China: 跨境投资交易之争议解决方式

Last Updated: 29 August 2019
Article by Jia Hui
Most Read Contributor in China, October 2019

近年来,中国企业响应"一带一路"倡议,稳步扩大"走出去"步伐,海外投资呈稳步上升趋势。根据商务部数据显示,"2019年1-7月,我国境内投资者共对全球153个国家和地区的4088家境外企业进行了非金融类直接投资,累计实现投资4329.2亿元人民币,同比增长3.3%;7月当月对外直接投资680.6亿元人民币,同比增长25.5%"。 1可以预测,跨境投资——特别是跨境并购交易,将持续活跃,而由此可能产生的相关争议也将呈现增加态势。故,交易各方在前期准备和谈判交易条款时,应当更加关注争议解决条款的设计和谈判,在可能发生的争议解决中争取有利地位。

在跨境投资交易中,完整的争议解决条款通常包括以下内容:(1)友好协商条款;(2)友好协商不能情况下的争议解决方式,例如调解、仲裁或诉讼;(3)所选择争议解决方式拟遵循的程序等。本文整理了跨境投资交易中常见的争议解决方式及关注要点等方面的建议,以供参考。

一、争议解决之友好协商

一般来说,在诉诸具有约束力的仲裁或诉讼之前,许多当事人选择要求各种方式的友好谈判和协商。如果争议各方均抱有积极的态度充分参与,该步骤可以显著节省时间和金钱,因此在长期合作关系(或不宜轻易结束交易/合作关系)中更为常见。但是,"友好协商"方式在争议解决中需要关注的是,如果各方约定了"友好协商"作为启动下一步争议解决程序的前置条件,那么明确约定"协商不成"或"已充分友好协商"的标准将至关重要,因为这将影响到后续争议解决程序的推进。一般来说,这个问题会采取在争议解决条款中明确约定友好协商的期限来加以解决。当然,若协议各方当事人在通过友好协商后仍然未能达成一致时,下一步可以选择先行引入调解机制或直接进入仲裁或诉讼程序。

二、争议解决之调解

2019年8月7日,《联合国关于调解所产生的国际和解协议公约》(下称《新加坡公约》)在新加坡签署,包括中国、美国、印度、韩国、新加坡等46个国家成为签署国家。联合国国际贸易法委员会(UnitedNations Commission on International TradeLaw)在《新加坡公约》序言中提到,"国际和国内商业实务越来越多地使用调解替代诉讼,考虑到使用调解办法产生显著益处,例如,减少因争议导致终止商业关系的情形,便利商业当事人管理国际交易,并节省国家司法行政费用" 2。对比传统的诉讼、仲裁,调解解决争议的成本较低,而效率更高,对促进形成和谐的商事关系亦具有重要意义。




就中国企业来说,目前中国知名的调解机构包括中国国际贸易促进委员会/中国国际商会调解中心(其亦与香港和解中心共同设立了内地-香港联合调解中心)、上海经贸商事调解中心、一带一路国际商事调解中心、香港调解会等;而可选择的境外调解机构包括新加坡国际调解中心(SIMC)、国际商会调解(ICCMediation)等。 3以一带一路国际商事调解中心为例,其标准条款为"本合同各方一致同意将因本合同产生或与本合同有关的任何争议或分歧,先行提交一带一路国际商事调解中心并按其当时所实行的调解规则调解,且该调解规则自动并入本条款"。截至2019年6月30日,一带一路国际商事调解中心共接案(双方同意调解的)将近500件,调解完成成功率达到65%左右。

三、争议解决之仲裁

仲裁以其灵活性、自主性、保密性、易执行等特点,在跨境争议解决中广受欢迎。当交易涉及来自不同国家的当事人时,各方可能会提出不同的争议解决规则和期望,在仲裁程序中各方通常可以自由地制定相关程序和流程。仲裁通常选择在中立的第三国、由当事人达成一致的仲裁机构和仲裁员来进行裁决,有利避免了裁判机构偏袒的风险,有利于实现公平公正。另外,1958年《承认和执行国际仲裁裁决公约》(下称"《纽约公约》")覆盖了全球156个国家,国际仲裁裁决在各国中的承认和执行情况较为乐观。

近年来一些国际性的仲裁机构亦推广了仲裁"快速程序(expeditedprocedure)",可以进一步降低仲裁的时间成本,有助于交易双方尽快解决争议事项。该程序已经被国际商会国际仲裁院(ICC)、新加坡国际仲裁中心(SIAC)和香港国际仲裁中心(HKIAC)所采用,具体规则包括:(1)赋予仲裁机构缩短组成仲裁庭期限的权力;(2)赋予仲裁庭根据书面证据确定争议的酌情处理权;以及(3)要求仲裁庭在六个月内作出仲裁裁决等。 4

仲裁机构和地点的选择是仲裁条款的重要内容。根据《2018国际仲裁调查》(The2018 International ArbitrationSurvey)的结果,五个经常被选择的仲裁地点为伦敦、巴黎、新加坡、香港和日内瓦。五个经常被选择的仲裁机构是国际商会仲裁院(ICC)、伦敦国际仲裁院(LCIA)、新加坡国际仲裁中心(SIAC)、香港国际仲裁中心(HKIAC)以及斯德哥尔摩商会仲裁院(SCC)。 5如果中国企业在交易谈判中处于有利地位,亦可以根据需要主张选用境内的仲裁机构,例如中国国际经济与贸易仲裁委员会、北京仲裁委员会、上海国际仲裁中心、深圳国际仲裁院等仲裁机构。

