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| Title: | 外人直接投資國家安全審查程序法制之研究
A Study on National Security Review in Foreign Direct Investment Regulations |
| Authors: | 賈棕凱
Chia, Tsung-Kai |
| Contributors: | 楊培侃
賈棕凱
Chia, Tsung-Kai |
| Keywords: | 外人投資國家安全審查
國家安全
外國投資人
外人直接投資
National Security Review of Foreign Investment
National Security
Foreign Investors
Foreign Direct Investment |
| Date: | 2020 |
| Issue Date: | 2021-02-01 13:58:32 (UTC+8) |
| Abstract: | 在資本全球化之趨勢下，部分國家接納外資進入地主國而不設限制。然而，許多國家為保護本國利益而尋求正當的限制外資措施，以國家安全為理由針對外人投資之申請進行審查，造成外人投資國家安全審查對資本自由化的阻礙。因此，外人投資審查法制之設計，如何衡平投資自由與國家安全，則為外人投資法制之重要課題。
經本文研究發現，跨太平洋夥伴全面進步協定及部分臺灣簽署之雙邊投資協定保障投資設立階段之外人投資，得做為此議題之法源，惟外人投資國家安全審查之具體審查模式仍須經由比較法探求之。其次，審查機關之架構得區分為單層或者雙層結構，於雙層結構下由主管機關享有審查權，而最終決策者享有決策權；於單層結構下則由單一委員會享有審查權與決定權。目前我國之審查結構屬於單層結構，惟本文建議應將審查結構改為雙層結構，以符合權責相符原則。
總結比較法之外人投資國家安全審查制度後，大抵可區分為三種規範模式，分別為：自願申報兼具事後審查模式、強制申報兼具事後審查模式、強制申報兼具事前審查模式。鑒於臺灣採取強制申報兼具事前審查模式，而外國投資人經常詬病此種外人投資審查實務與做法，故本文以前述比較法之研究為基礎，檢視目前臺灣之外人投資審查程序，並提供數項建議供各界參考。
Under the trend of capital globalization, some countries admit foreign capital into the host country without any restrictions, while other countries make the national security review as a tool to protect national interests and to create foreign investment barriers. It becomes an important issue over the establishment of review procedure on foreign investment to accommodate interests of investment liberalization and national security.
It is found that Comprehensive and Progressive Agreement for Trans-Pacific Partnership and some of the bilateral investment agreements signed by Taiwan are the legal basis of restriction in foreign investments. However, the thesis still need to study comparative law for specific mode of foreign investment in national security review. Secondly, the authority in the host countries can be divided into single-layer or double-layer structure. Under the double-layer structure, the authority owns the right to review, while the president makes the final decision. Under the single-layer structure, a single committee is given the full authority to review and makes the final decision. The president or the prime minister makes the final decision in the double-layer structure, while the committee makes the final decision in the single-layer structure. The authority in our country is single-layer structure, but the thesis suggests that the structure should be transformed to double-layer structure to comply with the principle of uniformity between power and responsibility.
The thesis analyzes that there are three modes for national security review of foreign investment, voluntary declaration with post-examination mode, mandatory declaration with post-examination mode and mandatory declaration with pre-examination mode. In light of the fact that Taiwan adopts mandatory declaration and pre-examination mode, and foreign investors often criticize the practice of national security review of foreign investment, so the thesis takes into account the above-mentioned legislation of comparative law to provide several suggestions for the national security review procedure of foreign investment in Taiwan. |
| Reference: | 壹、中文文獻
一、書籍
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二、期刊論文
王東光，國家安全審查：政治法律化與法律政治化，中外法學第5 期，2016年。
王震宇，外人投資併購與國家安全審查機制之比較研究－以中國大陸國營企業海外併購個案為例，台北大學法學論叢，第98期。
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三、研究計畫
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四、博碩士學位論文
張舉勝，美國外資併購國家安全審查制度研究，中國政法大學博士論文，北京，2011年。
姜慧，中國對一帶一路國家直接投資與雙邊經濟增長的關係研究，對外經濟貿易大學博士論文，北京，2018年。
彭勃，德國外資併購國家安全審查研究，中國青年政治學院碩士論文，北京，2015年。
單開翊，中國大陸外國投資法國家安全審查制度之研究，政治大學碩士論文，台北，2017年。
五、其他資料
陳言博，美國跨國併購安全審查之研究，經濟部投資業務處出國報告（專題報告），2014年。
貳、英文部分
一、期刊論文
Assaf, Dany H., Imran Ahmad, For Better or Worse, Greater Convergence in Cross-Border Deals: Amendments to The Competition Act and Investment Canada Act, 13(5) M & A LAW (2009).
Bu, Qingxiu, Ralls Implications for the National Security Review, 7 GEO. MASON J. INT`L COM. L. (2016).
Carroll, James F., Back to the Future: Redefining the Foreign Investment and National Security Act’s Conception of National Security, 23 Emory International Law Review (2009).
Cox, Jason, Regulation of Foreign Direct Investment After the Dubai Ports Controversy: Has the U.S. Government Finally Figured Out How to Balance Foreign Threats to National Security Without Alienating Foreign Companies?, 34 J. Corp. L. (2008).
Deeley, Hunter, The Expanding Reach of the Executive in Foreign Direct Investment: How Ralls v. Cfius Will Alter the Fdi Landscape in the United States, 4 AM. U. BUS. L. REV. (2015).
