国际金融软法的硬化问题研究

发布时间：2018-05-05 19:10

本文选题：全球金融领域 + 国际金融软法　；参考：《辽宁大学》2017年硕士论文

【摘要】：20世纪末期以来,拉丁美洲、东南亚、俄罗斯以及美国等国家的金融危机出现并蔓延至整个金融领域,国际金融体系危机四伏。2008年美国次贷危机更是演变成了一次真正的全球金融危机。此次危机使越来越多的国际主体意识到现存国际金融领域的问题已不可忽视,金融改革势在必行。在此背景下,国际金融软法的作用和效果开始引起人们的重视。它是与硬法相对应而存在的概念。在国际金融软法的产生发展过程中,各个国家和国际组织对国际金融领域软法的认同率不断提升,使其得到广泛而普遍的执行。虽然国际金融软法不具有法律强制力,但由于成员国的遵守和推崇使其具有良好的执行效果。随着国际金融软法大量出台,其数量不断增多,影响逐渐扩大,推动了纠纷解决机制和监督管理机制的出现。国际社会在应对突发棘手的问题时,更倾向于选择国际金融软法来解决问题。而国际金融软法的灵活性使得其执行效果增强。其中一部分演变成国际条约,另一部分被一些国家转化为国内法或被国内具体监督部门默认采纳,这是软法的硬化过程。国际金融软法硬化的意义就在于通过将金融领域的软法硬化,从而加强条约的形式性和固定性。在硬化过程中,我们可以看出许多国际主体如巴塞尔委员会、金融特别行动组、金融稳定理事会、国际证监会组织等都采取了各种各样的措施,促进了国际金融软法的硬化。本文分四个部分对国际金融软法的硬化问题作了研究。第一部分是对国际金融软法的概述和硬化的概念界定。这部分阐述了当今国际金融领域中存在的各种问题,国际硬法治理的不足,得出软法更具优越性的结论。而后对国际金融软法做了简单的概念、特征介绍,对软法硬化的概念界定。第二章则举例介绍了国际金融软法硬化的主要实现途径:通过缔结成新的国际条约、转化为国内法或在实践中被具体监管部门采纳等。第三章则是对国际金融软法硬化的评析。在认清其发展障碍后,简要分析了国际金融软法硬化后的发展方向。可能与硬法呈现兼容互补或者是相互独立、有自己发展空间的关系。最后一章结合我国的现实,从具体措施出发,列举了《巴塞尔协议Ⅲ》和《赤道原则》在我国的实行情况,并将我国的条约规定与世界金融主体的规则进行对比,总结出我国现存的金融软法硬化道路上的问题,以期找出未来的发展之路。
[Abstract]:Since the end of the 20th century, the financial crises in Latin America, Southeast Asia, Russia and the United States have emerged and spread to the entire financial sector. The international financial system is perilous. In 2008, the subprime mortgage crisis in the United States has evolved into a real global financial crisis. The crisis has made more and more international subjects realize that the existing problems in the field of international finance can not be ignored, and financial reform is imperative. In this context, the role and effect of international financial soft law began to attract people's attention. It is a concept corresponding to hard law. In the process of the emergence and development of international financial soft law, the recognition rate of soft law in international financial field has been increasing, which makes it widely and universally implemented. Although the international financial soft law does not have the legal force, but because of the member country's observance and the esteem, it has the good enforcement effect. With the introduction of international financial soft law, the number of soft law is increasing and the influence is gradually expanding, which promotes the emergence of dispute resolution mechanism and supervision and management mechanism. The international community is more inclined to choose the international financial soft law to solve the problem. The flexibility of international financial soft law makes its enforcement effect enhanced. Some of them have evolved into international treaties, others have been transformed into domestic laws by some countries or adopted by specific domestic supervisory authorities by default, which is the hardening process of soft law. The significance of international financial soft law hardening lies in strengthening the formality and fixation of treaties by hardening soft law in the field of finance. In the process of hardening, we can see that many international subjects, such as Basel Committee, Financial Special Action Group, Financial Stability Board, International Organization of Securities Regulatory Commission and so on, have taken various measures to promote the hardening of international financial soft law. This paper studies the hardening of international financial soft law in four parts. The first part is an overview of the international financial soft law and the definition of the concept of hardening. This part expounds the problems existing in the field of international finance, the deficiency of international hard law governance, and draws the conclusion that soft law is superior. Then it makes a simple concept of international financial soft law, introduces the characteristics and defines the concept of soft law hardening. In the second chapter, some examples are given to illustrate the main ways to realize the hardening of international financial soft law: by concluding a new international treaty, transforming it into domestic law or adopting it in practice by specific regulatory authorities, etc. The third chapter is the analysis of international financial soft law hardening. After recognizing the obstacles, this paper briefly analyzes the development direction of international financial soft law after hardening. May be compatible with the hard law or complementary or independent of each other, have their own space for development. The last chapter combines the reality of our country, from the concrete measures, enumerates the implementation of Basel III and Equator principles in our country, and compares the treaty provisions of our country with the rules of the world financial subject. This paper summarizes the existing problems on the road of financial soft law hardening in China in order to find out the way of future development.
【学位授予单位】：辽宁大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D996.2

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