本文關(guān)鍵詞：雙邊投資協(xié)定中的轉(zhuǎn)移條款研究　出處：《西南政法大學(xué)》2015年碩士論文　論文類型：學(xué)位論文

  更多相關(guān)文章： 雙邊投資協(xié)定 轉(zhuǎn)移條款 轉(zhuǎn)移條款的例外 冷靜期條款 金融審慎性措施

【摘要】：雙邊投資協(xié)定中的轉(zhuǎn)移條款,主要規(guī)定了東道國與投資者關(guān)于資本轉(zhuǎn)移的權(quán)利和義務(wù),集中體現(xiàn)了資本輸出國與資本輸入國之間有關(guān)資本轉(zhuǎn)移自由度之間的矛盾。隨著2014年中-日-韓和中國-加拿大雙邊投資協(xié)定的生效,明顯可以看出轉(zhuǎn)移條款的規(guī)定出現(xiàn)了新的變化,轉(zhuǎn)移范圍的擴(kuò)大及對(duì)國內(nèi)管制的限制都預(yù)示著東道國將面臨更大的風(fēng)險(xiǎn),而傳統(tǒng)的國際收支平衡例外和根本安全利益條款在運(yùn)用上存在著標(biāo)準(zhǔn)模糊和引用要求高的缺點(diǎn)。此外,實(shí)踐中東道國對(duì)外匯和稅收的措施不當(dāng),也可能會(huì)違反雙邊投資協(xié)定中轉(zhuǎn)移條款的規(guī)定,從而導(dǎo)致爭端的發(fā)生。文章從雙邊投資協(xié)定中轉(zhuǎn)移條款本身及其相關(guān)例外著手,結(jié)合實(shí)踐中對(duì)該條款違反的案件和在我國的新發(fā)展,并根據(jù)我國的實(shí)際情況,對(duì)我國在雙邊投資協(xié)定的轉(zhuǎn)移條款談判中的主要問題提出相應(yīng)的建議。本文除引言外,正文共分為五個(gè)部分:第一部分BIT中轉(zhuǎn)移條款的法理基礎(chǔ)及內(nèi)容分析。法理基礎(chǔ)主要對(duì)保護(hù)私人財(cái)產(chǎn)權(quán)利的正當(dāng)性及國家經(jīng)濟(jì)主權(quán)的合法性兩個(gè)方面進(jìn)行了論述,說明二者都有存在的合法性;內(nèi)容分析部分以我國BIT范本草案為例,從范圍、匯兌要求、依法阻止的情形、臨時(shí)減損和其他問題五個(gè)方面進(jìn)行了具體的分析。第二部分BIT中與轉(zhuǎn)移條款相關(guān)的其它例外情形及其運(yùn)用。首先是以智利為代表所使用的冷靜期條款,該條款主要設(shè)定了為期一年的限制轉(zhuǎn)移的期限,并且在BIT的談判中成功適用;其次是阿根廷在ICSID中使用的根本安全利益條款,為了防止仲裁庭采用不同的解釋方法導(dǎo)致不同的適用結(jié)果,各國的趨勢(shì)是將其作為自裁決條款;再次是金融審慎性措施例外,加拿大首次從GATS金融服務(wù)附件中將金融審慎措施引入雙邊投資協(xié)定中,相比根本安全利益而言,金融審慎性措施例外適用的標(biāo)準(zhǔn)更低。第三部分實(shí)踐中BIT轉(zhuǎn)移條款的違反及規(guī)制。在轉(zhuǎn)移條款中,既然有了具體條款的規(guī)定,也有了限制轉(zhuǎn)移的例外條款,但在實(shí)踐過程中仍有在例外條款之外的對(duì)轉(zhuǎn)移條款的違反,該部分結(jié)合案例,從匯率干預(yù)導(dǎo)致的間接征收、轉(zhuǎn)出時(shí)不當(dāng)稅收導(dǎo)致條約的違反和限制貨幣兌換導(dǎo)致的政府責(zé)任三個(gè)方面進(jìn)行具體的闡述。第四部分我國BIT中轉(zhuǎn)移條款的新發(fā)展。針對(duì)2014年生效的中-日-韓BIT以及中國-加拿大BIT中出現(xiàn)的新內(nèi)容進(jìn)行了闡述,包括轉(zhuǎn)移的范圍從貨幣類發(fā)展到非貨幣類、引入WTO協(xié)議中限制轉(zhuǎn)移的情形、對(duì)國際收支平衡例外條款的限制以及對(duì)“相關(guān)法律法規(guī)”內(nèi)容的限制四個(gè)方面。第五部分我國BIT轉(zhuǎn)移條款談判中的問題和建議。主要分為四個(gè)部分,首先是根據(jù)目前雙邊投資協(xié)定中的趨勢(shì)來看,我國轉(zhuǎn)移范圍的規(guī)定具有一定的滯后性,建議可以適當(dāng)開放;其次是基于人民幣在國際化道路上的發(fā)展情況,建議可以擴(kuò)大轉(zhuǎn)移中幣種的范圍;再次是在投資方面不斷開放的情況下,建議我國應(yīng)當(dāng)保持“按照其法律和法規(guī)”的規(guī)定,以便更好的對(duì)與投資相關(guān)的轉(zhuǎn)移問題進(jìn)行控制;最后是對(duì)金融審慎矛盾性的分析和建議,在該問題上,我國不能對(duì)此實(shí)行統(tǒng)一的標(biāo)準(zhǔn),而是需要根據(jù)締約方經(jīng)濟(jì)狀況靈活運(yùn)用。
[Abstract]:Transfer clause in bilateral investment treaties, the main provisions of the host country and the investors of the rights and obligations of capital transfer, embodies the capital exporting countries and capital importing country between the capital transfer of contradictions between degrees of freedom. With the effective 2014 in Japan and South Korea Chinese - Canada bilateral investment agreements, obviously we can see that any transfer in terms of the emergence of new changes, expand the scope and restrictions on the transfer of domestic regulation indicates that the host country will face greater risk, and the balance of payments exception of traditional and fundamental security interests exist in the use of the standard terms of reference fuzzy and disadvantages such as high. In addition, the improper practice of host country for foreign exchange and tax measures may also transfer provisions violate the terms of bilateral investment agreements, and lead to disputes. This article from the transfer clauses in bilateral investment treaties With the exception itself and related to the practice of the violation of the terms of the case and the new development in our country, and according to the actual situation of our country, puts forward the corresponding suggestions for the main problems in terms of transfer of