中亚国家在仲裁中援用的利益拒绝条款研究

Denial-of-benefits Clause Invoked by Central Asian Countries in Arbitration

国际投资条约中纳入利益拒绝条款的目的是为防止不应当受条约保护、不履行条约义务的投资者享受该条约的保护及相关利益。现今国际投资条约中相关条款的具体内涵及适用更多地是在国际投资仲裁实践中得到细化和明确,因而对具体条款的分析离不开对国际投资仲裁案例的研究。本文通过考察中亚国家在国际投资仲裁庭所援用的利益拒绝条款,重点分析仲裁庭对该条款的内涵、适用、程序要求等问题的阐释,更加精确地把握该条款在实践中的适用,为我国相关国际投资条约中设置利益拒绝条款提供借鉴,亦为我国海外投资者在国际投资仲裁中的应对提供参考。

Denial-of-benefits clauses in investment treaties are generally designed to exclude treaty protection of nationals of third States which, through mailbox or shell companies, seek to benefit from the provisions that the State parties to the treaty did not intend to grant them. The specific meaning and application of relevant provisions of the international investment treaties is refined in the practice of international investment arbitration tribunals, thus the research on specific provisions must rely on international investment arbitration cases. This article examines denial-of-benefit clause invoked by Central Asian Countries and analyzes the content, application and procedural requirements of the clause. This article can provide reference for setting up the denial-of-benefits clause in the relevant international investment treaties of China and provide reference for the overseas investors with the use of this clause to deal with the host country in the court of arbitration for international investment.