【作者】 贾希凌；

【导师】 顾功耘；

【作者基本信息】 华东政法学院 ， 国际法学， 2006， 博士

【摘要】 在全球化和现代化背景下,我国涉外经济发展迅速,有关涉外经济的立法及其他管制措施急速增加,在数量上和质量上都是史无前例的。在这种情况下,涉外经济管制的法律协调问题日益突出。针对这一问题,本文认为我国的涉外经济管制应以法律为主要手段,以协调、统筹为基本理念,突出管制的合理性和适度性,谋求涉外经济管制与经济自由、涉外经济安全与经济效率的动态平衡。围绕以上核心观点,本文分为六章,前三章为总论,其中第一章为引言,论述了涉外经济管制改革的时代背景和历史使命。第二章探讨了涉外经济管制的理念革新与模式转变,并对涉外经济管制的概念进行界定。第三章承上启下,讨论经济全球化和加入WTO对我国涉外经济管制的影响,既是前三章的总结,又提出完善涉外经济管制的基本思路。本文后三章为分论,选取了竞争政策与贸易政策的法律协调、产业政策与贸易暨外资政策的法律协调以及涉外金融管制的法律协调为例进行具体分析。第四章首先从市场经济的基本规律即竞争规律出发,研究竞争政策与贸易政策的关系。第五章则论述了与竞争政策相对应的另一个基本经济政策即产业政策与贸易暨外资政策的法律协调。第六章则以资本账户管制、人民币汇率形成机制的改革,以及银行引入战略投资者为例,研究涉外金融管制的法律协调。这是从第四、五章对实体经济问题的探讨过渡到对金融经济问题的分析,目的是力求在尽量广阔的视域内进行论证。本文最后对全文进行简要总结。本文在研究中注意理论与实际相结合,别国经验与中国国情相适应。同时力求结合经济与法律的研究方法,努力贯彻唯物辩证法、系统论、科学发展观,运用所能收集到的相关国内外理论,对我国涉外经济管制的法律协调提出自己初步的观点。以下是对本文各章主要内容的简要介绍。一、在现代化和全球化的大背景下,涉外经济管制改革应建立一个协调的“广义规范性治理系统”我国现代化建立在市场经济和对外开放的基础上。涉外经济管制是以涉外法律和涉外政策为主要媒介的经济管理系统的一个组成部分。在现代化和全球化的大背景下,涉外经济管制具有长期过渡性。一方面,涉外经济与国内经济在一段较长的阶段各自具有特点,涉外经济还有相对独立存在的必要性,因此,在一段时间内应该对涉外经济采取特别管制措施;另一方面,随着加入WTO,我国经济越来越充分地纳入国际经济大循环,国内经济与涉外经济的界限越来越模糊,涉外经济管制的特殊性和差异性越来越少。通过分析我国涉外经济管制的背景,本文第一章进一步讨论了其历史使命。作者认为,涉外经济管制改革的目标应定位于“善治”,即协调的涉外经济管制的体制和机制。涉外经济管制改革本质是改变管制的规则和运行模式。在后WTO时代,涉外经济的因素的比例在逐渐增大,内外经济一体化反映了中国版的经济全球化现象,在经济管制上的要求就是如何建立一个符合我国经济长期发展需要的涉外经济管理规则体系以及精细化的管制体制。笔者主张涉外经济管制改革的目标是建立协调的涉外的“广义规范性治理系统”。所谓“广义规范性治理系统”是包含了狭义的公司治理、村落(社区)治理、行业自律性治理、政府治理等各类以公开的根据程序形成的、具有惩罚强制的规则和纪律为基础(规范性的连接要素)并以公开的组织(社会性的主体要素)和制衡的结构为依托(民主性的体制要素)的治理模式。市场与国家之间的复杂关系,要求我们能够持久地通过法律为主的制度规范把各种资源有效配置起来。二、涉外经济管制的理念革新总纲是创新式的协调发展本文第二章着重论述涉外经济管制的理念革新与模式转换。经济管制属于政府管制的范畴。涉外经济管制是一国政府根据法律法规和经济政策对涉外经济进行的监督、管理和规制的行为。它是国家对于整个国民经济进行干预和调整的延伸,又是国家对涉外经济进行宏观调控和微观管理的综合,其具体作用表现为贯彻国家对外经济政策;维护涉外经济秩序,促进公平竞争;维护国家经济安全;在发挥市场机制的基础上,克服市场失灵。涉外经济管制的基本原则包括依法管制原则、适当管制原则、协调管制原则和效率管制原则。与上述涉外经济管制的作用和基本原则相适应,涉外经济管制的理念革新应体现法律政策中心的理念、统筹协调的理念、风险管理的理念和竞争性管制的理念,其理念革新的总纲是创新式的协调发展。其中的“法律政策中心”理念并非是针对人治与法治的紧张状态而评价中国特色“政策法”的概念。“法律政策”是一国在某个领域立法、执法和司法长期遵守的基本政策、原则和纲领,是体现在具体法律中并长期保持的精髓。在涉外经济领域,所谓以“法律政策”为中心就是以法律政策为指针和总纲的治理理念,笔者建议在对外经济管制中应确立一套稳定的基本的法律政策,使涉外经济立法系统化和透明化,并长期指导管制的活动。这是我国法治理念在对外经济管理的延伸和具体化。在涉外经济管制改革的过程中,笔者认为还应进行下述模式转换:(1)法律形式要从“分而治之”向“内外融合”转换,共同发展“外向型经济”和“经济外向型”,促进内外经济法律体系同步发展。(2)法律政策要从自由贸易政策向自由与公平贸易政策相结合的模式转换,从限制性投资政策向自由投资和投资管制结合的投资政策转换,从鼓励出口创汇向内外经济平衡政策转换。(3)法律功能应实现从防御型法律向防御与进取结合型法律的转换,尤其是争取合法的国际利益和服务国内经济,做到防范风险和鼓励创新的结合。(4)体制架构要从集中管理模式向协调管理和统一管理的有机结合转换,管制手段要从以行政手段为中心向规范、新型、长效和多样的手段集合运用的模式转换。(5)法律价值应从“以政府为导向”向“以市场主体为导向”转换,以利益分配格局的调动为媒介促进市场化管制的建设。三、经济全球化对我国涉外经济管制法律的完善提出了新的课题在经济全球化的趋势下,信息技术发展、金融全球化、国家主权削弱、国家安全问题等都对涉外经济管制产生深远影响。本文第三章阐述了经济全球化和加入WTO对我国涉外经济管制法律的影响。首先,笔者认为要理清涉外经济政策、法律与经济管制之间的关系,力求涉外经济法律的体系化,并处理好稳定性和变动性之间的逻辑关系,加强涉外经济立法的整体规划和立法适度超前,使涉外经济管制具有较高层次的价值取向。其次,涉外经济管制不但要平衡各方的利益,而且规制的重点应放在扼制涉外经济活动可能产生的负效应上。另外,加入WTO对我国涉外经济管制法律的完善提出了新的课题。这包括涉外经济管制立法的统一性问题、透明度问题、一致性问题、充分利用WTO规则问题、国民待遇问题、运用协调型创新性管制应对新贸易保护主义等问题。经济全球化和加入WTO要求我们加快多方面的制度层面的深度结合,把发展对外贸易、资本引进、技术创新、经济结构调整、企业制度创新、体制改革等作为一个统一的整体来考虑,不能把对外开放政策的宗旨简单地停留在机器设备、资金和技术等生产要素的引进的低级层面。总之,全球化的利益并非自动、均匀分配的,我国政府必须有足够的能力充分、合理地运用WTO规则空间,在全球化进程中为我国争取最大化的利益。四、竞争政策与贸易政策的法律协调本文第四章选取竞争政策与贸易政策的法律协调为例探讨了涉外经济管制法律的协调问题。竞争政策与贸易政策具有共同的目标,即促进和维护自由开放的具有竞争性的贸易制度来保证市场的自由运作,最终使消费者获利从而使资源得到最优化的配置,经济得到发展。随着市场经济改革的深化和对外开放的快速发展,如何将我国贸易政策与竞争政策的关系有效地通过法制手段处理好,增强我国企业在国际市场上的持续和强大的竞争力,成为需要密切关注的课题。竞争政策与贸易政策都是国家基本的经济政策,服务于统一的国家发展战略,而竞争政策与WTO规则下的贸易政策的原理又同出一源。然而,两者之间又有冲突,主要表现在空间适用、保护对象或政策目标、利益保护的对象以及具体措施方面的冲突。因此,它们之间的互动关系非常复杂,处理两者关系并无固定的模式。协调二者关系的终极目标是创造能够促进我国竞争和贸易政策辨证或柔性配合的一种制度安排和相辅相成的政策协同效果。笔者认为,协调竞争政策与贸易政策的关系,必须在战略与战术上配合无间。在战略上,无论竞争政策还是贸易政策必须符合某个阶段国家总体经济和政治的战略性目标并始终围绕增进综合国力和战略性利益这个轴心,而在战术上必须动员各种专业力量参与国际规则和国内法规的制定,尤其在制定国内法规时要充分利用国际条约、惯例、案例的经验以及他国的经验,巧妙利用各种规则的优惠、空间甚至漏洞来争取自身利益的最大化。贸易政策与竞争政策的协调方式包括(1)扩张贸易政策的功能边界以便代替竞争政策或弥补竞争法的不足;(2)竞争政策与贸易政策的个别制度之间可以通过国内立法的形式加以协调;(3)通过国际立法协调两者的冲突。笔者以欧盟与美国为例对竞争政策的双边协调、以WTO为例对竞争政策的国际性多边协调进行了探讨,说明竞争政策的国际协调是一个发展趋势,但是在国家利益差异面前,各国政府立场迥然,因此国际协调过程困难重重。为了解决上述问题,笔者认为可以从市场经济法律体系中抽出那些与国家经济发展战略密切、直接相关的政策和法律,概括为一个政策法律群体,即“战略性政策法律体系”,其内部各组成部分各有不同的规范对象、逻辑和方法,但有共同的目标追求,即较长历史时期内的战略性发展目标,而竞争政策与贸易政策属于战略性政策法律体系的组成部分。