bilateral investment agreement negotiations in China. In addition to this introduction, the text is divided into five parts: the legal basis and content analysis of the transfer terms in BIT. The first part mainly on the legal basis of the protection of private property rights and the legitimacy of national economic sovereignty and the two aspects are discussed, that the two have the legitimacy; the content analysis part of the draft BIT model of our country as an example, from the scope. Exchange requirements, prevent the case according to law, the five aspects of temporary impairment and other problems are analyzed in detail. Other exceptions and its application and transfer the provisions of the relevant parts of BIT second. The first is to make the representative of Chile Calm period clause used, the main clause set a one-year limit transfer deadline, and applied successfully in the BIT negotiations; second is the fundamental security interests of the terms used in the ICSID in Argentina, in order to prevent the arbitration tribunal by different interpretation methods in different results, the trend is as the ruling is again the exception clause; financial prudential measures, Canada for the first time from GATS in the annex on financial services financial prudential measures introduced in bilateral investment agreements, compared to the fundamental security interests, lower standard financial prudential measures for the cases of violation and regulation. In terms of the transfer of BIT third part of practice. In terms of transfer, since the provisions are specific terms, also have restrictions on the transfer of the exception clause, but in practice there are still the exception clause outside the transfer of terms of the violation, the part of Case from the exchange rate intervention leads to indirect expropriation, transfer taxes lead to improper elaboration of the three aspects of the government and the limitation of liability for breach of the treaty. The currency exchange leads to new development of the terms of transfer of the fourth part of our BIT. According to the force in 2014 in Japan and South Korea, and the new BIT content China - Canada BIT is discussed, including the transfer range from development to non monetary currency, restricts the transfer of the introduction of the WTO protocol in the case of the international balance of payments restrictions and exceptions to the content of relevant laws and regulations "limit of four aspects. The fifth part of our BIT transfer problems and suggestions in terms of negotiation mainly divided into four parts, the first is based on the current bilateral investment agreement in the trend, China transfer scope has a certain lag, suggest appropriate opening; second is based on the people On the road of internationalization of RMB in the development situation, suggestions can expand the scope of transfer of currency; again is constantly opening up in terms of investment situation, China should keep in accordance with the provisions of the laws and regulations ", in order to better control the transfer of investment related; finally the financial prudence analysis the contradiction and suggestions, on this issue, our country can not have a unified standard, but according to the needs of parties to economic conditions and flexible use.

【學(xué)位授予單位】：西南政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2015
【分類號(hào)】：D922.28

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