本文選題：外國投資　切入點：外國投資管理　出處：《吉林大學(xué)》2017年博士論文　論文類型：學(xué)位論文

【摘要】：本文以外國投資國家安全審查法律制度為研究對象,以國際投資規(guī)則由新自由主義向內(nèi)嵌式自由主義范式發(fā)展為背景,以越來越具有資本輸入大國與資本輸出大國雙重混同身份的我國國情為基礎(chǔ),以我國正在試行并逐步推廣的準入前國民待遇加負面清單外國投資管理模式為重心,綜合運用國際經(jīng)濟學(xué)、國際政治學(xué)、立法學(xué)、法解釋學(xué)和比較法學(xué)的知識和方法,提出和論證了在經(jīng)濟全球化和投資自由化、便利化和透明化以及由此所帶來的外國投資管理制度發(fā)生根本性變革的趨勢下,建立和完善我國外國投資國家安全審查法律制度的必然性、正當(dāng)性和應(yīng)然性。本文以我國即將實行的準入前國民待遇加負面清單外國投資管理模式為出發(fā)點和落腳點,厘清了外國投資國家安全審查法律制度的基本概念——外國投資、安全、國家安全等,明確了外國投資國家安全審查法律制度的基本問題——外國投資對國家安全的影響,以及對外國投資國家安全審查的必要性和法治化,論述了外國投資國家安全審查法律制度的基礎(chǔ)理論——國家主權(quán)理論、國家干預(yù)理論、國家利益理論和新國家安全理論等,論析了與外國投資國家安全審查法律制度相關(guān)的法律制度——外國投資準入審查制度、反壟斷審查制度和國家安全審查法律制度之間的關(guān)系;概括了外國投資國家安全審查制度的基本特征;梳理了我國外國投資國家安全審查(法律)制度的發(fā)展歷程——經(jīng)歷了從無到有、從附屬到獨立、從片面到全面三個過程,以及獨立的外國投資國家安全審查法律制度建立前階段、建立階段和試驗及方向選擇三個階段,并指出了其不足——“國家安全”等相關(guān)概念模糊而混亂,外國投資準入審查與反壟斷審查、外國投資國家安全審查三者權(quán)責(zé)不清,以及目前《關(guān)于建立外國投資者并購境內(nèi)企業(yè)安全審查制度的通知》、《自貿(mào)試驗區(qū)外商投資國家安全審查試行辦法》、《外國投資法》(草案征求意見稿)等我國外國投資國家安全審查法律制度存在的不足和問題。總結(jié)借鑒了美國、加拿大、澳大利亞、德國、英國、法國等外國投資國家安全審查法律制度的先進經(jīng)驗,結(jié)合中國國情以及我國外國投資國家安全審查制度存在的上述不足和問題,就完善我國外國投資國家安全審查法律制度最核心的四個方面——審查對象、審查標準、審查機構(gòu)、審查程序提出了具體的立法建議:在審查對象上要強調(diào)實際控制,以控制效果來確定“外國投資”的范圍;在審查標準上應(yīng)堅持模糊化和確定性的平衡,并體現(xiàn)我國的國情;在審查機構(gòu)上主張由商務(wù)部牽頭,多部門聯(lián)合,合理分工,權(quán)責(zé)分明;在審查程序上應(yīng)體現(xiàn)效率性和審查抑制主義,并建立適當(dāng)?shù)臋?quán)利救濟制度和權(quán)力監(jiān)督制度。這些立法建議旨在建立與準入前國民待遇加負面清單管理模式相適應(yīng)的我國外國投資國家安全審查法律制度。本文可預(yù)期的創(chuàng)新之處在于:一是在研究視野上,始終將外國投資國家安全審查法律制度置于國際、國內(nèi)兩種環(huán)境和背景影響之下,使我國的外國投資國家安全審查法律制度既借鑒國際,又立足國內(nèi),既與國際接軌,但又有中國特色;一是在研究重點上,立足于我國外國投資管理制度的大范疇之下,厘清了外國投資準入審查、反壟斷審查和國家安全審查的功能區(qū)分,并試圖建立三者之間的協(xié)調(diào)配合,而這正是我國現(xiàn)有國家安全審查法律制度最為缺乏的;一是在研究理念上,本文堅持內(nèi)嵌式自由主義范式,認為外國投資國家安全審查法律制度的構(gòu)建,應(yīng)堅持投資自由與國家安全之間的平衡,堅持“去政治化”,反對寬泛化,恪守審慎審查,力求“備而少用”;一是對《自貿(mào)試驗區(qū)外商投資國家安全審查試行辦法》和《外國投資法》(草案征求意見稿)等最新法律法規(guī)和立法動向進行了評析,保證了研究的前沿性和新穎性,旨在為我國正在建構(gòu)和完善的外國投資國家安全審查法律制度提供充分的理論依據(jù)和新進的解決方案。
[Abstract]:In this paper, the foreign investment legal system of national safety review as the research object, the international investment rules by new liberalism to embedded liberalism paradigm development as the background, with more and more capital input power and output power with the double identity of capital in China based on the national conditions, China is trying to access and gradually promote the national front treatment with a negative list of foreign investment management center, the integrated use of international economics, international politics, legislation, knowledge and method of Hermeneutics and comparative law, put forward and demonstrated in economic globalization and investment liberalization and facilitation and transparency and the foreign investment management system fundamentally. Under the trend, the necessity of establishing and perfecting our country's foreign investment legal system of national safety review, legitimacy and necessity. Based on China's practice The access to national treatment plus the negative list of foreign investment management mode as the starting point and goal, to clarify the basic concepts of foreign investment legal system of national safety review of foreign investment, security, national security, and clarifies the basic foreign investment foreign investment legal system of national safety review of the impact on national security, as well as for foreign investment the national security review of the necessity and the rule of law, discusses the basic theory of national sovereignty theory of foreign investment in national security review of the legal system, the theory of state intervention, the theory of national interests and the new national security theory, on the analysis of the foreign investment and national security review of the related legal system, the legal system of market access of foreign investment review system, relationship between the anti-monopoly review system and the legal system of national safety review; summarizes the foreign investment and national security review