論跨國商業(yè)賄賂的法律規(guī)制
發(fā)布時間：2018-09-05 18:23
【摘要】： 當(dāng)經(jīng)濟(jì)全球化逐漸成為世界各國不得不面對的客觀現(xiàn)實(shí)的同時,商業(yè)賄賂也逐漸跨越國界,發(fā)展成為全球性事物�？鐕镜戎黧w在世界市場的競爭中大量進(jìn)行商業(yè)賄賂行為以獲得競爭優(yōu)勢,以致于嚴(yán)重破壞國際市場的公平競爭秩序。為此,國際商事交易中的商業(yè)賄賂被作為全球化背景下的新問題被提出來。這種國際商事交易中的商業(yè)賄賂行為,被稱之為“海外腐敗”、“海外賄賂”或者是“跨國商業(yè)賄賂”。本文為突出其商業(yè)目的性,將其稱之為“跨國商業(yè)賄賂”�？鐕虡I(yè)賄賂有廣義和狹義之分。狹義的跨國商業(yè)賄賂強(qiáng)調(diào)的是私營部門對公營部門的商業(yè)賄賂。廣義的跨國商業(yè)賄賂還包括私營部門之間的商業(yè)賄賂。本文主要是對狹義跨國商業(yè)賄賂的法律規(guī)制進(jìn)行分析�？鐕虡I(yè)賄賂對于行賄公司東道國和母國均產(chǎn)生了不同程度的危害,是對正常、公平的全球市場競爭秩序的破壞�？鐕虡I(yè)賄賂的治理,法律規(guī)制是關(guān)鍵。目前,國際社會治理跨國商業(yè)賄賂的法律措施主要以專門性的賄賂供應(yīng)方措施,并施以刑事制裁為主。 相對于跨國商業(yè)賄賂實(shí)踐而言,跨國商業(yè)賄賂法律的形成和發(fā)展是滯后的。美國1977年《反海外腐敗法》(簡稱“FCPA”)的制定標(biāo)志著跨國商業(yè)賄賂法律的形成。美國《反海外腐敗法》的制定使得美國公司喪失了大量的海外市場和國際競爭優(yōu)勢。美國在其政治經(jīng)濟(jì)利益的驅(qū)動下,極力在多邊層面推行跨國商業(yè)賄賂法律�？鐕虡I(yè)賄賂法律的形成與發(fā)展史在某種意義上可以說是美國《反海外腐敗法》及其國際化的歷史。通過歷史追尋,跨國商業(yè)賄賂法律的形成與發(fā)展的基本規(guī)律和特點(diǎn)亦得以闡明。為更好地打擊跨國商業(yè)賄賂,跨國商業(yè)賄賂法律國際統(tǒng)一化運(yùn)動在賦予跨國商業(yè)賄賂法律強(qiáng)大的域外管轄效力的同時,鼓勵世界各國、各國與國際組織、各國際組織之間的協(xié)作。 跨國商業(yè)賄賂法律的國際統(tǒng)一化運(yùn)動不僅是在美國政府的主導(dǎo)下推進(jìn)的,同時跨國商業(yè)賄賂的國際公約多數(shù)是以美國《反海外腐敗法》為藍(lán)本制定的。因此,研究跨國商業(yè)賄賂行為的法律規(guī)制,離不開對美國《反海外腐敗法》基本內(nèi)容的闡明�！斗春Ｍ飧瘮》ā分饕▋纱髼l款:一是反賄賂條款,二是簿記、記錄和內(nèi)部控制等會計條款�！斗春Ｍ飧瘮》ā分饕擅绹痉ú亢妥C監(jiān)會負(fù)責(zé)執(zhí)行。美國公司或自然人違反了《反海外腐敗法》,將受到嚴(yán)厲的民事、行政甚至刑事制裁。為執(zhí)行《經(jīng)合組織公約》,1998年修訂后的美國《反海外腐敗法》以居民和地域管轄為基礎(chǔ)的,即將其管轄權(quán)擴(kuò)展為在美國境內(nèi)從事行賄行為的外國公司和個人,以及在美國境外實(shí)施行賄行為的美國公司或個人。另外,在實(shí)踐中,美國國會還主張F(tuán)CPA的管轄?wèi)?yīng)符合效果原則(海外的賄賂行為對美國的影響),以及合理原則(考慮其他國家利益和當(dāng)事人的利益)等。由于外國子公司在跨國商業(yè)賄賂中所起的重要作用,跨國公司母公司對子公司的作為或不作為承擔(dān)《反海外腐敗法》下相應(yīng)的法律責(zé)任。賄賂的文化道德性使得《反海外腐敗法》不可避免地帶有道德侵略性,但是《反海外腐敗法》從賄賂供應(yīng)方角度打擊跨國商業(yè)賄賂,有利于建立和維護(hù)世界市場的公平競爭秩序。 美國推行其《反海外腐敗法》國際化,最重要的成果當(dāng)屬《經(jīng)合組織公約》以及后來的《聯(lián)合國反腐敗公約》。刑法措施是《經(jīng)合組織公約》和《聯(lián)合國反腐敗公約》為治理跨國商業(yè)賄賂所確立的重要措施。但與《經(jīng)合組織公約》不同的是,《聯(lián)合國反腐敗公約》不僅從主動行賄方即賄賂供應(yīng)方層面對跨國商業(yè)賄賂行為進(jìn)行打擊,同時也從消極行賄即賄賂需求方層面規(guī)定了治理措施。治理跨國商業(yè)賄賂,離不開國際合作與協(xié)調(diào)。《經(jīng)合組織公約》和《聯(lián)合國反腐敗公約》在引渡、司法協(xié)助等領(lǐng)域從國際刑法層面為跨國商業(yè)賄賂的法律治理提供了有效的國際合作與協(xié)調(diào)機(jī)制。