由此,笔者主张对法律政策的分析应遵循规范分析、利益分析要服务于和从属于价值分析的观点。五、产业政策与贸易暨外资政策的法律协调本文第五章讨论贸易外资政策与产业政策之间关系,其目的是从法律角度考察产业政策法与贸易法、外资法的相互制约和作用的过程和机理,为我国在开放经济条件下完善产业政策法以及协调政策之间的关系提出法律见解。贸易、外资政策对产业政策的影响,在透过产业政策后仍然可以反射到竞争政策,并最终对竞争政策施加作用。因此在本章中,竞争政策仍被提出作为讨论的参照体。贸易暨外资政策、产业政策与竞争政策之间具有很强的关联性,表现为产业政策与竞争政策的冲突与缓和,外资政策与贸易政策在实现、促进、替代产业政策方面逐渐突出。笔者从政策之间的联系性出发,提出“经济政策魔方”的概念,解释多政策协调的必要性,应系统和动态地对待经济政策的关联效应,经济政策需要搭配组合,协调经济政策群体需要法律的系统支持。如何平衡各方利益,使这一魔方达到最佳状态,经济管制机制应发挥出高超的平衡和协调能力。本章第二部分回顾了我国产业政策的发展脉络和产业政策法的基本框架,尤其是体现我国产业政策的选择性的集团化战略,并对我国产业政策法的历史和现状进行了评述。本章第三部分探讨了贸易政策与产业政策的相互关系,包括以贸易政策促进产业结构调整,以及幼稚产业政策、战略产业政策与贸易政策的协调关系。然后在第四部分探讨考察了外资政策与产业政策的相互关系,从实证角度研究《外商投资产业指导目录》的历史变迁及其与《产业结构调整指导目录》的协调,探求从“以市场换技术”到“引进与自主创新结合”政策路线的转换,并分析了外资政策对产业政策的影响效应,包括技术外溢效应与核心技术空洞化、税收损失、产业结构不合理与减缓产业结构优化以及挤出效应、锁定效应与产业空心化等。本章第五部分讨论了外资政策与产业安全的关系,认为鉴于产业安全问题日益凸显,主张为了维护我国产业安全的对策,应实行外资利用的中性化政策。笔者借用李斯特的名言,提出“制度的生产力比之制度本身,不晓得要重要多少倍”的观点。科学发展观统领下的政策组合才能发挥实效。为此,应以法治为中心,在开放经济条件下创造多种经济政策的法律协调机制,在吸收外资中应以促进资源、环境和社会的协调、可持续发展为目标实现外资结构的总体优化。六、涉外金融管制的法律协调当前银行引入外资、人民币汇率改变等问题备受关注,本文以这些热点问题为主要例证,初步研究了金融机构组织再造过程中的管制协调问题和金融资产(金融市场)价格管制过程中的协调问题。涉外金融管制法律协调的中心问题是适应金融全球化、信息化、自由化和混业经营的需要,理性对待金融风险和金融效率,建立一种适当的协调体制与机制,并适时制定和修改金融基本法律,厘清不合时宜的金融行政法规、规章,形成金融法律系统不断自我完善的运行机制。金融组织再造只是一种手段而不是目的,涉外金融管制应以追求金融安全与金融效率之间的平衡性为目标。本文第六章初步探讨了货币政策、汇率政策、贸易政策之间的关系,强调贸易政策与货币政策协调的必要性,研究资本项目外汇管制与人民币汇率形成机制改革的问题。外汇管制的现实驱动资本项目自由化。笔者回顾了资本管制的进程,论述了资本管制变化的条件性,分析人民币升值压力问题的实质及其风险,并总结金融资产价格、金融发展与资本风险管理的关系。这些探讨佐证了外汇管制、外贸与货币政策协调的重要性。本章还探讨了WTO有关规则与金融服务业开放的问题,包括WTO有关规则与我国金融监管立法以及WTO规则适应与运用的协调,介绍了国际政策的背景,为研究金融机构组织再造中的法律协调打下基础。本章还以银行引进战略投资者为例讨论了金融机构组织再造中的法律协调问题,包括银行改革、外资金融机构立法进程以及、有关政策目标、原则与标准的讨论。经过对银行业开放的深层分析与法律对策分析,从金融开放的角度看,本文认为金融属于一国重要资源,外资银行市场准入必须遵循适合国情的基本原则,在实践中对外资银行进入要谨慎地权衡利弊,加强监管协调。最后,本章分析了金融效率与金融安全的平衡问题,包括金融安全的内涵、引进战略投资者要注意金融安全、开放条件下更应防范金融危机、辨证处理金融效率与金融安全的关系以及平衡金融安全与金融效率需要协调性金融管制等问题。从体制建设上,本章认为应建立金融协调管制的体制,建立金融监管局以及强化监管政策、货币政策与财政政策等的配合。七、总结本文第七章对全文做了简单总结。通过对在WTO背景下涉外经济管制的理念革新、贸易政策与竞争政策的协调、产业政策与贸易暨外资政策的协调以及涉外金融管制的法律协调的分析研究说明,涉外经济管制需要一种综合配套的协调的治理理念与行为模式,在此基础上完善战略性法律体系。文章强调涉外经济管制的核心是互动性治理而不是永远依靠强制性惩罚。涉外经济管制的法律协调并不是仅仅在经济领域内的协调就能提供充分的条件,经济性管制与社会性管制是相辅相成的,笔者认为应创造多层次、立体多元化的综合协调模式,把资源、权利和责任统一整合起来。另外需要把握管制的“度”,包括角度、限度、深度、力度、速度、广度、频度,防止对经济实体、金融机构的微观活动的过度行政干预,防止经济效率与经济安全的片面化、绝对化。放松管制与强化管制是辩证关系,放松管制的过程也就是法律变革的过程。本文的研究只是初步尝试,作为本人一个阶段的学习小结,尚有缺漏,期待方家不吝指正。更多还原

【Abstract】 This thesis focuses on the laws regulating the foreign related economy (hereinafter referred to as“foreign economic laws”) of China after China’s accession to the World Trade Organization (hereinafter referred to as“WTO”) in the context of globalization and modernization. The key point is that the foreign related economy should be regulated by law as the main method, with rationality and modesty highlighted with the philosophy of coordination and planning to promote the dynamic equilibrium between regulation and liberalization, and between economic security and efficiency.Focusing on the above core perspective, this thesis is composed of six chapters, with the first three chapters discussing the general concept, while the last three chapters examining some specific fields. The last part briefly summarizes the thesis.Chapter I introduces the background and historical missions of the transformation of the foreign economic laws, providing the social context of the research. Chapter II explores the concepts, principles, innovative notions, and model changes of the regulatory transformation. Briefly summarizing the impact of the economic globalization and China’s entry into the WTO upon China’s regulatory system, Chapter III attempts to deduce the basic idea of how to improve the foreign economic laws. Chapter IV studies the relationship between the competition policy and the trade policy based on the fundamental principle of the market economy, i.e., the principle of competition, while