential conflicts of interest timely,ensure the fairness of arbitration procedures and promote the recognition and enforcement of the awards,it is necessary to impose an obligation on the funded parties to disclose the involvement of third-party funders.Currently,there exists legislative gaps in third-party funding in Chinese mainland,which not only cannot effectively regulate the legal risks caused by third-party funding,but also hinder the healthy development of the third-party funding arbitration and go against the improvement of the international competitiveness of Chinese arbitration institutions.Therefore,it is urgent to clarify the legality of third-party funding arbitration in its legislation,emphasize the role of soft law in adjusting third-party funding,and optimize the specific rule design of the information disclosure system of the parties from the aspects of the scope,nature,timing and form of the disclosure.