同時,《聯(lián)合國反腐敗公約》有效地避免了域外管轄與國家主權(quán)的沖突,強(qiáng)調(diào)締約國應(yīng)當(dāng)在國際法原則下實(shí)施跨國商業(yè)賄賂犯罪的域外管轄權(quán)。 美國在多邊層面治理跨國商業(yè)賄賂的重要成果還體現(xiàn)在WTO中《政府采購協(xié)定》中透明度原則等規(guī)定,以及國際金融組織采取賄賂需求方措施治理跨國商業(yè)賄賂的努力。在國際經(jīng)濟(jì)法層面,需要澄清的法律問題包括跨國商業(yè)賄賂是否屬于貿(mào)易壁壘問題,是否可以作為WTO多邊框架下的合適議題進(jìn)行談判,跨國商業(yè)賄賂問題作為投資紀(jì)律、其與投資待遇的關(guān)系問題,以及跨國公司作為最主要的國際投資主體的責(zé)任承擔(dān)問題。本文對這些問題進(jìn)行了嘗試性的分析與探討。 盡管國際社會治理跨國商業(yè)賄賂盡了很大的努力,但其成效并不顯著。FCPA的執(zhí)行一直處于“弱勢”。在FCPA的執(zhí)行中,美國政府一直推行“守法計劃”的貫徹。由于聯(lián)邦量刑指南、司法部“托馬斯備忘錄”和證監(jiān)會的“西伯耳報告”,特別是2002年薩班斯法案的出臺,FCPA的執(zhí)行效力逐步增強(qiáng)�！督�(jīng)合組織公約》由于其軟弱的執(zhí)行機(jī)制使得其成效同樣并不理想。為加強(qiáng)公約的效力,有必要對其執(zhí)行機(jī)制進(jìn)行改革�！堵�(lián)合國反腐敗公約》在很多方面實(shí)現(xiàn)了創(chuàng)新,但同時,私營部門的腐敗問題并沒有作為公約對締約國作強(qiáng)制性要求。由于其生效時間較短,公約的執(zhí)行效果還有待于締約各國的實(shí)際執(zhí)行。 跨國商業(yè)賄賂的治理,單依靠國家的刑事指控去阻止跨國商業(yè)賄賂行為的發(fā)生并不現(xiàn)實(shí)。賦予私營部門在反跨國商業(yè)賄賂行動中更為重要的角色非常有必要。今后私營部門可能主導(dǎo)全球反跨國商業(yè)賄賂行動。另外今后跨國商業(yè)賄賂法律可能朝著加強(qiáng)賄賂需求方措施,以及從禁止對公營部門的賄賂到既禁止公營部門的賄賂又禁止私營部門的賄賂等方向發(fā)展。 國際社會對跨國商業(yè)賄賂的法律治理對我國的影響和啟示是深刻的。我國應(yīng)當(dāng)處理好美國《反海外腐敗法》域外管轄和我國司法管轄的沖突。同時應(yīng)當(dāng)借鑒美國FCPA的執(zhí)行機(jī)制,加強(qiáng)我國公司的自律性行為規(guī)則和內(nèi)部治理責(zé)任。我國應(yīng)當(dāng)禁止外國公司對我國公職人員的行賄行為,同時也要禁止中國公司對外國公職人員的行賄,這不僅是對等原則的要求,同時也是司法主權(quán)的體現(xiàn)。為履行我國已簽署的《聯(lián)合國反腐敗公約》義務(wù),我國不僅應(yīng)當(dāng)履行公約規(guī)定的強(qiáng)制性履行要求;同時對于非強(qiáng)制性履行要求,可以立足于本國實(shí)際,并考慮與現(xiàn)行法律規(guī)范的協(xié)調(diào)問題。《聯(lián)合國反腐敗公約》對我國反跨國商業(yè)賄賂等腐敗工作將產(chǎn)生良性的影響。 跨國公司主導(dǎo)著世界經(jīng)濟(jì)的全球化。中國是跨國公司全球戰(zhàn)略布局的重要組成部分。由于中國經(jīng)濟(jì)市場化程度不高,公共資源稀缺并集中,中國反不正當(dāng)競爭法等競爭法律不夠完善等等,跨國公司在中國市場巨額利潤的誘惑下,不顧其母國及我國的法律法規(guī)的違反,為獲得競爭優(yōu)勢大肆對我國官員實(shí)施商業(yè)賄賂。我國應(yīng)當(dāng)借鑒國外商業(yè)賄賂法律制度經(jīng)驗(yàn),完善我國商業(yè)賄賂法律制度和執(zhí)行機(jī)制,徹底打擊跨國公司在我國的跨國商業(yè)賄賂行為。近年來,中國跨國公司的對外直接投資開始步入較快發(fā)展期。我國企業(yè)在海外存在著嚴(yán)重的跨國商業(yè)賄賂行為。在全球反腐敗的倡議下,為維護(hù)我國跨國公司在全球市場的誠實(shí)經(jīng)營行為,我國應(yīng)當(dāng)在建立海外投資促進(jìn)法律法規(guī)的同時,借鑒美國《反海外腐敗法》等法律的模式和規(guī)定,加快建設(shè)反海外商業(yè)賄賂法律制度。
