外资准入负面清单法律制度研究

发布时间：2019-02-27 08:09

【摘要】：外资准入负面清单作为一种外国投资管理方式,在国际上得到广泛应用。外资准入负面清单用否定性列表的形式列出禁止外资进入的行业或领域,或对外资进入某些行业或领域进行限制。负面清单体现了私法自治,并为私法自治提供重要保障。负面清单亦体现了法的自由、秩序和效率价值。目前,许多国家在其签订的贸易或投资协定中规定了负面清单。国际组织、国际条约、发达国家和发展中国家的负面清单呈现出不同的特点。近年来,我国亦开始采用外资准入负面清单,陆续出台了一些与外资准入负面清单有关的规定。我国外资准入负面清单制度尚处于建立和完善阶段,仍存在诸多不足之处:负面清单对行业的限制不尽合理、负面清单的透明度和可预测性较低、行业分类标准不完善、准入后特别管理措施及监管规定不完善、与负面清单有关的法律法规不完善。为了更好地发挥外资准入负面清单的作用,应当合理规定负面清单的行业准入,如根据我国经济发展阶段和产业特点确定行业范围、对不同行业规定差别化的特别管理措施;提高负面清单的透明度和可预测性;完善负面清单行业分类标准,如增加联合国产品总分类标准;完善准入后特别管理措施及监管规定,如着重完善金融和文化产业准入后特别管理措施、实现监管主体多元化;完善与负面清单有关的法律制度,如推进与外资准入有关的行政体制改革、完善多元化投资争议解决方式。
[Abstract]:As a way of foreign investment management, the negative list of foreign investment access has been widely used in the world. The negative list of foreign capital entry lists the industries or areas prohibited from entering foreign capital in the form of a negative list, or restricts the entry of foreign capital into certain industries or areas. The negative list embodies the autonomy of private law and provides an important guarantee for the autonomy of private law. The negative list also embodies the value of freedom, order and efficiency of law. At present, many countries have established negative lists in their trade or investment agreements. The negative lists of international organizations, international treaties, developed and developing countries show different characteristics. In recent years, China also began to adopt the negative list of foreign capital access, and issued some regulations related to the negative list of foreign capital access. The system of negative list of foreign capital access in our country is still in the stage of establishment and perfection, and there are still many shortcomings: the restriction of negative list on industry is unreasonable, the transparency and predictability of negative list is low, and the classification standard of industry is not perfect. Post-entry special management measures and regulatory provisions are imperfect, laws and regulations related to negative lists are imperfect. In order to give full play to the role of the negative list of foreign capital access, we should reasonably stipulate the industry access of the negative list, such as determining the industry scope according to the stage of economic development and the characteristics of the industry in China, and prescribing special management measures for the differentiation of different industries; Improving transparency and predictability of negative lists; improving industry classification criteria for negative lists, such as the addition of the United Nations Central Product Classification Standard; Perfect post-entry special management measures and regulatory provisions, such as focusing on improving financial and cultural industries after access to special management measures, to achieve the diversification of the main body of supervision; Improve the legal system related to the negative list, such as advancing the administrative system reform related to the access of foreign capital, perfecting the diversified investment dispute resolution.
【学位授予单位】：烟台大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.295

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