Chapter V analyzes the coordination among the regulations on industrial policy, trade, and investment, which emphasizes another fundamental economic policy, i.e., the policy of industrial development. Chapters IV and V both discuss the substantive economic issues while Chapter VI takes a wider view to examine the coordination of regulations upon foreign related financing, including capital controls, the reform of the RMB exchange rate formation mechanism, and the introduction of strategic investors to banks.Both the theoretical and empirical approaches, and the methods of both historical and comparative study are applied in this thesis. The author also endeavors to integrate economic and legal research methods, implement the materialist dialectics, polysystem theory and pursue a scientific outlook on development. The author’s preliminary conclusion on the harmonization of the foreign economy laws in China is based on the relevant domestic and foreign theories in this field.1. Under modernization and globalization, the reformation of the foreign economic laws shall establish a coordinated“normative regulatory system.”The modernization of China is backed and driven by the reform of market economy and the opening-up policy. The foreign economic laws are part of the economic regulatory system, which takes law and policy as the main intermediaries and is closely linked to Globalization and Modernization. These two propositions form a“dumbbell”structure, where regulations at one side and Globalization and Modernization at the other side. The orientation and fundamental of regulatory transformation is to be conducive to the realization of modernization and coping with economic globalization by innovation. Modernization and globalization form the significant background of our regulatory innovation.The control of foreign-related economy is a long-term transitional process. In the long run, the domestic economy and foreign-related economy have their own characteristics, and the special characteristics of foreign related economy require special regulatory measures. However, after China’s entry into the WTO, China’s economy is integrating into the international economy, as a result, the boundary of domestic economy and foreign related economy becomes increasingly blurred. The specific features of the regulations upon foreign related economy are gradually fading away.In addition to the economic entities, the governance structure, means and competency of regulatory authorities, and the comprehensive legal system that correspond to the competitive market mechanism are also the components of the“normative governance system in a broader sense.”The“normative governance system”here consists of those governance modes such as corporate governance in a narrower sense, community governance, self-regulation, administrable governance, which are developed by due process with mandatory rules and disciplinary penalties as its basis (normative element), and with the public institutions (element of social entity) and a structure of checks and balances (element of democratic institutions).Transformation of the foreign economic laws should be aimed at“good governance”, i.e. the coordination and harmonization of institutions and mechanism. The essence of the transformation is to reform the rules of regulation and the operation model. In the post-WTO era, the proportion of foreign-related economy is gradually increasing. The integration of domestic economy and foreign related economy reflects the Chinese version of the economic globalization. It requires a foreign-related economic management system and a sophisticated rule-based regulatory regime, which can satisfy the requirements for a long-term sustainable development of our economy. The author advocates that the objective of the