国际仲裁中第三方出资的披露问题研究

Study on Disclosure of Third Party Funding in International Arbitration

近年来,第三方出资因其有助于保障经济弱势方的救济权,在国际仲裁中广为使用。为规制第三方出资行为、保障仲裁程序公正,应当对第三方出资信息予以披露。其中披露涉及仲裁员和受资助者两个主体:仲裁规则应将仲裁员与第三方出资者的关系纳入披露范围,若仲裁员恶意不履行披露义务,仲裁员应承担民事或纪律责任,裁决也可能被撤销;同时应在仲裁规则中明确受资助者的强制披露义务,即尽早向当事人和仲裁庭披露第三方出资的存在及身份,特定情形下向仲裁庭披露第三方出资协议。我国现有规则对第三方出资的披露规定尚不完善,因而有必要在《仲裁法》中明确仲裁员的披露义务,在仲裁规则中规定仲裁员和受资助者对第三方出资信息的披露义务。

In recent years,third party funding(TPF)has been widely applied in international arbitration due to its importance to protectthe right of relief of the economically disadvantaged parties. The disclosure of TPF is necessary to regulate itself and ensure procedural fairness. Both arbitrators and the funded party should disclose relevant information. On the one hand,arbitrators should disclose the relationship with the third party funder which may arise doubts about their impartiality and independence. This obligation should be incorporated in arbitration rules,in case the arbitrator fails the disclosure obligation deliberately where he or she shall bear civil or disciplinary responsibility,and the award may be revoked as well. On the other hand,mandatory disclosure obligation of the funded party shall be stipulated in the arbitration rules,which is,to disclose the existence and identity of TPF to the parties and the tribunal as soon as possible,and to disclose TPF agreements to the tribunal in specific circumstances. In China,since the regulations of TPF is not sound,it’s essential to legalize the arbitrator’s disclosure obligations in arbitration law. Arbitration institutions should also clarify that arbitrators are obliged to disclose its relationship with the funders and the funded party shall disclose TPF information.