金融领域全球法律实体标识体系的制度分析

发布时间：2018-06-20 11:11

本文选题：全球法律实体标识体系 + LEI　；参考：《江汉论坛》2013年05期

【摘要】：全球法律实体标识体系是在G20倡导下国际监管界创建的旨在识别参与金融交易的法律实体身份的全球统一的识别符体系,具有唯一性、普适性、公益性、便利性等制度特征。该体系将适用于金融市场中从事金融交易的法律实体,其治理框架以监管委员会、中央操作机构和地方操作机构为三级组织架构,以高级原则和监管委员会章程为法律基础,并包含注册发放、持续注资、竞争和反垄断等制度安排。该体系的价值目标在于:加强系统性风险监测和审慎管理,维护金融稳定;促进金融集团内部风险披露,提高金融数据的精确性和完整性;便利金融数据的免费提供,维护金融市场秩序和公共利益。然而,该体系在适应性、操作性和法律强制性等方面也面临现实挑战。
[Abstract]:The global legal entity identification system is a global unified identifier system established by the international regulatory community under the initiative of the G20 to identify the legal entities involved in financial transactions. It has the characteristics of uniqueness, universality, commonweal, convenience and so on. The system will apply to legal entities engaged in financial transactions in financial markets, with a governance framework of supervisory committees, central and local operating bodies, and a legal basis based on high-level principles and the statute of the supervisory committee, And includes registration issuance, continued capital injection, competition and anti-monopoly and other institutional arrangements. The value objectives of the system are: to strengthen systemic risk monitoring and prudential management, to maintain financial stability; to promote risk disclosure within financial groups and to improve the accuracy and integrity of financial data; and to facilitate the free availability of financial data, To safeguard the order of the financial market and the public interest. However, the system also faces practical challenges in terms of adaptability, maneuverability and legal compulsion.
【作者单位】：武汉大学国际法研究所;
【基金】：2010年度教育部人文社会科学重点研究基地重大项目“国际金融法律秩序变革研究”(项目批准号:11JJD820009)的成果
【分类号】：D996.2

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