transformation of foreign-related economy is to establish a coordinated“broad normative governance system.”The market and the complex relationships between and among different countries require us to apply a proper legal system to effectively allocate the various resourcesII. The general principle of the reformation of foreign economic laws is innovative and coordinated development.Economic control falls within the governmental functions. When regulating foreign related economy, the government, in accordance with the laws, regulations, and the economic polices, supervises, manages, and controls the foreign-related economic activities. It is the extension of the governmental intervention and adjustment in the national economy.The foreign economic laws are synthesis of the country’s micro-management and macro-adjustment to its foreign-related economy. It plays an important role in implementing one country’s foreign economic policy, maintaining foreign economic order, promoting fair competition, safeguarding the national economic security, and helping overcome the market failures.The basic principles of foreign economic laws are: rule by law, principle of modesty, principle of coordination and harmonization, and principle of efficiency.The fundamental idea of the transformation of foreign economic laws is an idea of innovative, coordinative, and harmonized development. Accordingly, the foreign economic laws should reflect the ideas of centered-upon-legal-policy, co-ordination and harmonization, risk management, and competitive regulations. Among them, the idea of“centered-upon-legal-policy”is not directed to address the tension between rule by law and rule by man with Chinese characteristics. Legal policy refers to the basic ideas, principles, and guidelines of the strategic policies that a country applies in its legislation, law enforcement, and judicial performance. It is the essence of law that is embodied in the specific regulations and will be maintained for a long time. In the area of foreign-related economy, the idea of“centered-upon-legal-policy”is a fundamental idea that the legal policies should guide the regulatory activities and contribute to the establishment of a series of stable and basic policies of regulatory measures, thus enhance a systematic and transparent legislation. It is the extension and particularization of the“rule by law”in regulating the foreign related economy.The model changes of the transformation of foreign economic laws include the following concepts: (1) The legal form of foreign economic laws should be transformed from the current approach of“dividing and ruling,”to that of“internal and external integration”in order to promote the development of both“external oriented economy”and“overseas investment,”thus to enhance the equilibrium development of legal system. (2) The legal policy should also be transformed from the“free trade policy”to“free and fair trade policy,”from“investment restrictions”to “deregulating and re-regulating investment policy,”and from export incentives to a balanced development of both domestic and foreign related economy. (3) The legal function of the foreign economic laws should be transformed from being defensive to both defensive and initiative to strive for the nation’s interests and to integrate risk preventions into innovation encouragements. (4) The institutional framework should be transformed from the centralized management model to the model of coordinated and unified management, and the regulatory measures should be transformed from administrative oriented to law oriented, in order to support integrated policy harmonization, and to apply cost-effective analysis and information management, etc., to regulate the foreign related economy by normative, updated, long standing, and diverse means. (5) The