论跨国商业贿赂的法律规制
发布时间：2018-09-05 18:23
【摘要】： 当经济全球化逐渐成为世界各国不得不面对的客观现实的同时,商业贿赂也逐渐跨越国界,发展成为全球性事物。跨国公司等主体在世界市场的竞争中大量进行商业贿赂行为以获得竞争优势,以致于严重破坏国际市场的公平竞争秩序。为此,国际商事交易中的商业贿赂被作为全球化背景下的新问题被提出来。这种国际商事交易中的商业贿赂行为,被称之为“海外腐败”、“海外贿赂”或者是“跨国商业贿赂”。本文为突出其商业目的性,将其称之为“跨国商业贿赂”。跨国商业贿赂有广义和狭义之分。狭义的跨国商业贿赂强调的是私营部门对公营部门的商业贿赂。广义的跨国商业贿赂还包括私营部门之间的商业贿赂。本文主要是对狭义跨国商业贿赂的法律规制进行分析。跨国商业贿赂对于行贿公司东道国和母国均产生了不同程度的危害,是对正常、公平的全球市场竞争秩序的破坏。跨国商业贿赂的治理,法律规制是关键。目前,国际社会治理跨国商业贿赂的法律措施主要以专门性的贿赂供应方措施,并施以刑事制裁为主。 相对于跨国商业贿赂实践而言,跨国商业贿赂法律的形成和发展是滞后的。美国1977年《反海外腐败法》(简称“FCPA”)的制定标志着跨国商业贿赂法律的形成。美国《反海外腐败法》的制定使得美国公司丧失了大量的海外市场和国际竞争优势。美国在其政治经济利益的驱动下,极力在多边层面推行跨国商业贿赂法律。跨国商业贿赂法律的形成与发展史在某种意义上可以说是美国《反海外腐败法》及其国际化的历史。通过历史追寻,跨国商业贿赂法律的形成与发展的基本规律和特点亦得以阐明。为更好地打击跨国商业贿赂,跨国商业贿赂法律国际统一化运动在赋予跨国商业贿赂法律强大的域外管辖效力的同时,鼓励世界各国、各国与国际组织、各国际组织之间的协作。 跨国商业贿赂法律的国际统一化运动不仅是在美国政府的主导下推进的,同时跨国商业贿赂的国际公约多数是以美国《反海外腐败法》为蓝本制定的。因此,研究跨国商业贿赂行为的法律规制,离不开对美国《反海外腐败法》基本内容的阐明。《反海外腐败法》主要包括两大条款:一是反贿赂条款,二是簿记、记录和内部控制等会计条款。《反海外腐败法》主要由美国司法部和证监会负责执行。美国公司或自然人违反了《反海外腐败法》,将受到严厉的民事、行政甚至刑事制裁。为执行《经合组织公约》,1998年修订后的美国《反海外腐败法》以居民和地域管辖为基础的,即将其管辖权扩展为在美国境内从事行贿行为的外国公司和个人,以及在美国境外实施行贿行为的美国公司或个人。另外,在实践中,美国国会还主张FCPA的管辖应符合效果原则(海外的贿赂行为对美国的影响),以及合理原则(考虑其他国家利益和当事人的利益)等。由于外国子公司在跨国商业贿赂中所起的重要作用,跨国公司母公司对子公司的作为或不作为承担《反海外腐败法》下相应的法律责任。贿赂的文化道德性使得《反海外腐败法》不可避免地带有道德侵略性,但是《反海外腐败法》从贿赂供应方角度打击跨国商业贿赂,有利于建立和维护世界市场的公平竞争秩序。 美国推行其《反海外腐败法》国际化,最重要的成果当属《经合组织公约》以及后来的《联合国反腐败公约》。刑法措施是《经合组织公约》和《联合国反腐败公约》为治理跨国商业贿赂所确立的重要措施。但与《经合组织公约》不同的是,《联合国反腐败公约》不仅从主动行贿方即贿赂供应方层面对跨国商业贿赂行为进行打击,同时也从消极行贿即贿赂需求方层面规定了治理措施。治理跨国商业贿赂,离不开国际合作与协调。《经合组织公约》和《联合国反腐败公约》在引渡、司法协助等领域从国际刑法层面为跨国商业贿赂的法律治理提供了有效的国际合作与协调机制。同时,《联合国反腐败公约》有效地避免了域外管辖与国家主权的冲突,强调缔约国应当在国际法原则下实施跨国商业贿赂犯罪的域外管辖权。 美国在多边层面治理跨国商业贿赂的重要成果还体现在WTO中《政府采购协定》中透明度原则等规定,以及国际金融组织采取贿赂需求方措施治理跨国商业贿赂的努力。在国际经济法层面,需要澄清的法律问题包括跨国商业贿赂是否属于贸易壁垒问题,是否可以作为WTO多边框架下的合适议题进行谈判,跨国商业贿赂问题作为投资纪律、其与投资待遇的关系问题,以及跨国公司作为最主要的国际投资主体的责任承担问题。本文对这些问题进行了尝试性的分析与探讨。 尽管国际社会治理跨国商业贿赂尽了很大的努力,但其成效并不显著。FCPA的执行一直处于“弱势”。在FCPA的执行中,美国政府一直推行“守法计划”的贯彻。由于联邦量刑指南、司法部“托马斯备忘录”和证监会的“西伯耳报告”,特别是2002年萨班斯法案的出台,FCPA的执行效力逐步增强。《经合组织公约》由于其软弱的执行机制使得其成效同样并不理想。为加强公约的效力,有必要对其执行机制进行改革。