经济行政法的域外效力

发布时间：2018-06-30 00:22

本文选题：域外效力 + 域外适用　；参考：《苏州大学》2007年博士论文

【摘要】： 法律空间效力可以分为域内效力和域外效力。前者是法律在颁布者权力所及范围内有效,后者则指法律的效力扩展至立法者管辖区域之外。如将“域”理解为“法域”,则中国大陆法律对港、澳、台行为的效力也是域外效力。经济行政法的域外效力包括两层含义:法律对域外的人、物、行为有拘束力;法律在域外被适用,即国内法的跨国执行。法律的域外效力(extraterritorial effect)有时又称域外管辖权。国际法上的管辖权是一国,相对于其他国家,所拥有的权力,它包括立法管辖权(jurisdiction toprescribe)、裁判管辖权(jurisdiction to adjudicate)和执法管辖权(jurisdiction toenforce)。经济行政法域外效力的特殊情形包括:(1)法律对南极、北极、公海和外空行为的效力。(2)条约对第三国的效力。(3)基于特殊安排所确立的域外效力。如享有外交特权的人只是免于东道国法律的管辖,并不能免于其本国法律的管辖,其本国法律对他们具有域外效力。在领事裁判权下,外国人的行为也得受其本国法律管辖,其本国法也具有域外效力。在域外效力问题上,存在着一个“不具域外效力的假设”(the presumptionagainst extraterritorial effects),即所有的法律原则上只具有域内效力。该假设存在以下例外:(1)清晰立法意图的例外;(2)不利后果的例外;(3)行为地点的例外。法律域外效力的建立方式有两种:法律的明确规定;法院在审判过程中的认定。经济行政法域外效力的大规模推行发生在二战以后,之所以如此是因为这一时期具备了推行法律域外效力的基础。经济的融合是其经济基础;全球环境污染和劳工标准下降是道德基础;对不同政策目标的追求是动力基础;一些国家的超强地位和强权政治的推行是政治基础;国际法上缺乏对法律域外效力的明确限制,同时提供了广泛管辖依据是法律基础。法律的域外效力与国际法上的管辖规则有关。在传统国际法上,管辖的依据有属地原则(territorial principle)和属人原则(nationality principle)。属人原则(nationality principle)是以国籍为基础行使管辖权。依据属人原则,国家有权对其国民在外国的行为实行管辖。国籍原则常被引用作为法律域外效力的依据。如美国对其国民自外国取得的收人征税。1927年的“荷花号”案(The Lotus Case)常被引用,作为法律域外效力的证据。该案确立了两项原则:(1)可以根据境外行为在境内的效果赋予法律域外效力;(2)不能根据国际法未明确规定就得出禁止权力行使的结论。属地原则被解释成包括客观(objective)属地原则和主观(subjective)属地原则。属人原则被解释成包括积极(positive)人格、消极(passive)人格和居民管辖权(resident jurisdiction)。这些解释大大扩展了经济行政法域外效力的依据。二战之后,又出现了一些新的原则,如影响原则、行为归属原则和实施原则。影响(效果)原则(the effects doctrine)是基于国外行为在国内的后果赋予法律域外效力。根据“单一经济体”(single economic entity)说,如果国内子公司依据外国母公司的指示和要求行事,则可以对外国母公司主张国内法的域外效力。依据实施检验说(implementation test doctrine),作为行为环节之一的实施行为在国内时,国内的经济行政法可以域外适用。一些域外效力的扩张富有争议,如基于产品、技术的来源地赋予法律域外效力;基于控制关系赋予法律域外效力,即外国的企业只要为本国控制,则可以赋予本国法律域外效力。普遍性管辖权(universal jurisdiction)原指对公认的国际罪行,任何国家可以管辖并适用其法律。该原则被用于推行基本劳动标准、金融管制(反恐)法律的域外效力。传统的保护性原则也成了域外效力的依据,它被用于推行出口管制法、本国利益保护法的域外效力。在不同部门法中,域外效力的情况是不同的。在竞争法领域,主要依赖影响原则、行为归属原则和实施原则;在环境法领域,则依据国籍原则和影响原则;在劳动法领域,依据普遍性原则和国籍原则;在证券法领域,依赖影响原则;在税收领域,则主要依赖居民身份;而在出口管制法领域,依赖的却是被规范者之国籍、相关货物及科技之原产地和控制关系。经济行政法域外效力的实现除了靠自觉遵守外,还得依靠强制执法,包括由立法国家的行政机关或法院执法和由他国行政机关或法院执法。立法国家针对自然人、法人的执法措施有冻结、扣押、中断经济往来、拒绝签证,针对其他国家的执法措施有取消贸易优惠、禁止进口和贸易报复。对经济行政法能否跨国执行看法不一。否定说提出的否定理由有:惩罚性法律只有域内效力;执行他国法律有损本国利益;违反主权理念、损害公共秩序;用公共秩序审查会激怒外国;外国税法复杂,跨国执法在技术层面不可行。