全球金融治理中的软法问题研究

发布时间：2018-04-02 00:23

本文选题：软法　切入点：全球金融治理　出处：《武汉大学》2011年博士论文

【摘要】：全球治理理论的勃兴与2008年金融危机造成的影响,使得全球金融治理成为实务与理论上热门的议题。主要原因在于,随着全球化进程的不断加深,许多问题亟需通过全球治理得到解决,其中包括了目前引起国际社会热议的国际金融危机治理与国际金融体系改革。而在全球金融治理的过程中,软法发挥着独特而又重要的作用。因此其成为了本文研究的重心。除绪论外,本文共分为五章：第一章为全球金融治理的理论基础。这一章首先介绍了国际金融社会的特质与现实需要,通过分析明确了全球金融治理的必要性。而后,运用全球治理理论进一步指明了全球金融治理的内涵,认为其是国际金融领域的全球治理,它包含了全球治理的要素。全球金融治理具有规则多样化和主体多样化的特点。全球金融治理的价值目标是建立与维护国际金融秩序、提高效率、维护金融消费者利益,并在具体的实施过程中实现金融领域的善治。同时,通过分析、总结有关国际软法的基本问题,包括国际软法的理论基础、概念与内涵、分类、功能与意义、约束力以及国际软法和硬法的关系,该章为其后进一步的探讨奠定了基础。第二章为全球金融治理中软法的地位与作用。该章的第一部分首先指明了穿通过公法渊源——国际习惯法和条约对于全球金融治理的不足。在此基础上进一步分析了全球金融治理对软法存在特殊的需求且与其具有紧密的联系的原因：全球治理理论与金融本身特性两方面。而在全球金融治理中,国际软法发挥着节约谈判成本、避免主权限制、允许政策偏好的分歧、提供统一的国际标准、回应现实不确定性与为持续磋商提供基础的重要作用。在分析各重要作用时,分别拿取巴塞尔协议、与主权财富基金监管有关的《圣地亚哥原则》等规定以及G20有关建立金融稳定委员会的决定等作为注解。第三章为全球金融治理中软法的制定。全球金融治理中软法的制定具有独特性,该章首先研究了制定主体,指出制定主体包含了传统国际组织、国际金融标准制定机构和金融稳定委员会,且其中则以国际金融机构为主。同时,该章分析了在选择制定传统硬法规则抑或是软法之时,起到决定性作用的因素：文本形式、参与者的意愿以及内容和主题。最后,在该章中选取规制主权财富基金的国际软法——圣地亚哥原则为例,分析其制定过程和其中起决定性影响的组织与机构,展示了国际金融软法独有的制定过程,并从中得出了一些启示。第四章探讨全球金融治理中软法的效力依据。以第一章探讨软法基本理论问题时对于法律的理解为基础,本章首先介绍了传统国际公法理论对于国际法效力依据的理解,分别从自然法学派、实证法学派和社会连带法学派的角度,对于为何国家会遵守相互之间的承诺进行了理论介绍,进而总结认为传统国际法国际法无法很好地解释这个问题。因此,又从国际关系学角度的出发,研究了国际关系理论、国际规制理论和社会控制理论对于国家履行约定的观点。在这一章的第三节中,以典型的国际金融软法——巴塞尔协议为例分析了国际最终会选择遵守国际承诺的原因。第五章为全球金融治理中软法的发展。对于国际金融软法的未来要从两个角度来看：具体软法规则和国际金融软法体系。就具体软法规则而言,本章的第一部分分析认为,为了实现全球金融治理的目标,软法的数量将会进一步增加,质量将逐步提高,且其中的部分将有可能深化与细化,并各自给出了支持这些说法的现实例证。本章的第二部分认为,现有的国际金融监管体系呈现软法性,鲜有规定具有法律约束力。有学者认为应当硬化这样的国际金融监管体系,因而分别考察了各种不同的方法：首要的选择是参照现存的国际机构,如WTO、IMF为国际标准制定提供以条约基础的硬法机制；接下来则是考虑从欧盟的经验中吸取教训；最后,缔结一个新的国际条约是否是一个明智的选择,也将得到分析。但本文认为以上选择的结论均不甚理想,只能期待改革后的金融稳定委员会能确实履行其新职能,协调、促进与监督国际金融标准的执行,并进一步发展为全球金融治理中软法的有效性得到更高程度的发挥起到促进作用。而金融稳定委员会重构的事实,也证明了软法今后仍将在全球金融治理中占据重要的位置。
[Abstract]:Influence of the theory of global governance and 2008 due to the financial crisis, the global financial governance has become a hot issue in theory and practice. The main reason is that with the intensification of globalization, many problems need to be solved by means of global governance, including the current international society caused by hot international financial crisis and the international financial system in the process of reform. And the global financial governance, soft law plays a unique and important role. Therefore it has become the focus of the thesis. Besides the introduction, this paper is divided into five chapters:
The first chapter is the theoretical basis of global financial governance. This chapter firstly introduces the characteristics and the reality of the international financial community needs, through the analysis of the necessity of global financial governance. Then, using the theory of global governance further pointed out the connotation of global financial governance, the global governance in the field of international finance, which includes the elements of global governance. Global financial governance is the main characteristic of diversification and diversification of rules. The value goal of global financial governance is to establish and maintain the international financial order, improve efficiency, safeguard the financial interests of consumers, and to achieve good governance in the financial field in the specific implementation process. At the same time, through the analysis, summarizes the basic issues related to international soft law, including the basic theory of international soft law, concept and connotation, classification, function and meaning, binding and international hard law and soft law relations, this chapter is the A step forward to the discussion laid the foundation.
The second chapter is the status and role of global financial governance of soft law. The first part of this chapter first introduces the origin of law through customary international law and treaties for lack of global financial governance. On the basis of further analysis of global financial governance closely links with the reason of soft law has special requirements with: two the global governance theory and financial characteristics. In the global financial governance, international soft law plays the negotiations to save cost, avoid sovereign restrictions, allowing policy preference differences, to provide a unified international standard, an important role to the reality of uncertainty and provide the basis for continued consultations. In the analysis of the important role, respectively. Take the Basel protocol and relevant regulation of sovereign wealth funds in Santiago "and other regulations as well as the G20 principle > on the establishment of the financial stability board decisions such as note Solution.
