本文選題：安全審查　切入點(diǎn)：外資并購(gòu)　出處：《上海師范大學(xué)》2015年碩士論文

【摘要】：僅僅了解美國(guó)的安全審查制度,對(duì)于中國(guó)企業(yè)而言是不夠的,不同于既往的論文,本文將首先分析美國(guó)安全審查制度的緣起和運(yùn)行方式與特點(diǎn),再結(jié)合近年來(lái)中國(guó)企業(yè)在美國(guó)安全審查中所面臨的實(shí)際問(wèn)題,總結(jié)出中國(guó)企業(yè)在安全審查中主要出現(xiàn)的法律問(wèn)題,并就此提出法律意見(jiàn),以實(shí)踐可行的方式為中國(guó)企業(yè)在外投資提供建議和法律的支持。雖然在學(xué)界和各國(guó)立法上,對(duì)于國(guó)家安全并沒(méi)有一個(gè)統(tǒng)一的認(rèn)識(shí),但是在幾個(gè)方面還是有一定的共識(shí)的。首先,在內(nèi)容上,主要是原則性規(guī)范;第二,形式上具有多樣性。其次,從領(lǐng)域上看,不僅僅是在公開(kāi)領(lǐng)域中維護(hù)國(guó)家安全,隱蔽領(lǐng)域也是國(guó)家安全的一個(gè)重點(diǎn)。美國(guó)是最早將國(guó)家安全理論運(yùn)用到外國(guó)投資領(lǐng)域的國(guó)家。在國(guó)家安全領(lǐng)域三權(quán)分立也發(fā)揮著同樣的作用,其權(quán)力分別由總統(tǒng)、國(guó)會(huì)和法院分別行使和制衡。從美國(guó)的立法歷史可以看出,對(duì)于國(guó)家安全的定義界定也是在不斷發(fā)展變化中的。國(guó)家安全立法的變化實(shí)際上也是國(guó)會(huì)和總統(tǒng)之間的權(quán)力斗爭(zhēng)的結(jié)果,也是投資貿(mào)易和國(guó)家安全之間平衡的結(jié)果。美國(guó)法律的通過(guò)和審查的重心是與時(shí)事相聯(lián)系的。FINSA將國(guó)家安全審查的審查對(duì)象確定為使得在美國(guó)境內(nèi)從事國(guó)際商業(yè)的美國(guó)企業(yè)被外國(guó)人控制企業(yè)或外國(guó)人收購(gòu)、并購(gòu)或控制的交易。�？松�-弗羅里奧修正案中,將審查應(yīng)考慮的因素限定在五個(gè)方面,FINSA則將應(yīng)當(dāng)考慮的因素?cái)U(kuò)張到十一項(xiàng)。FINSA確定了國(guó)家安全審查屬于行政審查性質(zhì)。國(guó)家安全審查不能等到國(guó)家安全已經(jīng)受到了實(shí)質(zhì)的損害的時(shí)候才開(kāi)始,這種審查的價(jià)值在于防患于未然。一些專(zhuān)家認(rèn)為,外國(guó)政府會(huì)利用SWF的巨大金池來(lái)保護(hù)戰(zhàn)略性財(cái)產(chǎn),比如關(guān)鍵的自然資源或者國(guó)防科技。SWF的活動(dòng)和一般的私人企業(yè)不一樣,他會(huì)更多的考慮政治上的因素,因此可能會(huì)扭曲市場(chǎng)。中國(guó)企業(yè)在舉證意識(shí)上還十分淡薄,這使得中國(guó)企業(yè)在美國(guó)國(guó)家安全審查上處于一個(gè)十分被動(dòng)的位置。用和平和理性的方式解決問(wèn)題,是中國(guó)企業(yè)走進(jìn)外國(guó)投資市場(chǎng)一個(gè)重要的轉(zhuǎn)變。選擇對(duì)美國(guó)國(guó)家安全審查有深入研究的律師團(tuán)隊(duì),通過(guò)他們適應(yīng)美國(guó)的法律制度,養(yǎng)成法律習(xí)慣,尊重美國(guó)的法律。這對(duì)于希望進(jìn)入美國(guó)投資市場(chǎng)的中國(guó)企業(yè)而言是首要的任務(wù)。美國(guó)國(guó)家安全審查的立法是適應(yīng)著時(shí)事的變化而變化的,因此,中國(guó)企業(yè)在投資的過(guò)程中也應(yīng)當(dāng)注意時(shí)事的變化對(duì)投資可能造成的影響。國(guó)有企業(yè)稀釋股權(quán),擴(kuò)大經(jīng)營(yíng)范圍,盡早進(jìn)行企業(yè)轉(zhuǎn)型,淡化自身國(guó)有企業(yè)的形象是排除自身敏感背景最根本也是最有利的途徑。在投資領(lǐng)域上,中國(guó)企業(yè)也應(yīng)盡量避免軍工或國(guó)防相關(guān)的企業(yè)或產(chǎn)品。
[Abstract]:It is not enough for Chinese enterprises to understand the security review system in the United States. Different from previous papers, this paper will first analyze the origin, operation mode and characteristics of the security review system in the United States. Combined with the practical problems faced by Chinese enterprises in the US security review in recent years, the main legal problems in the safety review of Chinese enterprises are summarized, and legal opinions are put forward in this regard. To provide advice and legal support for Chinese enterprises to invest abroad in practical and feasible ways. Although there is no unified understanding of national security in academic circles and in the legislation of various countries, there is still a certain consensus in several aspects. First of all, In terms of content, it is mainly a principled norm; second, it is diversified in form. Secondly, in terms of field, it is not just about safeguarding national security in the open sphere. The covert field is also an