国际投资待遇论

【作者】 牛光军；

【导师】 周忠海；

【作者基本信息】 中国政法大学 ， 国际法， 2000， 博士

【摘要】 国际投资待遇问题是国际投资领域最为重要的法律问题之一，不论在国际法、特别是国际投资法的理论上，还是在国际投资实践中，一直颇受重视，且又争议颇多。因为国际投资待遇问题不仅直接关涉国际投资者的权利义务，同时也是投资东道国和投资母国的利益所在，成为各方利益相互交错、协调的焦点。本文立足于国际投资的发展进程和现状，以国际法关于外国人法律地位的理论和实践为基础，力图对国际投资待遇问题进行系统、深入的分析和研究。 就本文的整体框架而言，包括七章：国际投资待遇概论、最惠国待遇标准与国民待遇标准（Ⅰ）、最惠国待遇标准与国民待遇标准（Ⅱ）、最惠国待遇标准与国民待遇标准（Ⅲ）、国际投资保护制度、外商投资国民待遇基本问题、外商投资国民待遇与我国企业立法模式转型。其中，第一章至第五章是对国际投资待遇问题的一般性研讨，对国际投资待遇标准、国际投资保护制度的主要内容、法律价值、相互关系及相关争议等进行了综合分析和研究。第六章和第七章是在前述分析的基础上，对我国对外商投资实行国民待遇标准的具体研讨。 第一章是对国际投资待遇所涉及的基本理论问题的研讨。鉴于国际上对国际投资待遇的体系架构尚无统一的理解，本文首先从外国投资者待遇标准和国际投资保护制度两个方面对国际投资待遇的体系架构进行了分析。国际投资待遇的适用主体、对象和范围等基本事项的正确界定是解决该问题前提条件，本文结合各国外资法和国际投资条约的实践，对之进行了分析。在理解国际投资待遇标准问题时，必须紧扣待遇标准在国际投资领域的适用现状，正确认识外国人待遇标准在国际投资领域和国际贸易领域的差异所在和相互协调关系，这也正是本章第三节所要解决的问题。 最惠国待遇标准与国民待遇标准是国际投资待遇标准体系中最为主要的两项标准，也是本文研讨的重点和核心，第二章至第四章对之从不同的角度加以综合、全面的分析和研究。本文第二章是对这两项待遇标准的法律价值、适用机制与同类规则、国民待遇与最惠国待遇条款的研讨。第三章在对公平、公正待遇、非歧视待遇标准、国际最低标准的内涵和外延进行分析的基础上，力图对最惠国待遇标准、国民待遇标准与上述三者的应然关系作出界定。第四章以较大的篇幅分析了最惠国待遇标准和国民待遇标准的例外或违反情形，即二者与优惠待遇、差别待遇、歧视待遇的关系。首先是对优惠待遇、差别待遇与歧视待遇作为法律概念的特定化含义及三者之间应然关系与界定标准的分析，将优惠待遇和差别待遇界定为最惠国待遇标准和国民待遇标准的合理例外情形，将歧视待遇界定为是对最惠国待遇标准和国民待遇标准的违反，由此构成以下相关问题分析和研究的基本论点或基础。特别是就国民待遇标准的例外情形，本章以第二节对分别以投资鼓励措施、投资限制措施构成和体现的优惠待遇、差别待遇的具体形式、适用现状和效应及其发展趋势等问题进行了详尽研讨。第三节则是对最惠国待遇标准的合理例外情形的分析。 国际投资保护制度是本文第五章研讨的内容。在第一章对国际投资保护制度的内容和法律价值进行分析的基础上，本章分别对国有化与征收、特许协议和国际投资保险等问题进行了具体研究。对国有化与征收的概念、类型、政治与法律基础、先决条件、补偿及其标准等事项的分析构成本章第一节的内容。第二节对特许协议的法律特征、类型、法律性质、法律效力和法律适用等事项进行了分析和研究。第三节则是对国际投资保险制度的法律价值、制度类型和内容的研讨。 对外商投资实行国民待遇标准是近年来我国外资政策方面一直研究的问题，法学界也对该问题进行了多方面的探讨。本文第六章对我国对外商投资实行国民待遇标准的态势和应予以从法理上澄清的问题作出剖析，对在国民待遇标准的适用主体、“超国民待遇”与“低国民待遇”、加入叮0与对外商投资实行国民待遇标准的关系等问题上存在的误解加以纠正。 本文第七章对外商投资国民待遇与我国企业立法模式转型作了专门、具体的分析和论述。首先是从国民待遇标准的法律价值与实现机制对企业立法模式的特定要求、我国传统企业（包括内资企业与外商投资企业）的划分标准与立法模式与该特定要求的差距入手分析；其次是结合市场经济国家企业划分标准及其立法模式，对独资企业、合伙企业和公司制企业这三种市场经济体制下的企业类型进行了具体分析；再次是对我国两种企业划分标准与相应立法模式并存、企业划分标准与立法模式的市场化要求的进一步分析。 在综合上述分析的基础上，本文认为，伴随着国际投资自由化的发展和我国社会主义市场经济体制及现代企业制度的逐步建立和完善，我国必将对外国投资者实行国民待遇标准。但是，要使国民待遇标准的法律价值和意义得以真正地。切实地实现，必须实现企业划分标准与立法模式市场化、统一化转型，形成国内统一的“国民”待遇，国民待遇标准的参照机?更多还原

