证券业洗钱风险和反洗钱监管研究

发布时间：2018-02-21 14:08

本文关键词： 洗钱反洗钱洗钱风险点反洗钱监管证券业　出处：《复旦大学》2012年硕士论文　论文类型：学位论文

【摘要】：随着资本市场的不断发展,洗钱这种犯罪行为已经不再仅仅局限于银行这类金融机构,而是逐渐将犯罪之手伸向了证券市场。这不仅加大了打击洗钱犯罪的难度,也会严重危害中国证券市场的长期健康发展,和证券公司自身业务建设。本文分为四个部分逐层深入的展开讨论：文章首先是对洗钱以及反洗钱进行了一个大致介绍。尤其是对洗钱行为目前在证券市场的现状进行了详细分析,随后是对反洗钱监管工作做了概述。因为洗钱以及反洗钱监管在中国尤其是证券市场开展的时间并不长,而境外发达资本市场在这方面则有较为丰富的经验。所以,第二和第三部分,本文是对境内外市场的洗钱特点和反洗钱监管进行了一个分析比较。第二部分是对中外反洗钱风险点进行了比较,对可能被利用的证券交易各个环节进行了逐一分析,列举出中国与其他市场不同的风险点：中国证券市场现在都已经实施了第三方存管,所以,在”处置”和”归并”环节并不存在洗钱风险,但在”离析”阶段,境内外的洗钱途径还是有许多殊途同归的地方,值得我们借鉴。第三部分还是继续借鉴境外市场在反洗钱监管方面的经验,主要列举美国、英国以及香港市场,特别值得借鉴的是和境内证券市场相似度最高的香港市场,从监管法律法规、监管机构的设置到监管措施的执行都逐一进行了比较。最后,文章在前文分析比较地基础上,指出了目前证券业开展反洗钱监管工作所面临的主要问题和监管工作难点,提出了加强中国反洗钱工作的几点建议,包括：设立专门的独立反洗钱金融监管机构、解决B股账户监管遗留问题、完善行业操作规则以及监管模式的改进等方面。
[Abstract]:With the continuous development of the capital market, the crime of money laundering is no longer confined to financial institutions such as banks, but has gradually extended its criminal hand to the securities market. This not only makes it more difficult to crack down on the crime of money laundering, It will also seriously endanger the long-term and healthy development of China's securities market, and the securities company's own business construction. This paper is divided into four parts, which are divided into four parts. Firstly, the article gives a general introduction to money laundering and anti-money laundering. In particular, it makes a detailed analysis of the current situation of money laundering in the securities market. Subsequently, the work of anti-money-laundering supervision made an overview. Because money laundering and anti-money laundering supervision have not been carried out for a long time in China, especially in the securities market, while the overseas developed capital markets have relatively rich experience in this respect. Therefore, the second and third parts, This paper analyzes and compares the characteristics of money laundering and anti-money laundering supervision in the domestic and foreign markets. The second part compares the risk points of anti-money laundering between China and foreign countries, and analyzes each link of securities transactions that may be used one by one. List the different risk points in China and other markets: China's securities market has now implemented third-party depository management, so there is no risk of money laundering in the "disposal" and "merger" links, but in the "segregation" stage, There are still many different ways of money laundering inside and outside the country, which are worthy of our reference. The third part still continues to draw lessons from the experience of the overseas market in anti-money laundering supervision. It mainly lists the markets of the United States, the United Kingdom and Hong Kong. What is especially worth learning from the Hong Kong market, which has the highest similarity with the domestic securities market, is from the regulatory laws and regulations. The establishment of regulatory agencies to the implementation of regulatory measures are compared one by one. Finally, on the basis of the above analysis and comparison, the paper points out the main problems and difficulties faced by the securities industry in carrying out anti-money laundering supervision, and puts forward some suggestions for strengthening the anti-money laundering work in China. Including: set up a special independent financial supervision organization to solve the problem of B share account supervision, improve the industry operation rules and the improvement of regulatory model.
【学位授予单位】：复旦大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.51;F832.1

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