important part of national security. The United States was the first country to apply the theory of national security to the field of foreign investment. The separation of powers in the field of national security also played the same role. Congress and the courts exercise and balance each other. As can be seen from the legislative history of the United States, The definition of national security is also evolving. The changes in national security legislation are actually also the result of a power struggle between Congress and the President. It is also the result of a balance between investment trade and national security. The focus of the passage and review of United States laws is on current events. Finsa identifies the subject of national security censorship as one that allows international business to be conducted within the United States. American enterprises are controlled by foreigners or acquired by foreigners, A merger or acquisition or controlled transaction. In the Exxon Florio Amendment, By limiting the factors to be considered in five areas, FINSA expands the factors to be considered to 11. FINSA determines that national security review is an administrative review. National security review cannot wait until national security is already under review. It was only when the real damage began, The value of such a review lies in prevention. Some experts believe that foreign governments will use the huge gold pool of SWF to protect strategic assets, such as key natural resources or defense technology. SWF activities are different from those of private companies in general. He will take more political factors into account, and thus may distort the market. Chinese companies have a weak sense of proof. This puts Chinese enterprises in a very passive position in the US national security review. They solve the problem in a peaceful and rational way. It is an important change for Chinese enterprises to enter the foreign investment market. They choose a team of lawyers who have in-depth research into the US national security review, through which they can adapt to the legal system of the United States and develop legal habits. Respect for United States laws. This is a top priority for Chinese companies wishing to enter the U.S. investment market. National Security Review legislation in the United States changes in response to changes in current events. In the process of investment, Chinese enterprises should also pay attention to the possible impact of changes in current events on investment. State-owned enterprises should dilute their shares, expand their business scope, and carry out enterprise transformation as soon as possible. Desalinating the image of its state-owned enterprises is the most fundamental and beneficial way to exclude its sensitive background. In the field of investment, Chinese enterprises should also try to avoid military or defense related enterprises or products.
【學(xué)位授予單位】：上海師范大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2015
【分類(lèi)號(hào)】：D996

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本文編號(hào)：1694320