legal value should be transformed from the administration-oriented to market-oriented model, and promote the market based regulation by adjusting the pattern of interests distribution.III. The economic globalization challenges China’s foreign economic lawsIn the context of globalization, the development of information technology, financial globalization, the erosion of sovereignty, and national security issues have greatly impacted on the foreign economic laws. The economic globalization requires each nation to carefully use the policies and legal instruments in utilizing and controlling the information technology, and attentions should also be given to the effects of financial globalization to the domestic financial markets.We should clarify the relationship between the law and particular policies for purpose of establishing a systematic set of rules on foreign related economy. We should also properly handle the relationship between economic stability and economic dynamism. The regulations upon foreign related economy shall balance the various parties’interests, and more importantly, check their negative effects. The economic globalization and China’s entry into the WTO require us to accelerate the multifaceted development of our systems to promote foreign trade, foreign investment, technological innovation, economic restructuring, and institutional innovation as a whole.Entry into the WTO challenges the Chinese regulation system in foreign related economy fields, and the issues include that of unity, transparency, consistency, national treatment, and the countermeasures against the neo-protectionism. They are all new areas for regulations in post-WTO era. Based on the above points, this Chapter concludes that the government must have sufficient capacity to make full and reasonable use of the WTO rules and strive for the national interests because the benefits of globalization are not automatic or equally distributed.IV. The coordination of laws on the competition policy and the trade policyBoth competition policy and trade policy are fundamental economic polices of the state and serve the unified national development strategy, with the latter enhancing economic efficiency and consumer welfare through free trade and market liberalization, while the former advocating an open market and free trade in order to achieve economic efficiency and consumer welfare. Both policies, by their nature, pursue identical goals and are mutually supportive of the other.But in practice may conflict with each other for many different reasons. The coordination of the competition policy and the trade policy requires the match of strategy and tactics. Strategically, both of them must be consistent with the overall national economic and political strategic goals, and keep focusing on the national competency and the strategic interests. Tactically, the various domestic professionals should be encouraged to participate in the international rules making process, as well as the application of international rules, embodied in the treaties, conventions and cases, to domestic laws. It is important to learn how to take advantage of these processes to maximize the national interests. The ultimate goal is to create an dialectic institutional arrangements to promote the coordination of the competition policy and the trade policy.The coordinative measures include the following: (1) to expand the scope of the function of the trade policy to remedy the lack or functional weakness of the competition policy; (2) to harmonize the separate systems under the competition policy and the trade policy through domestic legislation; (3) to coordinate the conflict through international legislations. The thesis takes the coordination of competition policies in the European Union and the United States as an