外资并购国家安全审查法律制度研究

发布时间：2018-02-26 14:25

本文关键词： 国家安全外资并购安全审查审查标准审查程序　出处：《华东政法大学》2009年硕士论文　论文类型：学位论文

【摘要】： 本文以外资并购国家安全审查法律制度作为研究对象,从比较法的角度对美国和日本外资并购国家安全审查法律制度的经验进行分析和研究。同时,本文在深度分析国家安全审查法律制度基本理论的基础上,对美国的安全审查实践及我国外资并购国家安全审查法律制度进行了必要性分析和实证分析,进而提出借鉴国外安全审查经验,完善我国外资并购国家安全审查法律制度的建议。按照论述的逻辑体系,本文共分四章,主要内容如下: 第一章主要阐释了国家安全的界定、主要内容以及理论基础。笔者以横向比较的方法考察西方主要发达国家对国家安全的界定,得出各国对于国家安全还没有明确且权威的界定。基于此方面的缺失,笔者尝试以国家安全的主要内容来间接界定国家安全。为了进一步深入研究,本章进而阐释和分析了国家安全的理论基础,即国家主权理论和公共利益理论。第二章从理论和实务的角度对外资并购国家安全审查法律制度进行了必要性分析和实证分析。对美国安全审查法律制度的分析,既有经验性介绍又有实证探讨。在对外资并购在我国发展的现状和趋势的分析中,笔者认为,外资并购具有对我国造成潜在威胁的可能性。以此为逻辑起点,本章分析了外资并购威胁我国国家安全的路径。同时,笔者从实证的角度对外资并购威胁我国国家安全的情势进行了研究。第三章主要从比较法的角度分别对美国和日本的外资并购国家安全审查法律制度进行了研究。在对美国和日本外资并购国家安全审查法律制度的分析中,笔者紧密跟踪最新理论成果和最新立法状况,进而得出自己的理解和启示。其中,对美国安全审查的研究主要以FINSA及其实施细则的出台为研究背景,深入探讨了立法的演进、安全审查模式、审查标准以及审查程序等;而对日本外资并购国家安全审查的探讨,始终以其产业政策为分析主线。通过上述的比较研究,期望对完善我国的外资并购国家安全审查法律制度有所启发。第四章以前文为基础,提出完善我国外资并购国家安全审查法律制度的建议。笔者全方位、多角度地分析了我国目前外资并购国家安全审查的相关规定及问题。在对国家安全审查相关规定的历史脉络把握中,提出我国外资并购国家安全审查法律制度存在着缺位。尽管《中华人民共和国反垄断法》第31条将国家安全审查上升到法律层面,由于其原则性和抽象性直接导致难以执行。我国在具体实施外资并购国家安全审查时,仍需完善相关的法律规定。笔者认为,结合我国的实际以及借鉴其它国家的经验,目前较为可行的是由国务院以《中华人民共和国反垄断法》第31条为依据,配套制定《中华人民共和国外资并购国家安全审查条例》。同时,笔者也对完善我国外资并购国家安全审查法律制度的具体内容提出了完善建议。
[Abstract]:This paper takes the legal system of national security review of foreign capital M & A as the object of study, analyzes and studies the experience of the legal system of national security review of foreign capital mergers and acquisitions in the United States and Japan from the perspective of comparative law. At the same time, Based on the deep analysis of the basic theory of the national security review system, this paper makes an analysis of the necessity and empirical analysis of the security review practice in the United States and the legal system of the national security review of foreign capital mergers and acquisitions in China. And then put forward some suggestions to perfect the legal system of national security review of foreign capital M & A. according to the logic system, this paper is divided into four chapters, the main contents are as follows:. The first chapter mainly explains the definition, main content and theoretical basis of national security. It is concluded that there is no clear and authoritative definition of national security in various countries. Based on the lack of this aspect, the author attempts to indirectly define national security by the main content of national security. This chapter then explains and analyzes the theoretical basis of national security, namely, national sovereignty theory and public interest theory. The second chapter analyzes the necessity and empirical analysis of the legal system of national security review of foreign mergers and acquisitions from the perspective of theory and practice, and analyzes the legal system of security review in the United States. In the analysis of the present situation and trend of foreign capital mergers and acquisitions in China, the author thinks that foreign capital mergers and acquisitions have the possibility of posing a potential threat to our country. This chapter analyzes the path of foreign M & A threatening China's national security. At the same time, the author studies the situation of foreign M & A threatening China's national security from an empirical point of view. The third chapter mainly studies the legal system of national security review of foreign capital mergers and acquisitions in the United States and Japan from the perspective of comparative law. In the analysis of the legal system of national security review of foreign capital mergers and acquisitions in the United States and Japan, The author closely tracks the latest theoretical achievements and the latest legislative situation, and then draws his own understanding and enlightenment. Among them, the research on American security audit mainly takes the introduction of FINSA and its implementing rules as the research background, and probes into the evolution of the legislation deeply. The mode, standard and procedure of security review, and the discussion of national security review of foreign capital M & A in Japan is always based on its industrial policy. It is expected to be enlightening to perfect the legal system of national security review of foreign M & A in China. Based on the previous articles in Chapter 4th, the author puts forward some suggestions for perfecting the legal system of national security review of foreign M & A in China. This paper analyzes the relevant regulations and problems of the national security review of foreign capital mergers and acquisitions in China from many angles. In the historical context of the relevant provisions of the national security review, The article 31 of the Anti-monopoly Law of the people's Republic of China raises the national security review to the legal level. Because of its principle and abstractness, it is difficult to carry out. When our country carries out the national security review of foreign capital merger and acquisition, we still need to perfect the relevant laws and regulations. The author thinks, combining the reality of our country and drawing lessons from the experience of other countries, At present, it is more feasible for the State Council, based on Article 31 of the Anti-Monopoly Law of the people's Republic of China, to formulate the regulations of the people's Republic of China on the State Security Review of Foreign Capital mergers and acquisitions. At the same time, The author also puts forward some suggestions to perfect the legal system of national security review of foreign M & A in China.
【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】：D922.294

【引证文献】