WTO规则下中国金融服务市场准入法律问题研究
发布时间：2018-11-25 11:25
【摘要】：本文对WTO规则下的金融服务市场准入的法律体系以及法律原则进行了研究,同时参照了国际上关于金融服务准入监管方面的先进经验。阐述了金融服务自由化与市场准入监管的关系,以及“审慎例外”原则在监管法律制度上的应用。报告了中国在金融服务市场准入方面的承诺以及履行情况、监管机构以及监管过程等,从理论上探讨了中国对金融服务市场准入事实监管的法律依据以及各法律主体在金融监管过程中所起到的作用。旨在研究出中国现行监管制度存在的不足之处以及改进和完善的办法。 本文分为四个章节：第一章讲述WTO的相关规则,内容涵盖金融服务的内涵、WTO关于金融服务市场准入的法律体系以及法律原则；第二章讲金融监管市场准入的国际考察和借鉴,内容涉及美国和欧盟相关制度以及这些制度对于我国实行市场准入监管的参考价值；第三章讲中国金融服务市场准入制度,本文将从中国入世时作出的承诺以及市场准入的现状两个方面进行阐述；第四章讲中国金融服务市场准入监管的法律问题,包括法律依据以及解读几部重要的监管立法。
[Abstract]:In this paper, the legal system and legal principles of market access for financial services under WTO rules are studied. At the same time, we refer to the advanced experience in the supervision of financial services entry in the world. This paper expounds the relationship between the liberalization of financial services and the regulation of market access, and the application of the principle of "prudential exception" in the regulatory legal system. Reporting on China's commitments and implementation of market access for financial services, regulatory bodies and regulatory processes, etc. This paper theoretically discusses the legal basis of China's supervision of the fact of market access to financial services and the role played by various legal subjects in the process of financial supervision. The purpose of this paper is to study the shortcomings of China's current regulatory system and the ways to improve it. This paper is divided into four chapters: the first chapter describes the relevant rules of WTO, including the connotation of financial services, the legal system and legal principles of WTO on market access for financial services; The second chapter discusses the international inspection and reference of financial regulatory market access, including the relevant systems of the United States and the European Union and the reference value of these systems for the implementation of market access regulation in China. The third chapter discusses the market access system of China's financial services, this article will be from the commitments made by China's accession to the WTO and the status of market access two aspects; The fourth chapter discusses the legal issues of China's market access regulation of financial services, including the legal basis and interpretation of several important regulatory legislation.
【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】：D996.2;D922.28
[Abstract]:In this paper, the legal system and legal principles of market access for financial services under WTO rules are studied. At the same time, we refer to the advanced experience in the supervision of financial services entry in the world. This paper expounds the relationship between the liberalization of financial services and the regulation of market access, and the application of the principle of "prudential exception" in the regulatory legal system. Reporting on China's commitments and implementation of market access for financial services, regulatory bodies and regulatory processes, etc. This paper theoretically discusses the legal basis of China's supervision of the fact of market access to financial services and the role played by various legal subjects in the process of financial supervision. The purpose of this paper is to study the shortcomings of China's current regulatory system and the ways to improve it. This paper is divided into four chapters: the first chapter describes the relevant rules of WTO, including the connotation of financial services, the legal system and legal principles of WTO on market access for financial services; The second chapter discusses the international inspection and reference of financial regulatory market access, including the relevant systems of the United States and the European Union and the reference value of these systems for the implementation of market access regulation in China. The third chapter discusses the market access system of China's financial services, this article will be from the commitments made by China's accession to the WTO and the status of market access two aspects; The fourth chapter discusses the legal issues of China's market access regulation of financial services, including the legal basis and interpretation of several important regulatory legislation.
【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】：D996.2;D922.28
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