外国投资的国家安全审查法律制度研究

发布时间：2018-03-13 13:25

  本文选题：外国投资　切入点：外国投资管理　出处：《吉林大学》2017年博士论文　论文类型：学位论文

【摘要】：本文以外国投资国家安全审查法律制度为研究对象,以国际投资规则由新自由主义向内嵌式自由主义范式发展为背景,以越来越具有资本输入大国与资本输出大国双重混同身份的我国国情为基础,以我国正在试行并逐步推广的准入前国民待遇加负面清单外国投资管理模式为重心,综合运用国际经济学、国际政治学、立法学、法解释学和比较法学的知识和方法,提出和论证了在经济全球化和投资自由化、便利化和透明化以及由此所带来的外国投资管理制度发生根本性变革的趋势下,建立和完善我国外国投资国家安全审查法律制度的必然性、正当性和应然性。本文以我国即将实行的准入前国民待遇加负面清单外国投资管理模式为出发点和落脚点,厘清了外国投资国家安全审查法律制度的基本概念——外国投资、安全、国家安全等,明确了外国投资国家安全审查法律制度的基本问题——外国投资对国家安全的影响,以及对外国投资国家安全审查的必要性和法治化,论述了外国投资国家安全审查法律制度的基础理论——国家主权理论、国家干预理论、国家利益理论和新国家安全理论等,论析了与外国投资国家安全审查法律制度相关的法律制度——外国投资准入审查制度、反垄断审查制度和国家安全审查法律制度之间的关系;概括了外国投资国家安全审查制度的基本特征;梳理了我国外国投资国家安全审查(法律)制度的发展历程——经历了从无到有、从附属到独立、从片面到全面三个过程,以及独立的外国投资国家安全审查法律制度建立前阶段、建立阶段和试验及方向选择三个阶段,并指出了其不足——“国家安全”等相关概念模糊而混乱,外国投资准入审查与反垄断审查、外国投资国家安全审查三者权责不清,以及目前《关于建立外国投资者并购境内企业安全审查制度的通知》、《自贸试验区外商投资国家安全审查试行办法》、《外国投资法》(草案征求意见稿)等我国外国投资国家安全审查法律制度存在的不足和问题。总结借鉴了美国、加拿大、澳大利亚、德国、英国、法国等外国投资国家安全审查法律制度的先进经验,结合中国国情以及我国外国投资国家安全审查制度存在的上述不足和问题,就完善我国外国投资国家安全审查法律制度最核心的四个方面——审查对象、审查标准、审查机构、审查程序提出了具体的立法建议:在审查对象上要强调实际控制,以控制效果来确定“外国投资”的范围;在审查标准上应坚持模糊化和确定性的平衡,并体现我国的国情;在审查机构上主张由商务部牵头,多部门联合,合理分工,权责分明;在审查程序上应体现效率性和审查抑制主义,并建立适当的权利救济制度和权力监督制度。这些立法建议旨在建立与准入前国民待遇加负面清单管理模式相适应的我国外国投资国家安全审查法律制度。本文可预期的创新之处在于:一是在研究视野上,始终将外国投资国家安全审查法律制度置于国际、国内两种环境和背景影响之下,使我国的外国投资国家安全审查法律制度既借鉴国际,又立足国内,既与国际接轨,但又有中国特色;一是在研究重点上,立足于我国外国投资管理制度的大范畴之下,厘清了外国投资准入审查、反垄断审查和国家安全审查的功能区分,并试图建立三者之间的协调配合,而这正是我国现有国家安全审查法律制度最为缺乏的;一是在研究理念上,本文坚持内嵌式自由主义范式,认为外国投资国家安全审查法律制度的构建,应坚持投资自由与国家安全之间的平衡,坚持“去政治化”,反对宽泛化,恪守审慎审查,力求“备而少用”;一是对《自贸试验区外商投资国家安全审查试行办法》和《外国投资法》(草案征求意见稿)等最新法律法规和立法动向进行了评析,保证了研究的前沿性和新颖性,旨在为我国正在建构和完善的外国投资国家安全审查法律制度提供充分的理论依据和新进的解决方案。
[Abstract]:In this paper, the foreign investment legal system of national safety review as the research object, the international investment rules by new liberalism to embedded liberalism paradigm development as the background, with more and more capital input power and output power with the double identity of capital in China based on the national conditions, China is trying to access and gradually promote the national front treatment with a negative list of foreign investment management center, the integrated use of international economics, international politics, legislation, knowledge and method of Hermeneutics and comparative law, put forward and demonstrated in economic globalization and investment liberalization and facilitation and transparency and the foreign investment management system fundamentally. Under the trend, the necessity of establishing and perfecting our country's foreign investment legal system of national safety review, legitimacy and necessity. Based on China's practice The access to national treatment plus the negative list of foreign investment management mode as the starting point and goal, to clarify the basic concepts of foreign investment legal system of national safety review of foreign investment, security, national security, and clarifies the basic foreign investment foreign investment legal system of national safety review of the impact on national security, as well as for foreign investment the national security review of the necessity and the rule of law, discusses the basic theory of national sovereignty theory of foreign investment in national security review of the legal system, the theory of state intervention, the theory of national interests and the new national security theory, on the analysis of the foreign investment and national security review of the related legal system, the legal system of market access of foreign investment review system, relationship between the anti-monopoly review system and the legal system of national safety review; summarizes the foreign investment and national security review system The basic characteristics; combing the national security review of foreign investment in China (Law) the development process of the