中国对外贸易和外商投资法培训

1中国对外贸易和外商投资法

TheLawonForeignTradeandInvestmentinChina沈四宝ShenSiBao,Prof,SchoolofLaw,UIBEDean,SchoolofLaw,ShanghaiUniversityChairman,InternationalEconomicLawInstituteofChina2PartⅠ

LegalIssuesofForeignTradeinChina3Ⅰ.中国对外贸易法律制度的历史回忆及其目前概况

AhistoricalreviewandcurrentprofileofforeigntradeanditslegalregimeinChina41.1中华人民共和国于1949年成立，至今有60个年头。在60年中，中国的经济开展经历了两个历史阶段，或者说可以分成前后两个阶段。PRCwasestablishedin1949andhasbeenover60years.Intheperiodofthepast60years,China’seconomicdevelopmentexperiencedthefollowingtwohistoricstages.451.2中国经济开展的前三十年中，根本实施方案经济，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。Inthefirstpast30yearsoftheeconomicdevelopmentofChina,theplannedeconomywasexclusivelyperformed,self-reliancewasmainlyemphasized.Inthefieldofforeigntradeatthattime,theprincipaltaskwastofrustratetheblockagedrivenbywesterncountries.Atthesametime,Chinamadegreateffortstokeepintouchwithoutsideworldandconductedforeignbusinessstepbystep.

6尤其是70年代中期，在中日、中美相继建交和参加联合国之后，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。

Uptothemiddleof1970,followingtheestablishmentofdiplomaticrelationswithJapanandUSA,especiallyafterrestorationinUnitedNations,ChinaisawardeditsseatintheUnitedNations.ImportandexportofChinahasincreasedgradually.Forexample,Chinahastradedwith160countriesin1976alreadyandthetotalvalueofimportandexportintheendof1978amountedtojustalittleover20billionUSD(accountedfor20.3billionUSD).Butasabigcountry,China’simportandexportamountedtolessthanonepercentoftotalworldvalue(amountedfor0.9percentofallvalueofInt’ltrade),rankingafterthetwentieth781.3小结Summary〕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,根本还是一个被忽略和疏离的外贸国家。Inthefirst30yearsafterthefoundingofRRC(1949-1979),ChinawasanegligibleandisolatedplayerintheworldeconomyeventhoughChinaisacountrywithhugepopulationover1billion,vastterritoryandrichresourcesatthattime.891.3.2)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。Duringthisperiod,foreigntradewascontrolledandmonopolizedbytheMinistryofForeignTrade.Almostalloftheforeigntradesatthattimewereexclusivelyconductedby10State-ownedprofessionalImport&Exportcompanies,eachresponsibleforspecificcategoriesofcommodities.Theyare:

910中粮集团ChinaNationalCereals,OilsandFoodstuffsCorp(COFCO)五矿集团公司ChinaMinmetalsCorporation中国机械进出口总公司ChinaCoalEnergyGroupCo.,Ltd中国技术进出口总公司ChinaNationalMachineryImport&ExportCorporation中国丝绸进出口总公司ChinaNationalSilkImport&ExportCorp中国医药机械进出口总公司ChinaNationalMedicalMachineryImport&ExportCorporation中国外贸运输总公司ChinaNationalForeignTradeTransportation(Group)Corporation中国纺织品进出口总公司ChinaTextileImport&Exportcorp.中国中化集团公司SinochemGroupCorporation华润集团ChinaResources(Group)Co.,Ltd.111.3.3)中国的外贸只是自力更生的辅助手段，有‘牛身’和‘牛尾’之称；严格服从方案经济和政治外交的需要。Foreigntradewasanaidofforeigntradetofacilitatetherealizationofself-relianceonlyandshallsubordinatetotheneedofpoliticsanddiplomacy.111.3.4)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。TheforeigntradeinChinawasmanagedbyAdministrationmainlythroughreddocumentsbyMOFTandpolicy.Amongthe45yearsfromthenewestablishmentofPRCtill1994,therewasnoforeigntradelawinChina.1213Ⅱ.中国对外贸易开展的第二个30年Seconddevelopmentstage---another30years14

中国外经贸开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开展。进出口额从1978年底的203亿美元猛增到2021年的2万5千6百亿美元。外汇储藏为19，460亿美元。三十年内增长了100多倍。

Intheperiodofthesecond30years〔from1979thrnow〕,foreigntradeinChinahaddevelopedtremendously.

