我国碳金融风险的法律防范

发布时间：2018-04-23 15:54

本文选题：碳金融 + 碳排放权交易　；参考：《西南政法大学》2015年硕士论文

【摘要】：由于气候恶化严重影响着人类的生存和发展,国际社会和各国均采取各种措施应对气候变化,发展低碳经济成为必然选择。碳金融是在国际法律和政策的基础上发展起来的,《联合国气候变化框架公约》确定了碳排放权的可交易性,《京都议定书》规定了工业化国家的减排责任,制定了三个减排机制,碳金融市场应运而生。我国是清洁发展机制市场最大的供给国,具有巨大的碳金融发展潜力。碳金融已成为我国发展清洁能源、调整产业结构、促进经济发展方式转型的重要契机。目前,我国已经颁布了一系列与碳金融相关的法律文件,成立了七个碳排放权交易试点,金融机构也推出绿色信贷、绿色证券业务以支持低碳经济的发展。然而,由于经济结构制约、对碳金融缺乏成熟认识、法律体系、监管问责制度和激励机制不健全等原因,我国碳金融仍然存在着种种风险,增强碳金融的风险防范,尤其是法律防范具有重要意义。本文共分为四个部分。第一部分对碳金融风险及其防范的一般理论进行了介绍。主要包括碳金融的定义,碳金融市场的形成与划分,碳金融风险的含义和分类以及碳金融风险防范的含义。第二部分探讨我国碳金融的风险及其法律防范存在的问题。我国碳金融的风险主要包括政策和法律风险、市场风险、项目风险、信用风险和操作风险等,而我国碳金融风险的法律防范主要存在着碳金融立法、监管制度、问责制度和激励机制不完善等一系列问题。第三部分介绍了欧盟和美国在碳金融立法、登记注册系统、碳排放监测制度、碳信息披露项目、第三方核证制度、监管问责制度、激励制度等方面的防范措施,并总结了碳金融风险法律防范的启示。第四部分针对我国碳金融风险法律防范出现的问题提出对策,主要包括:在碳金融立法方面,制定《应对气候变化法》,碳排放交易法律规范和融资法律规范;在监管制度方面,建立监管体系,采用登记注册系统和碳身份证明制度,完善碳排放监测系统、碳信息披露制度;在问责制度方面,严格规范主管部门、金融机构、企业在碳金融中的责任;在激励机制方面,加大政府的财政支持、税收优惠和产业政策支持。
[Abstract]:As the deterioration of climate has seriously affected the survival and development of human beings, the international community and countries have taken various measures to deal with climate change, and the development of low-carbon economy has become an inevitable choice. Carbon finance is developed on the basis of international laws and policies. The United Nations Framework Convention on Climate change defines the tradeability of carbon emission rights, and the Kyoto Protocol provides for the reduction responsibilities of industrialized countries and three emission reduction mechanisms. Carbon finance market came into being. China is the largest supplier of clean development mechanism (CDM) market and has huge carbon finance development potential. Carbon finance has become an important opportunity for China to develop clean energy, adjust industrial structure and promote the transformation of economic development mode. At present, China has issued a series of legal documents related to carbon finance, established seven carbon emissions trading pilot units, financial institutions also launched green credit, green securities business to support the development of low-carbon economy. However, due to the restriction of economic structure, lack of mature understanding of carbon finance, legal system, regulatory accountability system and imperfect incentive mechanism, there are still various risks in carbon finance in China, which can enhance the risk prevention of carbon finance. In particular, legal prevention is of great significance. This paper is divided into four parts. The first part introduces the general theory of carbon finance risk and its prevention. It mainly includes the definition of carbon finance, the formation and division of carbon finance market, the meaning and classification of carbon finance risk and the meaning of carbon finance risk prevention. The second part discusses the risks of carbon finance and the problems of legal prevention. The risk of carbon finance in China mainly includes policy and law risk, market risk, project risk, credit risk and operation risk, etc. Accountability system and incentive mechanism are not perfect and a series of problems. The third part introduces the European Union and the United States in carbon finance legislation, registration system, carbon emissions monitoring system, carbon disclosure projects, third-party certification system, regulatory accountability system, incentive system and other preventive measures. And summarizes the carbon finance risk legal prevention enlightenment. The fourth part puts forward the countermeasures against the legal problems of carbon finance risk prevention in China, mainly including: in the aspect of carbon finance legislation, the development of the "climate change law", carbon emissions trading legal norms and financing legal norms; in terms of regulatory system, Establish regulatory system, adopt registration system and carbon identity system, improve carbon emission monitoring system, carbon information disclosure system, in terms of accountability system, strictly regulate the responsibility of competent departments, financial institutions and enterprises in carbon finance; In the incentive mechanism, increase government financial support, tax incentives and industrial policy support.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D996.9

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