双边投资协定中的转移条款研究

发布时间：2018-01-12 20:42

本文关键词：双边投资协定中的转移条款研究　出处：《西南政法大学》2015年硕士论文　论文类型：学位论文

【摘要】：双边投资协定中的转移条款,主要规定了东道国与投资者关于资本转移的权利和义务,集中体现了资本输出国与资本输入国之间有关资本转移自由度之间的矛盾。随着2014年中-日-韩和中国-加拿大双边投资协定的生效,明显可以看出转移条款的规定出现了新的变化,转移范围的扩大及对国内管制的限制都预示着东道国将面临更大的风险,而传统的国际收支平衡例外和根本安全利益条款在运用上存在着标准模糊和引用要求高的缺点。此外,实践中东道国对外汇和税收的措施不当,也可能会违反双边投资协定中转移条款的规定,从而导致争端的发生。文章从双边投资协定中转移条款本身及其相关例外着手,结合实践中对该条款违反的案件和在我国的新发展,并根据我国的实际情况,对我国在双边投资协定的转移条款谈判中的主要问题提出相应的建议。本文除引言外,正文共分为五个部分:第一部分BIT中转移条款的法理基础及内容分析。法理基础主要对保护私人财产权利的正当性及国家经济主权的合法性两个方面进行了论述,说明二者都有存在的合法性;内容分析部分以我国BIT范本草案为例,从范围、汇兑要求、依法阻止的情形、临时减损和其他问题五个方面进行了具体的分析。第二部分BIT中与转移条款相关的其它例外情形及其运用。首先是以智利为代表所使用的冷静期条款,该条款主要设定了为期一年的限制转移的期限,并且在BIT的谈判中成功适用;其次是阿根廷在ICSID中使用的根本安全利益条款,为了防止仲裁庭采用不同的解释方法导致不同的适用结果,各国的趋势是将其作为自裁决条款;再次是金融审慎性措施例外,加拿大首次从GATS金融服务附件中将金融审慎措施引入双边投资协定中,相比根本安全利益而言,金融审慎性措施例外适用的标准更低。第三部分实践中BIT转移条款的违反及规制。在转移条款中,既然有了具体条款的规定,也有了限制转移的例外条款,但在实践过程中仍有在例外条款之外的对转移条款的违反,该部分结合案例,从汇率干预导致的间接征收、转出时不当税收导致条约的违反和限制货币兑换导致的政府责任三个方面进行具体的阐述。第四部分我国BIT中转移条款的新发展。针对2014年生效的中-日-韩BIT以及中国-加拿大BIT中出现的新内容进行了阐述,包括转移的范围从货币类发展到非货币类、引入WTO协议中限制转移的情形、对国际收支平衡例外条款的限制以及对“相关法律法规”内容的限制四个方面。第五部分我国BIT转移条款谈判中的问题和建议。主要分为四个部分,首先是根据目前双边投资协定中的趋势来看,我国转移范围的规定具有一定的滞后性,建议可以适当开放;其次是基于人民币在国际化道路上的发展情况,建议可以扩大转移中币种的范围;再次是在投资方面不断开放的情况下,建议我国应当保持“按照其法律和法规”的规定,以便更好的对与投资相关的转移问题进行控制;最后是对金融审慎矛盾性的分析和建议,在该问题上,我国不能对此实行统一的标准,而是需要根据缔约方经济状况灵活运用。
[Abstract]:Transfer clause in bilateral investment treaties, the main provisions of the host country and the investors of the rights and obligations of capital transfer, embodies the capital exporting countries and capital importing country between the capital transfer of contradictions between degrees of freedom. With the effective 2014 in Japan and South Korea Chinese - Canada bilateral investment agreements, obviously we can see that any transfer in terms of the emergence of new changes, expand the scope and restrictions on the transfer of domestic regulation indicates that the host country will face greater risk, and the balance of payments exception of traditional and fundamental security interests exist in the use of the standard terms of reference fuzzy and disadvantages such as high. In addition, the improper practice of host country for foreign exchange and tax measures may also transfer provisions violate the terms of bilateral investment agreements, and lead to disputes. This article from the transfer clauses in bilateral investment treaties With the exception itself and related to the practice of the violation of the terms of the case and the new development in our country, and according to the actual situation of our country, puts forward the corresponding suggestions for the main problems in terms of transfer of bilateral investment agreement negotiations in China. In addition to this introduction, the text is divided into five parts: the legal basis and content analysis of the transfer terms in BIT. The first part mainly on the legal basis of the protection of private property rights and the legitimacy of national economic sovereignty and the two aspects are discussed, that the two have the legitimacy; the content analysis part of the draft BIT model of our country as an example, from the scope. Exchange requirements, prevent the case according to law, the five aspects of temporary impairment and other problems are analyzed in detail. Other exceptions and its application and transfer the provisions of the relevant parts of BIT second. The first is to make the representative of Chile Calm period clause used, the main clause set a one-year limit transfer deadline, and applied successfully in the BIT negotiations; second is the fundamental security interests of the terms used in the ICSID in Argentina, in order to prevent the arbitration tribunal by different interpretation methods in different results, the trend is as the ruling is again the exception clause; financial prudential measures, Canada for the first time from GATS in the annex on financial services financial prudential measures introduced in bilateral investment agreements, compared to the fundamental security interests, lower standard financial prudential measures for the cases of violation and regulation. In terms of the transfer of BIT third part of practice. In terms of transfer, since the provisions are specific terms, also have restrictions on the transfer of the exception clause, but in practice there are still the exception clause outside the transfer of terms of the violation, the part of Case from the exchange rate intervention leads to indirect expropriation, transfer taxes lead to improper elaboration of the three aspects of the government and the limitation of liability for breach of the treaty. The currency exchange leads to new development of the terms of transfer of the fourth part of our BIT. According to the force in 2014 in Japan and South Korea, and the new BIT content China - Canada BIT is discussed, including the transfer range from development to non monetary currency, restricts the transfer of the introduction of the WTO protocol in the case of the international balance of payments restrictions and exceptions to the content of relevant laws and regulations "limit of four aspects. The fifth part of our BIT transfer problems and suggestions in terms of negotiation mainly divided into four parts, the first is based on the current bilateral investment agreement in the trend, China transfer scope has a certain lag, suggest appropriate opening; second is based on the people On the road of internationalization of RMB in the development situation, suggestions can expand the scope of transfer of currency; again is constantly opening up in terms of investment situation, China should keep in accordance with the provisions of the laws and regulations ", in order to better control the transfer of investment related; finally the financial prudence analysis the contradiction and suggestions, on this issue, our country can not have a unified standard, but according to the needs of parties to economic conditions and flexible use.

【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D922.28

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