Thefollowingfiguresindicatedsuchprogress.Uptotheendof2021,thetotalvalueofimportandexportinChinahasreached2,560billionUSD,whichwasover100timesasmuchasthatintheendof1978.theforeignexchangereservewas1946billionUSD.Nowithasbeenover2.5billionUSDalready.152021年全年货物进出口额22.072亿，比2021年下降13.9％；效劳贸易为2868亿，但09年中国出口占全球出口比重从2021年的8.9％上升至9.6％，超过德国成为世界第一出口大国。09年外汇储藏23，992亿美元。三大出口国家和地区为美国、欧盟和东盟。Theimport&exportvolumeofgoodsin2021was2207.2billionUSD,13.9%decreasedthan2021.tradeinservicesin2021was286.8billionUSD,China’sexportshareoftotalglobalexportfrom8.9%in2021to9.6%in2021,overGermanastheworld’sbiggestexportcountry.theforeignexchangereservein2021wasUSD2,399.2billionUSD.ThreemajorexportcountriesandregionsareU.S.,EUandASEAN.16172.1这主要是经历了如下几个大的事件

SomeeventsthatdrivingChina’sforeigntradetogoforwardrapidlyareasfollows:〕中国实施改革开放和实现四个现代化总政策Chinatakesthegeneralpolicyof‘Reform&Opendoor’forthepurposeofFourModernization.2.2.2)中国实施如下三个重大变革Thefollowing3materialtransformationshavebeentaken.1718从方案经济转向市场经济Undertakingaprocessoftransformationpolitically,economicallyandadministratively,especiallytransferringplannedeconomytomarketeconomy以自力更生为主转向对外开放ThetransitionfromSelf-sufficiencyandSelf-reliancetoanopeningpolicy从人治转向法治Fromruleofmantoruleoflaw18192.3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

Thefollowingfactorshaveimposed

greatinfluencesontheestablishmentofChina’sforeigntraderegime1994年公布了中华人民共和国第一部对外贸易法ThefirstForeignTradeLawwasissuedbyNPCin19942001年11月中国参加WTO及其入世承诺On10thofNovember,2001,ChinaenteredintoWTOandmadeafamousprotocolfortheaccessiontoWTO202004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ThefirstforeigntradelawwasrevisedandpassedunanimouslyinStandingCommitteeofNPCin2004通过这三项重大措施，中国外贸法的框架根本上确立起来了TheframeworkofChina’sforeigntradelawhasbeenbasicallysetupthroughthethreeimportantactsabove.3.我国外贸持续开展面临的四个新挑战，FournewchallengesChinafaceswhenitsforeigntradeiscontinuouslydevelopedareasfollows,第一、国外对中国采取贸易保护主义频繁First,ForeigntradeprotectionismagainstChinaisinitiatedfrequentlybyforeigncountries.21如2021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。2021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。Forexample,atotalof116productsexportedfromChinaweresufferedfromthetraderemedyinvestigations.Theamountinvolvedisuptoabout12.7billionU.S.dollars.22Amongthem,76wasanti-dumpingcases,13wasanti-subsidycases,20wassafeguardcasesand7wasspecialsafeguardcase.Overseasintellectualpropertydisputesin2021wasfurtherincreasedandtheUnitedStatesinitiated8investigationsonChineseproducts.23第二、在境外对中国提起反垄断案Second,fillingantitrustcasesagainstChinainabroad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。Usingtheextraterritorialjurisdictionofanti-monopolylaw,andfillingantitrustcaseagainstChinesecompaniesinthecourtofUSA.Foranexample,anti-vitaminCcasebeforethecourtofUSA.24第三、最大的问题，就是不断要求人民币升值。Third,ThebiggestobstacleistheheavypressureoftheappreciationoftheRMB.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。Forexample,UnitedStates,eventhreateningtociteChinaas“currencymanipulator",topushtheappreciationoftheRMB25第四，国内外贸经营者的法制观念薄弱。Forth,thelocalforeigntradeoperatorsislackoforhaveaveryweaklegalknowledge.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。Ofcourse,thereareotherchallenges,suchasthepollutionofenvironment,lowcarbon,laborpaymentoftheemployees,etc.2627结论：Conclusion:1.中国的对外贸易法制与国际接轨China’sforeigntraderegimeisconvergentwithInt’ltradelawandinternationalpractice.2.逐步健全的法治推动了对外贸易的迅速开展Theforeigntradelawanditsimplementationfacilitatethedevelopmentofforeigntraderapidly.

3.中国的对外贸易法律体系框架有其特色China’sforeigntraderegimeremainssomeofitsowncharacteristics.4.中国外贸的持续开展面临四大巨大挑战Chinaisnowfacingthe4seriouschallengesforthecontinuousdevelopmentofforeigntrade.28SomeissueswhichshouldbeemphasizedwhenstudyChina’sFTLⅠ.

