GATS之“审慎例外”条款及其对中国的启示

发布时间：2018-05-28 19:24

本文选题：GATS + 金融服务贸易　；参考：《中国政法大学》2011年硕士论文

【摘要】：GATS框架下之“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GATS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。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。本文以这一问题为核心,从法律角度对“审慎例外”条款的适用进行分析和论述,并且进一步探讨了这一条款的适用对中国的启示。本文运用到的研究方法主要有:定性分析法、比较研究的方法以及案例分析法。文章的正文一共分为四个部分。第一部分主要概述WTO金融服务贸易多边规则体系与“审慎例外”条款。首先介绍了金融服务贸易的多边规则体系,主要包括实质性规则、程序性规定和选择性规定;其次介绍了“审慎例外”条款存在的理念,主要回顾了乌拉圭回合谈判的进程,阐述了金融服务贸易自由化与金融监管的关系,从而得出“审慎例外”条款存在的三个理念;接下来简要地介绍了“审慎例外”条款的具体内容和初步解读。第二部分是文章的重点章节,这一部分围绕着“审慎例外”条款规定的模糊性来探析与这一条款的适用相关的法律问题。包括“审慎措施”的标准界定、“审慎措施”的承认机制、“审慎例外”条款与GATS相关条文的关系以及“审慎措施”与贸易保护主义之间的关系。从而得出相关结论:目前比较认同的“审慎措施”的认定标准有目的正当性标准、自主认定标准、适当向发展中国家倾斜的标准以及接受司法审查的标准;GATS虽然设计了一套“审慎措施”的承认机制,但是在实践中存在着一定的困难;“审慎例外”条款并不具有绝对的优先适用性,要从条约解释的角度具体分析其与GATS相关条文的关系;“审慎措施”可能会导致金融服务贸易壁垒,成为贸易保护主义的手段。第三部分主要是从国际层面对审慎监管相关立法和实践进行介绍,也是与GATS“审慎例外条款”作一下横向比较。主要选取了三个具有代表意义的比较对象,分别是NAFTA的相关规定、欧盟的立法和实践以及巴塞尔委员会相关文件关于银行业审慎监管的规定。文章第四部分也是本文写作的落脚点,主要分析“审慎例外”条款在中国适用的启示和应对。这一部分评述了“中国影响金融信息服务和外国金融信息提供者措施案”,得出“审慎例外”条款的适用对中国的启示:第一,建构我国金融服务贸易审慎监管的法律体系;第二,要正确运用“审慎例外”条款来化解金融风险。最后,由于GATS“审慎例外”条款规定的不确定性,在今后关于这一条款具体适用的多边谈判中,我国应该积极参与谈判并发表自己的观点,最大限度地促进我国金融服务贸易的发展,同时维护我国的金融体系的统一和稳定。
[Abstract]:The "Prudential exception" clause under the GATS framework is the core clause in the financial services annex, which also coordinates the contradiction between the liberalization of financial services trade and the financial regulation, and has also contributed to the consensus of the GATS members on the trade in financial services and the establishment of a multilateral law on the trade in financial services. However, the provision of the "Prudential exception" clause in the financial services appendix is very principled, resulting in the difficulty of the application of this clause. This article, taking this issue as the core, analyzes and discusses the application of the "prudent exception" clause from the legal point of view, and further explores the application of this clause to China Enlightenment.
The main research methods used in this paper are qualitative analysis, comparative research and case analysis.
The text of the article is divided into four parts.
The first part mainly outlines the multilateral rules system of WTO financial services trade and the "Prudential exception" clause. First, it introduces the multilateral rules system of financial services trade, mainly including substantive rules, procedural rules and selective provisions. Secondly, it introduces the concept of "Prudential exception" clause, and mainly reviews the Uruguay round negotiation. The relationship between the liberalization of financial services trade and financial supervision is expounded, and the three concepts of the "Prudential exception" clause are drawn up, and the specific content and preliminary interpretation of the "Prudential exceptions" clause are briefly introduced.
The second part is the key section of the article, which focuses on the legal issues related to the application of this clause, including the standard definition of "prudent measures", the recognition mechanism of "prudent measures", the relationship between the "Prudential exception" clause and the relevant provisions of the GATS and the "Prudential measure". The relationship between "Shi" and trade protectionism. Thus the conclusion is drawn that the standards of "prudent measures" are currently identified as the standard of purpose, the standard of self-determination, the standard to the developing countries and the standards for the acceptance of judicial review; and although GATS has designed a set of "prudent measures" recognition mechanism, However, there are some difficulties in practice; the "Prudential exception" clause does not have absolute priority. It is necessary to analyze the relationship with the relevant provisions of GATS from the perspective of the interpretation of the treaty. "Prudential measures" may lead to trade barriers to financial services and become a means of trade protectionism.
The third part mainly introduces the relevant legislation and practice of prudential supervision from the international level. It is also a horizontal comparison with the "Prudential exception clause" of GATS. It mainly selects three representative comparison objects, the relevant provisions of the NAFTA, the legislation and practice of the EU and the related documents of the Basel Committee on silver. The regulation of prudential regulation of the industry.
The fourth part of the article is also the foothold of this article. It mainly analyzes the enlightenment and response of the "Prudential exception" clause in China. This part reviews the "China's influence on financial information service and foreign financial information provider measures", and draws the Enlightenment of the application of the "prudent exceptions" clause to China: first, to construct China's finance. The legal system of prudent supervision of service trade; second, we should correctly use the "prudent exceptions" clause to resolve financial risks. Finally, due to the uncertainty stipulated in the GATS "prudent exceptions" clause, in the future multilateral negotiations on the specific application of this clause, our country should participate in the negotiations and publish their own views to the maximum extent. To promote the development of China's financial services trade, while maintaining the unification and stability of China's financial system.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.2

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