【作者】 王静；

【导师】 刘超；

【作者基本信息】 华侨大学 ， 经济法学， 2018， 硕士

【摘要】 《推动共建丝绸之路经济带和21世纪海上丝绸之路的愿景与行动》中明确提出加强能源合作是建设21世纪海上丝绸之路的重点领域,但基于能源资源的敏感性和特殊性,投资者在进入东道国能源市场过程中面临多重风险,包括进入东道国能源领域时面临东道国的安全审查风险,经典的如中海油收购优尼科案所体现的准入阶段的风险,严格的控股比例和复杂多变得审批程序也使能源投资者在进入他国市场前就面临多重阻碍;在投产运营阶段主要面临着传统的政治风险问题,如征收、战乱、国有化以及恐怖主义等,并且近年来许多国家基于环保主义之名而对能源投资项目叫停和征收,投资者损失惨重的同时得不到相应补偿;在能源投资的退出阶段,重点在于是否存在一套有效的争端解决机制以及针对政治风险所建立的投资保险机制,即使目前有中国出口信用保险公司可以对海外能源投资提供保险服务,但是实践中却存在诸多障碍,ICSID也并不能完全适用于沿线所有国家,有效完善的争端解决机制仍没有出现。纵观当前的法律制度,21世纪海上丝绸之路仍然没有一套完整的能源投资风险防范法律体系,即使已经有多年合作的中国——东盟合作组织对这方面的规制也都不完善。随着能源投资活动如火如荼地展开,仅仅局限于此前的法律制度必然不能解决问题,每一个投资失败的案例都值得我们思考,都在呼唤一个完善的能源投资风险防范法律机制。本论文运用阐规范分析法、实证分析法与比较分析法等研究方法展开论述。首先是对21世纪海上丝绸之路上海外能源投资的现状进行细致分析,包括对基本概念的阐述、比较当前能源投资活动与传统能源投资活动的区别,并对当前海外能源投资活动的特征做了细致分析;其次,通过对21世纪海上丝绸之路能源投资所面临的风险进行类型化分析和归纳,对典型的海外能源投资风险进行着重分析,文章分为投资的市场准入、运营以及退出阶段进行阶段话分析;在文章的第三部分,文章梳理当前形势下应对这些能源投资风险已经存在的相关法律机制,包括我国既有的风险防范机制以及国际法上的相关规制和不足之处;最后,在对当前的风险防范法律机制进行检讨和分析的基础上,提出完善21世纪海上丝绸之路能源投资风险防范法律保障机制的现实建议。本文的创新点在于,立足于当前新形势下并结合21世纪海上丝绸之路沿线国家特征,整合当前法律制度下对能源投资活动风险的法律规范,探究有关能源投资的详尽规范;本文不笼统分析海外能源投资中的政治风险,如征收、税收、战乱、最惠国待遇等问题,而是紧密结合当前问题,突出分析当前亟待解决的典型能源投资风险问题;最后本文认为,加入现有的能源投资风险防范法律协定——《能源宪章条约》是降低投资风险,同时,建立起能源合作共同体是解决能源投资问题的关键所在。更多还原

【Abstract】 Energy cooperation is an important engine of the belt and road strategy,Vision and Actions on Jointly Building Silk Road Economic Belt and 21st-Century Maritime Silk Road clearly put forward that strengthening energy cooperation is a key area for building the 21st-century Maritime Silk Road.However,based on the sensitivity and particularity of energy resources,investors face multiple risks in entering the host country’s energy market,including the risk of host country’s safety review when they enter the host country’s energy sector.CNOOC’s acquisition of Unocal reflects the risk of entry the market.The risks,strict ratios of ownership,and complicated procedures for approval have also caused energy investors to face multiple obstacles and risks before entering other countries’ markets;in the operational phase of operations,they are mainly faced with traditional political risk issues such as expropriation,war,and state-owned As well as terrorism,etc.,and in recent years,many countries have halted and imposed energy investment projects based on the name of environmentalism.Investors have suffered heavy losses while failing to receive corresponding compensation.In the exit phase of energy investment,the focus is on whether there is a With effective dispute settlement mechanisms and investment insurance mechanisms established for political risks,even if China Export Credit Insurance Corporation currently provides insurance services for overseas energy investments,there are many obstacles in practice.Looking at the current legal system,the 21 st Century Maritime Silk Road still does not have a complete set of laws against energy investment risk prevention.Even China-ASEAN cooperative organizations that have had many years of cooperation have not perfected such regulations.As energy investment activities are in full swing,the legal system confined to the past cannot necessarily solve the problem.Each case of investment failure deserves our thinking and calls for a sound legal mechanism for energy investment risk prevention.This thesis discusses the application of normative analysis,empirical analysis and comparative analysis.The first is a detailed analysis of the status quo of overseas energy investment on the 21st-Century Maritime Silk Road,including the elaboration of the basic concepts,the comparison between the current energy investment activities and traditional energy investment activities,and the development of the current overseas energy investment activities.Secondly,through the analysis and summarization of the risks faced by the energy investment of the Silk Road in the 21 st century,the typical overseas energy investment risk is analyzed emphatically,such as the risk of the market access stage,the investment process.The risk of environmental protection and the lack of effective dispute resolution mechanism,and combing the relevant legal mechanisms that should deal with these energy investment risks in the current situation.Finally,on the basis of review and analysis of the current risk prevention legal mechanism,Put forward to improve the 21 st century Maritime Silk Road energy investment legal protection mechanism of the practical recommendations.The innovation of this thesis is to explore the detailed norms of energy investment under the new situation and combine the national characteristics along the 21st-Century Maritime Silk Road and integrate the legal norms of energy investment activity under the current legal system.But also closely integrated with the current problems,highlighting the current urgent need to solve the problem of typical energy investment risk;Finally,this paper believes that the existing energy investment risk to join the existing energy investment risk,such as the risk of investment in overseas energy investment,such as levy,tax,war,MFN and other issues.Finally,this article believes that joining the existing energy investment risk prevention legal agreement-"Energy Charter Treaty" is to reduce investment risks,at the same time,the establishment of an energy cooperation community is the key to solving energy investment issues.更多还原