【作者】 谢舟；

【导师】 肖北庚；

【作者基本信息】 湖南师范大学 ， 国际法学， 2003， 硕士

【摘要】 法律是社会关系的调整器，海外投资制度是调整海外投资活动关系的规则体系。投资者是海外投资活动的主体，投资者资格制度是海外投资制度中主体制度的核心部分。我国要研究海外投资立法，投资者及资格制度应是首要课题。 本文从探讨投资者的内涵入手，分析比较了几种不同的投资者定义，提炼出各国投资者定义的两种主要类型：“法律许可型”和“行政审批型”。在分析这两种类型的基础上，总结了我国定义投资者需要考虑的几个层面，并推出我国投资者定义的大体构架。投资者的一般法律身份，是海外投资资格制度的立论基础，而投资者现实形态是海外投资资格制度具体调整对象。这两个要素与投资者的定义一起，构成了投资者的概念体系。而对这一概念体系的不同认识也演绎出不同的投资者资格制度乃至影响到海外投资制度的整体不同。本文关于投资者的一般法律身分和现实形态的分析也为我国投资者资格制度的设立提供了思维基础。 在上述基础上，本文分析了投资者界定的价值参数和方法参数，这两者是投资者资格制度的设立参数。价值参数部分着重分析了经济和政治形态对投资者界定的影响，这同时也是投资者资格制度立法的背景性因素；方法参数部分分析了不同投资者资格制度立法手法，并比较优劣。我国对这两大参数的设定将根本决定我国的投资者资格制度的构建。 最后，构架我国的投资者资格制度，这是本文的宗旨所在。文章创新性地提出我国制度的总体定位：与投资主体多元化和投资自由理念相符合的资格认证制度。并在此基础上依我国特殊企业的形态，逐个分析了它们的资格实现问题。国有企业，加强管理；民营企业，扶持鼓励。并将投资扶持体制也纳入资格制度范畴，全面丰富了投资者资格制度。更主要的是，为我国投资者资格制度的现实设立提供了借鉴。更多还原

【Abstract】 Law is a regulator to social relationship, and the overseas investment system is a regulation system to adjust overseas investing activities. The investor is the subject of overseas investing activities and investor’s qualification system is the core of the overseas investing object system. The investor and its qualification system is the first topic for the study on overseas investment legislation.This dissertation analyses the different definition of investor by probing into the connotation of investor and concludes the two main definition type of investor: "Law Licensed" and "Administration Approved". Based on these two definition type of investor, it concludes the main strata for our country to definite investor and whole structure of our country’s definition for investor. The general legal status which is the foundation of overseas investor qualification system and the realistic form which is regulated object of overseas investor qualification system combined with the definition of investor forms the conception of investor. Different understanding to this conception educes different investor qualification system even different overseas investment system. The study of the general legal status of investor and its realistic form provides a thinking foundation for our country to establish the investor qualification system.The dissertation then analyzes the value parameter and method parameter which is the establishment parameter of investor to define investor. It stresses the effect of the economic and political form which is legislation background for investor qualification system, in the part of value parameter and analyzes the legislation method for and its advantage and its disadvantage of different investor qualification system, the establishment of these two parameter of our country will determine the construction of our country’s investor qualification system.At last, to construct China’s investor qualification system is the goal ofthis dissertation. This dissertation provides the whole orientation of China’s system constructively: the investor qualification authentication system in accordance with investor pluralism of free investing idea. It analyzes the qualification realization individually according to the forms of China’s special enterprises, giving more regulation to State-owned enterprise; giving more support and encourage to Private. It consummates the investor qualification system by including the investment supporting system into the qualification system. More important is that it provides some constructive suggestion for the realization of China’s investor qualification system.更多还原