中国入世对外贸法的影响〔两句话、三个字〕

TheimpactofChina’senteringintoWTOonitsforeigntradelaw(twosentencesandthreewords)29保持一致Keepingalllaws,regulations,rules,measuresandpoliciesregardinggoods,service,IPandcontrolofforeignexchangepertainingtoandaffectingtradeandinvestmenttobeinconformitywithinWTOAgreements统一实施

Alllaws,regulations,rules,measuresinthefieldofforeigntradeandeconomyinmainlandofChinashallbeunifiedandimplementedstrictly.3031立、改、废〔Promulgation,revisionandabolishment)Promulgatingnewlaws,regulationsandothermeasuresrelatedtoforeigntradeinordertofullyenjoytherightsasaWTOmember.Revisingalllaws,regulationsandmeasureswhichdidnotcomplywiththeWTOAbolishingalllaws,regulationsandmeasureswhichwerecontroversialagainsttheprinciplesoftheWTOandwhichwereoutdated31Ⅱ外贸法要为保护我国核心利益效劳

FTLshouldservicefortheprotectionofChina’scoreinterests各国都由有自己的核心利益，这是各国主权的集中表达，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那么。我国的外贸法更是担当着这一神圣的历史任务，这是因为：Eachnationhasitsowncoreinterests.It’saconcentratedexpressionofitssovereigntyandtheimportantgoalthelawaimstoachieveaswell.Coreinterestsisthefundamentalinterestswhichwillaffectthesurvivalofacountryandmakeithardorimpossibletodealorcompromise.China’sforeigntradelawespeciallytakessuchsacredhistoricalmission,because：321、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原那么的条件下，采取各国通行的惯例在外贸法中也订入了表达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。因为实践证明这是保卫本国核心利益的有效条款。Chinahasalonghistoryofimplementationoftheruleofman.33Afterreformandopeningupandundertheeconomicglobalization,andwithoutprejudicetotheprincipleofWTO,china,astheprevailingpracticeofothercountries,isalsomaketheprovisiononthemeasuresofreciprocityinitsforeigntradelaw,thatisthearticle7.2004FTLand94FTLdidn’tmakeanyamendmenttothisarticle.BecauseithasprovenbypracticetobetheeffectiveprovisiontodefendChina’scoreinterests.342、中国的核心利益和价值观念与一些西方国家不同，因此，保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。China'scoreinterestsandtraditionalvaluesisdifferentfromthoseinsomeotherWesterncountries,therefore,todefendthecoreinterestsisthetoptaskofFTLandthetoppriorityofthewholelegalregimeaswell.35问题：什么是国家核心利益？Question:whatisthecoreinterestofacountry?外贸法第七条规定：Article7ofChineseFRLstipulatesthat:‘ThePeople’sRepublicofChinashallhavetherighttoadopt,inaccordancewiththeactualcircumstances,correspondingmeasuresagainstanycountryorregiontocountertheirdiscriminatorymeasuresonthebanning,restrictionorothersimilaractsintradingwiththePeople’sRepublicofChina.’36

TwocasesontheArticle7of94&04FRL

04年外贸法第七条没有对94年第七条作任何修改。Thearticle7inFRLin2004didn’tmakeanyamendmentstothatarticleinFTLin1994.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〞。Article7stipulatethat:‘ThePeople’sRepublicofChinashallhavetherighttoadopt,inaccordancewiththeactualcircumstances,correspondingmeasuresagainstanycountryorregiontocountertheirdiscriminatorymeasuresonthebanning,restrictionorothersimilaractsintradingwiththePeople’sRepublicofChina.’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Accordingtothisarticle,Chinahasalreadymademanyresponsestoalotofdiscriminatorychallengesfromthewesterncountries.3839Ⅱ.对外贸易法制的主要框架

FrameworkofforeigntradeinChina’sFTL3940GeneralFrameworkoflegalregimesinChinaConstitutionLawRegulationsMeasures(Rules)JudicialInterpretationNationalPeople’sCongresstheNPCStandingCommitteeStateCouncilMinistriesSupremePeople’sCourtLocallawsprovinceslevelofNPC中国对外贸易法律制度框架包括四个层面：ThegeneralframeworkofforeigntraderegimesinChinaincludesfourlevels.首先是由全国人大或其常委会公布的以对外贸易法为主的法律。Firstlevel:theforeigntradelawissuedbythestandingcommitteeofNPC.第二是有国务院公布的行政法规Secondlevel:administrativeregulationspromulgatedbyStatecouncil.41第三层面是省一级人大公布的地方法规Thirdlevel:locallawpromulgatedbytheNPConitsprovinciallevel.第四层面是国务院下属的各部委尤其是商务部公布的规章。Forthlevel:Measuresorrulesenactedbytheministriesunderstatecouncil,especiallytheMinistryofCommerce(MOFCOM).4243Diagram4445464748FTL的根本原那么