《联合国反腐败公约》在很多方面实现了创新,但同时,私营部门的腐败问题并没有作为公约对缔约国作强制性要求。由于其生效时间较短,公约的执行效果还有待于缔约各国的实际执行。 跨国商业贿赂的治理,单依靠国家的刑事指控去阻止跨国商业贿赂行为的发生并不现实。赋予私营部门在反跨国商业贿赂行动中更为重要的角色非常有必要。今后私营部门可能主导全球反跨国商业贿赂行动。另外今后跨国商业贿赂法律可能朝着加强贿赂需求方措施,以及从禁止对公营部门的贿赂到既禁止公营部门的贿赂又禁止私营部门的贿赂等方向发展。 国际社会对跨国商业贿赂的法律治理对我国的影响和启示是深刻的。我国应当处理好美国《反海外腐败法》域外管辖和我国司法管辖的冲突。同时应当借鉴美国FCPA的执行机制,加强我国公司的自律性行为规则和内部治理责任。我国应当禁止外国公司对我国公职人员的行贿行为,同时也要禁止中国公司对外国公职人员的行贿,这不仅是对等原则的要求,同时也是司法主权的体现。为履行我国已签署的《联合国反腐败公约》义务,我国不仅应当履行公约规定的强制性履行要求;同时对于非强制性履行要求,可以立足于本国实际,并考虑与现行法律规范的协调问题。《联合国反腐败公约》对我国反跨国商业贿赂等腐败工作将产生良性的影响。 跨国公司主导着世界经济的全球化。中国是跨国公司全球战略布局的重要组成部分。由于中国经济市场化程度不高,公共资源稀缺并集中,中国反不正当竞争法等竞争法律不够完善等等,跨国公司在中国市场巨额利润的诱惑下,不顾其母国及我国的法律法规的违反,为获得竞争优势大肆对我国官员实施商业贿赂。我国应当借鉴国外商业贿赂法律制度经验,完善我国商业贿赂法律制度和执行机制,彻底打击跨国公司在我国的跨国商业贿赂行为。近年来,中国跨国公司的对外直接投资开始步入较快发展期。我国企业在海外存在着严重的跨国商业贿赂行为。在全球反腐败的倡议下,为维护我国跨国公司在全球市场的诚实经营行为,我国应当在建立海外投资促进法律法规的同时,借鉴美国《反海外腐败法》等法律的模式和规定,加快建设反海外商业贿赂法律制度。
[Abstract]:While economic globalization has gradually become an objective reality that countries all over the world have to face, commercial bribery has also gradually crossed national boundaries and developed into a global thing. For this reason, commercial bribery in international commercial transactions has been raised as a new problem under the background of globalization. This kind of commercial bribery in international commercial transactions is called "overseas corruption", "overseas bribery" or "transnational commercial bribery". This paper highlights its commercial purpose and calls it "transnational commercial bribery". Transnational commercial bribery can be divided into broad sense and narrow sense. The narrow sense of transnational commercial bribery emphasizes the commercial bribery of the private sector to the public sector. The broad sense of transnational commercial bribery also includes commercial bribery between the private sector. The host country and the home country of the corporation are harmful to the normal and fair global market competition order. The legal regulation is the key to the management of transnational commercial bribery.
