论我国碳市场金融化的监管困境及其制度完善
发布时间：2018-11-14 10:21
【摘要】：我国碳市场具备了金融化的发展特征,但现有制度并未对碳市场金融化作出具体安排,这使得碳市场交易产品、交易行为和交易主体存在监管上的合法性疑问,其中金融交易风险亦无法得到有效防范。为了防范碳市场金融风险的发生,强化市场诚信和信心,欧盟明确对碳市场的金融监管,其在欧美碳市场金融监管中具有典型性。欧盟碳市场在普遍适用金融监管规则的前提下,采用可适用规则、主体和行为区别对待的理念,对碳市场交易适用金融规则作出例外性规定。本文基于我国碳市场现实基础和法治建设需求,分析了我国与欧盟碳市场监管的异同,吸收了一定的可取之处,为解决我国碳市场金融监管的问题,提出在现有碳市场专门规范中需对碳交易产品、交易方式和交易主体等的金融属性和监管条件进行识别,并在已有监管体系下,协调与细化碳市场规范与金融法规之间的关系。
[Abstract]:China's carbon market has the development characteristics of financialization, but the existing system has not made specific arrangements for the financialization of carbon market, which makes the carbon market trading products, trading behavior and trading subjects in question of regulatory legitimacy. Among them, financial transaction risk can not be effectively prevented. In order to prevent the occurrence of financial risks in the carbon market and strengthen the integrity and confidence of the market, the European Union clearly regulates the financial supervision of the carbon market, which is typical in the financial supervision of the carbon market in Europe and the United States. Under the premise of the universal application of financial supervision rules, the EU carbon market adopts the concept of applicable rules, subject and behavior to make exceptions to the application of financial rules to carbon market transactions. Based on the realistic foundation of China's carbon market and the needs of legal construction, this paper analyzes the similarities and differences between China and the European Union in terms of the regulation of the carbon market, and absorbs some merits, in order to solve the problem of financial supervision in China's carbon market. It is proposed that the financial attributes and regulatory conditions of carbon trading products, trading methods and trading subjects should be identified in the existing special specifications of the carbon market, and the relationship between carbon market norms and financial regulations should be coordinated and refined under the existing regulatory system.
【作者单位】： 上海财经大学法学院;
【基金】：上海财经大学研究生创新基金资助项目“绿色债券法律机制研究”(CXJJ-2014-394)的阶段性成果
【分类号】：D922.28
，
本文编号：2330896
[Abstract]:China's carbon market has the development characteristics of financialization, but the existing system has not made specific arrangements for the financialization of carbon market, which makes the carbon market trading products, trading behavior and trading subjects in question of regulatory legitimacy. Among them, financial transaction risk can not be effectively prevented. In order to prevent the occurrence of financial risks in the carbon market and strengthen the integrity and confidence of the market, the European Union clearly regulates the financial supervision of the carbon market, which is typical in the financial supervision of the carbon market in Europe and the United States. Under the premise of the universal application of financial supervision rules, the EU carbon market adopts the concept of applicable rules, subject and behavior to make exceptions to the application of financial rules to carbon market transactions. Based on the realistic foundation of China's carbon market and the needs of legal construction, this paper analyzes the similarities and differences between China and the European Union in terms of the regulation of the carbon market, and absorbs some merits, in order to solve the problem of financial supervision in China's carbon market. It is proposed that the financial attributes and regulatory conditions of carbon trading products, trading methods and trading subjects should be identified in the existing special specifications of the carbon market, and the relationship between carbon market norms and financial regulations should be coordinated and refined under the existing regulatory system.
【作者单位】： 上海财经大学法学院;
【基金】：上海财经大学研究生创新基金资助项目“绿色债券法律机制研究”(CXJJ-2014-394)的阶段性成果
【分类号】：D922.28
，
本文编号：2330896
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