反贸易洗钱合作机制研究

发布时间：2018-04-24 03:16

本文选题：贸易洗钱 + 进化博弈　；参考：《西南交通大学》2010年硕士论文

【摘要】： 随着经济全球化和信息化的深入发展,世界各国的联系日益紧密,跨国洗钱是洗钱犯罪的一种主要形式,而贸易则是跨国洗钱最有效的载体。FATF于2006年公布的《贸易洗钱》类型研究报告详细地描述了贸易洗钱的各种手法。此后,贸易洗钱正式进入了国际反洗钱组织监管的视野,然而由于种种原因各国对贸易洗钱的监管收效甚微。《2008中国反洗钱报告》对于贸易洗钱的案例也只是寥寥数语。鉴于贸易洗钱具有跨国性、复杂性和极大的隐蔽性等特点,各国必须建立长期有效的合作机制才能遏制贸易洗钱犯罪,同时,在国家内部处于反贸易洗钱第一线的相关部门(如：海关、银行等)也必须加强合作共同打击贸易洗钱犯罪。基于此,建立有效的合作机制打击贸易洗钱犯罪迫在眉睫,但由于各国之间存在着诸如：法律、政策、经济、地理条件等方面的差异,在一定程度上会影响合作的效果,因此,合作并不是一帆风顺的。本文正是基于上述背景,针对国家内部如：海关、银行等不同部门的合作进行分析以及国与国之间相应的贸易监管部门是否能够建立起长期有效的合作机制进行了较为深入的研究。本文主要做了以下工作： (1)通过对FATF类型报告洗钱犯罪案例进行归类总结,将贸易洗钱组织分成了三类：临时性贸易洗钱组织；长期性贸易洗钱组织和混合型贸易洗钱组织。通过对这三种类型的洗钱组织分析,可以使贸易监管部门根据其特点采取有效的打击措施。 (2)本文运用进化博弈理论对贸易监管方和贸易洗钱者的决策行为进行分析。假设双方都是有限理性经济人,并且他们在行动时不可能一次性达到均衡状态。另外,本文主要研究博弈双方行为选择的互动过程以及双方达到的均衡状态是否具有抗干扰能力。 (3)利用进化博弈论对各国监管部门的合作行为进行分析,试图找出其合作基础,分析合作有没有长期稳定性的可能,并且针对分析的结果给出相应的策略用以维持长期有效的合作。本文最主要的贡献在于,利用进化博弈论对各国相应部门的合作机制运行机理进行了较为深入的分析,并提出了维持合作机制有效运行的建议。
[Abstract]:With the deepening development of economic globalization and information technology, countries in the world are increasingly closely linked. Transnational money laundering is a major form of money laundering crime. Trade is the most effective carrier of transnational money laundering. Since then, trade money laundering has formally entered the perspective of international anti-money laundering organization supervision, but for various reasons, the supervision of trade money laundering has little effect. < 2008 China Anti-Money-Laundering report > is only a few words for the case of trade money laundering. In view of the transnational nature, complexity and great concealment of trade money-laundering, countries must establish long-term and effective cooperation mechanisms to curb the crime of trade money-laundering, and at the same time, Relevant departments (such as customs, banks, etc.) that are at the forefront of anti-trade money-laundering within the country must also strengthen cooperation to combat trade money-laundering. Based on this, it is urgent to establish an effective cooperation mechanism to combat the crime of trade money-laundering. However, due to the differences between countries in such aspects as law, policy, economy, geography and so on, the effect of cooperation will be affected to a certain extent. Cooperation is not smooth sailing. Based on the above background, this paper aims at the internal customs, This paper analyzes the cooperation of different departments such as banks and studies whether the corresponding trade regulatory departments can establish a long-term and effective cooperation mechanism between countries. The main work of this paper is as follows: 1) by classifying and summarizing the cases of money laundering crimes reported by FATF, the trade money laundering organizations are divided into three categories: temporary trade money laundering organizations, long-term trade money laundering organizations and mixed trade money laundering organizations. Through the analysis of these three types of money laundering organizations, the trade supervision department can take effective measures according to its characteristics. In this paper, evolutionary game theory is used to analyze the decision-making behaviors of trade regulators and trade launderers. Assume that both parties are bounded rational agents, and they can not act in a one-off equilibrium state. In addition, this paper mainly studies the interactive process of behavior choice and whether the equilibrium state reached by both sides has anti-interference ability. Using evolutionary game theory to analyze the cooperative behavior of regulatory authorities in various countries, trying to find out the basis of cooperation, and to analyze whether the cooperation can be stable in the long run. According to the results of the analysis, the corresponding strategies are given to maintain long-term and effective cooperation. The main contribution of this paper is to make a deep analysis of the mechanism of cooperative mechanism in different countries by using evolutionary game theory, and put forward some suggestions to maintain the effective operation of cooperative mechanism.
【学位授予单位】：西南交通大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D996;D917

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