刑事政策视野中的跨国洗钱犯罪研究
发布时间：2018-07-21 14:17
【摘要】：本文旨在国际刑法的领域中以刑事政策为视角研究跨国洗钱犯罪， 并认为确立反跨国洗钱犯罪的刑事政策是研究跨国洗钱犯罪的理论前提 与实践指针。本文共分四大部分，基本内容如下： 第一部分：刑事政策视角的确立。这是研究跨国洗钱犯罪的观察视 角、分析框架和研究模式，也是论述跨国洗钱犯罪基本理论的前提，本 文对跨国洗钱犯罪现状的观察、问题的反思、对策模式的建构都以此为 基础。本部分首先论述了刑事政策视角确立的必要性。这主要从刑事政 策科学含义的界定及其国际化特征的研讨和国际刑法向谋求统一的国际 刑事政策方向发展两个方面展开。其次从刑事政策与国际刑法关系的角 度，阐述了刑事政策与国际刑法的契合性--刑事政策的国际刑法化和 国际刑法的刑事政策化。刑事政策的国际刑法化是刑事政策趋向合理化、 合目的化的一种趋势和过程，即以惩治、预防国际犯罪的刑事政策作为 国际刑法的指导观念，推动国际刑法规范和刑事司法协助制度理性变革； 同时将这种刑事政策通过国际刑事立法使之条文化、规范化，进而形成 能够体现该种刑事政策的国际刑法规则、制度、原则。国际刑法的刑事 政策化是国际刑法在特定刑事政策的冲击、影响下变革、修正和完善的 过程。即在具有严重危害性的行为被确定为国际犯罪，国际刑法形成了 规制某种国际犯罪的基本模式与合作框架后，仍继续坚持以刑事政策的 视角修改、完善相关的国际刑法规范，促进国际刑法的合理化、合目的 化，使之能够更加完整地发挥“合理而有效地组织对犯罪的反应”功能。 最后以刑事政策的主体性、观察性、反思性和实践性为视角，，为跨国洗 钱犯罪的研究提供了较为可取的分析框架，即反思主体、观察重心、反 思标准及对策模式。 第二部分：跨国洗钱与反跨国洗钱博弈现状的观察。理性把握该种 43 WP=49 现状是研究跨国洗钱犯罪的基础。本部分首先揭示了跨国洗钱对各国政 府及国际社会提出的严峻挑战，并通过传统洗钱向跨国洗钱的演变、跨 国洗钱犯罪能够有效地掩饰、隐瞒相应“上游犯罪”、跨国洗钱犯罪过程 的复杂性和方法的多样性这三个层次具体论述该种挑战。其次针对上述 挑战，各国政府与国际社会在国际刑法领域内进行了有关的反跨国洗钱 立法及实践活动。具体包括反跨国洗钱国际刑法规范的制定和世界各国 反跨国洗钱合作的加强，国际公约、决议内容的述评，国内刑法反跨国 洗钱规定的介绍三个方面。最后结合上述内容，总结出跨国洗钱的新趋 势与国际刑法思想的嬗变。 第三部分：传统问题与新问题的反思。根据问题来源不同，可以将 影响、妨碍惩治与预防跨国洗钱犯罪的诸多问题分为传统问题与新问题 进行反思。传统问题是法律差异的存在，具体包括洗钱的犯罪化运动进 行的不彻底、不全面；国际公约及各国法律对“上游犯罪”范围的不同 规定，直接影响到跨国洗钱犯罪的惩治；信息披露制度的研究薄弱，严 重限制了对金融机构及其他行业的监管；离岸金融中心跨国洗钱的猖獗， 表明金融市场全球化的进程与其实行以国内为基础的监督机制之间普遍 存在着鸿沟。反思新问题的结论在于必须放宽国际刑法的研究视野。跨 国洗钱泛滥还是某些发展中国家、处于社会转轨时期国家的政府弱势和 政治腐败的必然结果。洗钱者不仅在金融领域洗钱，还广泛利用非金融 领域监管较为薄弱的现金密集型行业作为跨国洗钱的新路径；同时国际 洗钱又衍生出一种新动向--网络洗钱，而对跨国洗钱的这种新路径、 新动向亟待进行充分的反思，理性的研究。 第四部分：国际刑法反跨国洗钱对策模式建构的实践。以刑事政策 为视角，在观察跨国洗钱与反跨国洗钱博弈现状、反思传统问题与新问 题的基础上，本文形成既相互独立，又相互交融的两种反跨国洗钱对策 模式--刑事法律合作模式与国际行政合作模式。刑事法律合作模式是 在国际刑法的刑事政策化指导下形成的，在国际刑事法律领域中，以国 44 WP=50 家刑罚权惩罚已然洗钱犯罪、预防未然洗钱犯罪的各种对策的一般理论。 它主要体现在国际刑事立法和国际司法协助两个方面。国际行政合作模 式是国际刑法的社会预防政策化的产物，它通过各国反跨国洗钱的行政 当局直接或国际组织间接合作为途径，依靠行政权力的国际合作，发现 追踪已然跨国洗钱犯罪，预防未然跨国洗钱犯罪而发挥作用。 总之，本文以反跨国洗钱犯罪的刑事政策为指导思想，力求深化对 跨国洗钱犯罪基本理论的研究，进而开拓跨国洗钱犯罪研究的新境域， 使之更加理性、建设性地指导惩治、预防跨国洗钱犯罪的司法实践。
[Abstract]:The purpose of this paper is to study the crime of transnational money - laundering in the light of criminal policy in the field of international criminal law ,
It is believed that the criminal policy of establishing anti - transnational money - laundering crime is the theoretical prerequisite to study the crime of transnational money - laundering
This article is divided into four parts , the basic contents are as follows :
Part I : Establishment of the perspective of criminal policy . This is the study of transnational money - laundering crime .
The angle , analytical framework and research pattern are also the premise of discussing the basic theory of transnational money - laundering .
On the basis of the observation of the present situation of transnational money - laundering , the reflection of the problem and the construction of the countermeasure model are as follows :
On the basis of this part , the necessity of the establishment of the criminal policy angle of view is first discussed . This is mainly from the criminal administration
The Definition of the Meaning of Policy Science and the Discussion of Its Internationalization Characteristics and the International Criminal Law to Seek the Unification of International Criminal Law
Two aspects of the development of criminal policy direction ; secondly , from the angle between criminal policy and international criminal law
