【摘要】：PPP被認為是當下中國最熱點的詞匯之一,是制度供給的一次創(chuàng)新。在我國經(jīng)濟下行壓力持續(xù)加大,經(jīng)濟發(fā)展步入新常態(tài)的特殊背景下,PPP模式將社會資本引入基礎設施和公用事業(yè)建設領域,可以有效緩解政府承擔的過重財政負擔和財政壓力,化解地方政府債務危機,提高我國公共產(chǎn)品和服務的質量和效率,并加快政府職能轉變,推動國家治理能力和治理體系的現(xiàn)代化。PPP模式的社會資本退出機制相比準入機制,是本輪PPP熱潮中很少被關注的一個問題。退出機制意味著社會資本在遭遇特殊情況時,可以有選擇、有步驟的退出PPP項目,以維護自身合法權益,是社會資本方參與PPP項目面臨的現(xiàn)實需求。退出機制的完善,也將進一步增加PPP項目資本流動性,增強PPP項目對社會資本方的吸引力,消除其后顧之憂,提高PPP項目的落地簽約率。因此,筆者針對上述情況,將社會資本退出機制法律問題作為本文研究的主旨和重點。文章共分為三部分:第一部分主要對PPP模式社會資本退出機制理論進行總體闡釋。分為PPP模式概述、PPP模式社會資本退出機制兩部分。通過對PPP模式的含義、特征與功能定位的歸納,與傳統(tǒng)建設模式進行比較分析,總結出PPP模式具有經(jīng)濟法的顯著特性。重點論述了PPP模式社會資本退出機制的概念及退出的必然性,對PPP模式社會資本退出的作用、分類及方式等基礎理論做出概括分析。將社會資本退出依據(jù)不同標準作出三種分類,并將退出方式歸納為股權轉讓、股權回購、資產(chǎn)證券化、公開上市、期滿移交五種具體方式。第二部分對PPP模式下社會資本退出機制存在的法律障礙展開分析。目前,我國PPP模式立法層級較低、缺乏實施細則,法律效力較低;退出時轉讓主體資格也未明確,PPP產(chǎn)權交易市場不存在,PPP資產(chǎn)證券化存在困難,這些退出機制的不健全是目前諸多PPP項目無法落地的一個重要原因。文章第三部分針對退出機制存在的上述障礙,提出六項完善社會資本退出機制的路徑選擇與法律完善建議,其中完善PPP股權轉讓機制是本文的特色所在,希望本文能夠促進我國PPP模式的健康發(fā)展,為PPP實踐提供些許啟發(fā)和借鑒。
[Abstract]:PPP is regarded as one of the hottest words in China and an innovation of institutional supply. Under the special background of increasing downward pressure and entering the new normal, the PPP model can effectively relieve the excessive financial burden and pressure on the government by introducing social capital into the field of infrastructure and public utilities construction. To resolve the debt crisis of local governments, to improve the quality and efficiency of public goods and services in China, to accelerate the transformation of government functions, to promote the modernization of national governance capacity and governance system, and to promote the entry mechanism of social capital withdrawal mechanism based on PPP model. This round of PPP boom is rarely concerned about a problem. Exit mechanism means that social capital can choose and step out of PPP projects in order to protect their legitimate rights and interests, which is the realistic demand for social capital to participate in PPP projects. The perfection of exit mechanism will further increase the capital mobility of PPP project, enhance the attraction of PPP project to social capital, eliminate its worries, and improve the landing signing rate of PPP project. Therefore, the author regards the legal issue of social capital withdrawal mechanism as the main purpose and focus of this paper. The article is divided into three parts: the first part mainly explains the theory of social capital withdrawal mechanism in PPP mode. It is divided into PPP model outline, PPP model social capital exit mechanism two parts. Through the comparison and analysis of the meaning, characteristics and function orientation of the PPP model and the traditional construction mode, it is concluded that the PPP model has the remarkable characteristics of economic law. This paper mainly discusses the concept and inevitability of the withdrawal mechanism of social capital in PPP mode, and makes a general analysis of the function, classification and mode of social capital withdrawal in PPP mode. According to different criteria, social capital withdrawal is classified into five specific ways: equity transfer, equity repurchase, asset securitization, public listing and expiration transfer. The second part analyzes the legal obstacles of social capital withdrawal mechanism under PPP mode. At present, the level of legislation of PPP mode is lower, the implementation rules are lacking, and the legal effect is low. At the time of withdrawal, the qualification of transfer subject is not clear, the market of PPP property right transaction does not exist, and the securitization of PPP assets is difficult. The unsoundness of these exit mechanisms is an important reason why many PPP projects cannot fall to the ground at present. In the third part of this paper, the author puts forward six suggestions to perfect the exit mechanism of social capital, including perfecting the mechanism of PPP equity transfer, and putting forward six suggestions to perfect the exit mechanism of social capital. I hope this paper can promote the healthy development of PPP model in China and provide some inspiration and reference for PPP practice.
【學位授予單位】：遼寧大學
【學位級別】：碩士
【學位授予年份】：2017
【分類號】：D922.29

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