Compared with the practice of transnational commercial bribery, the formation and development of transnational commercial bribery law is lagging behind. The enactment of FCPA in the United States in 1977 marked the formation of transnational commercial bribery law. The enactment of FCPA in the United States made American companies lose a large number of overseas markets and international competitive advantages. The United States, driven by its political and economic interests, has made great efforts to implement the law of transnational commercial bribery at a multilateral level. The formation and development of the law of transnational commercial bribery in a sense can be said to be the history of the United States Anti-Overseas Corruption Law and its internationalization. In order to combat transnational commercial bribery better, the movement of international unification of transnational commercial bribery law has given powerful extraterritorial jurisdiction to transnational commercial bribery law and encouraged the cooperation among countries, countries, international organizations and international organizations.
The movement of international unification of transnational commercial bribery laws is not only promoted under the guidance of the US government, but also the international conventions on transnational commercial bribery are mostly based on the United States Anti-Overseas Corruption Law. The Anti-Overseas Corruption Act includes two major provisions: one is anti-bribery, the other is bookkeeping, record keeping and internal control. In the implementation of the OECD Convention, the 1998 Amendment of the United States Anti-Overseas Corruption Act is based on residential and territorial jurisdiction, which extends its jurisdiction to foreign companies and individuals engaged in bribery within the United States and to American companies or individuals engaged in bribery outside the United States. In practice, the United States Congress also advocates that The jurisdiction of FCPA should conform to the principle of effectiveness (the effect of overseas bribery on the United States) and the principle of reasonableness (taking into account the interests of other countries and the interests of the parties concerned). The cultural morality of bribery makes the Anti-Overseas Corruption Law inevitably moral aggression, but the Anti-Overseas Corruption Law combats transnational commercial bribery from the perspective of bribery suppliers, which is conducive to establishing and maintaining a fair competition order in the world market.
The most important achievement of the internationalization of the United States'Anti-Corruption Act against Overseas Corruption is the OECD Convention and the subsequent United Nations Convention against Corruption. The Convention on Corruption not only cracks down on transnational commercial bribery at the level of active bribery suppliers, but also provides governance measures at the level of passive bribery, i.e. bribery demanders. International cooperation and coordination are indispensable for the control of transnational commercial bribery. At the same time, the United Nations Convention against Corruption effectively avoids the conflict between jurisdiction and state sovereignty, and stresses that the Contracting States should implement the extraterritorial jurisdiction of transnational commercial bribery crime under the principles of international law.
The important achievements of the United States in dealing with transnational commercial bribery at the multilateral level are also embodied in the provisions of transparency in the WTO Agreement on Government Procurement and the efforts of international financial organizations to take demand-side measures to deal with transnational commercial bribery. Whether trade barriers can be negotiated under the multilateral framework of WTO, transnational commercial bribery as an investment discipline, its relationship with investment treatment, and the responsibility of transnational corporations as the main body of international investment are also discussed in this paper.
Although the international community has made great efforts to tackle transnational commercial bribery, the results have not been significant. The implementation of the FCPA has been "weak." In the implementation of the FCPA, the U.S. government has been implementing the "law-abiding plan." Thanks to the Federal Sentencing guidelines, the "Thomas Memorandum" of the Justice Department and the "Siberian Report" of the Securities and Exchange Commission. The implementation of the FCPA is also not ideal because of its weak implementation mechanism. To strengthen the effectiveness of the convention, it is necessary to reform its implementation mechanism. has achieved innovation in many aspects, but at the same time, the private sector. The problem of corruption is not mandatory for the Contracting States as a convention. Because of its short time of entry into force, the implementation effect of the Convention still needs to be implemented by the contracting states.
It is unrealistic to rely solely on state criminal charges to prevent transnational commercial bribery. It is necessary to give the private sector a more important role in anti-transnational commercial bribery. In the future, the private sector may dominate global anti-transnational commercial bribery. In addition, the future transnational commercial bribery law The law may move in the direction of strengthening demand-side measures for bribery, from prohibiting bribery in the public sector to prohibiting both public and private sector bribery.
