中国外资准入中负面清单法律问题研究

发布时间：2018-03-23 05:37

本文选题：投资准入　切入点：准入前国民待遇　出处：《郑州大学》2017年硕士论文　论文类型：学位论文

【摘要】：近年来,随着美国和欧盟等发达国家的推广,实行准入前国民待遇并引入负面清单管理模式成为了国际投资领域新型的投资规则,其旨在提高贸易自由化,加强经贸合作。在与投资相关的国际条约中,投资准入条款是非常重要的协调主权国权利和义务的条款,即在WTO体制下,东道国赋有开放投资的义务,但作为主权国,对外资的进入进行监管是其应有的权利。面对越来越多的国家开始采纳负面清单的管理模式和开放本国市场吸引外资的大趋势,我国也在自贸区积极地试验推广负面清单。目前,中美BIT谈判已经进入到了实质性谈判阶段,该阶段已经确定了以准入前国民待遇与负面清单模式为谈判基础,上海、广东、福建和天津自贸区对负面清单的实践经验将有利于我国在谈判中取得有益的成果。但采取负面清单管理模式需要东道国提供良好的市场基础、经济基础和与之相配套的完善的法律体系提供保障,目前我国面临的主要问题既不是市场潜力不足,也不是经济发展水平不够,而是相配套的基础设施和法律体系存在问题。虽然我国极度需要深化改革体制、放活市场,但盲目的扩大市场的开放程度不仅不会为经济增添活跃因素,反而会增加市场混乱可能性。论文共分为四章,第一章主要探讨的是负面清单的基础理论,包括负面清单的含义、起源、特征、内容,同时还对负面清单和正面清单进行了比较,在这一章的最后对负面清单基本理论进行了客观评价。第二章主要探讨了中国适用负面清单的必要性。对负面清单在国际上的适用趋势,负面清单对我国经济发展的重要作用,以及当前BIT谈判的驱动等方面开展了具体的论述。第三章和第四章分析了负面清单管理模式在中国现阶段发展的相关情况,并对其中暴露出的问题进行了剖析和展望。具体说来,在第三章阐述了负面清单在中国适用的现状,对我国与负面清单相关的法律制度进行了介绍和分析,梳理了我国自贸区适用负面清单的实践,并针对新增的七大自贸区总体方案进行了评析;在第四章从整体上对负面清单特别是上海自贸区这四年来对负面清单的实施情况、效果和存在的问题进行了客观分析,在最后一部分中针对这些问题提出了需要完善的建议。
[Abstract]:In recent years, with the promotion of developed countries such as the United States and the European Union, the introduction of pre-entry national treatment and the introduction of a negative list management model have become new investment rules in the field of international investment, which aims to enhance trade liberalization. Strengthening economic and trade cooperation. In international treaties related to investment, investment access provisions are very important provisions that coordinate the rights and obligations of sovereign states. That is, under the WTO system, the host country has the obligation to open up investment, but as a sovereign state, It is their right to regulate the entry of foreign capital. In the face of a growing number of countries adopting a negative list management model and opening up their markets to attract foreign investment, China is also actively testing and promoting negative lists in the Free Trade area. At present, the Sino-US BIT negotiations have entered the stage of substantive negotiations, which has established the model of pre-entry national treatment and negative list as the basis for negotiations, Shanghai, Guangdong, The practical experience of Fujian and Tianjin Free Trade area on negative list will be helpful for China to obtain beneficial results in the negotiation. However, the adoption of negative list management model requires the host country to provide a good market foundation. The economic base and the corresponding perfect legal system provide protection. At present, the main problem facing our country is neither a lack of market potential nor an insufficient level of economic development. Although our country desperately needs to deepen the reform system and liberalize the market, the degree of blindly opening up the market will not add any active factors to the economy. This paper is divided into four chapters. The first chapter mainly discusses the basic theory of negative list, including the meaning, origin, characteristics and content of negative list. At the same time, the negative list and the positive list were compared. At the end of this chapter, the author makes an objective evaluation of the basic theory of negative list. The second chapter mainly discusses the necessity of applying negative list in China, the trend of application of negative list in the international community, and the important role of negative list in China's economic development. The third and fourth chapters analyze the development of the negative list management mode in China at the present stage. In the third chapter, the application of negative list in China is described, and the legal system related to negative list is introduced and analyzed. Combing the practice of applying the negative list in China's free trade area, and evaluating the overall plan of the seven newly added free trade zones; in the fourth chapter, the implementation of the negative list, especially the negative list in Shanghai Free Trade area, in the past four years, The effect and existing problems are analyzed objectively, and some suggestions are put forward in the last part.
【学位授予单位】：郑州大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.295

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