后WTO时代我国外资银行的法律监管问题研究

发布时间：2018-01-24 11:18

本文关键词： 外资银行监管风险控制　出处：《上海社会科学院》2011年硕士论文　论文类型：学位论文

【摘要】：金融业处于经济领域的核心地位,在当前全球经济逐渐一体化的背景下,金融业的发展对全球经济的发展起着牵一发而动全身的重要作用。加入WTO后,我国的金融业已按照入世承诺表的安排对外开放,截止2006年底,我国已完成全部承诺,全面向外资银行开放了国内的金融市场。外资银行的全面进入在推动我国金融业改革、促使国内金融业效率提高的同时,也增大了外资银行传递全球金融风险的可能性,给我国外资银行的法律监管问题提出了新的挑战。加强对外资银行的风险控制成为后WTO时代外资银行法律监管的一项重要内容。基于此,本文首先在第一章结合我国对金融业的入世承诺分析了外资银行在中国的发展现状及我国当前外资银行法律监管的政策和体制;进而在第二章介绍了世界主要国家地区有关外资银行的监管制度及巴塞尔协议有关外资银行的监管模式,分析个中优略,以期对我国当前的外资银行监管制度有所启发;并在第三章中指出了当前我国对外资银行监管在监管法律体系、监管主体权力分配、监管方式与方法方面的不足,提出完善当前我国外资银行监管制度的相关对策,旨在为后WTO时代加强对外资银行的风险控制、维护我国金融体系的稳健运行提供一个法律建议。
[Abstract]:The financial industry is in the core position of the economic field. Under the background of the gradual integration of the global economy, the development of the financial industry plays an important role in the development of the global economy. China's financial industry has opened to the outside world in accordance with the schedule of WTO commitments. As of end of 2006, China has completed all its commitments. The comprehensive entry of foreign banks promotes the reform of China's financial sector and promotes the efficiency of the domestic financial industry at the same time. It also increases the likelihood that foreign banks will pass on global financial risks. Strengthening the risk control of foreign banks has become an important part of the legal supervision of foreign banks in the post-#en0# era. Based on this, this paper firstly analyzes the current situation of foreign banks' development in China and the current policy and system of legal supervision of foreign banks in combination with China's commitment to the entry into WTO of the financial industry. Then in the second chapter, it introduces the supervision system of the foreign banks in the major countries and Basel Accord about the supervision of foreign banks, and analyzes the advantages and disadvantages. In order to enlighten the current supervision system of foreign banks in China; And in the third chapter, the author points out the deficiencies of the supervision of foreign banks in the legal system of supervision, the distribution of power, the ways and methods of supervision. In order to strengthen the risk control of foreign banks in the post-#en0# era and maintain the steady operation of China's financial system, this paper puts forward some relevant countermeasures to improve the supervision system of foreign banks in China.
【学位授予单位】：上海社会科学院
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.2;D922.28

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