Degree , expounds the conformity of criminal policy with international criminal law - - the international criminal law of criminal policy ;
The international criminal law of criminal policy is the rationalization of the tendency of criminal policy .
A trend and process of convergence , that is , to punish and prevent international criminal policy as a criminal policy
The guiding concept of international criminal law promotes the rational change of international criminal law norms and criminal judicial assistance system ;
At the same time , this criminal policy is passed through the international criminal legislation to bring it into a cultural , normative and further form
International criminal law rules , systems and principles that can reflect the criminal policy of this kind of criminal policy . The criminal law of international criminal law
The policy is the impact of the international criminal law on the specific criminal policy , which affects the reform , amendment and improvement .
The process . That is , the international criminal law is formed when the act of serious harm is determined as an international crime
After regulating the basic pattern and cooperation framework of a certain international crime , the criminal policy is still adhered to
Modify the angle of view , perfect the relevant international criminal law norms , and promote the rationalization of the international criminal law .
The function of " reasonable and effective organization of the response to crime " can be exerted more fully .
Finally , based on the subjective , observational , reflective and practical perspectives of criminal policy , it is a cross - border wash .
The research of money crime provides a preferable analysis framework , that is to reflect the main body , to observe the center of gravity , and to reverse
Standard and countermeasure mode .
Part Two : Observation of the Current Situation of the Game between Transnational Money Laundering and Anti - Transnational Money Laundering
43
WP=49
The present situation is the basis of studying the crime of transnational money - laundering . This part firstly reveals the transnational money - laundering to each country ' s government
The challenges posed by the Government and the international community and the evolution of transnational money - laundering through traditional money - laundering , inter alia ,
The crime of money laundering can be effectively concealed and hidden from the corresponding " upstream crime " and the transnational money - laundering crime process
This challenge is specifically addressed in the three levels of the complexity and diversity of approaches , followed by the above
Challenges , Governments and the international community have undertaken relevant anti - border money - laundering in the field of international criminal law
Legislative and practical activities , including the development of international criminal law norms against transnational money - laundering and the countries of the world
A commentary on the strengthening of anti - transnational money - laundering cooperation , the international conventions and the contents of the resolution , and the anti - transnational crime of domestic criminal law
Three aspects of money laundering are introduced . At last , the article summarizes the new trend of transnational money laundering in combination with the above - mentioned content .
