例外与原则之间:金融服务中的审慎措施争议

发布时间：2019-01-24 10:21

【摘要】：在《服务贸易总协定》体系下,金融服务贸易自由化与金融监管之间的关系主要是通过"审慎例外"加以平衡的。但是,"审慎例外"不具有可操作性,需要进一步澄清其具体含义。随着"美国诉中国影响电子支付服务的若干措施案"进入世界贸易组织专家组程序,专家组得以有机会首次对"审慎例外"加以界定并就审慎目标的相对重要性以及所采取措施的最低标准加以认定。对审慎目标的相对重要性加以认定涉及一成员方对于审慎目标重要性的先后顺位是否拥有最终决定权的问题;对所采取措施的最低标准加以认定涉及能否援引国际标准评估一项措施的合法性问题。无论案件结果如何,通过世界贸易组织专家组解决"审慎例外"之争意味着金融监管领域国际化程度的进一步加深,中国应积极采取应对措施。
[Abstract]:Under the General Agreement on Trade in Services, the relationship between financial services trade liberalization and financial supervision is mainly balanced through the "Prudent Exceptions". However, the "Prudent Exceptions" is not operational and requires further clarification of its specific meaning. As the "A number of measures to influence the electronic payment service in the United States v. China" entered the Group of Experts on the World Trade Organization, the Group was able to first define the "Prudent Exceptions" and to identify the relative importance of the prudent objectives and the minimum standards for the measures taken. The relative importance of the prudent objective was identified as a question of whether a member had the final decision on the importance of the prudent objective; the minimum standards for the measures taken were identified as whether the question of the legality of a measure could be invoked in the context of international standards. Whatever the outcome of the case, the dispute between the "Prudent Exceptions" of the WTO and the World Trade Organization means the further deepening of the degree of internationalization in the field of financial supervision, and China should take active measures to deal with it.
【作者单位】：南京大学法学院;
【基金】：教育部人文社会科学研究基金资助项目(09YJC820052)
【分类号】：D996.1

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