【作者】 苏静；

【导师】 娄丙录；

【作者基本信息】 河南大学 ， 经济法学， 2018， 硕士

【摘要】 目前,经济全球化的形势已经发生了改变,由原来的以国际贸易为中心转而以国际投资为中心,TTP、TTIP之下投资自由化、服务贸易自由化的标准越来越高,相比之下我国的外商投资准入水平和国际标准相差较远。截止2016年9月中美就双边投资协定(BIT)已经进行了29轮谈判,2013年中美第五轮战略对话中我国同意以“准入前国民待遇+负面清单”为基础继续和美国进行实质性谈判。并与2016年10月第三次交换了负面清单的改进出价,双边投资协定取得了重大成果,这进一步加大了对我国外资准入制度改革的需求。我国改革开放以来不断释放改革红利,资源密集型、劳动力聚集型产业吸引了大量的外资注入。但是随着经济的发展,发达国家开始倡导国内的产业结构优化升级,国际上也开始重视环境污染问题,我国原来的产业结构和类型已经不能适应本国的发展需要,对外资的吸引力也逐步减弱,甚至出现了外资撤资的情况,国内对扩大开放、吸引外资的要求进一步增高。因此,在这样的国际、国内压力之下逐步建立符合我国经济发展的外资准入制度对于改善我国的营商环境尤为重要,我国自贸区外资准入负面清单制度则成为我国探索更加自由的营商环境、更高标准的外资准入制度的最佳尝试。本文将围绕我国自贸区负面清单制度的有关问题展开论述,具体包括以下四个部分:本文的第一部分主要是对自贸区外资准入负面清单制度的概述。包括自贸区和负面清单的概念,并分析了自贸区负面清单制度和相关概念的关系,包括负面清单和准入前国民待遇、自贸区负面清单和全国负面清单的关系以及负面清单和正面清单的关系。此外,文章介绍了负面清单的法理依据,主要包括“私法自治下的法无禁止即自由”和“法律沉默空间”,最后文章分析了自贸区负面清单制度的功能。本文的第二部分析了从2013版到2017版的自贸区负面清单文本的变化,及各自贸区在每一版的负面清单修改后的实践状况,并通过分析总结出了自贸区还存在的一些问题:透明度有待提升、金融业开放度较低,缺少国内行业立法的支持以及事中事后的监管有待完善。文章的第三部分就国际上的负面清单制度进行了简单的经验介绍,发达国家的负面清单制度包括美国和日本;发展中国家的负面清单制度如印度尼西亚、菲律宾。虽然同为发达国家但是对于采取负面清单做法的态度不完全相同,美国对于外资进入的态度较为宽松,而日本对于外资进入的态度相对谨慎,负面清单制度在其国内起步较晚。印度尼西亚的负面清单制度最值得我们借鉴的就是其制定了一系列和负面清单制度相关的法律,为负面清单制度的实施扫清了障碍;而菲律宾却因为负面清单的内容和其国内的宪法及其他基本性法律发生冲突,实施效果和预期相差甚远。文章的最后一部分,结合我国的实践状况以及国际上负面清单制度比较先进国家的经验对我国的负面清单制度提出了一些建议。透明度方面,主要是要完善限制性措施的表达以及信息共享制度。对于提高负面清单的金融业开放度问题,本文通过对我国金融监管体系以及金融业现状的分析,认为可以尝试逐步放宽对金融业的准入条件;此外,由于行业的开放都是存在一定风险的,我们都有必要从负面清单本身出发保留对未来行业采取不符措施的权利。在完善负面清单配套法律体系方面,可以从国内的行业立法和《外国投资法》入手。对于自贸区事中事后的监管,本文着重就完善自贸区反垄断执法体系以及安全审查体系进行了分析,通过分析自贸区反垄断执法的机制及法律基础,认为可以适当加强自贸区反垄断执法的自主性;完善安全审查方面,就安全审查机构以及机制的完善提出了具体的建议。更多还原