The international community's influence and Enlightenment to our country on the legal governance of transnational commercial bribery is profound.Our country should deal with the conflict between the extraterritorial jurisdiction of the United States and the judicial jurisdiction of our country.At the same time,we should draw lessons from the enforcement mechanism of the FCPA of the United States to strengthen the rules of self-discipline and internal governance responsibility of our company. It is not only a requirement of the principle of reciprocity, but also a manifestation of judicial sovereignty to prohibit bribery by foreign companies to Chinese public officials. In order to fulfill our obligations under the UN Convention against Corruption, China should not only fulfill the compulsory performance stipulated in the Convention. The United Nations Convention against Corruption will have a positive impact on China's anti-corruption work such as transnational commercial bribery.
Multinational corporations dominate the globalization of the world economy. China is an important part of the global strategic layout of multinational corporations. In order to gain competitive advantage, China should learn from foreign commercial bribery legal system experience, improve our commercial bribery legal system and enforcement mechanism, and thoroughly crack down on transnational commercial bribery of transnational corporations in China. In recent years, China's transnational corporations. Foreign direct investment (FDI) has entered a period of rapid development. Chinese enterprises have serious transnational commercial bribery overseas. Under the global anti-corruption initiative, in order to safeguard the honest operation of Chinese transnational corporations in the global market, China should establish laws and regulations to promote overseas investment, and draw lessons from the United States < Anti-corruption Abroad We should speed up the construction of anti overseas commercial bribery legal system.
【学位授予单位】：对外经济贸易大学
【学位级别】：博士
【学位授予年份】：2007
【分类号】：D922.294
本文编号：2225083
[Abstract]:While economic globalization has gradually become an objective reality that countries all over the world have to face, commercial bribery has also gradually crossed national boundaries and developed into a global thing. For this reason, commercial bribery in international commercial transactions has been raised as a new problem under the background of globalization. This kind of commercial bribery in international commercial transactions is called "overseas corruption", "overseas bribery" or "transnational commercial bribery". This paper highlights its commercial purpose and calls it "transnational commercial bribery". Transnational commercial bribery can be divided into broad sense and narrow sense. The narrow sense of transnational commercial bribery emphasizes the commercial bribery of the private sector to the public sector. The broad sense of transnational commercial bribery also includes commercial bribery between the private sector. The host country and the home country of the corporation are harmful to the normal and fair global market competition order. The legal regulation is the key to the management of transnational commercial bribery.
Compared with the practice of transnational commercial bribery, the formation and development of transnational commercial bribery law is lagging behind. The enactment of FCPA in the United States in 1977 marked the formation of transnational commercial bribery law. The enactment of FCPA in the United States made American companies lose a large number of overseas markets and international competitive advantages. The United States, driven by its political and economic interests, has made great efforts to implement the law of transnational commercial bribery at a multilateral level. The formation and development of the law of transnational commercial bribery in a sense can be said to be the history of the United States Anti-Overseas Corruption Law and its internationalization. In order to combat transnational commercial bribery better, the movement of international unification of transnational commercial bribery law has given powerful extraterritorial jurisdiction to transnational commercial bribery law and encouraged the cooperation among countries, countries, international organizations and international organizations.
The movement of international unification of transnational commercial bribery laws is not only promoted under the guidance of the US government, but also the international conventions on transnational commercial bribery are mostly based on the United States Anti-Overseas Corruption Law. The Anti-Overseas Corruption Act includes two major provisions: one is anti-bribery, the other is bookkeeping, record keeping and internal control. In the implementation of the OECD Convention, the 1998 Amendment of the United States Anti-Overseas Corruption Act is based on residential and territorial jurisdiction, which extends its jurisdiction to foreign companies and individuals engaged in bribery within the United States and to American companies or individuals engaged in bribery outside the United States. In practice, the United States Congress also advocates that The jurisdiction of FCPA should conform to the principle of effectiveness (the effect of overseas bribery on the United States) and the principle of reasonableness (taking into account the interests of other countries and the interests of the parties concerned). The cultural morality of bribery makes the Anti-Overseas Corruption Law inevitably moral aggression, but the Anti-Overseas Corruption Law combats transnational commercial bribery from the perspective of bribery suppliers, which is conducive to establishing and maintaining a fair competition order in the world market.
