中国对外贸易和外商投资法培训.ppt

1,中国对外贸易和外商投资法 The Law on Foreign Trade and Investment in China,沈四宝 Shen SiBao, Prof, School of Law , UIBE Dean, School of Law, Shanghai University Chairman, International Economic Law Institute of China,2,Part Legal Issues of Foreign Trade in China,3,.,中国对外贸易法律制度的历史回顾及其目前概况 A historical review and current profile of foreign trade and its legal regime in China,4,1.1,中华人民共和国于1949年成立，至今有60个年头。在60年中，中国的经济发展经历了两个历史阶段，或者说可以分成前后两个阶段。 PRC was established in 1949 and has been over 60 years. In the period of the past 60 years, Chinas economic development experienced the following two historic stages.,4,5,1.2,中国经济发展的前三十年中，基本实施计划经济，强调艰苦奋斗、自力更生。在对外贸易领域内，主要是不断打破西方国家的封锁政策，逐步接触外部世界，不断扩大对外贸易。 In the first past 30 years of the economic development of China, the planned economy was exclusively performed, self-reliance was mainly emphasized. In the field of foreign trade at that time, the principal task was to frustrate the blockage driven by western countries. At the same time, China made great efforts to keep in touch with outside world and conducted foreign business step by step.,6,尤其是70年代中期，在中日、中美相继建交和加入联合国之后，中国的对外贸易有了明显的进步。至1976年，中国已与160个国家有对外贸易关系。至1978年底，中国的进出口已达20o多亿美元（但人口十个亿）并逐步走向对外开放。 Up to the middle of 1970, following the establishment of diplomatic relations with Japan and USA, especially after restoration in United Nations, China is awarded its seat in the United Nations.,Import and export of China has increased gradually. For example, China has traded with 160 countries in 1976 already and the total value of import and export in the end of 1978 amounted to just a little over 20 billion USD (accounted for 20.3 billion USD). But as a big country, Chinas import and export amounted to less than one percent of total world value (amounted for 0.9 percent of all value of Intl trade), ranking after the twentieth,7,8,1.3 小结 Summary,1.3.1）建国之后第一个30年内，中国虽然作为人口、领土、资源大国，但在国际经济格局中,基本还是一个被忽略和疏离的外贸国家。 In the first 30 years after the founding of RRC(1949-1979), China was a negligible and isolated player in the world economy even though China is a country with huge population over 1 billion, vast territory and rich resources at that time.,8,9,1.3.2) 这个时期，外贸由国家通过外贸部进行控制，十大国有的进出口公司几乎垄断了所有的外贸。 During this period, foreign trade was controlled and monopolized by the Ministry of Foreign Trade. Almost all of the foreign trades at that time were exclusively conducted by 10 State-owned professional Import & Export companies, each responsible for specific categories of commodities. They are:,9,10,中粮集团有限公司 China National Cereals, Oils and Foodstuffs Corp (COFCO) 五矿集团公司 China Minmetals Corporation 中国机械进出口总公司 China Coal Energy Group Co.,Ltd 中国技术进出口总公司 China National Machinery Import & Export Corporation 中国丝绸进出口总公司 China National Silk Import & Export Corp 中国医药机械进出口总公司 China National Medical Machinery Import & Export Corporation 中国外贸运输总公司 China National Foreign Trade Transportation (Group) Corporation 中国纺织品进出口总公司 China Textile Import & Export corp. 中国中化集团公司 Sinochem Group Corporation 华润集团 China Resources (Group) Co., Ltd.,11,1.3.3) 中国的外贸只是自力更生的辅助手段，有牛身和牛尾之称；严格服从计划经济和政治外交的需要。 Foreign trade was an aid of foreign trade to facilitate the realization of self-reliance only and shall subordinate to the need of politics and diplomacy.,11,1.3.4) 中国外贸主要是依据国家政策、外贸部规章以及红头文件进行的，从1949年建立新中国至1994年的45年间中华人们共和国没有外贸法。 