试验性金融监管的基本原则及法律规制的合理性基础

发布时间：2018-06-18 20:33

  本文选题：试验性金融监管 + 基本原则　； 参考：《上海金融》2017年08期

【摘要】：试验性金融监管,主要是指具有一定金融监管职能的主体为支持金融创新及推行金融监管创新而依法依规开展的试验性的监督和管理活动以及由此形成的一系列具有试验性质的金融监督和管理理念、方法、制度、立法、模式等的总称。试验性金融监管的基本原则主要包括社会公益原则、利益平衡原则和比例监管原则。试验性金融监管法律规制的合理性基础包括思想理论基础和现实必要性基础两方面。试验性金融监管法律规制的思想理论基础包括金融监管法的优化监管原则、卢梭的社会契约论和人民主权论以及洛克的有限政府理论;试验性金融监管的法律规制的现实必要性基础表现在以下三方面:试验性金融监管的规范实施需要法律规制,支持金融创新和保护金融投资者、消费者权益需要法律保障,规范的试验性金融监管体制的形成需要法律支持。
[Abstract]:Experimental financial supervision, It mainly refers to the experimental supervision and management activities carried out according to law by the subjects with certain financial supervision functions in order to support financial innovation and carry out financial regulatory innovation and a series of experimental gold. The concept of supervision and management, Method, system, legislation, model, etc. The basic principles of experimental financial supervision mainly include social welfare principle, benefit balance principle and proportional supervision principle. The rational basis of the legal regulation of experimental financial supervision includes the ideological and theoretical basis and the realistic necessity basis. The ideological and theoretical basis of legal regulation of experimental financial supervision includes the principles of optimizing supervision of financial supervision law, Rousseau's theory of social contract and people's sovereignty, and Locke's theory of limited government. The realistic necessity of the legal regulation of experimental financial supervision lies in the following three aspects: the regulation of experimental financial supervision needs legal regulation, the support of financial innovation and the protection of financial investors, and the protection of consumers' rights and interests. The formation of standardized experimental financial supervision system needs legal support.
【作者单位】： 华东政法大学;
【分类号】：D922.287
，

本文编号：2036782