归属院系：

国际法学院

作者：

ZAW LINN OO

导师：

张晓君

导师单位：

国际法学院

学位：

博士

语种：

英文

关键词：

National Security, Foreign Investment Security Review, Foreign Investment, Myanmar Investment Law, Foreign Investment Law

摘要：

关于外商投资安全审查制度产生的理论基础，该文件概述了经合组织成员国在执行与投资相关的国家安全审查程序时应遵循的四项基本原则，包括问责制、非歧视待遇、监管平衡和透明度。值得注意的是，各国外商投资安全审查制度的机制各有不同。可以看出，近年来外商投资安全审查制度的发展现状和趋势快速演变。在过去五年中，越来越多的国家和经济体建立了各自的安全审查机制。欧盟于2019年4月10日颁布了第2019/452号欧盟条例，建立了欧盟境内外商直接投资的评估框架。中国也于2019年3月实施了《外商投资法》，并于2020年12月19日发布了《外商投资安全审查办法》，从而建立了一套全面的外商投资安全审查程序。与此同时，已经建立安全审查制度的国家也在积极修订其立法。值得注意的是，美国和德国最近都对其安全审查框架进行了重大改革。就外商投资安全审查制度的具体内容而言，审查对象、审查机构、审查范围及标准、审查程序等是外商投资安全审查制度的重要因素。尽管中缅两国外商投资安全审查制度的法律框架和政策有所不同，但各国为了维护自身利益，都有各自的外商投资安全审查制度机制和政策。中国于2007年在《中华人民共和国反垄断法》中引入了“国家安全审查”。中国致力于建立完善的外商投资国家安全审查制度。2015年《国家安全法》明确规定，国家将建立健全国家安全审查制度和机制。具体而言，中国将对影响或可能影响国家安全的外商投资、物资、关键技术、网络信息技术产品和服务，以及涉及国家安全的建设项目和其他重大活动进行评估，有效化解风险。2020年《外商投资法》规定，外国投资者、外商投资企业在中国境内开展投资活动应当遵守中国法律法规，不得危害中国国家安全，不得损害社会公共利益。2015年，中国颁布了《国家安全法》，首次将国家安全提升到国家战略地位。该法授权政府制定指导方针，以实现重点领域的具体国家安全目标、战略和政策。在确保国家安全的同时，政府还必须考虑经济和社会发展。必须保护国家经济体系和社会主义市场经济秩序免受经济安全风险的影响，特别是在重要行业和关键经济领域。缅甸有多项关于外商直接投资的法律，包括2008年《缅甸联邦共和国宪法》、2017年《缅甸公司法》（MCL）、1950年《缅甸特别公司法》、《2015年缅甸仲裁法》、《1989年《国有独资企业法》、《经济特区法》和《劳动法》。2008年《宪法》是缅甸所有法律的基础。它确立了市场经济体制，允许包括国家、区域组织、合作社、合资企业和私人在内的各种经济实体从事经济活动，以促进国民经济增长。在中国，《外商投资法》于2020年正式颁布，标志着中国长期筹划的全面国家安全审查制度的最终成型。该制度的建立是为了应对中国境内外商直接投资和并购交易的大幅增长，旨在平衡国家安全需求与鼓励外商投资之间的关系。虽然中国国家安全审查制度的出台部分源于中国企业在美国进行的几笔失败的收购，但它也是中国应对全球经济一体化挑战以及中美紧张关系的一项长期战略。中国国家安全审查制度的演变大致可分为四个阶段。在缅甸，管理公司实体的主要法律是2017年缅甸公司法（MCL 2017），也称为2016年缅甸公司法（MIL 2016）。所有公司都必须遵守这项法律。负责公司注册的机构是投资与公司管理局（DICA）。要在缅甸开展业务，外国公司必须在该国拥有注册实体。重要的是要记住，外国投资者必须根据缅甸法律设立公司才能合法投资。投资应以根据2017年缅甸公司法和1950年缅甸公司法设立的公司形式进行，这两项法律是管理缅甸公司注册的主要法律。