肯定说则认为,国家之间应该携手合作,共同制止违反经济行政法的行为,指望从违反他国法律的行为中获益是不道德的,相互执行是一个对双方都有利的共赢的选择。一些条约和国内法规定,经济行政法可以跨国执行,如《国际货币基金组织协定》规定了外汇管制法的跨国执行,美国和法国、加拿大等签订的税收互助条约规定了税法的跨国执行。国际法学会(The Institute of International Law)在威士巴登(Wiesbaden)通过的决议也认为,经济行政法可以跨国执行。经济行政法跨国执行的方式有间接执行和直接执行,前者指外国执行本国的行政法判决,后者指外国直接适用本国经济行政法。一国经济行政法的域外效力会与他国法律的域内效力发生冲突。所引发的对抗有:对管制对象发出相冲突的命令;外交抗议;制定和实施对抗性的法律;禁止本国人参与外国的程序;政治、经济报复。在不同的领域,经济行政法冲突的激烈程度是不同的。法律冲突的本质是利益冲突。过度推行经济行政法域外效力构成对域外效力的滥用。这种滥用是未经允许利用他国资源,是表面正义掩盖下的政治操纵,它会导致双重标准和差别待遇。为了防止滥用,需要对域外效力进行限制,要求域外效力的推行不得违反国际法基本原则,不得违反条约义务,不得违反习惯国际法。经济行政法的域外效力有一些负面效果,如商业上和法律上的不确定性,扭曲贸易和投资,产生不合理的成本,并最终导致就业减少和经济增长放缓。单边的努力和国家之间的合作都能减缓负面效果。单边努力包括采用礼让原则(principle of comity)、合理原则(principle of reason)、国家行为原则(act of statedoctrine)、外国主权强制原则、不与东道国法律冲突原则和从严认定本国公共秩序原则。国际合作和协调是减少冲突的成功方法,具体包括双边协调和多变协调。国际组织制定的示范法对冲突的解决也发挥了重要作用。《关贸总协定》(GATT)本身没有明确规定经济行政法的域外效力,但它提出了一些要求,如不歧视、透明。《关贸总协定》第二十条囚犯产品的例外支持劳动法的域外效力。保护人类、动植物生命或健康措施的例外、保护可用尽自然资源措施的例外、保证与该协定不相抵触的法律得到遵守措施的例外等,常被引用,作为环境保护法律域外效力的依据。《关贸总协定》第二十一条关于安全的例外也常被引用,作为出口管制法律域外效力的依据。GATT/WTO的争端解决机制处理了一些涉及经济行政法域外效力的案例。新一轮贸易谈判更将环境、劳工标准和竞争法等列为新议题。如果谈判取得成功,则能减少法律域外效力冲突。中国是法律域外效力滥用行为的受害者。中国长期是一些国家贸易封锁的对象,中国澳门的汇业银行(BDA)受到了美国基于《爱国者法案》的制裁,中国也遭到了基于劳动法域外效力的指控。在国内法上,中国也适度推行了法律的域外效力,其出口管制法律、《个人所得税法》和2007年通过的《企业所得税法》、审议中的《反垄断法》(草案)等都规定了域外效力。中国也参与了一些国际协调。截至2007年3月30日,中国已经和82个国家签订了双边的税收协定,中国大陆还与澳门和香港特别行政区签订了税收安排,这些协议和安排有效减少了税收法律域外效力引起的冲突。中国还参与了一些竞争法领域的国际合作,1999年与哈萨克斯坦签订了《关于反不正当竞争与反垄断领域合作协定》。但在《证券法》、《环境保护法》方面尚需加入域外效力的条款。此外,中国协调效力冲突的国内法几乎是空白。为了对抗其他国家的滥用,中国也需要制定自己的对抗法。关于经济行政法域外效力的立法,中国还有许多工作可作。
[Abstract]:The validity of legal space can be divided into intra domain effect and extraterritorial effect. The former is the validity of law in the scope of the power of the enactment, and the latter means that the validity of the law extends beyond the jurisdiction of the legislator. If the "domain" is understood as a "legal domain", the effect of the Chinese mainland law on Hong Kong, Australia and Taiwan is also extraterritorial effect.
The extraterritorial effect of economic administrative law includes two meanings: the law has binding force on extraterritorial persons, objects and acts; and the law is applied outside the country, that is, the transnational execution of domestic law.
