http://en.wikipedia.org/wiki/Memorandum_of_understanding

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A memorandum of understanding (MOU or MoU) is a document describing a bilateral or multilateral agreement between parties. It expresses a convergence of will between the parties, indicating an intended common line of action. It most often is used in cases where parties either do not imply a legal commitment or in situations where the parties cannot create a legally enforcement agreement. It is a more formal alternative to a gentlemen's agreement.

In some cases, depending on the exact wording, MoUs can have the binding power of a contract; as a matter of law, contracts do not need to be labeled as such to be legally binding. Whether or not a document constitutes a binding contract depends only on the presence or absence of well-defined legal elements in the text proper of the document (the so-called "four corners"). For example, a binding contract typically must contain mutual consideration—a legally enforceable obligations of the parties, and its formation must take place free of the so-called real defenses to contract formation (fraud, duress, lack of age or mental capacity, etc.).

Contents

Examples include:

•The Memorandum of Understanding Relating to the Treaty between the United States of America and the Union of Soviet Socialist Republics on the Limitation of Anti-Ballistic Missile Systems on May 26, 1972 signed by US President Richard Nixon and the USSR Successor States updating the Anti-Ballistic Missile Treaty[2]

•The Memorandum of Understanding on Hijacking of Aircraft and Vessels and Other Offenses between the US and Cuba, meant to criminalize hijacking in both countries (February 3, 1973)

•The Agreed Framework between the U.S. and North Korea over nuclear weaponry on October 21, 1994

•The Oil for Food program, for which Iraq signed an MoU in 1996

•The agreement between the government of Indonesia and the GAM in the Aceh peace process, 15 August, 2005.

•The agreement between the UK and Jordan, Libya and Lebanon regarding potential extradition of suspects (commonly terrorists suspects) who if they are to be tried, must be tried fairly and in a manner similar to the European Convention on Human Rights, for example withholding from using evidence obtained through the use of torture(Article 3). Such an understanding has been criticised for its inability to be legally enforced. This has been highlighted in the current deportation process of the suspected terrorist Abu Qatada, who is wanted by Jordan in connection with a terrorist attack. However, at present, the Court of Appeal have rejected the UK Government's appeal based on their concern at Jordan obtaining evidence potentially incriminating Qatada through the use of torture.

•The Memorandums of Understanding on Labour Cooperation between The People's Republic of China, Singapore and New Zealand on 2008, in parallel with their respective free trade agreements

 

國安(評) 097-179 號

September 18, 2008

兩岸簽署金融監理備忘錄(MOU)情勢分析

副研究員 鄧岱賢  

關鍵字: 兩岸金融監理機制 兩岸金融交流合作 MOU      http://www.npf.org.tw/post/1/4692

自一九九二年我政府通過「台灣地區與大陸地區人民關係條例」,正式准許台商赴大陸投資以來,兩岸經貿、投資關係密切。依大陸統計資料,在貿易方面,二○○七年兩岸貿易總額為一千二百四十四億美元,我國享有七百七十五億美元的貿易順差;在投資方面,累計至二○○七年我國一共有七萬五千餘件大陸投資案,累計投資金額超過四百五十六億美元。在兩岸貿易、投資往來如此密切之狀況下,自然會衍生出對兩岸金融交流合作的需求。 

二○○八年九月七日大陸國務院台辦主任王毅在參加「第三屆海峽西岸經濟區論壇」時指出;「金融是現代經濟的核心,為加強兩岸金融交流與合作,推動兩岸經濟關係發展,我們願與台灣方面就建立兩岸銀行業、證券業監管合作機制,儘快展開協商。繼續鼓勵和支持台資企業在大陸資本市場上市,推動建立兩岸貨幣清算機制,為台灣地區的銀行和券商到大陸設立經營機構逐步創造條件。」顯見大陸方面有極高意願與台灣洽商簽署兩岸金融監理機制MOU。 

在台灣方面,二○○八年六月二十六日行政院為打造台灣成為「亞太資產管理與籌資中心」,促成兩岸金融監理機制運作、放寬國人投資含陸股成分之有價證券,通過「調整兩岸證券投資方案-短期計畫」,擬推動

