反洗钱行政处罚自由裁量控制技术研究

发布时间：2018-04-30 16:39

  本文选题：反洗钱 + 行政处罚　； 参考：《金融理论与实践》2017年11期

【摘要】：反洗钱行政处罚是保证反洗钱监管有效性的重要手段,但反洗钱行政处罚幅度如何自由裁量并未有明确的规范,在实际工作中容易出现自由裁量滥用的情况,一定程度上影响反洗钱监管的有效性。结合反洗钱法律法规和相关实践经验,构建了反洗钱行政处罚影响因素体系;在此基础上,利用专家调查权重法建立了反洗钱行政处罚自由裁量技术模型,确立了模型系数,并对模型的有效性进行了验证。结果表明:反洗钱行政处罚自由裁量技术模型完全符合《反洗钱法》规定的处罚要求和幅度,可以为反洗钱行政处罚自由裁量权滥用提供有效解决路径。
[Abstract]:Anti-money laundering administrative punishment is an important means to ensure the effectiveness of anti-money laundering supervision. However, the extent of administrative punishment for anti-money laundering is not clearly regulated, and it is easy to be abused freely in actual work. To some extent affect the effectiveness of anti-money laundering supervision. Combined with anti-money laundering laws and regulations and relevant practical experience, this paper constructs the influence factor system of anti-money laundering administrative punishment, and on this basis, establishes the discretion technical model of anti-money laundering administrative penalty by using the expert investigation weight method, and establishes the model coefficient. The validity of the model is verified. The results show that the technical model of discretion of administrative punishment of anti-money laundering fully accords with the requirement and scope of punishment stipulated in the Anti-Money-Laundering Law and can provide an effective way to solve the abuse of discretion in administrative punishment of anti-money laundering.
【作者单位】： 中国人民银行湛江市中心支行;
【分类号】：D922.281
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本文编号：1825326