The foreign trade in China was managed by Administration mainly through red documents by MOFT and policy. Among the 45 years from the new establishment of PRC till 1994, there was no foreign trade law in China.,12,13,.,中国对外贸易发展的第二个30年 Second development stage-another 30 years,14,中国外经贸发展的第二个阶段是指从1979年起到目前的三十年。 在这个阶段，中国的对外贸易得到了长足的发展。进出口额从1978年底的203亿美元猛增到2008年的2万5千6百亿美元。外汇储备为19，460亿美元。三十年内增长了100多倍。 In the period of the second 30 years （from 1979 thr now）, foreign trade in China had developed tremendously.,The following figures indicated such progress. Up to the end of 2008, the total value of import and export in China has reached 2,560 billion USD, which was over 100 times as much as that in the end of 1978. the foreign exchange reserve was 1946 billion USD. Now it has been over 2.5 billion USD already.,15,2009年全年货物进出口额22.072亿，比2008年下降13.9；服务贸易为2868亿，但09年中国出口占全球出口比重从2008年的8.9上升至9.6，超过德国成为世界第一出口大国。09年外汇储备23，992亿美元。三大出口国家和地区为美国、欧盟和东盟。 The import & export volume of goods in 2009 was 2207.2 billion USD, 13.9% decreased than 2008. trade in services in 2008 was 286.8 billion USD, Chinas export share of total global export from8.9% in 2008 to 9.6% in 2009, over German as the worlds biggest export country. the foreign exchange reserve in 2009 was USD 2,399.2 billion USD. Three major export countries and regions are U.S., EU and ASEAN.,16,17,2.1 这主要是经历了如下几个大的事件 Some events that driving Chinas foreign trade to go forward rapidly are as follows:,2.1.1）中国实施改革开放和实现四个现代化总政策 China takes the general policy of Reform & Open door for the purpose of Four Modernization. 2.2.2) 中国实施如下三个重大变革 The following 3 material transformations have been taken.,17,18,从计划经济转向市场经济 Undertaking a process of transformation politically, economically and administratively ,especially transferring planned economy to market economy 以自力更生为主转向对外开放 The transition from Self-sufficiency and Self-reliance to an opening policy 从人治转向法治 From rule of man to rule of law,18,19,2.3 以下三者对中国外贸法律制度的建立有着举足轻重的作用 The following factors have imposed great influences on the establishment of Chinas foreign trade regime,1994年颁布了中华人民共和国第一部对外贸易法 The first Foreign Trade Law was issued by NPC in 1994 2001年11月中国加入WTO及其入世承诺 On 10th of November, 2001, China entered into WTO and made a famous protocol for the accession to WTO,20,2004年4月6日全国人大常委会对对外贸易法修改草案作了第三次审议，并全票通过了第一次重大修改 The first foreign trade law was revised and passed unanimously in Standing Committee of NPC in 2004 通过这三项重大措施，中国外贸法的框架基本上确立起来了 The framework of Chinas foreign trade law has been basically set up through the three important acts above.,3.我国外贸持续发展面临的四个新挑战， Four new challenges China faces when its foreign trade is continuously developed are as follows, 第一、国外对中国采取贸易保护主义频繁 First, Foreign trade protectionism against China is initiated frequently by foreign countries.,21,如2009年，中国出口产品共遭受116起贸易救济调查，涉案金额约127亿美元。其中，反倾销案件76起，反补贴案13起，保障措施案20起，特保案7起。2009年知识产权海外纠纷进一步增多，美国对我国产品发起8起调查。 For example, a total of 116 products exported from China were suffered from the trade remedy investigations. The amount involved is up to about 12.7 billion U.S. dollars.,22,Among them, 76 was anti-dumping cases, 13 was anti-subsidy cases , 20 was safeguard cases and 7 was special safeguard case. Overseas intellectual property disputes in 2009 was further increased and the United States initiated 8 investigations on Chinese products .,23,第二、在境外对中国提起反垄断案 Second, filling antitrust cases against China in abroad 利用反垄断法中的域外管辖，在美国境内法院对中国企业提起反垄断法的诉讼案。 Using the extraterritorial jurisdiction of anti-monopoly law, and filling antitrust case against Chinese companies in the court of USA. For an example, anti-vitamin C case before the court of USA.,24,第三、最大的问题，就是不断要求人民币升值。 