The extraterritorial effect of the law (extraterritorial effect) is sometimes referred to as extraterritorial jurisdiction. The jurisdiction of international law is a country, relative to other countries, which includes the power of the legislative jurisdiction (jurisdiction toprescribe), the jurisdiction of the referee (jurisdiction to adjudicate) and the jurisdiction of law enforcement (jurisdiction toenforce).
The special circumstances of extraterritorial effect of the economic administrative law include: (1) the effect of the law on the act of Antarctica, the Arctic, the high seas and outer space. (2) the effect of the Treaty on a third country. (3) the extraterritorial effect established on the basis of special arrangements. For example, the person enjoying diplomatic privileges is only exempt from the jurisdiction of the law of the host country and cannot be exempt from the jurisdiction of its domestic law, and its national law The law has the extraterritorial effect on them. Under consular jurisdiction, foreigners' behavior must also be governed by their own laws, and their national laws also have extraterritorial effects.
On the issue of extraterritorial effect, there is a "the presumptionagainst extraterritorial effects", that is, all legal principles only have intra domain effect. The hypothesis has the following exceptions: (1) exceptions to clear legislative intent; (2) exceptions to adverse consequences; (3) exceptions to the location of the act. There are two ways of establishing: the clear stipulation of the law; the cognizance of the court in the trial process.
The large-scale implementation of the extraterritorial effect of the economic administrative law occurred after the Second World War, which was the basis for the implementation of the extraterritorial effect of the law. The economic integration was the basis of its economic integration; the decline of the global environmental pollution and labor standards is the moral basis; the pursuit of different policy objectives is the motive foundation; the over of some countries The implementation of strong status and power politics is the political basis; international law lacks a clear restriction on the extraterritorial effect of the law, while providing a broad jurisdiction based on the legal basis.
The extraterritorial effect of the law is related to the rules of jurisdiction in international law. In traditional international law, the basis of jurisdiction is the principle of territoriality (territorial principle) and the principle of personal (nationality principle). The personal principle (nationality principle) is the exercise of jurisdiction on the basis of nationality. According to the principle of personal, the state has the right to be in a foreign country to its nationals. The principle of conduct is governed. The principle of nationality is often cited as the basis for the extraterritorial effect of the law. For example, the "The Lotus Case" in the.1927 year of the tax collection for its nationals from foreign countries is often cited as evidence of the extraterritorial effect of the law. The case establishes two principles: (1) it can be given in accordance with the effect of foreign acts in the territory of the country. The extraterritorial effect of law; (2) the conclusion that prohibition of power can not be exercised can not be obtained according to the provisions of international law.
The principle of territoriality is interpreted to include objective (objective) territoriality principles and subjective (subjective) territoriality principles. Human principles are interpreted to include positive (positive) personality, negative (passive) personality and resident jurisdiction (resident jurisdiction). These explanations greatly extend the basis of extraterritorial effects of economic administrative law.
After World War II, there are some new principles, such as the principle of influence, the principle of attribution and the principle of implementation. The the effects doctrine is based on the extraterritorial effect of the foreign behavior on the domestic consequences. According to the "single economic entity", if the domestic subsidiary is based on a foreign parent company. On the basis of the implementation inspection (implementation test doctrine), the domestic economic administrative law can be applied extraterritorial, according to the implementation test (doctrine).
The expansion of some extraterritorial effects is controversial, such as the extraterritorial effect of the law from the source of technology, based on the product, and the extraterritorial effect of the law based on the control relationship, that is, foreign enterprises can give the domestic law the extraterritorial effect of the domestic law as long as it is controlled by its own country.
The universal jurisdiction (universal jurisdiction), originally referred to as a recognized international crime, can be governed and applied by any state. This principle is applied to the implementation of the basic labour standards, the extraterritorial effect of the law of financial control (anti terrorism). The traditional protective principle has also been the basis of extraterritorial effectiveness, which is used in the implementation of export control law. The extraterritorial effect of the law of interest protection.
In the law of different departments, the situation of extraterritorial effect is different. In the field of competition law, it relies mainly on the principle of influence, the principle of attribution and the principle of implementation; in the field of environmental law, it is based on the principle of nationality and the principle of influence; in the field of labor law, according to the principle of universality and the principle of nationality; in the field of securities law, it depends on the principle of influence; in the field of Taxation, the field of taxation; in the field of taxation. However, in the field of export control law, it depends on the nationality of the regulated person, the origin and control relationship of the relevant goods and technology.
The realization of the extraterritorial effect of the economic administrative law, in addition to self-conscious compliance, must also rely on compulsory enforcement, including the enforcement of the administrative organs or courts of the legislative state, and the law enforcement by the administrative organs or courts of other countries. The law enforcement measures for natural persons and legal persons in the legislative state are frozen, detained, interrupted economic exchanges, denial of visas and the enforcement of other countries. The legal measures include abolition of trade preferences, prohibition of import and trade retaliation.
