比较视角下的不可靠实体清单制度  

A Comparative Analysis of the Unreliable Entity List

作　　者：廖凡 Liao Fan

机构地区：[1]中国社会科学院国际合作局

出　　处：《比较法研究》2021年第1期167-179,共13页Journal of Comparative Law

摘　　要：不可靠实体清单制度的基本定位是对他国歧视性的出口管制及其他制裁措施的反制。就否认和抵消他国相关国内法措施的域外适用效力而言,不可靠实体清单与欧盟阻断立法有相通之处,但运作逻辑不尽相同。本质上,不可靠实体清单制度是要对外国实体施加压力并形成威慑,促使其在遵守外国政府的管制和制裁要求时,更加中立、慎重和克制。外国实体被列入不可靠实体清单后,其所产生的法律后果可以包括进出口管制、投资限制、入境/居留限制、风险警示、民事诉讼等。不可靠实体清单制度在实施过程中应当注意原则性与灵活性相结合,赋予主管部门必要的自由裁量权,重在发挥威慑作用。同时,有关执法部门应特别注意遵照正当行政程序的要求,保障相关外国实体的申辩权和异议权。The Unreliable Entity List(UEL) is primarily established as a countermeasure against another country’s discriminatory export control measures and other sanctions. In terms of denying and offsetting the extraterritorial effectiveness of relevant domestic law and measures of other countries, it resembles the EU Blocking Statute, but differs in the way of operation. In essence, it aims at exerting pressure and deterrent effect on the foreign entities concerned, urging them to be more neutral, prudent and restrained when complying with the control and sanction requirements of their government. The consequences of being listed on the UEL could include import &export control, investment restriction, entry/residence restriction, risk warning, and civil litigation. The implementation of the UEL should, with the emphasis being placed on deterrence, allow for some degree of flexibility in following principles, and grant the competent authorities necessary discretion. Meanwhile, the due process of administration should be observed so as to secure the rights of defense and objection of the foreign entities concerned.

关 键 词：不可靠实体清单 反制措施 出口管制 《阻断法》 域外适用 正当行政程序 

分 类 号：D922.295[政治法律—经济法学]