Third, The biggest obstacle is the heavy pressure of the appreciation of the RMB . 如美国，甚至以把中国列为“外汇操纵国”相要挟，强迫人民币升值。 For example, United States, even threatening to cite China as “currency manipulator“, to push the appreciation of the RMB,25,第四，国内外贸经营者的法制观念薄弱。 Forth, the local foreign trade operators is lack of or have a very weak legal knowledge. 当然，还有其他方面的挑战，如环境污染、低碳、员工的劳动报酬等。 Of course, there are other challenges, such as the pollution of environment, low carbon, labor payment of the employees, etc.,26,27,结论： Conclusion: 1.中国的对外贸易法制与国际接轨 Chinas foreign trade regime is convergent with Intl trade law and international practice. 2.逐步健全的法治推动了对外贸易的迅速发展 The foreign trade law and its implementation facilitate the development of foreign trade rapidly.,3.中国的对外贸易法律体系框架有其特色 Chinas foreign trade regime remains some of its own characteristics. 4.中国外贸的持续发展面临四大巨大挑战 China is now facing the 4 serious challenges for the continuous development of foreign trade.,28,Some issues which should be emphasized when study Chinas FTL,. 中国入世对外贸法的影响（两句话、三个字） The impact of Chinas entering into WTO on its foreign trade law (two sentences and three words),29,保持一致 Keeping all laws, regulations, rules, measures and policies regarding goods, service, IP and control of foreign exchange pertaining to and affecting trade and investment to be in conformity with in WTO Agreements 统一实施 All laws, regulations, rules, measures in the field of foreign trade and economy in mainland of China shall be unified and implemented strictly.,30,31,立、改、废 （Promulgation, revision and abolishment) Promulgating new laws, regulations and other measures related to foreign trade in order to fully enjoy the rights as a WTO member. Revising all laws, regulations and measures which did not comply with the WTO Abolishing all laws, regulations and measures which were controversial against the principles of the WTO and which were outdated,31,外贸法要为保护我国核心利益服务 FTL should service for the protection of Chinas core interests,各国都由有自己的核心利益，这是各国主权的集中体现，也是各国法律要实现的重要目标。核心利益是指关系国家存亡，以至于难以进行交易或退让的根本利益，它源于国家主权，是高于一切的国际法原则。我国的外贸法更是担当着这一神圣的历史任务，这是因为： Each nation has its own core interests. Its a concentrated expression of its sovereignty and the important goal the law aims to achieve as well. Core interests is the fundamental interests which will affect the survival of a country and make it hard or impossible to deal or compromise . Chinas foreign trade law especially takes such sacred historical mission, because：,32,1、中国在历史上长期实行的是人治，改革开放后，需要在经济全球化条件下，在不违背WTO原则的条件下，采取各国通行的惯例在外贸法中也订入了体现实施对等贸易措施的规定，这就是第七条。2004年外贸法和94年外贸法对这一条未作任何修改。因为实践证明这是捍卫本国核心利益的有效条款。 China has a long history of implementation of the rule of man.,33,After reform and opening up and under the economic globalization, and without prejudice to the principle of WTO ,china, as the prevailing practice of other countries, is also make the provision on the measures of reciprocity in its foreign trade law, that is the article 7. 2004 FTL and 94FTL didnt make any amendment to this article. Because it has proven by practice to be the effective provision to defend Chinas core interests.,34,2、中国的核心利益和价值观念与一些西方国家不同，因此，捍卫我国的核心利益不仅是外贸法，也是整个法制的头等大事。 Chinas core interests and traditional values is different from those in some other Western countries, therefore, to defend the core interests is the top task of FTL and the top priority of the whole legal regime as well.,35,问题：什么是国家核心利益？ Question: what is the core interest of a country? 外贸法第七条规定： Article 7 of Chinese FRL stipulates that: The Peoples Republic of China shall have the right to adopt, in accordance with the actual circumstances, corresponding measures against any country or region to counter their discriminatory measures on the banning, restriction or other similar acts in trading with the Peoples Republic of China.,36,Two cases on the Article 7 of 94 & 04 FRL,04年外贸法第七条没有对94年第七条作任何修改。 The article 7 in FRL in 2004 didnt make any amendments to that article in FTL in 1994. 该条规定“任何国家或者地区在贸易方面对中华人们共和国采取歧视性的禁止、限制或者其他类似措施的，中华人们共和国可以根据实际情况对该国家或者地区采取相应的措施”。 Article 7 stipulate that: The Peoples Republic of China shall have the right to adopt, in accordance with the actual circumstances, corresponding measures against any country or region to counter their discriminatory measures on the banning, restriction or other similar acts in trading with the Peoples Republic of China.,37,中国就是根据此条应对了很多来自西方国家歧视性的挑战 According to this article, China has already made many responses to a lot of discriminatory challenges from the western countries .,38,39,.对外贸易法制的主要框架 Framework of foreign trade in Chinas FTL,39,40,General Framework of legal regimes in China,Constitution,Law,Regulations,Measures (Rules),Judicial Interpretation,National Peoples Congress,the NPC Standing Committee,State Council,Ministries,Supreme Peoples Court,Local laws,provinces level of NPC,中国对外贸易法律制度框架包括四个层面： The general framework of foreign trade regimes in China includes four levels. 首先是由全国人大或其常委会颁布的以对外贸易法为主的法律。 First level: the foreign trade law issued by the standing committee of NPC. 第二是有国务院颁布的行政法规 Second level: administrative regulations promulgated by State council.,41,第三层面是省一级人大颁布的地方法规 Third level: local law promulgated by the NPC on its provincial level. 第四层面是国务院下属的各部委尤其是商务部颁布的规章。 Forth level: Measures or rules enacted by the ministries under state council, especially the Ministry of Commerce (MOFCOM).,42,43,Diagram,44,45,46,47,48,FTL的基本原则 General principle of FTL,一、实行统一的对外贸易法律体制 统一的体制通过以下措施来实现 Unified system for foreign trade. the measures of unified system are as follows:,49,1、统一立法、统一实施 Uniform legislation and uniform enforcement 全国960万平方公里，31个省自治区和直辖市，13亿人口都要遵守统一立法，主要就是要遵守法律和行政条例，如果规章与其不一致应服从法律与行政条例。 1.3 billion people in 31 provinces of 9.6 million square kilometers, including four autonomous regions and four municipalities like Beijing, shanghai, Tianjin and Chongqing in China should comply with the uniform legislation, especially to comply with the laws and administrative regulations.,In the event there are controversies between laws or regulations and rule or measures, law and regulations shall be put at the priority.,50,51,A. 中国所有的对外贸易法规应该从中央政府到偏远农村统一地加以执行。 All laws and regulations for foreign trade in China shall be uniformly implemented from central government to remote country. B. 反对地方保护主义。地方保护主义有深远的历史原因。56个民族组成。历史上军阀割据局面一直不断。 Anti- regional protectionism. Regional protectionism has its far-reaching historical reasons. Composed by 56 nationalities. The unceasing warlord separation in history.,2. 统一管理外贸的机构 国务院下属的商务部及其地方商务厅是指定的处理全国对外贸易的主要权力机关。 The MOFCOM under the state council and its local offices in provincial level are designated as the overall and principal authority in charge of foreign trade nation-wide only.,52,商务部与其地方部门在管理全国外贸工作中的主要职责是 The main responsibilities of MOC and its local offices are as follows: A.参加并负责与其他国家和地区谈判，缔结关税同盟、自由贸易区协定等与外贸有关的双边或多边协定。 