本文選題：外資并購(gòu) + 國(guó)家安全審查��； 參考：《華東政法大學(xué)》2015年碩士論文

【摘要】：我國(guó)在“十一五”內(nèi)累計(jì)吸收了外商直接投資共計(jì)4789.4億美元,比“十五”期間的外商投資總額增加了63%,外商投資已然成為經(jīng)濟(jì)發(fā)展的助推器。外資并購(gòu)得以填補(bǔ)企業(yè)資金不足的漏洞,優(yōu)化企業(yè)資源配置以及調(diào)整產(chǎn)業(yè)結(jié)構(gòu),進(jìn)而促進(jìn)經(jīng)濟(jì)實(shí)現(xiàn)國(guó)際化。然而,外資并購(gòu)給我國(guó)帶來的負(fù)面效應(yīng)也是多方面的,例如可能危及國(guó)家的經(jīng)濟(jì)主權(quán)、抑制民族工業(yè)的發(fā)展、破壞公平和有效的競(jìng)爭(zhēng)環(huán)境,侵害消費(fèi)者利益等等。上述外資并購(gòu)的負(fù)面影響是客觀存在的,但通過對(duì)其認(rèn)識(shí)并施以相應(yīng)對(duì)策,可以將負(fù)面影響降低到最低限度,充分發(fā)揮其正面影響。其他國(guó)家的外資并購(gòu)實(shí)踐表明,即使外資并購(gòu)具有某些負(fù)面效應(yīng),若對(duì)其施予有效和全面的規(guī)制,其對(duì)經(jīng)濟(jì)發(fā)展的巨大推動(dòng)作用完全可以將功補(bǔ)過。筆者試圖從比較法的角度對(duì)發(fā)展較為成熟的美國(guó)并購(gòu)安全審查制度進(jìn)行分析、評(píng)價(jià)與借鑒,在分析完中國(guó)目前的并購(gòu)安全審查制度現(xiàn)狀后,結(jié)合美國(guó)的立法提出了相關(guān)完善建議。本篇論文除導(dǎo)言與結(jié)論外,另外分為四章,以下為論文摘要部分:第一章主要講述外資并購(gòu)國(guó)家安全審查制度的基本理論。首先,本章第一節(jié)對(duì)外資并購(gòu)的概念進(jìn)行了界定,將“外資并購(gòu)”分拆為“外資”和“企業(yè)并購(gòu)”,分別從經(jīng)濟(jì)學(xué)和法學(xué)的角度進(jìn)行闡述,最終得出對(duì)外資并購(gòu)的定義。其次,本章第二節(jié)界定了國(guó)家安全的概念,并根據(jù)現(xiàn)有的與外資并購(gòu)有關(guān)的法律法規(guī)及其他規(guī)范性文件,對(duì)“國(guó)家安全”展開充分分析。在對(duì)“外資并購(gòu)”以及“國(guó)家安全”分別分析過后,得出針對(duì)“外資并購(gòu)國(guó)家安全審查”的定義,并闡述了構(gòu)建我國(guó)并購(gòu)安全審查制度的重要性。最后,本章第三節(jié)通過分別比較并購(gòu)安全審查制度與市場(chǎng)準(zhǔn)入制度、反壟斷審查制度的異同,加深了對(duì)并購(gòu)安全審查制度特點(diǎn)的了解。在廣義上,外資準(zhǔn)入制已包含了國(guó)家安全審查,然而,由于外資準(zhǔn)入制的局限性及國(guó)家安全自身特性的原因,構(gòu)建起專門的并購(gòu)安全審查制度來進(jìn)一步提高國(guó)家安全的程度仍然十分必要。第二章著重于論述我國(guó)的外資并購(gòu)國(guó)家安全審查制度的現(xiàn)狀及不足之處。本章第一節(jié)從法律法規(guī)和其他規(guī)范性文件的角度介紹了我國(guó)并購(gòu)安全審查制度的目前的法律規(guī)制狀況。第二節(jié)分析了我國(guó)并購(gòu)安全審查制度的實(shí)體內(nèi)容,包括安全審查的范圍和主要考量?jī)?nèi)容,并分析了目前規(guī)定在理論上和實(shí)踐中的不足之處。第三節(jié)分析了我國(guó)并購(gòu)安全審查制度的程序內(nèi)容,包括對(duì)主管機(jī)構(gòu)的確認(rèn)和審查的具體程序規(guī)定,并分析了目前的程序規(guī)制遠(yuǎn)遠(yuǎn)無法適用于現(xiàn)實(shí)的情況。第三章致力于分析美國(guó)的外資并購(gòu)國(guó)家安全審查制度。第一節(jié)引入了美國(guó)并購(gòu)安全審查制度的立法淵源——“�？松チ_里奧”修正案(Exon-Florio Amendment)及《外國(guó)投資與國(guó)家安全法》(FINSA)的產(chǎn)生背景及大致內(nèi)容。第二節(jié)分析了美國(guó)并購(gòu)安全審查立法的實(shí)體規(guī)制部分。審查機(jī)關(guān)是外國(guó)投資委員會(huì),在制定審查標(biāo)準(zhǔn)方面,美國(guó)并購(gòu)安全審查的相關(guān)法律都未對(duì)“國(guó)家安全”進(jìn)行定義,旨在保持有關(guān)立法的靈活性和開放性。美國(guó)安全審查立法羅列了受管轄和不受管轄的并購(gòu)交易。2008年《實(shí)施細(xì)則》將“受管轄的并購(gòu)交易”涉及的關(guān)鍵詞作出了解釋,諸如對(duì)“控制”、“外國(guó)人”和“美國(guó)人”的認(rèn)定。第三節(jié)分析了美國(guó)的并購(gòu)安全審查的程序規(guī)制部分。美國(guó)并購(gòu)安全審查的具體程序包括:審查、調(diào)查程序,申報(bào)撤回,重啟審查,以及國(guó)會(huì)監(jiān)督機(jī)制等方面的內(nèi)容。第四章論述了我國(guó)從美國(guó)的并購(gòu)安全審查制度中獲得的經(jīng)驗(yàn)和借鑒,在列舉出我國(guó)現(xiàn)有審查制度立法缺陷的基礎(chǔ)上,提出了相應(yīng)改進(jìn)建議。第一節(jié)明確應(yīng)該制定并購(gòu)安全審查制度的原則,包括維持開放外資與保護(hù)國(guó)家安全平衡原則、保持并購(gòu)安全審查的透明性原則和確保并購(gòu)安全審查的統(tǒng)一性原則。第二節(jié)介紹了我國(guó)并購(gòu)安全審查的實(shí)體部分需要完善的部分,首先應(yīng)在立法中明確規(guī)定安全審查的范圍。關(guān)于“外國(guó)投資者”的認(rèn)定方面,我國(guó)在確定并購(gòu)安全審查對(duì)象時(shí)可以借鑒美國(guó)的規(guī)定,針對(duì)外國(guó)自然人采取國(guó)籍標(biāo)準(zhǔn),針對(duì)外國(guó)實(shí)體采取“實(shí)際控制”標(biāo)準(zhǔn)。在設(shè)置并購(gòu)安全審查的范圍方面,我國(guó)在列舉被并購(gòu)企業(yè)的類型時(shí),應(yīng)在現(xiàn)有基礎(chǔ)上添加兜底條款。同時(shí),對(duì)于“重要基礎(chǔ)設(shè)施”、“關(guān)鍵技術(shù)”等對(duì)于確定行業(yè)是否屬于被并購(gòu)企業(yè)具有關(guān)鍵性影響的詞匯,也應(yīng)予以明確的定義或設(shè)立一定的判斷標(biāo)準(zhǔn)。其次,應(yīng)細(xì)化安全審查的內(nèi)容。我國(guó)在細(xì)化安全審查內(nèi)容時(shí)也可參考美國(guó)的模式,既要具體細(xì)化判斷國(guó)家安全時(shí)應(yīng)予考慮的因素,也應(yīng)該設(shè)置會(huì)對(duì)國(guó)家安全產(chǎn)生影響的原則性因素,以掌握一定的變通空間。第三節(jié)介紹了我國(guó)并購(gòu)安全審查的程序部分所需完善的內(nèi)容。首先,應(yīng)明確并購(gòu)安全審查機(jī)制的職責(zé)分工。其次,應(yīng)完善外資并購(gòu)安全審查程序,包括了應(yīng)將程序設(shè)置的細(xì)致嚴(yán)謹(jǐn)、應(yīng)為程序設(shè)置更多的彈性和變動(dòng)空間,以及應(yīng)設(shè)置對(duì)申請(qǐng)人的救濟(jì)權(quán)利及救濟(jì)渠道。
