中国企业在美投资面临的国家安全审查问题研究

发布时间：2018-04-01 06:19

本文选题：安全审查　切入点：外资并购　出处：《上海师范大学》2015年硕士论文

【摘要】：仅仅了解美国的安全审查制度,对于中国企业而言是不够的,不同于既往的论文,本文将首先分析美国安全审查制度的缘起和运行方式与特点,再结合近年来中国企业在美国安全审查中所面临的实际问题,总结出中国企业在安全审查中主要出现的法律问题,并就此提出法律意见,以实践可行的方式为中国企业在外投资提供建议和法律的支持。虽然在学界和各国立法上,对于国家安全并没有一个统一的认识,但是在几个方面还是有一定的共识的。首先,在内容上,主要是原则性规范;第二,形式上具有多样性。其次,从领域上看,不仅仅是在公开领域中维护国家安全,隐蔽领域也是国家安全的一个重点。美国是最早将国家安全理论运用到外国投资领域的国家。在国家安全领域三权分立也发挥着同样的作用,其权力分别由总统、国会和法院分别行使和制衡。从美国的立法历史可以看出,对于国家安全的定义界定也是在不断发展变化中的。国家安全立法的变化实际上也是国会和总统之间的权力斗争的结果,也是投资贸易和国家安全之间平衡的结果。美国法律的通过和审查的重心是与时事相联系的。FINSA将国家安全审查的审查对象确定为使得在美国境内从事国际商业的美国企业被外国人控制企业或外国人收购、并购或控制的交易。埃克森-弗罗里奥修正案中,将审查应考虑的因素限定在五个方面,FINSA则将应当考虑的因素扩张到十一项。FINSA确定了国家安全审查属于行政审查性质。国家安全审查不能等到国家安全已经受到了实质的损害的时候才开始,这种审查的价值在于防患于未然。一些专家认为,外国政府会利用SWF的巨大金池来保护战略性财产,比如关键的自然资源或者国防科技。SWF的活动和一般的私人企业不一样,他会更多的考虑政治上的因素,因此可能会扭曲市场。中国企业在举证意识上还十分淡薄,这使得中国企业在美国国家安全审查上处于一个十分被动的位置。用和平和理性的方式解决问题,是中国企业走进外国投资市场一个重要的转变。选择对美国国家安全审查有深入研究的律师团队,通过他们适应美国的法律制度,养成法律习惯,尊重美国的法律。这对于希望进入美国投资市场的中国企业而言是首要的任务。美国国家安全审查的立法是适应着时事的变化而变化的,因此,中国企业在投资的过程中也应当注意时事的变化对投资可能造成的影响。国有企业稀释股权,扩大经营范围,尽早进行企业转型,淡化自身国有企业的形象是排除自身敏感背景最根本也是最有利的途径。在投资领域上,中国企业也应尽量避免军工或国防相关的企业或产品。
[Abstract]:It is not enough for Chinese enterprises to understand the security review system in the United States. Different from previous papers, this paper will first analyze the origin, operation mode and characteristics of the security review system in the United States. Combined with the practical problems faced by Chinese enterprises in the US security review in recent years, the main legal problems in the safety review of Chinese enterprises are summarized, and legal opinions are put forward in this regard. To provide advice and legal support for Chinese enterprises to invest abroad in practical and feasible ways. Although there is no unified understanding of national security in academic circles and in the legislation of various countries, there is still a certain consensus in several aspects. First of all, In terms of content, it is mainly a principled norm; second, it is diversified in form. Secondly, in terms of field, it is not just about safeguarding national security in the open sphere. The covert field is also an important part of national security. The United States was the first country to apply the theory of national security to the field of foreign investment. The separation of powers in the field of national security also played the same role. Congress and the courts exercise and balance each other. As can be seen from the legislative history of the United States, The definition of national security is also evolving. The changes in national security legislation are actually also the result of a power struggle between Congress and the President. It is also the result of a balance between investment trade and national security. The focus of the passage and review of United States laws is on current events. Finsa identifies the subject of national security censorship as one that allows international business to be conducted within the United States. American enterprises are controlled by foreigners or acquired by foreigners, A merger or acquisition or controlled transaction. In the Exxon Florio Amendment, By limiting the factors to be considered in five areas, FINSA expands the factors to be considered to 11. FINSA determines that national security review is an administrative review. National security review cannot wait until national security is already under review. It was only when the real damage began, The value of such a review lies in prevention. Some experts believe that foreign governments will use the huge gold pool of SWF to protect strategic assets, such as key natural resources or defense technology. SWF activities are different from those of private companies in general. He will take more political factors into account, and thus may distort the market. Chinese companies have a weak sense of proof. This puts Chinese enterprises in a very passive position in the US national security review. They solve the problem in a peaceful and rational way. It is an important change for Chinese enterprises to enter the foreign investment market. They choose a team of lawyers who have in-depth research into the US national security review, through which they can adapt to the legal system of the United States and develop legal habits. Respect for United States laws. This is a top priority for Chinese companies wishing to enter the U.S. investment market. National Security Review legislation in the United States changes in response to changes in current events. In the process of investment, Chinese enterprises should also pay attention to the possible impact of changes in current events on investment. State-owned enterprises should dilute their shares, expand their business scope, and carry out enterprise transformation as soon as possible. Desalinating the image of its state-owned enterprises is the most fundamental and beneficial way to exclude its sensitive background. In the field of investment, Chinese enterprises should also try to avoid military or defense related enterprises or products.
【学位授予单位】：上海师范大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D996

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