example to illustrate the bilateral policy coordination, and the WTO as an example for multilateral coordination of international competition policy. The international coordination of the competition policy is a trend, but different countries take different positions based on their different interests, which make it very difficult to handle. The author calls for a“Strategic Legal Policy Régime”consisting of the laws and policies which are crucial to the national strategy. These laws and policies, together with the competition policy and the trade policy, form an integral part, and are aimed at the sustainable development of the country. The author claims that the analysis of the legal policies shall consider the norms and interests, and should be subordinate to the value analysis.V. The coordination of laws regulating the industrial policies and foreign investment policesThis chapter discusses the relationship between the foreign trade policy and the industrial policy, and examines the process and the mechanism of the interactive relationship of the industrial policy, the foreign trade policy, and the foreign investment policy from the legal perspectives, seeking the solution of how to improve the industrial policy and how to coordinate among the different policies.In discussing the relationships among the policies of trade, foreign investment, and industries, the competition policy is being put forward as a reference. The foreign trade and the investment policies are strongly correlated to the industrial policy, which could be seen through the conflicts and their relaxations. The foreign trade policy and the foreign investment policy are playing remarkable roles in achieving, promoting, or even replacing industrial policy. This chapter further develops the idea of“Economic Policy Magic”to explain the necessity of coordination of the policies, where the regulations are crucial.The second section of Chapter V reviews the historical development of the industrial policy and the framework of the industrial regulations in China. The third section discusses the co-relationship of the trade policy and the industrial policy, which includes the promotion of the trade policy to the industrial structural adjustment, and the coordination of the infant industry, strategic industry, and the trade policy. The fourth section further discusses the relationship between the foreign investment policy and the industrial policy. The fifth section argues the relevance of foreign investment policy and economic security, and concludes that a neutral position is necessary in regulating foreign investments in order to ensure the industrial security.As Friedrich List says,“The power of producing wealth is therefore infinitely more important than wealth itself.”The improvement of the foreign-investment-structure requires the coordination of diverse policies to enhance the harmonization of resources, environment, and society, and to promote sustainable development. To this end, the policies under rule of law guided by the perception of a scientific outlook of development are highlighted.VI: The coordination of foreign related financial lawsThis Chapter discusses some issues that have currently attracted much attention in China, such as the foreign investment in Chinese banks and the changes of the RMB exchange rate, in order to address the problems of the coordination of regulations arising from the process of re-constructing the financial institutions as well as the price control of the financial assets on the financial market.The key point in the coordination of the foreign economic laws is to satisfy the needs for financial globalization, information availability, liberalization, and comprehensive operation, and to rationally perceive the financial risks and efficiency, to establish