日本金融业规制研究
发布时间：2018-11-04 12:08
【摘要】：二战后,日本金融业实施“护送船团”体制,促进了经济的高速增长。本文首先以“建构主义”和“演进主义”作为理论基础,归纳了日本金融规制体系的形成逻辑,总结了日本金融业规制政策的阶段性特征,论述了日本金融业规制在应对“市场失灵”、促进产业发展方面的成功经验。20世纪70年代以后,在“规制失灵”和金融自由化浪潮的背景下,日本金融业进行了规制放松改革,取得了积极的效果,在运用规制事前评价机制(RIA机制)、替代性或非诉讼纠纷解决机制(ADR机制)和资本充足率规制(BIS规制)方面积累了宝贵经验,但是也存在一些问题,为金融业持续发展埋下了隐患。本文还通过建立规制效果评价指标体系,引入SCP理论对规制和规制放松进行实证分析,科学评价规制在改善金融市场结构、规范市场行为、提升市场绩效方面的作用。中国金融业应借鉴日本的经验教训,顺应国际金融业规制发展趋势,在中国经济金融稳定发展时期,主动建立统一的金融监管机构,防止监管机构与金融机构之间关系过于密切,有序推进监管放松,完善金融机构的宏观审慎管理,加强金融监管机构的国际协调能力,使中国金融业达到规避金融风险、提升国际竞争能力的目的。
[Abstract]:After World War II, the Japanese financial industry implemented the "escort group" system, which promoted the rapid economic growth. Based on the theories of "constructivism" and "evolutionism", this paper sums up the formation logic of Japanese financial regulation system, and summarizes the characteristics of Japanese financial regulatory policy. This paper discusses the successful experience of Japanese financial industry regulation in dealing with "market failure" and promoting industrial development. After 1970s, under the background of "regulation failure" and financial liberalization, The Japanese financial industry has carried on the regulation relaxation reform, has obtained the positive effect, has applied the regulation beforehand appraisal mechanism (RIA mechanism), Alternative or non-litigation dispute resolution mechanism (ADR mechanism) and capital adequacy regulation (BIS regulation) have accumulated valuable experience, but there are also some problems, which has laid a hidden danger for the sustainable development of the financial industry. This article also establishes the regulation effect evaluation index system, introduces the SCP theory to carry on the empirical analysis to the regulation and the regulation relaxation, the scientific appraisal regulation in the improvement financial market structure, standardizes the market behavior, enhances the market performance the function. China's financial industry should draw lessons from Japan's experience and conform to the development trend of international financial regulation, and take the initiative to establish a unified financial supervision institution in the period of stable economic and financial development of China. To prevent the relationship between regulators and financial institutions to be too close, to promote deregulation in an orderly manner, to improve the macro-prudential management of financial institutions, and to strengthen the international coordination capacity of financial regulatory bodies, so as to enable China's financial sector to avoid financial risks. The aim of enhancing international competitiveness.
【学位授予单位】：吉林大学
【学位级别】：博士
【学位授予年份】：2012
【分类号】：F833.13
本文编号：2309774
[Abstract]:After World War II, the Japanese financial industry implemented the "escort group" system, which promoted the rapid economic growth. Based on the theories of "constructivism" and "evolutionism", this paper sums up the formation logic of Japanese financial regulation system, and summarizes the characteristics of Japanese financial regulatory policy. This paper discusses the successful experience of Japanese financial industry regulation in dealing with "market failure" and promoting industrial development. After 1970s, under the background of "regulation failure" and financial liberalization, The Japanese financial industry has carried on the regulation relaxation reform, has obtained the positive effect, has applied the regulation beforehand appraisal mechanism (RIA mechanism), Alternative or non-litigation dispute resolution mechanism (ADR mechanism) and capital adequacy regulation (BIS regulation) have accumulated valuable experience, but there are also some problems, which has laid a hidden danger for the sustainable development of the financial industry. This article also establishes the regulation effect evaluation index system, introduces the SCP theory to carry on the empirical analysis to the regulation and the regulation relaxation, the scientific appraisal regulation in the improvement financial market structure, standardizes the market behavior, enhances the market performance the function. China's financial industry should draw lessons from Japan's experience and conform to the development trend of international financial regulation, and take the initiative to establish a unified financial supervision institution in the period of stable economic and financial development of China. To prevent the relationship between regulators and financial institutions to be too close, to promote deregulation in an orderly manner, to improve the macro-prudential management of financial institutions, and to strengthen the international coordination capacity of financial regulatory bodies, so as to enable China's financial sector to avoid financial risks. The aim of enhancing international competitiveness.
【学位授予单位】：吉林大学
【学位级别】：博士
【学位授予年份】：2012
【分类号】：F833.13
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