【Abstract】 International investment treatment issue is one of the most important issues in the field of international investments. It has been paid much attention to and is heatedly disputed not only in the field of international law, especially in the field of international investment theories, but also in the field of international investment practice because it is closely connected with not only international investors?rights and duties but also the benefits of their countries and has become the central issue in the struggle and coordination for their own benefits. According to the development and current situation it will be analyzed and researched systematically and deeply on the basis of theories and practice about foreigners?legal status in international law in this thesis. As far as the framework of this thesis is concerned, it includes seven Chapters: introduction to international investment treatment, most-favored-nation treatment standard and national treatment standard (D, most-favored-nation treatment standard and national treatment standard (II), most-favored-nation treatment standard and national treatment standard (HI), international investment protection institution, the basic issues of applying national treatment standard to foreign investors_the relationship between the application of national treatment standard to foreign investors and the transform of our national enterprise legislation. The international investment treatment issue is studied generally from Chapter 1 to Chapter 5, and the main contents, the legal value and the interrelation in international institution of protecting investments as well as related disputes are analyzed and researched systematically. Based on the above analysis, our national treatment standard to foreign investors will be studied and discussed concretely in Chapter 6 and Chapter 7. The basic theoretical issues on international investment treatment are studied in Chapter 1. As there is no unanimous international understanding of the framework of international investment treatment, it is firstly analyzed from two aspects: the treatment standards to foreign investors and the international investment protection institution. The prerequisite for resolving the issue is how to define the subject, object and scope which can be applied to international investment treatment. Therefore, combined with the practice in international investment treaties and other national foreign investment legislation, it is analyzed in detail. The key purpose of Section 3, Chapter 1 is how to understand the differences and mutual coordination relations between the application of treatment standards of aliens to international investment field and international trade field, and it must be studied according to the current situation of treatment standards in international investment field in order to understand the issues of international investment treatment standards. Most-favored-nation treatment standard and national treatment standard are the two most important standards in the system of international investment treatment standards, which are also the key and focal point in this thesis and will be analyzed and studied comprehensively at different angles from Chapter 2 to Chapter 4. The purpose of Chapter 2 is to study the legal value, the application mechanism, same-subject-rule, national treatment and most-favored-nation treatment clauses. The purpose of Chapter 3 is to define, based on the analysis of the connotation and extension of the fair and equitable treatment, non-discriminatory更多还原