国有企业私有化反补贴问题研究

发布时间：2018-10-20 08:05

【摘要】：国有企业私有化是指西方的国有企业在改革过程中将国有企业以股份、债券等形式出售给私人,它不同于我国作为社会主义国家的国有企业改制。但是企业由国营到私营的转变都是其中重要的内容。国有企业私有化通常意味着曾经享受补贴的国有企业经过私有化成为独立的市场主体,不再接受任何补贴。当今世界经济一体化迅速发展,各国贸易交往甚密,贸易保护主义严重滋长,与国有企业私有化有关的反补贴成为各国争议的焦点。而国际上WTO法律框架内也没有对私有化后的国有企业适用反补贴措施的具体规定,这使得各国对于国有企业私有化后的新实体采取反补贴措施具有了主观性和随意性,同时也成为了部分国家保护本国相关产业的借口,破坏了公平的市场竞争秩序。为防患于未然,积极应对并妥善处理世界贸易大国可能对我国发起的反补贴浪潮,认识并理解WTO法律框架内规制的“补贴”与“反补贴”,学习西方有关国有企业私有化的反补贴相关案例,防范我国国有企业改制后产品出口可能遭受的反补贴诉讼浪潮,灵活运用补贴政策,发展我国市场经济,维护国家经济利益和社会稳定是非常必要的。本文以实证分析为主要的研究方法,参考借鉴了美国商务部、国际贸易法院及WTO的相关案例,综合运用比较分析、条约解释,在理解运用补贴与反补贴的一般理论,深入研究美国和WTO关于国有企业私有化反补贴诉讼司法实践的基础上,探讨给我国国有企业改制可能涉及的反补贴相关问题带来的启示。本文分为四个部分：第一部分是对国有企业私有化进行概述。介绍西方国有企业私有化出现的原因、形式,然后简单归纳出西方国有企业私有化遭遇反补贴诉讼的案例。第二部分是对有关补贴与反补贴的一般理论介绍。补贴与反补贴的定义、特征、分类、对公平贸易的影响,以及WTO法律框架下对于补贴和反补贴的规制,这些理论上的阐述都是为后面深入分析案例做好的前提准备。第三部分是整个论文的“重心”,是文章架构的核心。国有企业私有化反补贴问题研究的重点就是对补贴利益的剖析,只有对“补贴利益”的透彻认识,才能在反补贴诉讼中提供有力证据获得胜诉。对于补贴利益的认识,本文从认定的角度,认定的基准以及其在反补贴制度中的重要地位来凸显其在案例中的证明力。之后以补贴利益为主线,从美国的司法实践和WT0的司法实践中,选取多个典型案例,对裁定的结果进行评析,总结出美国和WT0的补贴认定方法。最后一部分在简要介绍我国国有企业面临的反补贴形势的基础上,提出了对政府和企业的若干建议。
[Abstract]:The privatization of state-owned enterprises (SOEs) refers to the sale of state-owned enterprises to private individuals in the form of shares and bonds in the course of reform, which is different from the restructuring of state-owned enterprises in China as a socialist country. But the transformation of enterprises from state to private is an important part of it. Privatisation of state-owned enterprises usually means that once subsidised state-owned enterprises become independent market entities and no longer accept any subsidies. Nowadays, with the rapid development of the world economy, the trade exchanges between various countries are very close, and the trade protectionism is growing seriously, the countervailing related to the privatization of the state-owned enterprises has become the focus of controversy in various countries. However, there is no specific stipulation of countervailing measures applied to the state-owned enterprises after privatization in the international legal framework of WTO, which makes it subjective and arbitrary for countries to take countervailing measures to the new entities after the privatization of state-owned enterprises. At the same time, it has also become an excuse for some countries to protect their related industries, undermining the fair market competition order. In order to prevent trouble, to deal with the countervailing tide that the world trade big country may initiate to our country, to understand and understand the "subsidy" and "countervailing" within the legal framework of WTO. Learn from the relevant cases of privatization of state-owned enterprises in the West, guard against the wave of countervailing litigation that may be suffered by the export of products after the reform of the system of state-owned enterprises in China, and flexibly apply the subsidy policy to develop our market economy. It is very necessary to safeguard the national economic interests and social stability. In this paper, the empirical analysis as the main research method, referring to the relevant cases of the United States Department of Commerce, International Trade Court and WTO, comprehensive use of comparative analysis, treaty interpretation, in understanding the use of subsidies and countervailing general theory, On the basis of deeply studying the judicial practice of the privatization countervailing litigation of the state-owned enterprises in the United States and WTO, this paper probes into the enlightenment to the countervailing problems that may be involved in the reform of the state-owned enterprises in our country. This paper is divided into four parts: the first part is an overview of the privatization of state-owned enterprises. This paper introduces the reasons and forms of privatisation of western state-owned enterprises, and then generalizes the cases of countervailing litigation in the privatization of western state-owned enterprises. The second part introduces the general theory of subsidy and countervailing. The definition, characteristics, classification, impact on fair trade and the regulation of subsidies and countervailing under the framework of WTO are all prepared for the further analysis of cases. The third part is the center of gravity of the whole paper, which is the core of the structure of the article. The focus of the research on the privatization countervailing problem of state-owned enterprises is the analysis of subsidy interests. Only through a thorough understanding of "subsidy interests" can we provide sufficient evidence to win the countervailing action. For the understanding of subsidy interest, this paper highlights its proof power in case from the point of view of cognizance, the standard of recognition and its important position in the countervailing system. Then, taking subsidy interests as the main line, from the judicial practice of the United States and the judicial practice of WT0, this paper selects several typical cases, evaluates the results of the ruling, and sums up the methods for the determination of subsidies in the United States and WT0. In the last part, on the basis of brief introduction of the countervailing situation faced by state-owned enterprises in China, some suggestions to the government and enterprises are put forward.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996.1

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