[Abstract]:In the "11th Five-Year", China has absorbed a total of $478 billion 940 million in foreign direct investment. The total amount of foreign investment increased by 63% over the period of "fifteen". Foreign investment has already become a booster of economic development. Foreign investment has been able to fill the loopholes in the undercapital of enterprises, optimize the allocation of enterprise resources and adjust the industrial structure, and then promote the industrial structure. However, the negative effects of M & A on China are also multifaceted, for example, it may endanger the state's economic sovereignty, inhibit the development of national industry, destroy a fair and effective competitive environment, and encroach on the interests of consumers. The negative effects of the above foreign mergers and acquisitions are objective, but by understanding it and With the corresponding countermeasures, the negative effects can be reduced to a minimum and the positive impact of the foreign merger and acquisition in other countries shows that, even if the foreign merger and acquisition has some negative effects, if it is given effective and comprehensive regulation, the huge push for economic development can be completely overcome. From the angle of law, we analyze the mature US M & a security review system, evaluate and draw lessons from it. After analyzing the current situation of China's M & a security review system, we put forward some relevant suggestions in combination with the legislation of the United States. In addition to the introduction and conclusion, this paper is divided into four chapters, and the following is the summary of the paper: the first chapter First, the first section of this chapter defines the concept of foreign capital merger and acquisition, divides the "foreign capital M & a" into "foreign capital" and "enterprise merger and acquisition", expound from the angle of economics and law respectively, and finally get the definition of foreign capital merger and acquisition. Secondly, the second section of this chapter The concept of national security is defined, and the "national security" is fully analyzed in accordance with the existing laws and regulations related to foreign capital acquisition and other normative documents. After the analysis of "foreign merger and acquisition" and "national security", the definition of "national security review of foreign capital merger and acquisition" is obtained, and the construction of China is expounded. Finally, in the third section of this chapter, by comparing the similarities and differences of the system of M & a security review and the market access system and the antitrust review system, it deepens the understanding of the characteristics of the M & a security review system. In the broad sense, the foreign access system has included the national security review, however, the limitation of the foreign investment access system It is still necessary to build a special security review system to further improve the degree of national security. The second chapter focuses on the status and shortcomings of the national security review system of foreign capital mergers and acquisitions in China. This paper introduces the current legal regulation status of China's M & a security review system. The second section analyzes the substantive content of the M & a security review system in China, including the scope and main content of the security review, and analyzes the shortcomings of the current regulations in theory and practice. The third section analyses the security review system of M & A in China. The contents of the program, including the specific procedures for the confirmation and examination of the competent authorities, and the analysis of the current procedural rules and regulations