第三方資助國際投資仲裁費用擔保的必要性標準研究

A Study on the Necessity Criteria of Security for Costs for Third-Party Funding in International Investment Arbitration

第三方資助在國際投資仲裁領域的適用一方面為處於經濟困境的申請人提供了獲得公正救濟的機會，另一方面也可能導致申請人的濫訴而損害被申請人利益。投資仲裁庭適時作出費用擔保令可在一定程度上抑制騷擾性主張的提起。目前仲裁庭對第三方資助是否滿足費用擔保的必要性標準尚未達成一致。大多數仲裁庭通常認為第三方資助不構成仲裁庭作出費用擔保令的必要性標準，被申請人可能面臨著勝訴時無法獲得費用補償的風險。為了緩解日益頻繁的第三方資助給被申請人和仲裁程序帶來的衝擊，Armas案仲裁庭對傳統標準設置了例外，放寬了費用擔保的必要性標準，通過證明責任倒置和資助協議的有限披露來保護被申請人的利益，切實維護爭端雙方間的利益平衡。 The application of third-party funding in the field of international investment arbitration provides impecunious applicants with opportunities to obtain access to justice. On the other hand, it may also lead to abuses by applicants and damage the interests of the respondents. The tribunals make security for costs orders timely may suppress frivolous claims to a certain extent. At present, arbitral tribunals have not reached an agreement on whether third-party funding meets the necessity criteria of security for costs. Most tribunals generally consider that third-party funding does not constitute the necessity criteria for tribunals to make security for costs orders, and the respondents may face risks of not being able to get fee compensations when winning the cases. In order to alleviate the impact of the increasingly frequent third-party funding on the respondents and the arbitral proceedings, tribunals of Armas cases have set exceptions in addition to the traditional necessity criteria by reversal of burden of proof and limited disclosure of funding agreements, so as to protect the interests of the respondents and safeguard the balance of interests between the parties to the disputes effectively.