四、争议解决之诉讼

一般来说,跨境争议中的问题之一即是执行外国判决(或仲裁裁决)的不确定性。尤其对于诉讼来说,通常在任一方所在国家或地区的法院进行诉讼,都面临当地法院存在"地方保护主义"的现实风险,因此,跨境交易中很难约定在一方所在国家的法院进行诉讼。如果选择除交易各方之外的国家的法院,该国法院存在拒绝受理的可能,且判决结果可能无法在败诉方所在国及其财产所在国顺利执行。

2015年6月16日,中国最高人民法院发布了《关于人民法院为"一带一路"建设提供司法服务和保障的若干意见》(法发〔2015〕9号),明确提出"促进沿线各国司法判决的相互承认与执行"的指导意见,"要在沿线一些国家尚未与我国缔结司法协助协定的情况下,根据国际司法合作交流意向、对方国家承诺将给予我国司法互惠等情况,可以考虑由我国法院先行给予对方国家当事人司法协助,积极促成形成互惠关系"。目前,我国已有部分法院作出承认外国法院判决的裁定,公开可检索的案例包括但不限于:(1)2016年12月9日,江苏省南京市中级人民法院出具(2016)苏01协外认3号裁定书,根据"互惠原则"承认执行新加坡生效判决;(2)2017年6月30日,湖北省武汉市中级人民法院在(2015)鄂武汉中民商外初字第00026号裁定书中,裁定承认并执行了美国加利福尼亚州洛杉矶县高等法院所作判决。

2019年7月2日,我国在海牙国际私法会议上对《承认与执行外国民商事判决公约》(Conventionon the Recognition and Enforcement of Foreign Judgments in Civil orCommercialMatters,简称"《执行公约》")的文本进行了签字确认,但我国尚未正式加入《承认与执行外国民商事判决公约》,仍需一定的时间和必要的程序 6。《执行公约》在全球范围内首次全面确立对民商事判决的国际承认和执行,旨在使各国法院民商事判决在全球范围内得到执行,为未来通过法院诉讼解决跨境投资争议奠定了基础。




另外,就与中国香港、澳门地区的争议,如果符合管辖范围,交易各方可以选择将我国最高法院第一巡回法庭作为一种选择。最高法院第一巡回法庭位于广东省深圳市,是最高人民法院派出的常设审判机构,受理湖南、广东、广西、海南四省区内应当由最高人民法院审理的一审、二审、申请再审的民商事案件、行政诉讼案件,刑事申诉案件,以及涉港澳台民商事案件和司法协助案件等。第一巡回法庭作出的判决、裁定和决定是最高人民法院的判决、裁定和决定。 7

综上,在《新加坡公约》和《执行公约》近期陆续出台的背景下,加之《纽约公约》,调解、仲裁和诉讼"三大途径"将构成未来多元化的国际商事争议解决方式。调解、仲裁和诉讼彼此之间的有效衔接也将成为未来国际商事争议解决发展的重要问题。在"一带一路"倡议的背景下,中国积极参与《新加坡公约》和《执行公约》,表现了中国参与国际商事争议规则制定和全球治理的积极姿态和自信,也为未来参与打造调解、仲裁和诉讼多元化的国际商事争议解决机制创造了更大的空间,为中国海外投资的争议解决提供了法律保障。

Footnotes

1《商务部对外投资和经济合作司负责人谈2019年1-7月我国对外投资合作有关情况》,载于http://www.mofcom.gov.cn/article/ae/sjjd/201908/20190802890962.shtml,最后一次浏览于2019年8月23日。

2《联合国关于调解所产生的国际和解协议公约》,载于https://uncitral.un.org/sites/uncitral.un.org/files/media-documents/uncitral/zh/mediation_convention_c.pdf,最后一次浏览于2019年8月23日。

3 威科先行·法律信息库《新加坡调解公约知识信息库-国际商事调解机构》,载于http://lawv3.wkinfo.com.cn/topic/61000000673/5.HTML,最后一次浏览于2019年8月23日。

4 Expedited Procedure Under ICC, SIAC, and HKIAC Rules: Party Autonomy v. Institutional Control, 美国美迈斯律师事务所,载于https://www.omm.com/resources/alerts-and-publications/alerts/expedited-procedure-under-the-icc-siac-and-hkiac-rules/,最后一次浏览于2019年8月23日。

5 《2018国际仲裁调查》(The 2018 International Arbitration Survey),由英国伦敦玛丽王后大学(Queen Mary University of London)、美国伟凯律师事务所(White & Case)共同发布,载于http://www.arbitration.qmul.ac.uk/media/arbitration/docs/2018-International-Arbitration-Survey---The-Evolution-of-International-Arbitration-(2).PDF,最后一次浏览于2019年8月23日。

6 《承认与执行外国民商事判决公约》第二十八条第一款规定,"This Convention shall enter into force on the first day of the month following the expiration of the period during which a notification may be made in accordance with Article 29(2) with respect to the second State that has deposited its instrument of ratification, acceptance, approval or accession referred to in Article 24. ",可翻译为:《承认与执行外国民商事判决公约》自第二十四条所指的第二份批准书、接受书、核准书或者加入书根据第二十九条第二款交存之后三个月期间届满后的第一个月的第一天起生效。中文翻译部分参考何其生翻译的中文译文《20190702承认与执行外国民商事判决公约-中译文》。

7 《最高人民法院第一巡回法庭受理案件的有关规定》,载于http://www.court.gov.cn/xunhui1/xiangqing-97312.html,最后一次浏览于2019年8月23日。

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