(一)基金型態之外國機構投資人免出具聲明書;

(二)開放台港「指數股票型證券投資信託基金」,(Exchange Traded Funds, ETF)相互掛牌;

(三)開放香港交易所掛牌企業得來台第二上市(櫃);

(四)開放赴大陸投資證券期貨業;

(五)放寬基金投資涉陸股之海外投資限制等五項措施。既然我政府宣示兩岸要進行金融交流與合作,因此,簽訂兩岸金融監理備忘錄(MOU),制訂雙方金融界相互運作之機制就有其必要性。 

備忘錄(Memorandum Of Understanding, MOU)是陳述雙方或多方協議的文件。通常使用在雙方無法有法律承諾或是無法創造合法執行之協議的狀況之時。國際合作契約通常在正式簽署合約前,會先簽備忘錄(MOU)、意向書(Letter Of Intent, LOI)及保密協定(Non-Disclosure Agreement, NDA),而MOU及LOI是合作雙方在早期階段所簽署的合約形式,不算是正式的合約類型,除非內容有特別約束規範,否則在法律上不具效力,而NDA為一個獨立存在的契約,有獨立的法律效力。

 

我國通常與非邦交國簽署文件時,大都使用MOU,例如與法國簽署「台灣金融監督管理委員會與法國銀行監理委員會共同合作及資訊交換『瞭解備忘錄』」,而與我有邦交之國家則簽署協議(Agreement),如與馬紹爾群島共和國簽署「中華民國(臺灣)與馬紹爾群島共和國洗錢情報交換合作協定」。因此兩岸在金融監理方面簽署MOU不會有矮化我方之問題。 

在兩岸金融業都有需求的情況下,再加上兩岸金融相關單位的領導人都表示肯定,尤其是此議題已是二○○六年第一屆「兩岸經貿論壇」兩按雙方的共同意見,未來兩岸簽訂金融監理MOU,加強兩岸金融交流與合作,應該可以水到渠成。 

尤其目前我政府已開放十四家產壽險在大陸設立十八個辦事處,並已核准七家保險公司赴大陸投資,三家在大陸設立子公司;且已有十三家證券商在大陸設立二十三個辦事處;七家銀行在大陸設立代表人辦事處。這些產壽險、證券、銀行業者亟待兩岸簽署金融監理 MOU後,他們可以開始在大陸拓展業務。更何況核准台灣金融業赴大陸佈局營業,可以擴大台灣金融業的營業規模,擴大兩岸證券投資,解決目前台灣金融市場過於狹小的問題,並有效將台灣金融業推向國際舞台,且對強化我國資本市場之國際競爭力,應有一定助益。 

隨著全球化發展及兩岸經貿關係日益密切,兩岸金融交流合作已經勢在必行,目前兩岸金融市場均已經根據世界貿易組織(WTO)的規範,向全世界銀行開放,兩岸實在沒有理由單獨限制彼此金融往來。兩岸金融交流合作是互利雙贏的局面,也有益於金融業者、台商及廣大百姓,希望兩岸當局均以金融業者及黎民百姓的福祉為依歸,擱置政治爭議,務實促其實現。 

當前兩岸各自只要做相關法令的修正,並簽署金融監理MOU,即可讓兩岸金融合作順利進行。建議我政府儘速成立跨部會金融相關單位工作小組,研擬兩岸金融監理MOU簽署之相關細節問題,並由陸委會授權海基會,與大陸海協會展開協商工作,讓台灣金融業可以赴大陸佈局,擴大規模;讓大陸資金可以來台,活絡台灣經濟。進一步加強兩岸金融業的交流合作,提升彼此金融業的國際競爭力,並為兩岸經貿及投資奠下更好的投資經營基礎,相信兩岸必能克服這波全球不景氣浪潮,為兩岸人民創造安居樂業的未來。 

(本文刊載於97.09.17中央日報網路報,本文代表作者個人意見)

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