[Abstract]:While economic globalization has gradually become an objective reality that countries all over the world have to face, commercial bribery has also gradually crossed national boundaries and developed into a global thing. For this reason, commercial bribery in international commercial transactions has been raised as a new problem under the background of globalization. This kind of commercial bribery in international commercial transactions is called "overseas corruption", "overseas bribery" or "transnational commercial bribery". This paper highlights its commercial purpose and calls it "transnational commercial bribery". Transnational commercial bribery can be divided into broad sense and narrow sense. The narrow sense of transnational commercial bribery emphasizes the commercial bribery of the private sector to the public sector. The broad sense of transnational commercial bribery also includes commercial bribery between the private sector. The host country and the home country of the corporation are harmful to the normal and fair global market competition order. The legal regulation is the key to the management of transnational commercial bribery.
Compared with the practice of transnational commercial bribery, the formation and development of transnational commercial bribery law is lagging behind. The enactment of FCPA in the United States in 1977 marked the formation of transnational commercial bribery law. The enactment of FCPA in the United States made American companies lose a large number of overseas markets and international competitive advantages. The United States, driven by its political and economic interests, has made great efforts to implement the law of transnational commercial bribery at a multilateral level. The formation and development of the law of transnational commercial bribery in a sense can be said to be the history of the United States Anti-Overseas Corruption Law and its internationalization. In order to combat transnational commercial bribery better, the movement of international unification of transnational commercial bribery law has given powerful extraterritorial jurisdiction to transnational commercial bribery law and encouraged the cooperation among countries, countries, international organizations and international organizations.
