我国金融监管的立法选择:以英国危机应对为鉴

发布时间：2018-06-24 00:06

本文选题：政府救助 + 原则导向型监管　；参考：《浙江工商大学学报》2015年04期

【摘要】：以2008年金融危机后英国金融监管者的应对措施为研究对象,为我国后金融危机时代的金融监管模式提供借鉴。本文对原则导向型监管模式与规则导向型监管模式进行比较,随后以英国为例,分析其在金融危机后对监管模式的反思以及因此而对法律规范本身进行的增量性微调,指出我国监管者在应对新的监管需要时,对规则本身的改变也许并不是那么重要,对监管理念的反思也许是在实践中更有意义也更节省成本的选择。经过修正后的原则导向型监管模式也许可以为我国监管者应对金融市场复杂性与创新性提供借鉴。最后分析英国在危机救助过程中的不透明性导致的市场不可预测性,指出我国应借鉴其经验,将危机救助机制公开化、确定化,以保障法律的可预测性,使市场主体更好地预见其行为后果。
[Abstract]:Taking the response measures of the British financial regulators after the 2008 financial crisis as the research object, this paper provides a reference for the financial supervision mode in the post-financial crisis era of our country. This paper compares the principle-oriented regulatory model with the rule-oriented regulatory model, and then takes the UK as an example to analyze its reflection on the regulatory model after the financial crisis and the incremental fine-tuning of the legal norms itself. It is pointed out that the change of the rules itself may not be so important for the regulators to meet the new regulatory needs, and the reflection on the concept of regulation may be a more meaningful and cost-effective choice in practice. The revised principle-oriented regulatory model may provide a reference for Chinese regulators to deal with the complexity and innovation of financial markets. Finally, this paper analyzes the market unpredictability caused by Britain's opacity in the process of crisis rescue, and points out that our country should draw lessons from its experience and make the crisis relief mechanism public and definite in order to ensure the predictability of law. Make the market main body better foresee its behavior consequence.
【作者单位】：浙江财经大学法学院;
【基金】：杭州市社会科学规划课题“债权激励纳入我国公司管理层薪酬结构改革研究”(B14FX01)
【分类号】：D922.28

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