国际证券软法“硬化”问题评析

发布时间：2018-03-20 21:29

本文选题：国际证券监管　切入点：国际软法　出处：《东北大学学报(社会科学版)》2017年04期 　论文类型：期刊论文

【摘要】：软法以灵活、快捷和专业性等特点成为国际证券领域的主要治理工具。虽然国际证券软法在理论上不具有强制性,但实践中都能够通过"硬化"获得遵行。国际证券软法主要通过三种途径实现"硬化":转化为国际条约,转化为国内法或者在国内监管实践中被采纳。三种"硬化"方式最终都能够在一定程度上确保软法的有效性,也正是这个原因使其成为其他领域学者诟病的焦点。通过经济、政治和法律多个角度的分析可以发现,这些指责确实有其合理之处,但也存在一定的误解。中国作为新兴经济体,应该理性看待发达国家的影响力及软法"硬化"的后果,深度参与全球证券治理,实现中国的利益诉求。
[Abstract]:Soft law has become the main governance tool in the field of international securities with the characteristics of flexibility, quickness and professionalism. Although the soft law of international securities is not compulsory in theory, However, in practice, compliance can be achieved through "hardening". The soft law of international securities can achieve "hardening" in three main ways: it is translated into an international treaty. Translated into domestic law or adopted in domestic regulatory practice. All three "hardening" methods can eventually ensure the effectiveness of soft law to some extent, which is why it has become the focus of criticism by scholars in other fields. Through the economy, Political and legal analysis shows that these accusations are justified, but there are some misunderstandings. China, as an emerging economy, should take a rational view of the influence of developed countries and the consequences of "hardening" soft laws. Deep participation in global securities governance, to achieve the interests of China.
【作者单位】：辽宁大学法学院;
【基金】：国家社会科学基金青年资助项目(14CFX082) 辽宁省教育厅人文社会科学重点研究基地专项资助项目(ZJ2014011) 辽宁省社会科学规划基金资助项目(L11DFX021)
【分类号】：D996.2;D997.9

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