【Abstract】 At present,the situation of economic globalization has changed,from the original to international trade as the center,the investment liberalization under the TTP,TTIP,the liberalization of service trade standards more and more high,in contrast to China’s foreign investment access level and international standards are far from the difference.As of September 2016,China and the United States on Bilateral Investment Agreement(BIT)has been 29 rounds of negotiations,the 2013 Sino-US fifth round of strategic dialogue,our country agreed to "access before the national treatment + negative list" as the basis for continuing substantive negotiations with the U.S.And with the third exchange of the negative list in October 2016 to improve the bid,the bilateral investment agreement has achieved significant results,which further increased the demand for foreign investment access system reform.Since China’s reform and opening-up,the reform dividend has been released continuously,and the resource-intensive and labor-intensive industries have attracted a lot of foreign capital injection.But with the development of economy,developed countries began to advocate domestic industrial structure optimization and upgrading,international also began to pay attention to the problem of environmental pollution,China’s original industrial structure and type can not adapt to the development needs of the country,the attraction of foreign capital gradually weakened,and even the situation of foreign capital divestment,domestic to expand Open,The demand to attract foreign investment is further increased.Therefore,under such international and domestic pressure,it is very important to establish the foreign investment admittance system which accords with the economic development of our country,and the negative list system of foreign investment in China’s FTA becomes the best attempt to explore more free business environment and higher standard foreign investment admittance system.This paper will focus on the problems related to the negative list system in China’s FTA,including the following four parts:The first part of this thesis is mainly about the introduction of the negative list system of foreign investment in the FTA.It includes the concept of the FTA and the negative list,and analyses the relationship between the negative list system of the FTA and the related concepts,including the relationship between the negative list and the pre-entry national treatment,the FTA negative list and the national negative list,and the negative and positive lists.In addition,the paper introduces the legal basis of the negative list,mainly including "the Law of autonomy of private law is free" and "legal silence space",finally,the article analyzes the significance of the implementation of the negative list system in the free trade area.The second part of this article analyzes the changes in the negative list text from the 2013 to 2017 edition of the FTA,and the respective trade area in each version of the negative list of the modified practice,and through analysis and summed up the free trade area of some of the problems: transparency needs to be improved,the financial sector is less open,The lack of domestic industry legislation and the supervision after the incident should be perfected.The third part of the article on the International negative list system has a simple experience,the negative list system in developed countries including the United States and Japan;Although the same as developed countries but for the adoption of negative inventory approach is not exactly the same,the United States for foreign investment in a more relaxed attitude,and Japan’s attitude towards foreign investment is relatively cautious,negative list system in its domestic start late.Indonesia’s negative list system is the most worthy of our reference is that it developed a series of laws related to the negative list system,had cleared the way for the implementation of the negative list system,and the Philippines had been in conflict with the content of the negative list and its domestic constitution and other basic laws,and the effect had been far from expected.The last part of the article,combined with our country’s practice situation and the international negative list system more advanced countries experience to our country’s negative list system put forward some suggestions.In terms of transparency,it is essential to improve the expression of restrictive measures and the system of information sharing.To improve the financial openness of the negative list,this article,through the analysis of China’s financial supervision system and the current financial situation,thinks that we can try to relax the access conditions for the financial industry gradually.We all need to leave the negative list itself to reserve the right to take inconsistent measures against future industries.In improving the legal system of negative list,we can start from domestic industry legislation and foreign investment law.For the ex post facto supervision of the FTA,this paper analyzes the anti-monopoly law enforcement system and the security examination system in the free Trade area,analyzes the mechanism and legal basis of anti-monopoly law enforcement in FTA,and thinks that it can strengthen the autonomy of anti-monopoly law enforcement in the free trade area.To improve the security review,The paper puts forward some concrete suggestions on the improvement of the security Review institution and the mechanism.更多还原