Fugina, Kathryn, Merger Control Review in the United States and the European Union: Working towards Conflict Resolution, 26(2) NORTHWESTERN JOURNAL OF INTERNATIONAL LAW & BUSINESS (2016).
Gavioli, Maira G., National Security or Xenophobia: The Impact of the Foreign Investment and National Security Act ("FINSA") in Foreign Investment in the U.S., 2(1) THE WILLIAM MITCHELL LAW RAZA JOURNAL (2011).
Globerman, Steven, An Economic Assessment of the Investment Canada Act, FRASER INSTITUTION (2015).
Golding, Greg, Australia’s Experience with Foreign Direct Investment by State Controlled Entities, 37 Seatle U.L. Rev. (2015).
Hanemann, Thilo & Huotari, Chinese Investment in Europe in 2016, 3 MERICS PAPERS ON CHINA (2017).
Heinemann, Andreas, Government Control Of Cross-Border M&A: Legitimate Regulationor Protectionism?, 15(3) JOURNAL OF INTERNATIONAL ECONOMIC LAW (2012).
Hilt, Thomas P., Cnooc-Unocal and the two: Discriminatory rules in the China
protocol are a latent threat to the rule of law in the dispute settlement understanding,
2006 Pacific Rim Law and Policy Association, 15(2) Washington International Law Journal (2006).
Jackson, J.K., The Exon-Florio National Security Test for Foreign Investments, Congressional Research Service Report for Congress, Order Code RL33312 (2013)
Jackson, James K., Foreign Investment and National Security : Economic Considerations, CRS REPORT FOR CONGRESS PREPARED FOR MEMBERS AND COMMITTEES OF CONGRESS, April 4 (2013).
Josselyn, Amy S., National Security at All Costs: Why the Cfius Review Process May Have Overreached Its Purpose, 21 Geo. Mason L. Rev. 1347, 1349 (2014)
Larson, Alan P., Marchick, David M., Foreign Investment and National Security－ Getting the Balance Right, THE BERNARD AND IRENE SCHWARTZ SERIES ON AMERICAN COMPETITIVENESS 1-38.
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Mostaghel, Deborah M., Dubai Ports world under Exon-Florio: A threat to national security or a tempest in a seaport? ALBANY LAW REVIEW 2007, Westlaw, 70 Alb. L.Rev. 583.
Nowak, Gerald T., Above All, Do No Harm: The Application of the Exon-Florio Amendment to Dual-Use Technologies, 13(4) Michigan Journal of International Law 1002-1031.
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二、政府報告
2016 Annual Report to Congress of the U.S.-CHINA Economic and Security Review Commission , USCC (2016).
Laws and Policies Regulating Foreign Investment in 10 Countries, United States Government Accountability Office, GAO-08-320, February (2008).
UNCTAD (2013), 2013 World Investment Report. http://unctad.org/en/publicationslibrary/wir2013_en.pdf
三、網路資料
2012 U.S. Model Bilateral Investment Treaty, U.S. Department of State, https://ustr.gov/sites/default/files/BIT%20text%20for%20ACIEP%20 Meeting.pdf
2014-2015 Annual Report, https://cdn.tspace.gov.au/uploads/sites/79/2016/03/FIRB-AR-2014-15.pdf
2014-2015 Annual Report,
https://cdn.tspace.gov.au/uploads/sites/79/2016/03/FIRB-AR-2014-15.pdf
2015 AmCham China White Paper , AmCham China (2015),
http://www.amchamsouthwest.org/category/white-paper/
About the Chamber-Background & Purpose, The European Union Chamber of Commerce in China,
http://www.europeanchamber.com.cn/en/european-chamber-background.
Australia’s Foreign Investment Policy(2016),
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CFIUS Annual Report to Congress CFIUS (2016),
https://www.treasury.gov/resource-center/international/foreign-investment/Documents/Annual%20Report%20to%20Congress%20for%20CY2014.pdf
CFIUS Annual Report (2014), https://www.treasury.gov/resource-center/international/foreign-investment/Documents/Annual%20Report%20to%20Congress%20for%20CY2014.pdf
Ellen Sheng(2016) ,China Investment In The U.S. Hit An All-Time High In 2016, But Don`t Expect The Same In 2017, Forbes. http://www.forbes.com/sites/ellensheng/2016/12/18/chinese-investments-in-the-u-s-hit-an-all-time-high-in-2016-but-dont-expect-the-same-in-2017/#2ccc972d40db
European Business in China Position Paper (2011/2012), http://www.amcham-shanghai.org/ftpuploadfiles/Event/Auto_Conference/2011/pdf/Stefan_Sack.pdf
Investment Canada Act Statistics 2015 - Quarter 1(2015), https://www.ic.gc.ca/eic/site/ica-lic.nsf/eng/lk-51510.html
U.S.-CHINA Economic and Security Review Commission- Fact Sheet
http://www.uscc.gov/about/fact_sheet
World Investment Report 2006:FDI from Developing and Transition Economies (2006), http://unctad.org/en/docs/wir2006_en.pdf
四、參考法條
《Foreign Trade and Payment Act》
《Foreign Investment and National Security Act of 2007》
《The German Foreign Trade and Payments Act》
《Investment Canada Act》 |
| Description: | 碩士
國立政治大學
國際經營與貿易學系
106351047 |
| Source URI: | http://thesis.lib.nccu.edu.tw/record/#G0106351047 |
| Data Type: | thesis |
| DOI: | 10.6814/NCCU202100076 |
| Appears in Collections: | [國際經營與貿易學系 ] 學位論文
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