投资与公司管理局概述的条例解释了在缅甸设立和运营公司的流程。它们还涵盖了《仲裁法》、《经济特区法》、《邦独资企业法》和《缅甸劳动法》中的要点。这些法律在吸引外国投资到缅甸方面发挥着至关重要的作用。关于外商投资安全审查，中国有一个专门的机构负责审查程序，而缅甸则有四个主要机构，如上所述，即外商投资安全审查的执行机构。相关部委负责评估与外商投资相关的国家安全问题。然而，政府尚未明确评估外商投资如何影响国家安全的具体程序和规定。此外，政府机构在监督机制和申诉渠道方面也存在不足。中国有专门的外商投资安全审查法律。另一方面，尽管缅甸有《外商投资法》，但仍需推动外商投资安全审查领域的发展。其次，两国的政治体制不同。中国政府在国家安全审查（NSR）决策过程中拥有不受约束的自由裁量权；立法机关和法院无权审查政府就NSR问题做出的具体决定。缅甸在外商投资安全方面的程序仍需保持透明度和公开性。大多数投资活动都需要获得相关政府部门的批准。中国2020年《外商投资法》将NSR制度扩展至涵盖所有外商投资，而不仅仅是外商并购交易。​​该制度由商务部和投资部共同管理。另一方面，尽管缅甸的外商投资安全审查由四个主要机构监管，但并未针对并购交易作出具体规定。联邦政府和联邦议会负责审查缅甸投资委员会（MIC）关于可能对国家安全产生影响的外国投资的决定。然而，他们缺乏进行此类评估的必要经验。与MIC类似，他们尚未制定明确的标准来识别哪些外国投资可能对国家安全构成威胁。目前，尚不清楚何时会启动这一补充审批程序。因此，联邦政府必须制定全面的外国投资安全审查（FISR）制度指南，供相关政府部门遵守。虽然政府部门需要审查与安全相关的外国投资，但目前尚无明确的指南规定在外国投资的背景下，什么构成国家安全审查。相比之下，中国已经建立了审查外国投资国家安全问题的制度，而缅甸尚未建立这样的制度。中国的监管框架仍然不够清晰。《办法》中缺乏关于外商投资安全审查（FISR）流程监管的规定。现有的通知和针对特定行业的《规定》仅规定，在对审查结果存在异议或未能在规定时限内作出决定的情况下，必须向国务院提交报告。尽管《外商投资法》（2015）的初稿提出了工作报告制度，但这一概念最终被排除在最终立法之外。因此，仍然迫切需要明确负责监督FISR流程的实体及其将采用的方法。中国的外商投资安全审查范围已扩大到涵盖所有类型的外商投资，不再局限于此前的并购审查。因此，预计在可预见的未来，外商投资安全审查案件数量将会增加。此外，外国投资者在外商投资安全审查流程中可能面临更高的费用。负责这些审查的机构将面临更繁重的工作量，其职责也预计将更加复杂。因此，加强中国的预先咨询框架至关重要，以促进更有效的安全审查流程，并应进一步改进以确保取得最佳效果。关于外商投资安全审查决定的执行，工作机制办公室作出通过安全审查决定的，当事人可以进行投资；通过附加条件审查的，应当按照附加条件进行投资；作出禁止投资决定的，当事人不得进行投资。关于违规处罚，对于拒绝申报、弄虚作假、不履行附加条件等违规行为，可以责令当事人限期处分其股权或资产，或将其不良信用记录纳入国家信用信息系统，并按照国家有关规定实施联合惩戒。提出中国外商投资安全审查制度对缅甸的经验借鉴，包括中国外商投资制度立法现状的经验借鉴、中国外商投资制度立法特点的经验借鉴、中国外商投资制度实施经验借鉴，并提出在立法层面完善缅甸外商投资制度的建议、在立法特点方面完善缅甸外商投资制度的建议、在实施层面完善缅甸外商投资制度的建议，旨在通过研究中国外商投资安全审查制度的启示，为缅甸外商投资安全审查制度立法机制的完善提供参考。

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提交日期：

2025-07-01

引用参考：

ZAW LINN OO. 中国与缅甸外商投资安全审查制度比较研究[D]. 西南政法大学,2025.

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