【作者】 李晖；

【导师】 张蕾；

【作者基本信息】 北京工业大学 ， 国际贸易学， 2009， 硕士

【摘要】 外商投资企业是我国利用外资的主要形式,自改革开放以来在国民经济中占据着重要的地位。然而外商投资企业在我国目前仍以中外合资企业、中外合作企业和外商独资企业为主,组织形式为非法人企业以及法人形式中的有限责任公司,作为其中唯一一种股份有限公司的外商投资股份有限公司在中国不仅起步较晚,而且发展至今仍数量稀少。为探究其中原因,文章以外商投资股份有限公司的市场准入制度为主要研究内容,主要从新制度经济学和法经济学的角度来考察。首先分析了外商投资股份有限公司的基本特征和在中国发展的现状,并从不同设立方式的角度对其进行实证研究。文章从外商投资股份有限公司的准入领域、设立方式、出资人制度和资本制度、相关程序性规定四方面来研究外商投资股份有限公司的市场准入制度,认为目前存在的主要问题包括市场准入领域政策的制定主体分散、制定过程缺乏科学性,对并购方式缺乏鼓励性规定、政策前瞻性不足,对出资人和资本要求过高,审批依据缺乏合理性、审批程序复杂等,是制约外商投资股份有限公司发展的关键因素。文章在阐述了完善外商投资股份有限公司的市场准入制度的必要性、可行性及旨在“微调”的目标之后,提出了首当其冲应明确外商投资股份有限公司的地位,补充为中外合资股份有限公司和外商独资股份有限公司,并分别归类为合营企业和外资企业,从而可以适用范围更广的规则。其次针对外商投资股份有限公司的市场准入制度存在的问题逐一提出完善措施,包括统一外资准入领域政策的制定主体、增强政策制定过程的科学性、出台鼓励外资并购的政策、允许中国自然人成为出资人、降低注册资本的最低限额、原则上取消外资股权比例的限制、变逐一审批制为选择审批制、登记注册应适用准则主义等。文章最后提出,在条件允许下,应打破我国目前按照资本来源对企业进行分类的做法,按照组织形式制定不同规则,以便更好利用外商投资股份有限公司这一投资形式,为发展我国经济增强国力做出贡献.本文主要从新制度经济学和法经济学的角度来考察外商投资股份有限公司及其市场准入制度,力图从外商投资股份有限公司设立的不同方式上归纳出其在中国的发展现状,包括数量、分布行业、涉及金额等,从而为后续研究者提供一份较完整的研究资料;同时提出完善外商投资股份有限公司市场准入制度的具体措施,使其能够在我国经济生活中发挥更大的作用,以进一步提高我国利用外资的质量和水平。本文的研究意义在于通过搜集研究相关数据,理清我国外商投资股份有限公司的发展现状,对完善我国外商投资股份有限公司的市场准入制度具有一定前瞻性和积极的建设性意义,促进外商投资股份有限公司在我国的进一步发展。更多还原

【Abstract】 Foreign-invested enterprises are the main form of utilization of foreign capital, since the reform and opening up policy they have occupied more and more important position in the national economy. However, the main forms of foreign-invested enterprises in China are Sino-foreign joint ventures, Sino-foreign cooperative enterprises and wholly foreign-owned enterprises, companies limited by shares with foreign investment (Hereinafter referred to“The Companies”), as the only form of Co., Ltd., have not developed well.The article focuses on the market access system of The Companies, first of all analyzing the basic characteristics and the current situation of The Companies in China. Establish an Empirical Study from the perspective of different ways to set up The Companies. There are four aspects as for the market access system of The Companies: the fields of the market access, the means of establishment, the investors and the capital system, the relevant procedural provisions. After the analysis of the above four aspects, the main problems are concluded as policy maker dispersing, lack of encouraging policies to M&A, forward-looking policy and scientific-making process, over qualifying of the investor and the investment, and complex approval procedures, which is the key factors of restricting the development of The Companies.After listing the feasibility and goal of refining the market access system of The Companies, the author holds that the first thing is to make clear The Companies’position: positioning them to Sino-foreign joint ventures and wholly foreign-owned enterprises, regarding whether they have Chinese capital, in order to apply to wider regulations. Secondly, refining the market access system of The Companies by revising the specific regulations, including unification of policy maker of market access, enhancing policy-making process scientifically, promulgating encouraging policies for M&A, allowing a natural person to become investors, reducing the minimum registered capital limit, the abolition of restrictions on foreign equity ratio in principle.At last, the article suggests other scholars continue to study the market access system of The Companies in order to apply it to new corporate law one day.更多还原