本文關(guān)鍵詞： 上海自貿(mào)區(qū) 外資準(zhǔn)入管理模式 負(fù)面清單 混合清單　出處：《華東政法大學(xué)》2015年碩士論文　論文類型：學(xué)位論文

【摘要】：在勢不可擋的全球經(jīng)濟(jì)自由化浪潮之下,發(fā)展開放型經(jīng)濟(jì)新體制已成為我國建設(shè)小康社會決定性階段的重中之重。借著中美雙邊投資協(xié)定談判的契機(jī),我國于2013年9月29日建立了中國(上海)自由貿(mào)易試驗區(qū)(以下簡稱“上海自貿(mào)區(qū)”),旨在探索適合目前我國國情的經(jīng)濟(jì)發(fā)展模式,積累經(jīng)濟(jì)開放的經(jīng)驗并最終將其復(fù)制推廣至全國。其中,創(chuàng)新外國投資準(zhǔn)入管理體制是最為關(guān)鍵,也最具挑戰(zhàn)性的改革之一。上海自貿(mào)區(qū)采用的外資準(zhǔn)入管理方式是準(zhǔn)入前國民待遇和負(fù)面清單模式,即除清單中列明的領(lǐng)域及其不符措施,其他領(lǐng)域均享受準(zhǔn)入前國民待遇。這完全不同于我國其他地區(qū)(除廣東、天津和福建將設(shè)立的三個自由貿(mào)易試驗區(qū))現(xiàn)行的混合清單模式,即清單中既列有允許也有限制或禁止投資的領(lǐng)域,而對于未列明領(lǐng)域的準(zhǔn)入則取決于一國政府的自由裁量。雖然負(fù)面清單從表面上看,較混合清單更為開放自由,但究竟是管理模式本身的選擇所導(dǎo)致,還是另有原因仍然值得商榷。只有在解決這一先決問題的前提下才能進(jìn)一步完善上海自貿(mào)區(qū)的負(fù)面清單模式,使之在正確的方向上愈加開放,同時預(yù)防風(fēng)險和問題的產(chǎn)生。本文共分為三章探討以上的兩個問題,分別為國際投資與貿(mào)易領(lǐng)域市場準(zhǔn)入的管理方式、負(fù)面清單管理模式的國際經(jīng)驗和上海自貿(mào)區(qū)的負(fù)面清單管理模式。第一章主要采用了比較分析的方法研究第一個問題。在厘清國際流行的兩大管理方式(GATS式混合清單模式與NAFTA式負(fù)面清單模式)之間差別的基礎(chǔ)上,探討其優(yōu)勢與劣勢及其形成的真正原由。其實,負(fù)面清單本身并不自然具有推進(jìn)自由化進(jìn)程的優(yōu)越性,混合清單通過一定的制度設(shè)計一樣可以達(dá)到同等的自由程度。真正促進(jìn)自由化的源泉還是列明的不符措施之本質(zhì)和一國政府的開放意愿,其中后者更為根本。不僅如此,負(fù)面清單的獨特結(jié)構(gòu)反而可能更容易對一國,尤其是發(fā)展中國家造成巨大的行政壓力和嚴(yán)重的經(jīng)濟(jì)后果,而混合清單卻能夠在一定程度上緩解這種擔(dān)憂。第二章和第三章旨在研究第二個問題,即上海自貿(mào)區(qū)負(fù)面清單模式的完善。既然我國經(jīng)濟(jì)開放的意愿已非常明朗,那么問題的關(guān)鍵就在于如何將這一意愿適當(dāng)?shù)乇磉_(dá)在負(fù)面清單之中,并發(fā)揮出最佳效果。第二章從相關(guān)區(qū)域性條約、雙邊條約和國內(nèi)外國投資立法三個方面汲取經(jīng)驗,作為第三章針對上海自貿(mào)區(qū)負(fù)面清單模式進(jìn)行研究的基礎(chǔ)。最后一章闡述了上海自貿(mào)區(qū)負(fù)面清單模式的發(fā)展歷程,肯定了其進(jìn)步之處與影響以及不足之處,最終綜合前文的論述,從外資的界定、負(fù)面清單本身及其配套制度三個方面提出改進(jìn)建議。
[Abstract]:Under the unstoppable wave of global economic liberalization, the development of a new open economy system has become the most important part of the decisive stage of building a well-off society in our country, taking advantage of the opportunity of bilateral investment treaty negotiations between China and the United States. In September 29th 2013, China established the China (Shanghai) Free Trade Test area (hereinafter referred to as "Shanghai Free Trade area") in order to explore the economic development model suitable for the current situation of our country. Accumulate the experience of economic opening and eventually replicate it to the whole country. Among them, the innovation of foreign investment access management system is the most critical. It is also one of the most challenging reforms. The management of foreign capital access in the Shanghai Free Trade area is the pre-entry national treatment and negative list model, that is, excluding the areas listed in the list and its inconsistent measures. All other fields enjoy pre-entry national treatment. This is completely different from the existing mixed list model in other regions of China (except Guangdong Tianjin and Fujian which will set up three free trade pilot areas). That is, the list includes areas where investment is permitted or restricted or prohibited, while access to unspecified areas depends on the discretion of a Government, although the negative list appears to be ostensible. It is more open and free than the mixed list, but it is the choice of the management model itself. Only on the premise of solving this problem can we further improve the negative list model of Shanghai Free Trade Zone and make it more open in the right direction. At the same time, to prevent risks and problems. This paper is divided into three chapters to discuss the above two issues, respectively, the management of international investment and trade market access. The international experience of the negative list management model and the negative list management model of the Shanghai Free Trade Zone. Chapter 1 mainly uses the comparative analysis method to study the first question. Based on the difference between the GATS mixed list mode and the NAFTA negative list mode. To explore its strengths and weaknesses and the real reasons for its formation. In fact, the negative list itself does not naturally have the advantage of advancing the liberalization process. Mixed lists can achieve the same level of freedom through a certain institutional design. The real source of liberalization is the inconsistency of the nature of the measures listed and the willingness of a government to open up. The latter is more fundamental. Not only that, the unique structure of the negative list may, on the contrary, result in greater administrative pressure and serious economic consequences for a country, particularly for developing countries. The mixed list, on the other hand, can alleviate this concern to some extent. Chapters II and III are intended to address the second issue. That is the perfection of the negative list model of Shanghai Free Trade Zone. Since the willingness of our country to open economy is very clear then the key problem is how to properly express this will in the negative list. The second chapter draws lessons from the relevant regional treaties, bilateral treaties and domestic foreign investment legislation. As the third chapter of the study of the Shanghai Free Trade area negative list model based on the last chapter describes the development of the Shanghai Free Trade Zone negative list model, affirmed its progress and impact as well as shortcomings. Finally, from the definition of foreign capital, the negative list itself and its supporting system, the improvement suggestions are put forward.
【學(xué)位授予單位】：華東政法大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2015
【分類號】：D630;D922.295

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