本文選題：“負(fù)面清單” + 上海自貿(mào)區(qū)　； 參考：《華東師范大學(xué)》2015年碩士論文

【摘要】：國(guó)務(wù)院于2013年8月批準(zhǔn)上海設(shè)立自貿(mào)區(qū),中央將自貿(mào)區(qū)作為一塊試驗(yàn)田,改革的重點(diǎn)、難點(diǎn)與亮點(diǎn)是“負(fù)面清單”管理模式。上海自貿(mào)區(qū)雖落戶上海,卻旨在進(jìn)行國(guó)內(nèi)經(jīng)濟(jì)改革,這也決定了園區(qū)內(nèi)“負(fù)面清單”與國(guó)際法的“負(fù)面清單”是存在區(qū)別的。同時(shí)“負(fù)面清單”模式的采納又有國(guó)際背景,且從國(guó)外引進(jìn),又必然具有國(guó)際特色。筆者自上海自貿(mào)區(qū)成立以來(lái),跟蹤研究區(qū)內(nèi)各類政策及法律法規(guī),同時(shí)說(shuō)明了“負(fù)面清單”采納的背景——自貿(mào)區(qū)的功能定位、國(guó)內(nèi)與國(guó)際環(huán)境的影響,分析了自貿(mào)區(qū)“負(fù)面清單”的特殊性,即其性質(zhì)術(shù)語(yǔ)國(guó)內(nèi)法,另外筆者根據(jù)現(xiàn)有學(xué)界觀點(diǎn)總結(jié)了“負(fù)面清單”的特點(diǎn)�！柏�(fù)面清單”本質(zhì)的特征是要求更高水平的透明度與自由度。自由度不僅體現(xiàn)在其比正面清單開(kāi)放的領(lǐng)域更多,還體現(xiàn)在這種開(kāi)放呈現(xiàn)逐漸擴(kuò)大趨勢(shì),迄今發(fā)布的兩版“負(fù)面清單”就是佐證,且2015年的“負(fù)面清單”會(huì)更加開(kāi)放。不論將“負(fù)面清單”作為一種制度安排還是法律法規(guī)來(lái)研究,“負(fù)面清單”都有其運(yùn)行的法治價(jià)值選擇�！柏�(fù)面清單”與區(qū)外法律的不同及其呈現(xiàn)的特點(diǎn),是其法治價(jià)值選擇不同的外化,故本文從自由、秩序與效率三個(gè)方面分析“負(fù)面清單”的價(jià)值選擇及表現(xiàn)。自由是“負(fù)面清單”的核心價(jià)值,秩序與效率不僅是是“負(fù)面清單”的內(nèi)含價(jià)值,更是為了保障“負(fù)面清單”的實(shí)際運(yùn)行效果,降低市場(chǎng)風(fēng)險(xiǎn)而采取的配套制度應(yīng)體現(xiàn)的價(jià)值選擇。以上都是從理論層面闡釋“負(fù)面清單”,最后筆者嘗試從實(shí)踐層面分析“負(fù)面清單”的法律銜接問(wèn)題,具體包含其法律定位、推廣與推廣過(guò)程中應(yīng)該從哪幾個(gè)方面完善的問(wèn)題。首先應(yīng)明確的是“負(fù)面清單”是國(guó)內(nèi)法,然后根據(jù)其制定主體與內(nèi)容,以及新修訂的立法法的具體條款,筆者認(rèn)為“負(fù)面清單”的法律定位應(yīng)是地方政府規(guī)章�！柏�(fù)面清單”的運(yùn)行效果好,那這種立法模式與創(chuàng)新經(jīng)驗(yàn)就值得推廣,這是改革創(chuàng)新經(jīng)驗(yàn)先試先行的要求�！柏�(fù)面清單”推廣的路徑主要是兩種：地方及全國(guó)。地方的“負(fù)面清單”以廣東自貿(mào)區(qū)“負(fù)面清單”為例,該清單立足于上海自貿(mào)區(qū)“負(fù)面清單”卻又有創(chuàng)新——針對(duì)港澳投資者的門(mén)檻更低；全國(guó)性的“負(fù)面清單”即《中華人民共和國(guó)外國(guó)投資法(草案征求意見(jiàn)稿)》規(guī)定的特別管理措施目錄�！柏�(fù)面清單”在推廣的過(guò)程中必然是不斷完善的,這個(gè)過(guò)程不僅僅是擴(kuò)大開(kāi)放,更要注重其改革的合法性與監(jiān)管措施的完善。另外筆者還對(duì)發(fā)布的兩版“負(fù)面清單”進(jìn)行了比較分析,上海自貿(mào)區(qū)對(duì)于上海乃至全國(guó)的推動(dòng)作用都是巨大的,自其成立以來(lái)很多學(xué)者與機(jī)構(gòu)都對(duì)其進(jìn)行了深入的研究,本文希望借助此自貿(mào)區(qū)的平臺(tái),以所學(xué)理論對(duì)自貿(mào)區(qū)“負(fù)面清單”的完善能貢獻(xiàn)微薄之力。
[Abstract]:In August 2013, the State Council approved the establishment of a free trade zone in Shanghai. The central government regards the zone as an experimental field. The focus, difficulty and highlight of the reform are the "negative list" management model. Although Shanghai Free Trade Zone was established in Shanghai, it aims to carry out domestic economic reform, which also determines the difference between the "negative list" and the "negative list" in international law. At the same time, the adoption of "negative list" mode has international background and international characteristics. Since the establishment of the Shanghai Free Trade Zone, the author has followed various policies, laws and regulations in the area, and explained the background of the adoption of the "negative list"-the functional orientation of the Free Trade area and the impact of the domestic and international environment. This paper analyzes the particularity of "negative list" in FTA, that is, its nature term, domestic law. In addition, the author summarizes the characteristics of "negative list" according