国际反洗钱预防政策:传导过程、激励机制及政策效果

发布时间：2018-03-11 14:29

本文选题：反洗钱　切入点：预防政策　出处：《南方经济》2015年08期 　论文类型：期刊论文

【摘要】：国际反洗钱预防政策的传导过程可以用政策工具、中间目标和政策目标来描述,政策工具是激励措施,中间目标是合规程度、报告质量和洗钱规模,政策目标是制止上游犯罪,预防恐怖融资和维护金融稳定;也可以采用双层委托代理关系来描述,第一层级的委托人是国际组织,代理人是各国政府,第二层级的委托人是各国政府,代理人是各中介部门。通过双层委托代理模型的推导,可以得出:国际反洗钱预防政策的有效性取决于各国政府和中介部门的努力程度;反洗钱利益主体是否积极努力,与相关的激励机制密切相关。根据政策传导的衡量指标,结合国内外反洗钱预防政策实施现状,进行实证分析,可以剖析出反洗钱有效性不足的主要原因,并据此给出相应的对策。
[Abstract]:The transmission process of the international anti-money-laundering prevention policy can be described in terms of policy instruments, intermediate objectives and policy objectives. Policy instruments are incentives, intermediate objectives are compliance, quality of reporting and scale of money-laundering, and policy objectives are to stop predicate offences. The prevention of terrorist financing and the maintenance of financial stability can also be described by a two-tier principal-agent relationship, in which the principal at the first level is an international organization, the agent is a government of every country, and the client at the second level is a government of each country. Through the derivation of the two-tier principal-agent model, it can be concluded that the effectiveness of the international anti-money laundering prevention policy depends on the efforts of the governments and the intermediary departments, and whether the stakeholders of anti-money laundering make active efforts, According to the measurement index of policy transmission, combined with the current situation of anti-money laundering prevention policy at home and abroad, we can analyze the main reasons of the insufficiency of anti-money laundering effectiveness. Based on this, the corresponding countermeasures are given.
【作者单位】：西安交通大学经济与金融学院;
【基金】：国家自然科学基金(项目号:70771087) 教育部人文社会科学研究基金(项目号:12YJA790184) 中央高校基本科研业务费专项资金对本研究的资助
【分类号】：D996.2

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