美国《反海外贿赂法》中“反贿赂条款”法律问题研究

发布时间：2018-10-13 07:41

【摘要】： 随着各国之间商业交往的深入发展,跨国公司在商业活动中采取各种违法行为以获取商业利益,尤其通过贿赂外国官员、国际组织官员等人员来牟取利益的行为越来越严重。2008年的“贿赂门”事件震惊业界,最终以本案主角德国西门子公司向美国司法部和美国证券交易委员会支付了约8亿美金而和解结案。但是对于规制此次“贿赂门”事件的美国《反海外贿赂法》的执行力度追究和我国相关的法律研究才是刚刚开始。美国《反海外贿赂法》是世界上第一部规制本国人在境内＼境外从事贿赂行为以及外国人或机构在美国国内从事贿赂行为的法律。本法在美国有着重要的地位,而且近年来效力范围和惩治力度逐渐扩大和加强。其存在不仅为各国的反商业贿赂的相关立法提供了可供借鉴的蓝本,反映到我国的立法层面上,即不仅要追究外国公司对我国官员的行贿行为,同时也要追究我国公司对外国官员的行贿,这是各国司法主权的体现；而且对于赴美上市的我国企业来说,加强对本法的认识也是有必要的。因为中国国内并没有关于反商业贿赂的专门法律出台,传统的法律对于海外商业贿赂的规定存在盲点,国外的公司在商业活动可以利用法律漏洞达到商业利益,但是对于欲赴美上市的我国企业来说,必须遵守美国的相关法律。如果违反相关法律,不仅要受到美国监管部门的严厉处罚,而且有损中国企业的国际形象。因此,为了构建我国关于跨国商业贿赂的法律制度,打击我国日益严重的商业贿赂行为,规范我国企业跨国商业的运作,研究美国《反海外贿赂法》都是必要的和及时的。本文一共分为四章进行论述,共47585字(正文)。第一章主要论述了美国《反海外贿赂法》的基本法律制度。该章首先介绍了美国《反海外贿赂法》这部法律的基本含义及特征,历经三次的修订情况、主要条款概述以及关于这部法律执行趋严之态势。第二章主要论述了反贿赂条款的相关法律问题,从“反贿赂条款”的基本含义和特征入手,分析了该条款在1998年修订之后已遵从属人管辖为主,属地管辖为辅的管辖权原则,并肯定其域外效力的存在对跨国商业法律规制的积极作用；然后本章从法律层面对违反反贿赂条款的各个方面因素进行分析,以及对其特有的“加速费”条款以及“合理的费用”的认定,最后论述了反贿赂条款的法律责任规定。第三章主要论述了反贿赂条款的案例以及相关评析。本章是从构成影响“反贿赂条款”的重大要素并结合实际案例进行分析,分析的角度包括“管辖权”、“责任承担”、“外国官员资格认定”和“企业自愿披露”等方面。通过案例详细论述了反贿赂条款基本要素的适用以及实践中美国司法部或者美国证券交易委员会对于该条款的认定。美国《反海外贿赂法》的存在对于中国的相关反商业贿赂立法以及监管力度起到风向标的作用。第四章主要论述了反贿赂条款的法律影响及启示。首先美国的《反海外贿赂法》为国际社会反商业贿赂建立的标杆,为国际立法提供极大的借鉴,并且对相关国际立法起到了指导作用。其次本章论述了对于中国以及中国的企业引导了借鉴作用,中国不仅可以借鉴美国规制海外商业贿赂的模式,建立我国的反商业贿赂法律制度,而国内企业在开展商业活动时,可以遵守商业规则,规范商业行为,树立良好的国际形象。
[Abstract]:With the in-depth development of commercial relations among countries, transnational corporations take various illegal behaviors in commercial activities to gain commercial interests, especially by bribing foreign officials and officials of international organizations. "Bribery gate" The incident shocked the industry and eventually settled the case with the US Department of Justice and the U.S. Securities and Exchange Commission about $800 million. But for regulation, "Bribery gate" The implementation of the Anti-Overseas Bribery Act of the United States and the relevant legal research in our country have only just begun. The United States first introduces the basic meaning and characteristics of America's Anti-Overseas Bribery Act> The Law, which has been revised three times, the main clauses are summarized as well as about this. The state of law enforcement is strict. The second chapter mainly discusses anti-bribery provisions On the basis of the basic meaning and characteristics of Anti-Bribery Articles, this article analyzes the principle of jurisdiction over which the article has complied with the jurisdiction of the people and the subsidiary jurisdiction after the revision of 1998, and affirms the existence of its extraterritorial effect. An active role in the regulation of transnational commercial law; then this chapter examines the various parties that violate the provisions of anti-bribery from the legal level Surface factor is carried out Analysis, to and its unique "The determination of" acceleration fee "and" reasonable expenses", and finally, The legal liability rule of anti-bribery clause is stated in Chapter 3. The anti-bribery is mainly discussed. Case of Clause and Relevant analysis. This chapter is the major requirement to influence the Anti-Bribery Clause. in combination with solid interdecadal Case Study Analysis, The angle of analysis includes" jurisdiction right ".............................." Foreign. "The application of the basic elements of anti-bribery provisions and the practice of the United States Department of Justice are discussed in detail through the case. Or the U.S. Securities and Exchange Commission's determination of the clause. The existence of the United States' Anti-Overseas Bribery Act is a relevant counter-business for China Industry bribery legislation and supervision have played an important role. The fourth chapter mainly discusses the legal influence of anti-bribery provisions and its enlightenment. First, America's" anti-foreign bribery law" is the benchmark for the anti-commercial bribery of the international community, which is the international legislation. It provides a great reference, and plays a guiding role in relevant international legislation. Secondly, this chapter discusses the guiding role for enterprises in China and China. China can not only draw on the mode of American regulation of overseas commercial bribery, but also establish the legal system of anti-commercial bribery in China. Degree, while domestic enterprises are engaged in commercial activities, they may
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2009
【分类号】：D971.2

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