离岸金融监管法趋势论

发布时间：2018-01-24 14:46

本文关键词： 离岸金融金融软法法律趋同行业自律　出处：《哈尔滨工业大学》2013年硕士论文　论文类型：学位论文

【摘要】：在金融创新的推动下，在岸金融不再是金融的全部，离岸金融的发展引人关注。实际上，离岸金融的出现已逾半个世纪，在国内的历史也有近二十年，然而相对于在岸金融来讲依然是新生事物。在法治社会，金融的发展显然不能离开法律的规范与引导。今时今日研究离岸金融相关的法律问题，不仅有益于反思中国在离岸金融领域曾经遭遇的挫折，也是对眼下令人关注的人民币离岸业务的一种法学回应。对离岸金融的学术研究，尤其是金融学的研究已有不少，但从国际经济法的视角以趋势分析为路径去思考相关问题目前仍不失为一个较新的思路。诸多研究趋势问题的学术成果早已给我们启示：欲窥未来之趋势，必先察其现状，这是由事物的客观发展规律所决定的。就离岸金融监管法而言，就是要考察其现在的发展状况以及存在的问题，现状的改善、问题的解决往往就指示了未来的发展方向。从离岸金融监管法的现状来看，在形式上存在大量的效力不确定的软法，在监管标准和措施上各国各自为政，在参与因素上民间力量未能得到充分的利用。这三个问题都制约着监管法发挥本应有的作用，以至于最终的监管效果不甚理想。在金融危机的大背景下，加强金融监管已经成为各国共识，这意味着国际社会将努力推动金融监管法律的改革，其中自然包括离岸金融监管法。据此，笔者在尊重法律基本的发展规律的基础上，通过比较研究、文义解释等方法对离岸金融监管法的改善进行了探讨，并最终得出这样的结论：离岸金融监管法在形式上会有一个从软法到硬法的转变，在监管标准和措施上将出现逐步统一的趋势，，在参与因素上民间监管力量大有可为。此时对于离岸金融监管法发展趋势的探讨尽管可能不成熟，但将有益于引发理论界对相关问题的进一步思考，并与中国今后离岸金融的发展相互印证，以期完善理论、指导实践。
[Abstract]:Driven by financial innovation, onshore finance is no longer the whole of finance, and the development of offshore finance attracts attention. In fact, the emergence of offshore finance has been more than half a century, and the history of offshore finance in China has been nearly 20 years. However, compared with onshore finance, it is still a new thing. In the rule of law society, the development of finance can not be separated from the legal norms and guidance. Not only would it be useful to reflect on China's past setbacks in offshore finance, it would also be a legal response to the current focus on the renminbi offshore business. There have been many academic studies on offshore finance, especially on finance. However, from the perspective of international economic law, it is still a relatively new way to think about related issues from the perspective of trend analysis. As far as the offshore financial supervision law is concerned, it is necessary to investigate its current development situation and existing problems, the improvement of the present situation. From the current situation of offshore financial supervision law, there are a large number of uncertain soft laws in form, and countries are doing their own things in the regulatory standards and measures. These three problems restrict the role that the supervision law should play, so that the final regulatory effect is not very good. In the context of the financial crisis, strengthening financial regulation has become the consensus of all countries, which means that the international community will strive to promote the reform of financial regulation law, which naturally includes the offshore financial regulation law. On the basis of respecting the basic development law of law, the author discusses the improvement of offshore financial supervision law by means of comparative study, literal interpretation and other methods. And finally draw such a conclusion: offshore financial supervision law in form will have a change from soft law to hard law, in the supervision standards and measures will be gradually unified trend. At this time, the discussion on the development trend of offshore financial supervision law may not be mature, but it will benefit the theoretical circles to further think about the related issues. And with the future development of offshore finance in China mutual confirmation, with a view to improve the theory, guide practice.
【学位授予单位】：哈尔滨工业大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D996.2

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