中国（上海）自由贸易试验区负面清单管理模式研究

发布时间：2018-01-26 04:53

本文关键词： 上海自贸区外资准入管理模式负面清单混合清单　出处：《华东政法大学》2015年硕士论文　论文类型：学位论文

【摘要】：在势不可挡的全球经济自由化浪潮之下,发展开放型经济新体制已成为我国建设小康社会决定性阶段的重中之重。借着中美双边投资协定谈判的契机,我国于2013年9月29日建立了中国(上海)自由贸易试验区(以下简称“上海自贸区”),旨在探索适合目前我国国情的经济发展模式,积累经济开放的经验并最终将其复制推广至全国。其中,创新外国投资准入管理体制是最为关键,也最具挑战性的改革之一。上海自贸区采用的外资准入管理方式是准入前国民待遇和负面清单模式,即除清单中列明的领域及其不符措施,其他领域均享受准入前国民待遇。这完全不同于我国其他地区(除广东、天津和福建将设立的三个自由贸易试验区)现行的混合清单模式,即清单中既列有允许也有限制或禁止投资的领域,而对于未列明领域的准入则取决于一国政府的自由裁量。虽然负面清单从表面上看,较混合清单更为开放自由,但究竟是管理模式本身的选择所导致,还是另有原因仍然值得商榷。只有在解决这一先决问题的前提下才能进一步完善上海自贸区的负面清单模式,使之在正确的方向上愈加开放,同时预防风险和问题的产生。本文共分为三章探讨以上的两个问题,分别为国际投资与贸易领域市场准入的管理方式、负面清单管理模式的国际经验和上海自贸区的负面清单管理模式。第一章主要采用了比较分析的方法研究第一个问题。在厘清国际流行的两大管理方式(GATS式混合清单模式与NAFTA式负面清单模式)之间差别的基础上,探讨其优势与劣势及其形成的真正原由。其实,负面清单本身并不自然具有推进自由化进程的优越性,混合清单通过一定的制度设计一样可以达到同等的自由程度。真正促进自由化的源泉还是列明的不符措施之本质和一国政府的开放意愿,其中后者更为根本。不仅如此,负面清单的独特结构反而可能更容易对一国,尤其是发展中国家造成巨大的行政压力和严重的经济后果,而混合清单却能够在一定程度上缓解这种担忧。第二章和第三章旨在研究第二个问题,即上海自贸区负面清单模式的完善。既然我国经济开放的意愿已非常明朗,那么问题的关键就在于如何将这一意愿适当地表达在负面清单之中,并发挥出最佳效果。第二章从相关区域性条约、双边条约和国内外国投资立法三个方面汲取经验,作为第三章针对上海自贸区负面清单模式进行研究的基础。最后一章阐述了上海自贸区负面清单模式的发展历程,肯定了其进步之处与影响以及不足之处,最终综合前文的论述,从外资的界定、负面清单本身及其配套制度三个方面提出改进建议。
[Abstract]:Under the unstoppable wave of global economic liberalization, the development of a new open economy system has become the most important part of the decisive stage of building a well-off society in our country, taking advantage of the opportunity of bilateral investment treaty negotiations between China and the United States. In September 29th 2013, China established the China (Shanghai) Free Trade Test area (hereinafter referred to as "Shanghai Free Trade area") in order to explore the economic development model suitable for the current situation of our country. Accumulate the experience of economic opening and eventually replicate it to the whole country. Among them, the innovation of foreign investment access management system is the most critical. It is also one of the most challenging reforms. The management of foreign capital access in the Shanghai Free Trade area is the pre-entry national treatment and negative list model, that is, excluding the areas listed in the list and its inconsistent measures. All other fields enjoy pre-entry national treatment. This is completely different from the existing mixed list model in other regions of China (except Guangdong Tianjin and Fujian which will set up three free trade pilot areas). That is, the list includes areas where investment is permitted or restricted or prohibited, while access to unspecified areas depends on the discretion of a Government, although the negative list appears to be ostensible. It is more open and free than the mixed list, but it is the choice of the management model itself. Only on the premise of solving this problem can we further improve the negative list model of Shanghai Free Trade Zone and make it more open in the right direction. At the same time, to prevent risks and problems. This paper is divided into three chapters to discuss the above two issues, respectively, the management of international investment and trade market access. The international experience of the negative list management model and the negative list management model of the Shanghai Free Trade Zone. Chapter 1 mainly uses the comparative analysis method to study the first question. Based on the difference between the GATS mixed list mode and the NAFTA negative list mode. To explore its strengths and weaknesses and the real reasons for its formation. In fact, the negative list itself does not naturally have the advantage of advancing the liberalization process. Mixed lists can achieve the same level of freedom through a certain institutional design. The real source of liberalization is the inconsistency of the nature of the measures listed and the willingness of a government to open up. The latter is more fundamental. Not only that, the unique structure of the negative list may, on the contrary, result in greater administrative pressure and serious economic consequences for a country, particularly for developing countries. The mixed list, on the other hand, can alleviate this concern to some extent. Chapters II and III are intended to address the second issue. That is the perfection of the negative list model of Shanghai Free Trade Zone. Since the willingness of our country to open economy is very clear then the key problem is how to properly express this will in the negative list. The second chapter draws lessons from the relevant regional treaties, bilateral treaties and domestic foreign investment legislation. As the third chapter of the study of the Shanghai Free Trade area negative list model based on the last chapter describes the development of the Shanghai Free Trade Zone negative list model, affirmed its progress and impact as well as shortcomings. Finally, from the definition of foreign capital, the negative list itself and its supporting system, the improvement suggestions are put forward.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D630;D922.295

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