a proper system and mechanism, to make and amend the basic financial laws in a timely manner, to repeal the out-of-date financial administrative regulations and rules, and to formulate a sustainable self-improved system of financial laws. The re-construction of financial institutions is but a measure instead of the goal, and the regulations on foreign-related finances should seek the balance between financial security and efficiency.This Chapter attempts to discuss the relationships among the monetary policy, foreign exchange policy, and trade policy, stressing on the necessity of coordination of the above polices, from which it continues to examine the transformation of the foreign capital control and the RMB exchange rate formation mechanism. The reality that people try to evade the foreign exchange control promotes the liberalization of capital flow. The author reviews the evolution of the capital control, discusses the conditions of its transformation, analyzes the essence of the pressure of the increase of RMB’s value and its accompanying risks, and summarizes the relationships among the financial assets’price, financial development, and capital risk control. These discussions prove the importance of the coordination of foreign exchange control, foreign trade, and monetary policies.This Chapter also discusses the relevant WTO rules and the opening of financial service industry to foreign market. It introduces the international background, laying a foundation for the further research on the re-construction of financial institutions.Another focus of this Chapter is the coordination of laws regulating the re-construction of the financial institutions, taking as an example the banks that receive foreign capital investment. Among others, it studies the legislative process of banking reformation and foreign invested financial institutions, as well as the international practice, the relevant arguments on the policy goals, principles, and standards. After the extensive analysis, the author agrees that finances are part of the most important national resources; therefore, the entry of the foreign banks into Chinese market must comply with the basic principles that meet the national condition. In reality, we must carefully balance the interests when considering permitting foreign banks to enter into Chinese market. Form the financial reformation perspective, foreign investment is a form of reformation of ownership of financial assets, therefore, we should try to maximize the benefit out of it and avoid the possible negative effect, and a strong regulation and coordination may do it.Based on these analyses, this Chapter examines the balance of financial efficiency and security, and concludes that it is necessary to establish a coordination system to strengthen financial regulation policies.VII. SummaryThe last part of this thesis is a brief summary. The control of foreign related economy needs a comprehensive coordination system, conceptually, and practically. The coordination of the foreign economic laws, the trade policies, the competition policy, as well as the foreign trade and investment policies should all be coordinated with each other in order to formulate a perfect strategic legal system. The core of the foreign economic laws is the interactive regulation instead of mandatory punishment. The coordination of foreign economic laws is a complex and comprehensive approach. In a word, deregulation and re-regulation in this area are closely related, and the process of deregulation is actually the process of transformation of the law.This thesis, as a brief review of what the author has studied during the past years, is just the first step into this field, and it may contain some arguable points. The author is expecting comments from the experts and scholars.更多还原