服务贸易总协定的审慎例外研究

发布时间：2018-05-21 05:41

本文选题：GATS + 审慎例外　；参考：《西北大学》2011年硕士论文

【摘要】：审慎例外是GATS《关于金融服务附件》的核心内容,对其研究意义非凡。但学界在如何理解审慎例外条款、如何理解审慎例外与一般例外、安全例外和具体承诺的区别、如何认定审慎例外的性质和特点、为何审慎例外的适用对平衡金融自由化与金融监管有积极作用和我国应该如何合理地适用审慎例外等问题上的研究上不充分,这给了本文研究的空间。本文在分析学界成果的基础上,通过法理分析、材料分析和理论推导等方式,阐述并分析了审慎例外的判定标准,提出了对审慎原因判定的新标准——危机性标准；在辨析法律原则与法律规则区别的基础上,分析并论证了审慎例外的法律规则性质；在比对分析的基础上总结了审慎例外与一般例外、安全例外和具体承诺的主要区别；在归纳总结的基础上,论述了审慎例外所具有的临时性、自发适用性、高度灵活性、限制性、防御性和对GATS其他规则的高度否决力,六个主要特点；在分析和把握我国金融抑制状态和金融自由化背景下金融脆弱性增长的基础上,论证了金融自由化与金融监管应保持齐头并进发展的态势；通过全文的论证分析,本文提出了以我国的具体承诺为基础,适用审慎例外填补具体承诺滞后性和风险性方面的漏洞和充分并正确地运用审慎例外以有效防范金融制度变革中产生的风险,这两点对我国适用审慎例外规则的建议。
[Abstract]:Prudential exception is the core content of GATS's Financial Services Annex, which is of great significance to its research. However, how to understand the prudential exception clause, how to understand the distinction between prudent exception and general exception, security exception and specific commitment, and how to determine the nature and characteristics of prudent exception, Why the application of prudential exception has a positive effect on balancing financial liberalization and financial supervision, and how to apply prudential exception reasonably in our country is not sufficient, which gives the space for this article to study. Based on the analysis of academic achievements, this paper expounds and analyzes the criterion of prudential exception by means of legal theory analysis, material analysis and theoretical derivation, and puts forward a new criterion for judging prudential reasons-crisis standard. On the basis of distinguishing the legal principle from the legal rule, this paper analyzes and proves the nature of the legal rule of the prudent exception, summarizes the main differences between the prudent exception and the general exception, the security exception and the concrete promise on the basis of comparative analysis. On the basis of summing up, this paper discusses the six main characteristics of prudent exception: temporary, spontaneous applicability, highly flexible, restrictive, defensive and highly vetoing to other rules of GATS. On the basis of analyzing and grasping the financial fragility growth under the background of financial suppression and financial liberalization, this paper demonstrates that financial liberalization and financial supervision should keep pace with each other. Based on China's specific commitments, this paper proposes to apply prudential exceptions to fill gaps in lag and risk of specific commitments and to make full and correct use of prudential exceptions in order to effectively prevent the risks arising from the reform of the financial system. These two points recommend the application of the prudential exception rule to our country.
【学位授予单位】：西北大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.1

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