論破産對國際商事仲裁裁决承認與執行的影響──以《紐約公約》第5條的適用為視角

On the Impact of Insolvency on the Recognition and Enforcement of International Commercial Arbitral A wards - From the Perspective of the Application of Article 5 of the New York Convention

在國際商事仲裁裁决承認與執行過程中若敗訴方破産，審查執行申請的法院兼為破産程序啓動國或承認國時，應在適用《紐約公約》第5條時考慮破産事實的存在。通過比較分析可知，各法域對此存在不同做法，但一般而言破産不輕易影響《紐約公約》第5條下破産方的行為能力和仲裁協議的效力，但是否影響破産爭議的可仲裁性和違背執行地的公共政策則因各國而異。並且，破産背景下裁决往往無法獲得單獨强制執行，而僅能以債權憑證效力通過債權申報方式與其他債權人一同獲得執行。我國司法實踐已涉及破産與國際商事仲裁裁决承認與執行的交叉問題但立法尚處於空白狀態。在疫情引發全球經濟危機導致高破産率的背景下，儘快明確與處理二者競合關係的原則與規則以指導司法實踐十分必要。

In the recognition and enforcement of an international commercial arbitral award, the fact of insolvency should be taken into account in the application of Article 5 New York Convention when the country of execution is also the State where the insolvency proceedings were commenced or the State of recognition. A comparative analysis shows that there are different approaches in various jurisdictions, but in general insolvency does not readily affect the capacity of the insolvent party and the validity of the arbitration agreement under Article 5 New York Convention, but whether it affects the arbitrability of insolvency disputes and public policy varies from country to country. Moreover, awards in the insolvency context are often not enforceable on their own, but only by way of claims filing with other creditors as a proof of claim. The intersection of insolvency and the recognition and enforcement of international commercial arbitral awards has been addressed in Chinese judicial practice, but the legislation is still in limbo. Against the background of the global economic crisis caused by the Covid-19 and the high rate of bankruptcy, it is necessary to clarify the principles and rules for dealing with the competing relationship between insolvency and arbitration as soon as possible in order to guide judicial practice.