GeneralprincipleofFTL

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

Unifiedsystemforforeigntrade.themeasuresofunifiedsystemareasfollows:491、统一立法、统一实施Uniformlegislationanduniformenforcement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。1.3billionpeoplein31provincesof9.6millionsquarekilometers,includingfourautonomousregionsandfourmunicipalitieslikeBeijing,shanghai,TianjinandChongqinginChinashouldcomplywiththeuniformlegislation,especiallytocomplywiththelawsandadministrativeregulations.Intheeventtherearecontroversiesbetweenlawsorregulationsandruleormeasures,lawandregulationsshallbeputatthepriority.5051A.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。AlllawsandregulationsforforeigntradeinChinashallbeuniformlyimplementedfromcentralgovernmenttoremotecountry.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-regionalprotectionism.Regionalprotectionismhasitsfar-reachinghistoricalreasons.Composedby56nationalities.Theunceasingwarlordseparationinhistory.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。TheMOFCOMunderthestatecouncilanditslocalofficesinprovinciallevelaredesignatedastheoverallandprincipalauthorityinchargeofforeigntradenation-wideonly.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ThemainresponsibilitiesofMOCanditslocalofficesareasfollows: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。Promotinganddevelopingtradingrelationswithallothercountriesandregionsestablishingorparticipatinginagreementsoftariffunions,freetradeagreementsandotherbilateralormultilateraltradeagreements.

53B.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。drawingupthespecificregulationsandmeasuresinrelationtotheforeigntradeandforeigninvestmentaccordingtotheforeigntradelaw.C.负责对外贸易经营者的备案。

inchargeoftheregistrationoftheforeigntradeoperatorforrecord54D.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InvolvinginmakingandimplementingtheCataloguesforthegoodssubjecttostate-tradingregimeandlistoftheauthorizedenterprisesE.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。Drawingup,revisingandpublishingthecataloguesofgoodsandtechnologieswhoseimportorexportarerestrictedorbanned.

55F.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。Distributionofthequotasorlicenseongoodsandtechnologieswhoseimportorexportisrestricted,includingthetariffquotas.

G.会同国务院相关部门，制定、调整并公布国家效劳贸易市场准入目录。drawingup,revisingandpublishingthecataloguesofmarketaccessforinternationalservicetradeinconsultationwithotherrelevantdepartmentsundertheStateCouncil.56H.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。

Makingthetheanti-dumping,countervailingandsafeguardinvestigationsontheforeignimportedproductsandtakecorrespondingmeasuresincludingthebilateralormultilateralconsultations,negotiationsanddisputesettlement.57I.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。takingnecessarymeasurestomaintaintheforeigntradeorderandeliminatetheinjuryorthreatoftheinjurytodestroytheorder.5859总原则GeneralPrinciples措施Measures目标Purposes对外贸易秩序OrdersofForeignTrades二、维持公平和自由的对外贸易秩序

MaintenanceofFairandFreeForeignTradeOrdersForeigntradeorder1.对外贸易的秩序及其重要性ThedefinitionofFTOanditsimportance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。Foreigntradeorderisakindofeconomicorder,includingtheforeigntrademanagementorderandtheoperationorder.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；比方，现在的管理秩序突出：放宽事前审批，加强事后监管。Managementorderisanorderreflectingthetraderelationsbetweenthegovernmentasaforeigntrademanagerandtheforeigntradeoperatorsinordertosafeguardthenationalinterest.Forexample,thecurrentmanagementorderemphasizesontherelaxationofthepriorapprovalwhilestrengtheningtheafterwardsupervision.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。Operationorderisanorderreflectingthecivilandcommercialrightsandobligationsbetweentheforeigntradeoperatorswithequallegalstatus,substantiallyarethroughbusinesscontracts.622.外贸秩序的重要性

theimportanceofforeigntradeorder没有外贸秩序，就没有外贸本身。Noorder,noforeigntrade.

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-throatcompetitionsandtheundercuttingwitheachotheralwaysgiverisetotheforeigntradedumping.B.经营者之间建立价格卡特尔。Theestablishmentofpricecartelamongoperators63WTO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WTOaimsatfreetradeobjectives,whileallowingmemberstoadoptvariousmeasuresoffairtrade64目标Purpose

建立一个公平自由的对外贸易环境自由贸易目标Freetrade公平贸易目标Fairtrade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