外商投资准入负面清单适用法律问题研究

发布时间：2018-05-03 23:11

本文选题：外资准入 + 负面清单　；参考：《山西财经大学》2017年硕士论文

【摘要】：负面清单作为一种规制国际投资市场准入的管理方式,被世界上大多数区域自由贸易协定和双多边投资协定谈判采用,已经逐渐演变成国际投资谈判和制定投资规则的新趋势。负面清单具体指的是,在国际投资活动中,一国将外商投资者禁止或限制投资的领域用清单的方式明确列举,除清单之外的领域外国投资者均可进行投资。负面清单其实是一般原则的例外,运用的是“除非是法律禁止的,否则是法律认可”的法律逻辑,依据的是“法无禁止即自由”的法理基础,负面清单管理模式是进一步提高投资自由化的表现。经济全球化快速发展加之欧美等国家和地区的推动,更高层次的区域自由贸易协定谈判以及双多边国际贸易投资谈判相继进行,我国传统的外资制度同国家高水准的投资规则不相融合。外资准入负面清单管理模式是国际高水准投资规则的一种体现。为适应全球经济和政治发展新趋势,中国于2013年建立了上海自贸试验区(以下简称上海自贸区),1同时颁布了2013版负面清单。我国外商投资领域采用负面清单制度是改变和创新之举,体现了深刻的理论内涵和现实意义。文章总共从五部分进行研究。第一部分是引言。内容包含文章研究的背景和意义,研究方法和内容,主要工作和创新,以及有关的国内外研究文献。第二部分为概述。阐述了负面清单的概念,负面清单与相关概念的区分,包括准入前国民待遇与负面清单、正面清单与负面清单、外商投资产业指导目录与负面清单,厘清了相关概念,并分析了负面清单管理模式依据的法理基础,为更好的理解负面清单做好铺垫。第三部分是负面清单在上海自贸区的适用。文章分析了上海自贸区选择适用负面清单模式的背景以及适用现状,对上海自贸区至今出版的三版负面清单文本进行了解读,指出了上海自贸区负面清单存在的立法体系不完善、形式上与国际标准接轨不够、内容上对服务业开放程度不足、透明度不高、配套制度不完善等问题。第四部分为负面清单的国际借鉴。分别从发达国家和发展中国家各选取有代表性国家的负面清单进行分析,总结其经验,为我国制定更完善的负面清单提供借鉴。第五部分为全面推行负面清单的思路与建议。通过前文所述,笔者对以上不足之处提出了完善建议,包含加快《外国投资法》的修订、提高负面清单透明度、文本设置对接国际标准、减少负面清单内容、完善我国外资安全审查制度体系。
[Abstract]:As a management method of regulating international investment market access, the negative list has been adopted by most of the free trade agreements and bilateral multilateral investment agreements in the world. It has gradually evolved into a new trend of international investment negotiations and investment rules. The negative list specifically means that in international investment activities, a country explicitly lists the areas in which foreign investors prohibit or restrict their investment, and foreign investors can invest in areas other than the list. The negative list is in fact an exception to the general principle. It applies the legal logic that "unless prohibited by law, it is recognized by law" and is based on the legal basis of "no prohibition of law means freedom". Negative list management model is to further improve the performance of investment liberalization. With the rapid development of economic globalization and the promotion of countries and regions such as Europe and the United States, higher level negotiations on regional free trade agreements and bilateral and multilateral international trade and investment negotiations have been carried out one after another. China's traditional foreign investment system and the country's high-level investment rules do not merge. The management mode of negative list of foreign capital entry is an embodiment of international high-standard investment rules. In order to adapt to the new trend of global economic and political development, China established the Shanghai Free Trade Test area in 2013 (hereinafter referred to as Shanghai Free Trade Zone) and issued a negative list of version 2013. It is a change and innovation to adopt the negative list system in the field of foreign investment in China, which embodies the profound theoretical connotation and practical significance. The article altogether carries on the research from five parts. The first part is the introduction. The content includes the background and significance of the research, research methods and contents, main work and innovation, as well as related domestic and foreign research literature. The second part is an overview. The concept of negative list, the distinction between negative list and related concepts, including pre-admission national treatment and negative list, positive list and negative list, industrial guidance catalogue and negative list for foreign investment are expounded. It also analyzes the legal basis of the negative list management model, and lays the groundwork for a better understanding of the negative list. The third part is the application of negative list in Shanghai Free Trade Zone. This paper analyzes the background and current situation of applying negative list model in Shanghai Free Trade area, and interprets the three versions of negative list text published by Shanghai Free Trade area so far. It is pointed out that the negative list of Shanghai Free Trade area is not perfect in legislation system, in form is not in line with international standards, in content is insufficient in opening to the service industry, transparency is not high, and the supporting system is not perfect. The fourth part is the international reference of negative list. This paper analyzes the negative list of representative countries from developed countries and developing countries, sums up their experiences, and provides reference for our country to make a better negative list. The fifth part is the overall implementation of the negative list of ideas and suggestions. Through the above mentioned, the author puts forward some suggestions to improve the above deficiencies, including speeding up the revision of the Foreign Investment Law, enhancing the transparency of the negative list, setting international standards for the text docking, and reducing the negative list content. We will improve our foreign investment security review system.
【学位授予单位】：山西财经大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.295

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