There are different views on whether economic administrative law can be carried out across the country. The negation of the negation is that the punitive law has only the internal effect of the punitive law; the enforcement of the law of other countries is harmful to the interests of the country; it violates the concept of sovereignty and damages the public order; the public order review will irritate the foreign countries; the foreign tax law is complex and the transnational law enforcement is not technically feasible. Affirmative is that It is believed that the state should work together to stop violations of the economic administrative law and expect to benefit from the violation of the law of other countries is immoral and mutual enforcement is a win-win choice for both parties. Some treaties and domestic laws stipulate that economic administrative law can be carried out across the country, such as the International Monetary Fund Agreement. > stipulates the transnational implementation of the foreign exchange control law. The tax mutual assistance treaties such as the United States and France and Canada stipulate the transnational implementation of the tax law. The resolution adopted by the The Institute of International Law in William Baden (Wiesbaden) also believes that the economic administrative law can be carried out across the country. The way of transnational implementation of the economic administrative law There are indirect enforcement and direct execution. The former refers to the execution of foreign administrative law judgments by foreign countries, while the latter refers to the direct application of foreign economic administrative laws by foreign countries.
The extraterritorial effect of an economic administrative law of a country will conflict with the internal effect of the law of other countries. The confrontation is: a conflict of orders on the subject of control; diplomatic protest; the formulation and implementation of the antagonistic laws; the prohibition of the country's participation in foreign procedures; political, economic retaliation. In different fields, the intense conflict of the economic administrative law. The degree of conflict is different. The essence of legal conflict is conflict of interests.
The excessive application of extraterritorial effect of economic administrative law constitutes an abuse of extraterritorial effect. This abuse is a political manipulation under the cover of surface justice without permission to use the resources of other countries. It will lead to double standards and differential treatment. In order to prevent abuse, it is necessary to restrict the extraterritorial effect, and the implementation of extraterritorial effectiveness should not be violated by international law. The basic principles must not violate treaty obligations and violate customary international law.
The extraterritorial effects of economic administrative law have some negative effects, such as commercial and legal uncertainty, distorting trade and investment, producing unreasonable costs, and ultimately reducing employment and slowing economic growth. Unilateral efforts and cooperation between countries can mitigate negative effects. Unilateral efforts include the principle of courtesy (principle Of comity), the principle of principle of reason, the principle of national behavior (act of statedoctrine), the principle of foreign sovereignty coercion, the principle of non conflict with the host country and the strict identification of the principle of public order in its own country. International cooperation and coordination are the successful methods of reducing conflict, including bilateral and changeable coordination. The model law also played an important role in solving conflicts.
The GATT (GATT) itself does not clearly specify the extraterritorial effect of the economic administrative law, but it raises some requirements, such as non discrimination, transparency, transparency. GATT, the exception of twentieth prisoners' products to support the extraterritorial effect of the labour law. Protection of human, animal and plant life or health measures to protect the use of natural resources measures In addition, the exception to the law, which is incompatible with the agreement, is often cited as the basis for the extraterritorial effect of the law on environmental protection. The GATT twenty-first exceptions for security are often cited, and some of the disputes concerning the extraterritorial effect of export control laws are dealt with by the dispute settlement mechanism of.GATT/WTO. A case of extraterritorial effect of economic administrative law. A new round of trade negotiations has made new issues such as the environment, labour standards and competition law. If the negotiations are successful, the conflict of extraterritorial effect of the law can be reduced.
China is the victim of the extraterritorial abuse of the law. China has long been the object of the trade blockade of some countries. The BDA of Macao, China, has been sanctioned by the United States based on the Patriot Act, and China has also been charged with the extraterritorial effect of the labor law. Its export control laws, the income tax law of the individual and the enterprise income tax law adopted in 2007, the anti trust law (Draft), and so on, stipulate extraterritorial effects. China also participates in some international coordination. As of March 30, 2007, China has signed bilateral tax agreements with 82 countries, and China is also with Macao and Hongkong. The administrative region signed the tax arrangement, which effectively reduced the conflict caused by the extraterritorial effect of the tax law. China also participated in international cooperation in the field of competition law. In 1999, Kazakhstan signed the agreement on cooperation in the field of anti unfair competition and antimonopoly. But in the securities law, the environmental protection law. In addition, the domestic law of coordinating the effectiveness of conflict in China is almost blank. In order to counter the abuse of other countries, China also needs to formulate its own counteract law. There is still a lot of work to be done in China's legislation on the extraterritorial effect of economic administrative law.
【学位授予单位】：苏州大学
【学位级别】：博士
【学位授予年份】：2007
【分类号】：D912.29;D912.1;D99

【引证文献】