which are far from applicable to the reality. The third chapter is devoted to the analysis of the national security review system of the foreign merger and acquisition in the United States. The first section introduces the legislative origin of the US M & a security review system - Exxon - The background and general content of the Exon-Florio Amendment and the foreign investment and national security law (FINSA). The second section analyses the substantive regulation part of the US M & a security review legislation. The review body is a foreign investment committee, and the relevant laws of the US M & a security review in the formulation of the examination criteria The definition of "national security" is not defined to maintain the flexibility and openness of the relevant legislation. The US security review legislation provides an explanation of the key words involved in the "governed M & a" for the.2008 years of M & A under jurisdiction and ungoverned mergers and acquisitions, such as "control", "foreigner" and "American". The third section analyses the procedural regulation part of the US M & a security review. The specific procedures of the US M & a security review include: review, investigation procedure, declaration withdrawal, review, and congressional supervision mechanism. The fourth chapter discusses the experience and loan of China's M & a security review system in the United States. On the basis of enumerating the defects of the existing censorship system in China, the paper puts forward some suggestions for improvement. The first section clearly defines the principles of the security review system of M & A, including maintaining the principle of opening foreign capital and protecting the national security balance, maintaining the transparency principle of the security review of M & A and the principle of ensuring the unity of the security review of M & A. The second section introduces the part of the substantive part of the M & a security review in China. First, the scope of the security review should be clearly defined in the legislation. As for the identification of "foreign investors", our country can draw on the regulations of the United States when determining the object of the merger and acquisition security, and take the foreign natural persons to the standard of nationality. The national entity adopts the "actual control" standard. In setting the scope of the merger and acquisition security review, when China lists the types of the merged enterprises, we should add a pocket clause on the existing basis. At the same time, the words "key infrastructure" and "key technology" are the key words to determine whether the industry has a key impact on the M & A enterprises. The remittance should be defined clearly or set up a certain standard of judgment. Secondly, we should refine the content of the security review. In the refinement of the content of the security review, our country can also refer to the model of the United States, not only to refine the factors that should be considered in the judgment of national security, but also to set up the principle factors that will affect the security of the state in order to master the factors. The third section introduces the perfect content of the procedure part of China's M & a security review. First, we should make clear the division of responsibilities of the security review mechanism of M & A. Secondly, we should improve the procedure of the security review of foreign merger and acquisition, including the meticulous and rigorous procedure setting, so as to set more flexibility and change space for the procedure. And relief rights and relief channels should be set up for applicants.

