国际投资中的间接征收认定问题研究

发布时间：2018-04-05 12:13

本文选题：国际投资　切入点：间接征收　出处：《浙江财经大学》2017年硕士论文

【摘要】：20世纪90年代以来,间接征收逐渐被国际社会所关注,成为国际投资中的焦点问题之一。然而,到目前为止,作为间接征收核心的认定问题,无论在理论上还是在实践中均未形成统一、明确的标准。国际条约的相关规定并不一致,国际仲裁实践的判例界定也不统一。随着国际投资的飞速发展和中国经济水平的不断提高,我国的国际化参与程度日益提升。间接征收界定的不明确,不仅增加了我国政府实施管制措施时被诉为间接征收的可能性,也增加了我国海外投资者遭遇东道国间接征收的风险。因此,为了保障我国政府管制权的正当行使,同时兼顾我国的海外投资利益,有必要对间接征收的认定制度进行系统细致的研究。本文通过对间接征收认定的相关理论学说、国际条约以及仲裁实践的研究,尝试从平衡外国投资者私人利益与东道国公共利益的角度出发,提出较为合理的界定标准。同时,针对我国间接征收认定制度的现状和不足,从投资者的东道国和投资者的母国两个角度进行考量,提出相应的完善建议。围绕国际投资中的间接征收认定这一主题,本文首先从间接征收的概述出发,分析间接征收的定义、形式和目的,解读、探究间接征收的内涵和外延。间接征收是东道国为了保障国家经济主权和维护公共利益而实施的管制行为,主要表现形式有取消许可或批准、过度或任意征税、强制干涉企业的管理控制权、强制或禁止转让财产等。间接征收认定问题的关键在于,政府行为的影响与政府行为的性质之间的权衡。换句话说,也就是东道国政府的公权力和外国投资者的私权利之间的利益如何平衡的问题。因此,寻求两者之间的平衡点尤为重要。本文接着从传统理论、国际条约和仲裁判例的角度对间接征收的相关认定标准进行深入的研究。详细分析了纯粹效果标准、目的标准以及效果与目的兼顾标准和比例原则的内涵和具体适用,并总结其合理与不足之处。纯粹效果标准和目的标准背后是不同利益诉求之间的博弈,因此两个标准都存在过于片面的弊端,不利于投资争端的解决;效果与目的兼顾标准则较好地缓解了东道国和外国投资者之间的利益冲突,在承认国家正当管制权的同时,又明确东道国政府可以基于公共利益的目的干预外国投资者的权益;比例原则的引入,在一定程度上平衡了东道国和投资者之间的利益,具有可操作性,因此在实践中得到了广泛的适用。本文最后总结了我国关于间接征收认定制度的现状,通过分析国内法和双边投资协定中的相关规定来理清其存在的不足,主要表现为间接征收的概念界定不明确、公共利益的认定方法缺乏、间接征收的认定标准缺乏可操作性、公共目的例外条款不完善等。我国目前兼具资本输出国和资本输入国的双重身份,因此应当从投资母国和投资东道国两个角度进行综合考虑,使两方面的利益均衡化。在此基础之上,论文最后提出了我国关于间接征收制度相关法律规定的完善建议,为应对间接征收风险提供中国对策。
[Abstract]:Since 1990s, indirect expropriation has aroused the concern of the international community, become one of the focal issues in international investment. However, so far, as the core issue of identification of indirect expropriation, either in theory or in practice are not unified, clear standards. Is not consistent with the relevant provisions in international treaties, the practice of international arbitration. The case definition is not uniform. With the rapid development of international investment and China improvement of economic level, degree of internationalization of China's participation is increasing. The definition of indirect expropriation is not clear, not only increased the Chinese government to implement control measures for the possibility of alleged indirect expropriation, but also increase the risk of China's overseas investors indirectly encountered in the host country collection. Therefore, in order to protect the legitimate exercise of government control right, and at the same time, China's overseas investment interests, it is necessary to take a room Detailed study system recognition system. Through related theories on identification of indirect expropriation, study of international treaties and arbitration practice, try starting from the balance of foreign investors of private interests and public interest of host country's point of view, put forward a more reasonable definition standard. At the same time, in view of China's indirect expropriation cognizance system status and lack of. Considered from the two aspects of investors of the host country and the home country of the investor, put forward relevant suggestions on indirect expropriation in international investment as the theme, this article begins with an overview of the definition of indirect expropriation, indirect expropriation, interpretation and purpose, form, exploring the connotation and extension of indirect expropriation is the indirect expropriation. The host control behavior in order to protect national economic sovereignty and safeguard the public interests and the implementation of the main form of a cancel permission or approval, or excessive Any taxes, forced to intervene management control of enterprises, mandatory or prohibiting the transfer property. Indirect expropriation is the key, the trade-off between properties of government behavior and the government behavior. In other words, that is how to balance between the host government public power and private rights of foreign investors interests. Therefore and seek a balance between the two is particularly important. This paper from the traditional theory, in-depth research on the related standard of indirect expropriation in international treaties and arbitration case perspective. A detailed analysis of the pure effect standard, objective standard, effect and purpose of both content standards and the proportion principle and specific application, and summed up the reasonable and shortcomings. Behind the pure effect standard and objective standard is the game between the demands of different interests, so the two standards are too one-sided disadvantages, Is not conducive to solving investment disputes; effect and purpose of both standards better alleviate the conflict of interests between the host country and foreign investors, in recognition of the legitimate control right at the same time, it can clear the host government intervention in foreign investors to the public interest of the interests on the basis of introducing the principle of proportionality;, the balance between the host country and the interests of investors to a certain extent, the maneuverability, so it has been widely applied in practice. This paper finally summarized our country about the determination of indirect expropriation system present situation, through the analysis of the relevant provisions of the domestic law and bilateral investment agreements to sort out its shortcomings, mainly for the definition of indirect expropriation is not clear. The lack of determination method of public interest, the standard of indirect expropriation and lack of maneuverability, public purpose exception clause is not perfect. At present China has. The dual identity of exporting countries and capital importing countries, so it should be considered from two aspects of investment and investment in the host country, the balance of interests two aspects. On this basis, finally proposed our country about indirect expropriation system related law perfect, to provide China countermeasures to cope with the risk of indirect expropriation.

【学位授予单位】：浙江财经大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D996.4

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