The movement of international unification of transnational commercial bribery laws is not only promoted under the guidance of the US government, but also the international conventions on transnational commercial bribery are mostly based on the United States Anti-Overseas Corruption Law. The Anti-Overseas Corruption Act includes two major provisions: one is anti-bribery, the other is bookkeeping, record keeping and internal control. In the implementation of the OECD Convention, the 1998 Amendment of the United States Anti-Overseas Corruption Act is based on residential and territorial jurisdiction, which extends its jurisdiction to foreign companies and individuals engaged in bribery within the United States and to American companies or individuals engaged in bribery outside the United States. In practice, the United States Congress also advocates that The jurisdiction of FCPA should conform to the principle of effectiveness (the effect of overseas bribery on the United States) and the principle of reasonableness (taking into account the interests of other countries and the interests of the parties concerned). The cultural morality of bribery makes the Anti-Overseas Corruption Law inevitably moral aggression, but the Anti-Overseas Corruption Law combats transnational commercial bribery from the perspective of bribery suppliers, which is conducive to establishing and maintaining a fair competition order in the world market.
The most important achievement of the internationalization of the United States'Anti-Corruption Act against Overseas Corruption is the OECD Convention and the subsequent United Nations Convention against Corruption. The Convention on Corruption not only cracks down on transnational commercial bribery at the level of active bribery suppliers, but also provides governance measures at the level of passive bribery, i.e. bribery demanders. International cooperation and coordination are indispensable for the control of transnational commercial bribery. At the same time, the United Nations Convention against Corruption effectively avoids the conflict between jurisdiction and state sovereignty, and stresses that the Contracting States should implement the extraterritorial jurisdiction of transnational commercial bribery crime under the principles of international law.
The important achievements of the United States in dealing with transnational commercial bribery at the multilateral level are also embodied in the provisions of transparency in the WTO Agreement on Government Procurement and the efforts of international financial organizations to take demand-side measures to deal with transnational commercial bribery. Whether trade barriers can be negotiated under the multilateral framework of WTO, transnational commercial bribery as an investment discipline, its relationship with investment treatment, and the responsibility of transnational corporations as the main body of international investment are also discussed in this paper.
Although the international community has made great efforts to tackle transnational commercial bribery, the results have not been significant. The implementation of the FCPA has been "weak." In the implementation of the FCPA, the U.S. government has been implementing the "law-abiding plan." Thanks to the Federal Sentencing guidelines, the "Thomas Memorandum" of the Justice Department and the "Siberian Report" of the Securities and Exchange Commission. The implementation of the FCPA is also not ideal because of its weak implementation mechanism. To strengthen the effectiveness of the convention, it is necessary to reform its implementation mechanism. has achieved innovation in many aspects, but at the same time, the private sector. The problem of corruption is not mandatory for the Contracting States as a convention. Because of its short time of entry into force, the implementation effect of the Convention still needs to be implemented by the contracting states.
It is unrealistic to rely solely on state criminal charges to prevent transnational commercial bribery. It is necessary to give the private sector a more important role in anti-transnational commercial bribery. In the future, the private sector may dominate global anti-transnational commercial bribery. In addition, the future transnational commercial bribery law The law may move in the direction of strengthening demand-side measures for bribery, from prohibiting bribery in the public sector to prohibiting both public and private sector bribery.
The international community's influence and Enlightenment to our country on the legal governance of transnational commercial bribery is profound.Our country should deal with the conflict between the extraterritorial jurisdiction of the United States and the judicial jurisdiction of our country.At the same time,we should draw lessons from the enforcement mechanism of the FCPA of the United States to strengthen the rules of self-discipline and internal governance responsibility of our company. It is not only a requirement of the principle of reciprocity, but also a manifestation of judicial sovereignty to prohibit bribery by foreign companies to Chinese public officials. In order to fulfill our obligations under the UN Convention against Corruption, China should not only fulfill the compulsory performance stipulated in the Convention. The United Nations Convention against Corruption will have a positive impact on China's anti-corruption work such as transnational commercial bribery.
