【摘要】：征收問題在國(guó)際投資方面具有十分重要的地位,它涉及到國(guó)家公權(quán)力的行使和外國(guó)投資者的財(cái)產(chǎn)安全。通常認(rèn)為,征收的表現(xiàn)形式包含直接征收和間接征收。一直以來,直接征收是人們比較關(guān)注的問題,人們熱衷于探討直接征收的合法性及其補(bǔ)償問題。直到1979年伊斯蘭革命爆發(fā),伊朗政府對(duì)外國(guó)投資者資產(chǎn)的干涉被頻頻指控為間接征收之后,這一問題才引起了廣大國(guó)際法學(xué)者的關(guān)注。隨著《北美自由貿(mào)易協(xié)定》的簽訂,對(duì)間接征收的研究進(jìn)入了一個(gè)新的發(fā)展期。間接征收規(guī)則開始成為投資者的重要風(fēng)險(xiǎn)關(guān)切和主權(quán)國(guó)家的重要政策關(guān)切。對(duì)于間接征收的規(guī)定散見于各種國(guó)際投資條約中。諸多國(guó)際投資條約中的規(guī)定卻不甚相同,對(duì)其定義、認(rèn)定標(biāo)準(zhǔn)、認(rèn)定方法、補(bǔ)償標(biāo)準(zhǔn)可以說是仁者見仁、智者見智,缺乏一致性。投資自由化的趨勢(shì)使得國(guó)際經(jīng)濟(jì)往來日漸增多,全球化程度進(jìn)一步加深,在國(guó)際投資領(lǐng)域的間接征收案例也有所增多。然而在國(guó)際仲裁實(shí)踐中間接征收的認(rèn)定范圍有所擴(kuò)大,仲裁庭更加重視對(duì)投資者財(cái)產(chǎn)權(quán)利的保護(hù),對(duì)東道國(guó)的公共利益關(guān)注不夠。間接征收的認(rèn)定存在擴(kuò)大化的趨勢(shì),這對(duì)國(guó)家公權(quán)力的正常行使構(gòu)成了威脅。于是各國(guó)開始積極探索解決措施,力求在國(guó)家公權(quán)力和私人財(cái)產(chǎn)權(quán)之間達(dá)到適度的平衡,在此基礎(chǔ)上提出了"效果兼目的標(biāo)準(zhǔn)”,并引入了比例原則。近年來,中國(guó)經(jīng)濟(jì)取得了快速的發(fā)展,吸引外資的能力不斷提高,同時(shí)中國(guó)有了足夠的經(jīng)濟(jì)實(shí)力加大對(duì)外投資,“引進(jìn)來”和“走出去”的步伐大大加快。然而在“引進(jìn)來”的過程中,政府為了保護(hù)國(guó)內(nèi)的重大公共利益,有時(shí)會(huì)不得已采取一些干涉外國(guó)投資者財(cái)產(chǎn)利益的行為,這些行為可能會(huì)被指控構(gòu)成間接征收;在“走出去”的過程中,中國(guó)的海外投資者也可能面臨被間接征收的風(fēng)險(xiǎn)。鑒于可能面臨的雙重風(fēng)險(xiǎn),我們應(yīng)該加大對(duì)這一問題的研究力度,善于分析現(xiàn)有投資條約中可能蘊(yùn)含的風(fēng)險(xiǎn),不斷完善間接征收規(guī)則。
[Abstract]:The issue of expropriation plays a very important role in international investment, which involves the exercise of public power and the property security of foreign investors. It is generally believed that the form of expropriation includes direct expropriation and indirect expropriation. People always pay more attention to direct expropriation, and people are keen to discuss the legitimacy and compensation of direct expropriation. It was not until the Islamic Revolution broke out in 1979 that the Iranian government's interference in foreign investors' assets was frequently accused of indirect expropriation, and this issue did not attract the attention of many international law scholars. With the signing of the North American Free Trade Agreement (NAFTA), the study of indirect expropriation has entered a new development period. Indirect expropriation rules have become important risk concerns for investors and important policy concerns for sovereign countries. Provisions for indirect expropriation are scattered in various international investment treaties. However, many international investment treaties have different stipulations. To define them, identify standards, identify methods, compensation standards can be said to be benevolent, wise, and lack of consistency. The trend of investment liberalization is increasing international economic exchanges, deepening the degree of globalization, and increasing the number of indirect expropriation cases in the field of international investment. However, in the practice of international arbitration, the scope of indirect expropriation has been expanded, and the arbitral tribunal has paid more attention to the protection of investors' property rights, and has not paid enough attention to the public interests of the host country. The confirmation of indirect expropriation has the trend of expansion, which threatens the normal exercise of state public power. Therefore, countries began to actively explore solutions to achieve a moderate balance between public power and private property rights, and on this basis put forward the "criteria for both effects and purposes", and introduced the principle of proportionality. In recent years, China's economy has made rapid development, and its ability to attract foreign investment has been continuously improved. At the same time, China has sufficient economic strength to increase its foreign investment, and the pace of "bringing in" and "going out" has been greatly accelerated. However, in the process of "bringing in", in order to protect the major public interests of the country, the government sometimes has to take some acts of interference with the property interests of foreign investors, which may be accused of indirect expropriation; In the process of "going out", Chinese overseas investors may also face the risk of indirect expropriation. In view of the possible double risks, we should strengthen the research on this problem, be good at analyzing the risks contained in the existing investment treaties, and constantly improve the indirect expropriation rules.
【學(xué)位授予單位】：鄭州大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類號(hào)】：D996.4

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