论CPTPP框架下的“监管一致性”原则及我国的对接路径  

On the"Regulatory Consistency"Principle under the CPTPP Framework and China's Approach to Integration

作　　者：常健 钟文颢 CHANG Jian;ZHONG Wenhao

机构地区：[1]海南大学法学院

出　　处：《中国矿业大学学报(社会科学版)》2025年第2期107-120,共14页Journal of China University of Mining & Technology(Social Sciences)

基　　金：国家社会科学基金项目“公司双层股权结构的法律构造研究”(项目编号:19BFX131);海南省高等学校教育教学改革研究重点项目“自由贸易港法治人才培养模式与课程体系研究”(项目编号:Hnjg2021ZD-2);海南省优秀人才团队“海南自由贸易港法律创新团队”项目阶段性成果。

摘　　要：监管分化形成的贸易壁垒已成为贸易自由的主要障碍,因而CPTPP在其第25章设立“监管一致性”原则以应对监管分化问题。“监管一致性”原则作为CPTPP中的核心章节,既可削减监管分化引起的贸易壁垒,又可提升缔约方内部监管质量,因而是我国申请加入CPTPP等国际高标准经贸规则时不可忽视的重要对接方向。我国在对接“监管一致性”原则方面的路径是:一是通过央地联动与先试验后推广的方式,防范对接过程中的潜在风险;二是参照“监管一致性”原则的各项核心议题及相应制度设计,检视我国现行监管制度的不足之处,并据此探索我国监管质量的提升路径;三是明确划定“监管一致性”原则的适用范围,以实现国内规制主权与贸易自由间的平衡关系。鉴于“监管一致性”原则主要关注的是国际贸易领域,我国可先行在国际贸易领域进行对接,并将金融、国防、外交、税收等涉及国家主权与经济安全的敏感领域排除于适用范围之外,以维护国内规制主权。Trade barriers resulting from regulatory fragmentation have become a major obstacle to trade liberalization.To address the issue of regulatory fragmentation,Chapter 25 of the CPTPP establishes a dedicated chapter in"Regulatory Coherence."As the core provision of the CPTPP,the principle of"Regulatory Coherence"not only reduces trade barriers caused by regulatory fragmentation,but also enhances the domestic regulatory quality of its contracting parties.Therefore,the principle of"Regulatory Coherence"is an essential aspect for China to consider aligning with international high-standard economic and trade rules,such as applying for CPTPP membership.In the process of aligning with the"Regulatory Consistency"principle,firstly,measures should be taken to prevent potential risks during the alignment through interaction between the central and local governments and the approach of piloting before promoting;secondly,China should examine the deficiencies of its current regulatory system by referring to the core issues and corresponding institutional designs of the"Regulatory Consistency"principle,and explore the path to improve the quality of its regulation accordingly;and thirdly,the scope of application of the"Regulatory Consistency"principle should be clearly defined to achieve a balance between domestic regulatory sovereignty and trade freedom.As the"Regulatory Consistency"principle focuses on the field of international trade,China can align in this field and exclude sensitive areas such as finance,national defense,diplomacy and taxation that involve national sovereignty and economic security from the scope of application,thereby safeguarding domestic regulatory sovereignty.

关 键 词：CPTPP 监管一致性 国际监管合作 良好监管实践 国内规制 

分 类 号：F752.7[经济管理—国际贸易] D996[经济管理—产业经济]