Multinational corporations dominate the globalization of the world economy. China is an important part of the global strategic layout of multinational corporations. In order to gain competitive advantage, China should learn from foreign commercial bribery legal system experience, improve our commercial bribery legal system and enforcement mechanism, and thoroughly crack down on transnational commercial bribery of transnational corporations in China. In recent years, China's transnational corporations. Foreign direct investment (FDI) has entered a period of rapid development. Chinese enterprises have serious transnational commercial bribery overseas. Under the global anti-corruption initiative, in order to safeguard the honest operation of Chinese transnational corporations in the global market, China should establish laws and regulations to promote overseas investment, and draw lessons from the United States < Anti-corruption Abroad We should speed up the construction of anti overseas commercial bribery legal system.
【學(xué)位授予單位】：對外經(jīng)濟(jì)貿(mào)易大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2007
【分類號】：D922.294
本文編號：2225083
[Abstract]:While economic globalization has gradually become an objective reality that countries all over the world have to face, commercial bribery has also gradually crossed national boundaries and developed into a global thing. For this reason, commercial bribery in international commercial transactions has been raised as a new problem under the background of globalization. This kind of commercial bribery in international commercial transactions is called "overseas corruption", "overseas bribery" or "transnational commercial bribery". This paper highlights its commercial purpose and calls it "transnational commercial bribery". Transnational commercial bribery can be divided into broad sense and narrow sense. The narrow sense of transnational commercial bribery emphasizes the commercial bribery of the private sector to the public sector. The broad sense of transnational commercial bribery also includes commercial bribery between the private sector. The host country and the home country of the corporation are harmful to the normal and fair global market competition order. The legal regulation is the key to the management of transnational commercial bribery.
Compared with the practice of transnational commercial bribery, the formation and development of transnational commercial bribery law is lagging behind. The enactment of FCPA in the United States in 1977 marked the formation of transnational commercial bribery law. The enactment of FCPA in the United States made American companies lose a large number of overseas markets and international competitive advantages. The United States, driven by its political and economic interests, has made great efforts to implement the law of transnational commercial bribery at a multilateral level. The formation and development of the law of transnational commercial bribery in a sense can be said to be the history of the United States Anti-Overseas Corruption Law and its internationalization. In order to combat transnational commercial bribery better, the movement of international unification of transnational commercial bribery law has given powerful extraterritorial jurisdiction to transnational commercial bribery law and encouraged the cooperation among countries, countries, international organizations and international organizations.
The movement of international unification of transnational commercial bribery laws is not only promoted under the guidance of the US government, but also the international conventions on transnational commercial bribery are mostly based on the United States Anti-Overseas Corruption Law. The Anti-Overseas Corruption Act includes two major provisions: one is anti-bribery, the other is bookkeeping, record keeping and internal control. In the implementation of the OECD Convention, the 1998 Amendment of the United States Anti-Overseas Corruption Act is based on residential and territorial jurisdiction, which extends its jurisdiction to foreign companies and individuals engaged in bribery within the United States and to American companies or individuals engaged in bribery outside the United States. In practice, the United States Congress also advocates that The jurisdiction of FCPA should conform to the principle of effectiveness (the effect of overseas bribery on the United States) and the principle of reasonableness (taking into account the interests of other countries and the interests of the parties concerned). The cultural morality of bribery makes the Anti-Overseas Corruption Law inevitably moral aggression, but the Anti-Overseas Corruption Law combats transnational commercial bribery from the perspective of bribery suppliers, which is conducive to establishing and maintaining a fair competition order in the world market.
The most important achievement of the internationalization of the United States'Anti-Corruption Act against Overseas Corruption is the OECD Convention and the subsequent United Nations Convention against Corruption. The Convention on Corruption not only cracks down on transnational commercial bribery at the level of active bribery suppliers, but also provides governance measures at the level of passive bribery, i.e. bribery demanders. International cooperation and coordination are indispensable for the control of transnational commercial bribery. At the same time, the United Nations Convention against Corruption effectively avoids the conflict between jurisdiction and state sovereignty, and stresses that the Contracting States should implement the extraterritorial jurisdiction of transnational commercial bribery crime under the principles of international law.