The most important achievement of the internationalization of the United States'Anti-Corruption Act against Overseas Corruption is the OECD Convention and the subsequent United Nations Convention against Corruption. The Convention on Corruption not only cracks down on transnational commercial bribery at the level of active bribery suppliers, but also provides governance measures at the level of passive bribery, i.e. bribery demanders. International cooperation and coordination are indispensable for the control of transnational commercial bribery. At the same time, the United Nations Convention against Corruption effectively avoids the conflict between jurisdiction and state sovereignty, and stresses that the Contracting States should implement the extraterritorial jurisdiction of transnational commercial bribery crime under the principles of international law.
The important achievements of the United States in dealing with transnational commercial bribery at the multilateral level are also embodied in the provisions of transparency in the WTO Agreement on Government Procurement and the efforts of international financial organizations to take demand-side measures to deal with transnational commercial bribery. Whether trade barriers can be negotiated under the multilateral framework of WTO, transnational commercial bribery as an investment discipline, its relationship with investment treatment, and the responsibility of transnational corporations as the main body of international investment are also discussed in this paper.
Although the international community has made great efforts to tackle transnational commercial bribery, the results have not been significant. The implementation of the FCPA has been "weak." In the implementation of the FCPA, the U.S. government has been implementing the "law-abiding plan." Thanks to the Federal Sentencing guidelines, the "Thomas Memorandum" of the Justice Department and the "Siberian Report" of the Securities and Exchange Commission. The implementation of the FCPA is also not ideal because of its weak implementation mechanism. To strengthen the effectiveness of the convention, it is necessary to reform its implementation mechanism.
It is unrealistic to rely solely on state criminal charges to prevent transnational commercial bribery. It is necessary to give the private sector a more important role in anti-transnational commercial bribery. In the future, the private sector may dominate global anti-transnational commercial bribery. In addition, the future transnational commercial bribery law The law may move in the direction of strengthening demand-side measures for bribery, from prohibiting bribery in the public sector to prohibiting both public and private sector bribery.
The international community's influence and Enlightenment to our country on the legal governance of transnational commercial bribery is profound.Our country should deal with the conflict between the extraterritorial jurisdiction of the United States and the judicial jurisdiction of our country.At the same time,we should draw lessons from the enforcement mechanism of the FCPA of the United States to strengthen the rules of self-discipline and internal governance responsibility of our company. It is not only a requirement of the principle of reciprocity, but also a manifestation of judicial sovereignty to prohibit bribery by foreign companies to Chinese public officials. In order to fulfill our obligations under the UN Convention against Corruption, China should not only fulfill the compulsory performance stipulated in the Convention. The United Nations Convention against Corruption will have a positive impact on China's anti-corruption work such as transnational commercial bribery.
Multinational corporations dominate the globalization of the world economy. China is an important part of the global strategic layout of multinational corporations. In order to gain competitive advantage, China should learn from foreign commercial bribery legal system experience, improve our commercial bribery legal system and enforcement mechanism, and thoroughly crack down on transnational commercial bribery of transnational corporations in China. In recent years, China's transnational corporations. Foreign direct investment (FDI) has entered a period of rapid development. Chinese enterprises have serious transnational commercial bribery overseas. Under the global anti-corruption initiative, in order to safeguard the honest operation of Chinese transnational corporations in the global market, China should establish laws and regulations to promote overseas investment, and draw lessons from the United States < Anti-corruption Abroad We should speed up the construction of anti overseas commercial bribery legal system.
【学位授予单位】：对外经济贸易大学
【学位级别】：博士
【学位授予年份】：2007
【分类号】：D922.294
【引证文献】
相关期刊论文 前1条
1 郑政武;;境内跨国商业贿赂问题研究[J];商场现代化;2008年19期
相关博士学位论文 前1条
1 张庆伟;美国政府对跨国公司的监管研究[D];山东大学;2011年
相关硕士学位论文 前6条
1 邹平;跨国商业贿赂犯罪的法律规制[D];吉林大学;2011年
2 薛涛;中国国有企业贿赂犯罪控制研究[D];新疆大学;2011年
3 朱静;美国《反海外腐败法》与中国反腐制度的发展[D];复旦大学;2011年
4 王晓楠;论商业贿赂刑法规制的理论基础[D];华东政法大学;2009年
5 阮雨清;中国企业海外投资中的反腐败法律问题研究[D];复旦大学;2012年
6 张鑫;美国反海外腐败法的解读与借鉴[D];复旦大学;2012年
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