区域自由贸易协定“负面清单”的国际比较研究

发布时间：2018-05-19 08:55

本文选题：“负面清单” + “正面清单”　；参考：《四川大学学报(哲学社会科学版)》2015年05期

【摘要】："负面清单"是国际通行的东道国对外商投资领域实施限制或划定投资范围的一种管理办法。随着贸易自由化进程在全球的进展,这一在投资领域的管理办法也被应用于双边或多边自由贸易协定或经济一体化协定中。比较国际各区域自由贸易协定清单的设置模式、设置特点以及"负面清单"涉及的领域,可以得到以下启示:第一,"负面清单"涉及的领域应该是关系到国防安全和经济安全的部门,除此外的其他部门可以从清单上拿掉,或放入逐步开放的"时间表"内;第二,投资、贸易的便利化与国家经济安全的维护之间的平衡可以通过完善国内相关法规来解决;第三,善用"负面清单"的概念,而不是仅仅追求其形式;第四,对外开放应采取对等原则。同时,对中国自贸试验区面临的"负面清单""瘦身"问题进行了探讨,以中国(上海)自贸试验区为例,考察和分析了2013版和2014版的"负面清单",提出保留第二、第三、第五类行业或领域措施,酌情削减第一、第四类行业或领域的措施;出台投资指南;概念严格定义;"负面清单"和"正面清单"结合;纳入对等开放原则;测试与评估开放之风险等具体建议。
[Abstract]:The negative list is an international management method that restricts or delimits the scope of foreign investment. As the process of trade liberalization progresses globally, this regulatory approach in the area of investment is also applied to bilateral or multilateral free trade agreements or economic integration agreements. Comparing the patterns, characteristics and areas covered by the "negative list" of the list of international regional free trade agreements, The following revelations can be drawn: first, the areas covered by the "negative list" should be those related to national defence security and economic security, which, among other things, could be removed from the list or placed in a "timetable" for gradual liberalization; and secondly, The balance between investment, trade facilitation and the maintenance of national economic security can be resolved by improving relevant domestic laws and regulations; third, by making good use of the concept of "negative lists" rather than simply pursuing its form; and fourth, The principle of reciprocity should be adopted in opening up. At the same time, the problem of "negative list" and "weight loss" faced by China's free trade test area is discussed. Taking China (Shanghai) free trade test area as an example, the "negative list" of 2013 and 2014 editions is investigated and analyzed, and the second and third are proposed. (B) measures in the fifth category of industries or areas, with reductions in the first and fourth sectors or areas, as appropriate; the introduction of investment guides; the strict definition of concepts; the combination of "negative lists" and "positive lists"; and the inclusion of the principle of reciprocity and openness; Specific recommendations for testing and assessing the risks of openness.
【作者单位】：上海财经大学国际工商管理学院世界经济研究中心;
【基金】：上海市统计局委托课题“2014年负面清单”的研究报告《区域自由贸易协定中“负面清单”的国际比较》中的部分内容。该课题负责人林珏、成员靳玉英、鲍晓华、郭羽诞。研究报告和本文由林珏撰写
【分类号】：F752.8;F832.6

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