system The basic characteristics; combing the national security review of foreign investment in China (Law) the development process of the system -- experience from scratch, from independent to affiliated, three process from unilateral to comprehensive, independent and foreign investment legal system of national safety review before the establishment phase, the establishment phase and direction selection test and three stages, and pointed out the deficiency of "national security" and other related concepts are fuzzy and chaos, foreign investment access review and antitrust review, foreign investment and national security review of the three responsibilities unclear, and the "on the establishment of a domestic enterprise security review system for mergers and acquisitions of foreign investors notice", "foreign investment in the FTA test area of national security review trial measures > < >, the foreign investment law (Draft), national security review of foreign investment in China's legal system deficiencies and problems. Summarizes the United States, Canada In Australia, Germany, Britain, France and other countries the advanced experience of foreign investment security review of the legal system, combined with the above shortcomings and problems Chinese conditions and China foreign investment national security review system, to perfect the law system is the core of national security review of foreign investment law in China in four aspects: subject to review, review standard review, review procedures, put forward specific legislative proposals: in the review object to emphasize the actual control, to determine the scope of "foreign investment" to control effect; should adhere to the defuzzification and deterministic equilibrium in the standard of review, and reflect the situation of our country; in the review mechanism that led by the Ministry of Commerce. Multi sectoral joint, rational division of work and responsibilities; the review process should reflect the efficiency and inhibit the review doctrine, and the establishment of appropriate relief system and supervision system. These stand That aims to establish legal system of national security review of foreign investment in our country to adapt and access to national treatment and negative inventory management mode. The expected innovation lies in: one is in the research field, and always will be the foreign investment legal system of national safety review on international, under the influence of two kinds of domestic environment and background. The legal system of foreign investment in the National Security Review on international and domestic, both with international standards, but also has the characteristics of Chinese; one is in focus, under the category based on China's foreign investment management system, clarify the market access of foreign investment review, antitrust review and national security review the functional distinction, and tries to establish coordination between the three, which is China's existing legal system of national safety review is lacking; one is in the study of philosophy, this paper insists in The embedded liberalism paradigm, that the construction of foreign investment legal system of national safety review, should adhere to the investment between freedom and national security balance, adhere to the "political", against the broad, with careful examination, to prepare and use less "; one is the" free trade test area of foreign investment and national security review the trial measures > > and < the foreign investment law (Draft) and other new laws and regulations and legislative trends of the frontier research and novel, in order to provide sufficient theoretical basis and new legal system for foreign investment in China's national security review is to construct and perfect the solution.

【學(xué)位授予單位】：吉林大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2017
【分類號】：D922.295
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本文編號：1606572