system -- experience from scratch, from independent to affiliated, three process from unilateral to comprehensive, independent and foreign investment legal system of national safety review before the establishment phase, the establishment phase and direction selection test and three stages, and pointed out the deficiency of "national security" and other related concepts are fuzzy and chaos, foreign investment access review and antitrust review, foreign investment and national security review of the three responsibilities unclear, and the "on the establishment of a domestic enterprise security review system for mergers and acquisitions of foreign investors notice", "foreign investment in the FTA test area of national security review trial measures > < >, the foreign investment law (Draft), national security review of foreign investment in China's legal system deficiencies and problems. Summarizes the United States, Canada In Australia, Germany, Britain, France and other countries the advanced experience of foreign investment security review of the legal system, combined with the above shortcomings and problems Chinese conditions and China foreign investment national security review system, to perfect the law system is the core of national security review of foreign investment law in China in four aspects: subject to review, review standard review, review procedures, put forward specific legislative proposals: in the review object to emphasize the actual control, to determine the scope of "foreign investment" to control effect; should adhere to the defuzzification and deterministic equilibrium in the standard of review, and reflect the situation of our country; in the review mechanism that led by the Ministry of Commerce. Multi sectoral joint, rational division of work and responsibilities; the review process should reflect the efficiency and inhibit the review doctrine, and the establishment of appropriate relief system and supervision system. These stand That aims to establish legal system of national security review of foreign investment in our country to adapt and access to national treatment and negative inventory management mode. The expected innovation lies in: one is in the research field, and always will be the foreign investment legal system of national safety review on international, under the influence of two kinds of domestic environment and background. The legal system of foreign investment in the National Security Review on international and domestic, both with international standards, but also has the characteristics of Chinese; one is in focus, under the category based on China's foreign investment management system, clarify the market access of foreign investment review, antitrust review and national security review the functional distinction, and tries to establish coordination between the three, which is China's existing legal system of national safety review is lacking; one is in the study of philosophy, this paper insists in The embedded liberalism paradigm, that the construction of foreign investment legal system of national safety review, should adhere to the investment between freedom and national security balance, adhere to the "political", against the broad, with careful examination, to prepare and use less "; one is the" free trade test area of foreign investment and national security review the trial measures > > and < the foreign investment law (Draft) and other new laws and regulations and legislative trends of the frontier research and novel, in order to provide sufficient theoretical basis and new legal system for foreign investment in China's national security review is to construct and perfect the solution.

【学位授予单位】：吉林大学
【学位级别】：博士
【学位授予年份】：2017
【分类号】：D922.295
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本文编号：1606572