國際投資仲裁中自然人雙重國籍認定問題研究——以“真實聯繫測試”的適用為視角

Research on the Identification of Dual Nationality of Natural Persons in International Investment Arbitration: From the Perspective of Genuine Link Test

國際投資協定普遍將自然人擁有締約國國籍確定為判斷投資者適格的關鍵，但這種寬泛定義卻不足以解決雙重國籍興起引發的認定問題。真實聯繫測試作為傳統外交保護領域的習慣國際法規則，其能否適用於國際投資仲裁領域往往是爭端雙方在管轄權方面的爭論焦點。考慮到國際投資仲裁與外交保護在性質和目的上的顯著差異，將真實聯繫測試直接移植適用於國際投資仲裁並不明智。更為恰當的方法應該是，區分自然人是否擁有東道國國籍，在尊重國際投資協定明確規定的基礎上，輔之適用善意原則及禁止權利濫用原則，以此防範自然人將國籍國訴至國際仲裁或者惡意條約挑選的行為，這也是我國應對自然人雙重國籍問題的可行思路。

International investment agreements commonly regard the nationality of natural persons as the pivotal criterion for determining qualified investors, but this broad definition is insufficient to address the identification issues stemming from the emergence of dual nationality. As a customary international law in diplomatic protection, whether the genuine link test can be applied in international investment arbitration has often become the focal point of dispute between the disputing parties concerning jurisdictional matters. Given the significant disparities in nature and purpose between international investment arbitration and diplomatic protection, it would be unwise to transplant the genuine link test to international investment arbitration directly. A more appropriate approach should be to distinguish whether a natural person possesses the nationality of the host state and, based on complying with the explicit provisions of international investment agreements, supplemented by applying the principle of good faith and prohibition of abuse of rights. This approach can prevent natural persons from submitting their home state to international arbitration or engaging in bad faith treaty shopping, which also presents a feasible way for China to address the issue of dual nationality among natural persons.