【學(xué)位授予單位】：華東政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2015
【分類號(hào)】：D922.295

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7 陳崢嶸;外資并購(gòu)會(huì)青睞哪些行業(yè)[N];中國(guó)旅游報(bào);2002年

8 繆舢;外資并購(gòu)政策急需調(diào)整[N];中國(guó)企業(yè)報(bào);2003年

9 吳昊;外資并購(gòu) 明天是否依然愛我？[N];國(guó)際商報(bào);2003年

10 吳學(xué)安;外資并購(gòu) 產(chǎn)權(quán)改革正在過大坎[N];國(guó)際商報(bào);2003年

相關(guān)博士學(xué)位論文 前10條

1 梁媛;中國(guó)境內(nèi)外資并購(gòu)的目標(biāo)選擇與經(jīng)濟(jì)效應(yīng)研究[D];華中科技大學(xué);2008年

2 馬永亮;外資并購(gòu)國(guó)有企業(yè)的定價(jià)問題研究[D];南開大學(xué);2009年

3 歐陽(yáng)靜波;外資并購(gòu)的績(jī)效研究[D];暨南大學(xué);2010年

4 何志勇;外資并購(gòu)對(duì)我國(guó)產(chǎn)業(yè)安全的作用機(jī)制研究[D];哈爾濱工程大學(xué);2011年

5 王東杰;外資并購(gòu)與我國(guó)產(chǎn)業(yè)安全研究[D];山東大學(xué);2009年

6 何培華;外資并購(gòu)法律問題研究[D];中國(guó)政法大學(xué);2005年

7 劉志杰;外資并購(gòu)中的國(guó)有股權(quán)定價(jià)問題研究[D];遼寧大學(xué);2009年

8 陳清;中國(guó)外資并購(gòu)政府規(guī)制研究[D];北京郵電大學(xué);2007年

9 莫曉芳;外資并購(gòu)對(duì)東道國(guó)產(chǎn)業(yè)競(jìng)爭(zhēng)力的影響研究[D];華中科技大學(xué);2008年

10 李新平;中國(guó)資本市場(chǎng)外資并購(gòu)上市公司研究[D];西南財(cái)經(jīng)大學(xué);2005年

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