外资国民待遇法律问题研究

【作者】 赵飞兵；

【导师】 王莲峰；

【作者基本信息】 郑州大学 ， 法律， 2004， 硕士

【摘要】 随着世界经济一体化发展，有关国际投资的双边及多边协定日益增加，国际投资待遇标准问题成为各缔约方争执不休又一时难以解决的问题。对东道国而言，对外资的待遇标准实际上就是外国人待遇标准在国际投资领域的具体体现和运用，构成一国法律环境的基础和核心。制定一个公正合理的市场竞争规则是国际投资自由化所必需的，竞争主体需要处于平等的地位，国民待遇是保护这种平等地位所不可缺少的因素。因此，对外资国民待遇问题进行研究，摆正对外资的态度，给予外资以适当的国民待遇，有利于解决东道国与投资方矛盾，这对我国经济可持续发展有着举足轻重的地位。 本文共分为四个部分。 第一部分：国际投资分为直接投资和间接投资。国际直接投资是国际投资的主要表现形式，对东道国可能产生一系列的正面效应或负面影响。因此，东道国对国际直接投资大都采取谨慎态度，投资者与东道国之间在如何适用外资国民待遇方面的矛盾随之产生。 第二部分：外资国民待遇标准探讨。该部分是本文有所创新之处，国民待遇标准的适用原则包括尊重国家主权原则，互惠与对等原则，从国情出发原则以及国际经济协调原则。国民待遇标准的适用主体应为外国投资者，而非外商投资企业，适用对象为外国投资行为而非外国投资者。该部分还讨论了国民待遇的价值取向及其与优惠待遇、保留条件待遇的比较。 第三部分：WTO协定主要是关于国际贸易方面的国际法律规范，其中有关原则和条文对国际投资领域有重大参考价值。GATT(1994)、TRIMs协定、GATS、TRIPs协定都有关于国民待遇方面的规定，这使得国际投资自由化趋势变得明朗，但就现实情况而言，国民待遇要成为国际投资领域中一项强制性原则还需要走一段很长的路程。 第四部分：中国外资法对于外资国民待遇的重新定位或思考。该部分同样有所创新。从迄今为止所签订的投资保护协定来看，我国已经给予了外资国民待遇。为使我国最终成为世贸组织合格一员，并促进我国法律体系进一步科学化，有必要对我国内外资企业立法模式进行变革或重构，将外资法与企业法分别制定，内资企业与外资企业划分标准与立法模式统一化，即内资企业与外资企业实行统一的企业法，再以外资法对给予不同于内资的待遇以专门规范，以契合我国国情和顺应国际潮流。更多还原

【Abstract】 With the development of the globalization of the world economy, bilateral and multilateral treaties on international investment have been increasing ,meanwhile,the standard of international investment treatment has been one of the controversial and troublesome questions among contracting parties.For host countries,the standard of international investment treatment is actually that of foreigner treatment which reflects in the field of international investment and forms the base of the state’s law environment.The liberalization of international investment requires fair and reasonable competition rules. Competitive bodies need to be put on an equal footing,and national treatment is the essential factor which can keep this equal footing.Therefore,to study national treatment of foreign investment and give appropriate national treatment to foreign investment is advantageous to solution of disputes between host countries and investors,which turns to be very important for the development of our state economy.The thesis includes four parts:The first part mainly describes international investment which consists of Foreign Direct Investment and Foreign Portfolio Investment. FDI forms the main part of international investment and can cause a series of positive or negative influence.Most host countries acts carefully with FDI, from which the disputes between host countries and investors come.The second part analyzes the national treatment standard of foreign investment, which is a highlight of innovation of this thesis. The principles of national treatment standard should comprises the principle of respecting state sovereignty, that of mutual benefit and equity, that of proceeding from national conditions and that of coordinating international economy. The applicable subject of national treatment should be foreign investors, but not foreign-funded enterprise; the applicable object should be the action of foreign investing,but not foreign investors.This part also describes the value-judgement of national treatment and the distinction among national treatment,preferential treatment and restrictive treatment.The third part: WTO treaties mainly regulate the field of international trade, in which related principles and rules possess important reference value for the field of international investment. GATT(1994), TRIMs treaties. GATS. TRIPs treaties all comprise rules on national treatment, which make clear the trend of liberalization of international investment. But so far as the actual situation,there must be a long way until national treatment become one compulsory principle in the field of international investment.The fourth part concerns how to reform the national treatment of foreign investment in current foreign investment law of China, which is also a highlight of innovation of this thesis. China has granted foreign investment national treatment in the invest-protecting treaties signed so far. For the aim to become one qualified member of WTO and make our law systerm more scientific, we should reform or rebuild the current legislative framework, work out foreign investment law and enterprise law separately, that is, apply the same enterprise law to both domestic and foreign investment and then apply foreign investment law specialy to the treatment of foreign investment different from that of domestic investment, which can make our law systerm accord with the state situation and international trend.更多还原