可再生能源投资中东道国的监管权研究
发布时间：2018-03-17 16:41
本文选题：可再生能源 切入点：国际投资 出处：《山东大学》2017年硕士论文 论文类型：学位论文
【摘要】：进入21世纪以来,随着经济的增长,科技的进步,可持续发展理念的要求,可再生能源行业吸引了大量的投资。可再生能源成为国际投资发展的新兴领域之一,实践的发展需要理论知识的支撑,因此研究可再生能源国际投资法律问题是国家发展的现实要求。与常规能源相比,吸引外国投资者对可再生能源领域进行投资的往往是东道国提供的各种激励性措施,尤其是在税收、政策、法律制度上对可再生能源投资提供的各种优惠。但随着投资的做出,东道国基于各种原因行使监管权对可再生能源领域进行调整,这些措施一定程度上减损了投资者的利益,给其造成了损失,由此引发了关于东道国行使监管权问题的讨论。东道国监管权,是指东道国对其国内事务进行干预和监管的权利。联合国大会第3281号决议《各国经济权利和义务宪章》中规定国家有权"在本国的管辖权范围以内,对外国投资加以监管并行使权利"。对于东道国监管权问题的研究,在讨论到与投资者利益保护的博弈之时,国内多数文章依据国际投资条约中的保护投资的表述,认为应侧重保护投资者,但可再生能源投资作为一种关乎能源安全的投资,若也采用这种利益衡量标准可能会危及到国家利益,因此需要在可再生能源的投资保护和东道国的监管权之间进行利益平衡。本文将旨在通过分析Charanne诉西班牙案中涉及的部分问题,对可再生能源投资因东道国的立法、政策、税收等改变所引发的投资争端问题进行研究,并就公共利益和私人利益之间的平衡进行讨论,然后结合中国的实际情况提出建议。第一部分介绍可再生能源的投资情况及其法律框架,并介绍了学者们对东道国监管权概念的不同观点,结合实践中的案例尤其是Charanne诉西班牙案提出了可再生能源投资中国家的监管权问题。第二部分分析国家监管权与间接征收和公平与公正待遇之间的关系,并结合Charanne诉西班牙案进行相关研究,对间接征收的认定及公平与公正待遇的内容进行讨论,并对投资者的合理期待做出限定。第三部分探讨如何平衡东道国的监管权和投资者的投资保护权之间的利益冲突问题,主要从完善投资条约中的立法规定和仲裁程序以及要求投资者承担社会责任的角度进行分析,提出相应的建议,以求能在国家公共利益和投资者私人利益之间达成恰当的平衡。第四部分介绍了中国的可再生能源投资现状,并结合"一带一路"的背景,分析中国在可再生能源投资中应如何应对可能遭遇的国家监管权问题,主要从中国作为东道国和中国投资者两个角度进行分析,为维护国家主权和保护投资者的利益提出建议。
[Abstract]:Since 21th century, with the growth of economy, the progress of science and technology, and the requirement of the concept of sustainable development, the renewable energy industry has attracted a lot of investment. Renewable energy has become one of the emerging fields of international investment and development. The development of practice needs the support of theoretical knowledge. Therefore, it is a realistic requirement of national development to study the legal issues of international investment in renewable energy. Foreign investors are often attracted to investments in renewable energy by incentives offered by host countries, especially in tax, policy and legal systems. But with investment, The exercise of regulatory power by the host country in the area of renewable energy for a variety of reasons, which to some extent detracts from the interests of investors and results in losses, This has led to a discussion on the issue of the exercise of regulatory rights by host countries. The right of the host country to intervene in and regulate its domestic affairs. The Charter of Economic Rights and duties of States, contained in General Assembly resolution 3281 of the United Nations, provides that States have the right "within their jurisdiction", To regulate and exercise the right to foreign investment "... when discussing the game with the protection of the interests of investors in the study of the regulatory right of the host country, most of the domestic articles are based on the expression of the protection of investment in international investment treaties. Considering that emphasis should be placed on the protection of investors, but that investment in renewable energy as an investment in energy security may endanger national interests if such measures of interest are also applied, Therefore, it is necessary to balance the interests between the investment protection of renewable energy and the regulatory right of the host country. Research into investment disputes arising from changes such as taxation, and discussion of the balance between public and private interests, The first part introduces the investment situation of renewable energy and its legal framework, and introduces the different views of scholars on the concept of host country regulatory right. Combined with the practical case, especially Charanne v. Spain, this paper puts forward the issue of the regulatory power of the state in the investment of renewable energy. The second part analyzes the relationship between the national regulatory power and the indirect expropriation and fair and just treatment. In combination with Charanne v. Spain, this paper discusses the determination of indirect expropriation and the content of fair and just treatment. The third part discusses how to balance the conflict of interest between the host country's regulatory right and the investor's investment protection right. Mainly from the perspective of perfecting the legislative provisions and arbitration procedures in investment treaties and requiring investors to bear social responsibility, the paper puts forward corresponding suggestions. In order to strike an appropriate balance between the national public interest and the private interests of investors. Part 4th introduces the current situation of renewable energy investment in China, and combines the background of "Belt and Road". This paper analyzes how China should deal with the possible problems of state supervision in renewable energy investment, mainly from the perspectives of China as the host country and Chinese investors, and puts forward some suggestions for safeguarding national sovereignty and protecting the interests of investors.
【学位授予单位】：山东大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D996.4
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