WTO金融服务附件中“审慎例外”原则研究

发布时间：2018-04-27 20:41

本文选题：金融服务 + 审慎例外　；参考：《复旦大学》2012年硕士论文

【摘要】：服务贸易是世界贸易组织(简称“WTO”)多边贸易体制的新领域,受WTO服务贸易总协定(简称'GATS")的调整。金融服务贸易是服务贸易领域重要的一个部门。在经济全球化和金融国际化的大背景下,金融服务贸易市场的开放成为了一个不可阻挡的历史潮流。 WTO框架下的“审慎例外”条款是《金融服务附件》中的核心条款,也正是这一条款协调了金融服务贸易自由化与金融监管之间的矛盾,同时也促成了WTO成员方在金融服务贸易问题上达成一致的协议,构建了金融服务贸易的多边法律规制的框架。“审慎例外”条款授权WTO的成员方为审慎目的采取审慎措施,而不受GATS其他规定的羁绊,可以说是中国金融对外开放的安全阀。但是,《金融服务附件》关于“审慎例外”条款的规定非常的原则化,造成了这一条款在适用中的困难。本文以这一问题为切入点,从法律角度对“审慎例外”条款的适用进行分析和论述,分析“审慎例外”原则与巴塞尔协议之间的联系,并将该原则与GATS第十四条一般例外、安全例外进行比较,结合正在进行中的中美有关“电子支付服务”措施WTO争端案探讨这一条款的适用对中国的启不。经过十五年艰苦的谈判,2001年12月11日,中国终于正式成为了WTO的一员。加入WTO以来,中国政府为了履行金融服务方面的入世承诺,对中国金融服务法律进行了一系列的修订。但是中国现有的金融服务监管制度与现实的要求仍存在较大的差距。因此,有必要进一步完善中国金融服务审慎监管制度,借鉴国际先进审慎监管理念,使监管措施与国际标准接轨,促进中国对金融服务的审慎监管水平的提高。
[Abstract]:Trade in services is a new field in the multilateral trading system of the World Trade Organization (WTO), which is regulated by the General Agreement on Trade in Services (WTO). Trade in financial services is an important sector in the field of trade in services. Under the background of economic globalization and financial internationalization, the opening of financial service trade market has become an irresistible historical trend. The "prudential exception" clause under the framework of WTO is the core clause in Financial Services Annex, which coordinates the contradiction between liberalization of trade in financial services and financial supervision. At the same time, it also promotes the agreement of the members of WTO on the issue of trade in financial services, and constructs the framework of multilateral legal regulation of trade in financial services. The "prudential exception" clause empowers the members of the WTO to take prudent measures for prudent purposes without being fettered by the other provisions of the GATS, which can be said to be a safety valve for China's financial opening to the outside world. However, the provisions of the Financial Services Annex on the "prudential exception" clause are very principled, resulting in difficulties in its application. This paper analyzes and discusses the application of the "prudential exception" clause from the point of view of law, analyzes the relationship between the "prudent exception" principle and the Basel Accord, and makes this principle and the general exception of Article 14 of GATS. The security exceptions are compared and the application of this clause to China is discussed in connection with the ongoing WTO dispute between China and the United States concerning "electronic payment services" measures. After 15 years of hard negotiations, on December 11, 2001, China finally became a member of the WTO. Since China's entry into the WTO, the Chinese government has made a series of amendments to its financial services laws in order to fulfill its commitments in the field of financial services. However, there is still a big gap between the current financial service regulatory system and the actual requirements in China. Therefore, it is necessary to further perfect the prudential supervision system of China's financial services, draw lessons from the international advanced concept of prudential supervision, make the regulatory measures in line with international standards, and promote the level of prudential supervision of financial services in China.
【学位授予单位】：复旦大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996.1

【引证文献】