to the existing academic point of view. The essence of the negative list is that it requires a higher level of transparency and freedom. The degree of freedom is reflected not only in the areas where it is more open than in the positive list, but also in the gradual expansion of this openness, as evidenced by the two versions of the "negative list" released so far, and by 2015, when the "negative list" will be more open. Whether we study negative list as a kind of institutional arrangement or laws and regulations, negative list has its legal value choice. The difference between "negative list" and extra-regional law and its characteristics is the externalization of the value choice of "negative list". Therefore, this paper analyzes the value choice and performance of "negative list" from three aspects: freedom, order and efficiency. Freedom is the core value of "negative list". Order and efficiency are not only the intrinsic value of "negative list", but also the practical effect of "negative list". To reduce the market risk and adopt the supporting system should reflect the value of choice. At last, the author tries to analyze the problem of the legal cohesion of the negative list from the practical level, including the legal orientation of the negative list, which aspects should be improved in the process of promotion and promotion. First of all, it should be clear that "negative list" is the domestic law, then according to its main body and content, as well as the specific provisions of the newly revised legislative law, the author thinks that the legal position of "negative list" should be local government regulations. The negative list works well, so this legislative model and innovation experience are worth popularizing, which is the requirement of reform and innovation experience. There are two main ways to promote the negative list: local and national. The local "negative list" takes Guangdong Free Trade Zone "negative list" as an example, which is based on the "negative list" of Shanghai Free Trade Zone but also has innovation-the threshold for investors in Hong Kong and Macao is lower; The nationwide "negative list" is the catalogue of special administrative measures stipulated in the draft Law on Foreign Investment of the people's Republic of China. The negative list is bound to be perfected in the process of promotion. This process is not only to expand the opening up, but also to pay attention to the legitimacy of its reform and the perfection of supervision measures. In addition, the author also makes a comparative analysis of the two editions of the "negative list" published. The Shanghai Free Trade Zone has played a huge role in promoting Shanghai and the whole country. Since its establishment, many scholars and institutions have conducted in-depth research on it. This paper hopes that with the help of the platform of the free trade area, the theory can contribute to the improvement of the "negative list" of the free trade area.
【學(xué)位授予單位】：華東師范大學(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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