The important achievements of the United States in dealing with transnational commercial bribery at the multilateral level are also embodied in the provisions of transparency in the WTO Agreement on Government Procurement and the efforts of international financial organizations to take demand-side measures to deal with transnational commercial bribery. Whether trade barriers can be negotiated under the multilateral framework of WTO, transnational commercial bribery as an investment discipline, its relationship with investment treatment, and the responsibility of transnational corporations as the main body of international investment are also discussed in this paper.
Although the international community has made great efforts to tackle transnational commercial bribery, the results have not been significant. The implementation of the FCPA has been "weak." In the implementation of the FCPA, the U.S. government has been implementing the "law-abiding plan." Thanks to the Federal Sentencing guidelines, the "Thomas Memorandum" of the Justice Department and the "Siberian Report" of the Securities and Exchange Commission. The implementation of the FCPA is also not ideal because of its weak implementation mechanism. To strengthen the effectiveness of the convention, it is necessary to reform its implementation mechanism.
It is unrealistic to rely solely on state criminal charges to prevent transnational commercial bribery. It is necessary to give the private sector a more important role in anti-transnational commercial bribery. In the future, the private sector may dominate global anti-transnational commercial bribery. In addition, the future transnational commercial bribery law The law may move in the direction of strengthening demand-side measures for bribery, from prohibiting bribery in the public sector to prohibiting both public and private sector bribery.
The international community's influence and Enlightenment to our country on the legal governance of transnational commercial bribery is profound.Our country should deal with the conflict between the extraterritorial jurisdiction of the United States and the judicial jurisdiction of our country.At the same time,we should draw lessons from the enforcement mechanism of the FCPA of the United States to strengthen the rules of self-discipline and internal governance responsibility of our company. It is not only a requirement of the principle of reciprocity, but also a manifestation of judicial sovereignty to prohibit bribery by foreign companies to Chinese public officials. In order to fulfill our obligations under the UN Convention against Corruption, China should not only fulfill the compulsory performance stipulated in the Convention. The United Nations Convention against Corruption will have a positive impact on China's anti-corruption work such as transnational commercial bribery.
Multinational corporations dominate the globalization of the world economy. China is an important part of the global strategic layout of multinational corporations. In order to gain competitive advantage, China should learn from foreign commercial bribery legal system experience, improve our commercial bribery legal system and enforcement mechanism, and thoroughly crack down on transnational commercial bribery of transnational corporations in China. In recent years, China's transnational corporations. Foreign direct investment (FDI) has entered a period of rapid development. Chinese enterprises have serious transnational commercial bribery overseas. Under the global anti-corruption initiative, in order to safeguard the honest operation of Chinese transnational corporations in the global market, China should establish laws and regulations to promote overseas investment, and draw lessons from the United States < Anti-corruption Abroad We should speed up the construction of anti overseas commercial bribery legal system.
【學(xué)位授予單位】：對外經(jīng)濟(jì)貿(mào)易大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2007
【分類號】：D922.294
【引證文獻(xiàn)】
相關(guān)期刊論文 前1條
1 鄭政武;;境內(nèi)跨國商業(yè)賄賂問題研究[J];商場現(xiàn)代化;2008年19期
相關(guān)博士學(xué)位論文 前1條
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相關(guān)碩士學(xué)位論文 前6條
1 鄒平;跨國商業(yè)賄賂犯罪的法律規(guī)制[D];吉林大學(xué);2011年
2 薛濤;中國國有企業(yè)賄賂犯罪控制研究[D];新疆大學(xué);2011年
3 朱靜;美國《反海外腐敗法》與中國反腐制度的發(fā)展[D];復(fù)旦大學(xué);2011年
4 王曉楠;論商業(yè)賄賂刑法規(guī)制的理論基礎(chǔ)[D];華東政法大學(xué);2009年
5 阮雨清;中國企業(yè)海外投資中的反腐敗法律問題研究[D];復(fù)旦大學(xué);2012年
6 張鑫;美國反海外腐敗法的解讀與借鑒[D];復(fù)旦大學(xué);2012年
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