Promoting and developing trading relations with all other countries and regions establishing or participating in agreements of tariff unions, free trade agreements and other bilateral or multilateral trade agreements .,53,B.根据对外贸易法规定，负责制定有关对外贸易和吸收外资的具体操作层面的规章及措施。 drawing up the specific regulations and measures in relation to the foreign trade and foreign investment according to the foreign trade law . C.负责对外贸易经营者的备案。 in charge of the registration of the foreign trade operator for record,54,D.参与制定实行国营贸易管理的货物和经授权经营企业的目录 Involving in making and implementing the Catalogues for the goods subject to state-trading regime and list of the authorized enterprises E.参与制定、调整并公布限制或者禁止进出口的货物、技术目录。 Drawing up, revising and publishing the catalogues of goods and technologies whose import or export are restricted or banned.,55,F.分配国家有限制的货物和技术的许可证和配额包括关税配额。 Distribution of the quotas or license on goods and technologies whose import or export is restricted, including the tariff quotas. G.会同国务院相关部门，制定、调整并公布国家服务贸易市场准入目录。 drawing up, revising and publishing the catalogues of market access for international service trade in consultation with other relevant departments under the State Council.,56,H.负责对外国进口产品实施反倾销、反补贴及保障措施的调查和采取相应的措施，包括进行对外贸易的双边或多边磋商谈判和争端的解决。 Making the the anti-dumping, countervailing and safeguard investigations on the foreign imported products and take corresponding measures including the bilateral or multilateral consultations, negotiations and dispute settlement .,57,I.负责采取必要的措施维护对外贸易秩序，消除破坏秩序的危害。 taking necessary measures to maintain the foreign trade order and eliminate the injury or threat of the injury to destroy the order.,58,59,二、 维持公平和自由的对外贸易秩序 Maintenance of Fair and Free Foreign Trade Orders,Foreign trade order,1.对外贸易的秩序及其重要性 The definition of FTO and its importance 对外贸易秩序，属于经济秩序的一种。包括对外贸易的管理秩序和经营秩序。 Foreign trade order is a kind of economic order, including the foreign trade management order and the operation order.,60,管理秩序：为了维护国家利益而产生，反映作为对外贸易管理者的政府部门与对外贸易经营者之间的关系；比如，现在的管理秩序突出：放宽事前审批，加强事后监管。 Management order is an order reflecting the trade relations between the government as a foreign trade manager and the foreign trade operators in order to safeguard the national interest. For example, the current management order emphasizes on the relaxation of the prior approval while strengthening the afterward supervision.,61,经营秩序：主要是通过具有平等主体资格的外贸经营之间签订的外贸合同方式来维持，它反映了作为外贸主体间的民商事权利义务关系。 Operation order is an order reflecting the civil and commercial rights and obligations between the foreign trade operators with equal legal status, substantially are through business contracts.,62,2. 外贸秩序的重要性 the importance of foreign trade order,没有外贸秩序，就没有外贸本身。 No order ,no foreign trade. A. 恶性竞争，相互削价，进行割喉式的竞争，造成对外贸易倾销。 Cut-throat competitions and the undercutting with each other always give rise to the foreign trade dumping. B. 经营者之间建立价格卡特尔。 The establishment of price cartel among operators,63,WTO奉行自由贸易宗旨，同时允许成员方采取各种公平贸易措施 WTO aims at free trade objectives, while allowing members to adopt various measures of fair trade,64,目标 Purpose 建立一个公平自由的对外贸易环境,自由贸易目标 Free trade,公平贸易目标 Fair trade,所谓自由贸易，是指确保贸易经营者和贸易产品的跨国流动不受不合理的法律限制，从而实现与国际贸易有关的诸生产要素（如货物、技术、劳动力、货币、资本）跨国之间移动的自由化。 逐步减少或消除因关税壁垒，许可证或配额（包括关税配额）造成的对自由贸易的限制。实现生产要素世界性的优化配置,是指境内外的商品生产者和外贸 经营者应该处于真正公平、平等 的法律环境之中，其主要内容是 反垄断、反不正当竞争以及反对 不公平贸易行为,所谓自由贸易，是指确保贸易经营者和贸易产品的跨国流动不受不合理的法律限制，从而实现与国际贸易有关的诸生产要素（如货物、技术、劳动力、货币、资本）跨国之间移动的自由化。 逐步减少或消除因关税壁垒，许可证或配额（包括关税配额）造成的对自由贸易的限制,实现生产要素世界性的优化配置。 Free trade means the tra