The third chapter is the development of global financial governance of soft law. The development of global financial governance of soft law has unique characteristics, this chapter firstly studies the subject, the author points out the main contains the traditional international organizations, institutions and financial stability committee to formulate international financial standards, which is the international financial institutions. At the same time, this chapter analyses the development of traditional hard law or rules in the selection of soft law, the decisive factors of the text form, the wishes of the participants and the content and theme. Finally, the principle of International Law -- Santiago soft selection regulation of sovereign wealth funds in this chapter as an example, analyzes the decisive effect of the formulation of organization and organization process and among them, show the process of making soft international finance law unique, and draws some enlightenments.
The fourth chapter discusses the effect of the global financial governance of soft law. According to the basic theory of soft law problems in the first chapter for the understanding of the law as the basis, this chapter first introduces the traditional international law theory on the basis of the effect of the international law, separately from the school of natural law, positive law school and solidarist angle for why does the state will abide by the mutual commitment of theory, and concluded that the traditional international law international law are unable to explain this problem. Therefore, starting from the perspective of international relations, the theory of international relations, international regulation theory and social control theory for the country to perform the agreed on this point of view. The third section, the soft - Basel agreement law of international finance as an example to analyze the typical international reason will eventually choose to comply with international commitments.
The fifth chapter is the development of global financial governance of soft law. The soft international finance law's future should be viewed from two perspectives: the specific rules of soft law and international financial law system. The specific soft soft law rules, this chapter of the first part of the analysis that, in order to achieve the goal of global financial governance, the number of soft law will to further increase, the quality will be gradually improved, and some of them will be refined and deepened, and each gives practical examples to support these claims. The second part of this chapter is that the existing international financial supervision system has soft law, few provisions are legally binding. Some scholars believe that the international financial supervision should be hardened system, thus were investigated in various ways: the first is the choice of reference to existing international institutions, such as WTO, IMF developed to international standards to provide the basic mechanism of hard law treaty; Then consider the lessons learned from the experience of EU; finally, to conclude whether a new international treaty is a wise choice, will also be analyzed. But this paper thinks that the above selection results are not ideal, can only look forward to the financial stability board after the reform can truly fulfill its new functions, coordination. To promote international financial supervision and the implementation of standards, and further development of effective global financial governance of soft law in the higher level of play. Play a role in promoting financial stability Committee reconstruction facts also proved that soft law will remain in the global financial governance occupies an important position.

【学位授予单位】：武汉大学
【学位级别】：博士
【学位授予年份】：2011
【分类号】：D996.2

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