Potential and the evolution of international criminal law thought .
The third part : the reflection of the traditional problem and the new problem . Depending on the source of the problem , you can
The Influence , Prevention , Punishment and Prevention of Transnational Money - Laundering Crime are divided into traditional problems and new problems
The traditional problem is the existence of legal differences , including the criminalization movement of money laundering .
incomplete and incomplete lines ;
The international conventions and national laws are different from the scope of " predicate offences "
( b ) To provide for the direct impact on the punishment of transnational money - laundering offences ;
The study of information disclosure system is weak and strict
Heavy restrictions on the regulation of financial institutions and other industries ;
The spread of transnational money - laundering in offshore financial centres ,
It is shown that the process of globalization of financial markets and its implementation are common among domestic - based oversight mechanisms .
There is a gap . The conclusion of reflecting on the new problem lies in the need to relax the research field of international criminal law .
The spread of money - laundering in the country is also the weakness of the government of some developing countries and countries in the period of social transition .
The inevitable result of political corruption . Money - laundering is not only money - laundering in the financial sector but also non - financial
As a new path to cross - border money - laundering , a weak cash - intensive industry is regulated in the area ;
at the same time international
Money - laundering also derives a new trend - - cyber money - laundering , which is a new path to cross - border money - laundering ,
New trends need to be fully reflective and rational .
The fourth part : the practice of the international criminal law anti - transnational money - laundering countermeasure mode construction .
Viewing the Current Situation of the Game between Transnational Money Laundering and Anti - Transnational Money Laundering in the View of Viewing the Current Situation of the Game between Transnational Money Laundering and Anti - Transnational Money Laundering
On the basis of the problem , this paper forms two kinds of counter - border money - laundering countermeasures which are independent and mutually exclusive .
Mode - criminal law cooperation model and international administrative cooperation mode . The mode of criminal law cooperation is
Under the guidance of criminal policy of international criminal law , in the field of international criminal law , the country
( 44 ftlb . )
WP=50
The penalty right penalty is the general theory of all kinds of countermeasures of the crime of money - laundering and the prevention of the crime of money - laundering .
It is mainly reflected in the two aspects of international criminal legislation and international mutual legal assistance , and the international administrative cooperation mode
The formula is the product of the social prevention policy of international criminal law , which is through the administration of national anti - transnational money laundering
Indirect cooperation by the authorities , either directly or indirectly , through international cooperation on administrative power , found
It plays a role in tracking the crime of transnational money - laundering and preventing the crime of transnational money - laundering .
In short , this paper tries to deepen the discussion on the criminal policy of anti - transnational money laundering crime as the guiding ideology .
The study of the basic theory of transnational money - laundering , which further opens up the new situation of transnational money - laundering crime research ,
Making it more rational and constructive to guide the punishment and prevent the judicial practice of transnational money - laundering crime .
【学位授予单位】：吉林大学
【学位级别】：硕士
【学位授予年份】：2004
【分类号】：D917;D997.9
本文编号：2135797
[Abstract]:The purpose of this paper is to study the crime of transnational money - laundering in the light of criminal policy in the field of international criminal law ,
It is believed that the criminal policy of establishing anti - transnational money - laundering crime is the theoretical prerequisite to study the crime of transnational money - laundering
This article is divided into four parts , the basic contents are as follows :
Part I : Establishment of the perspective of criminal policy . This is the study of transnational money - laundering crime .
The angle , analytical framework and research pattern are also the premise of discussing the basic theory of transnational money - laundering .
On the basis of the observation of the present situation of transnational money - laundering , the reflection of the problem and the construction of the countermeasure model are as follows :
On the basis of this part , the necessity of the establishment of the criminal policy angle of view is first discussed . This is mainly from the criminal administration
The Definition of the Meaning of Policy Science and the Discussion of Its Internationalization Characteristics and the International Criminal Law to Seek the Unification of International Criminal Law
Two aspects of the development of criminal policy direction ; secondly , from the angle between criminal policy and international criminal law
Degree , expounds the conformity of criminal policy with international criminal law - - the international criminal law of criminal policy ;
The international criminal law of criminal policy is the rationalization of the tendency of criminal policy .
A trend and process of convergence , that is , to punish and prevent international criminal policy as a criminal policy
The guiding concept of international criminal law promotes the rational change of international criminal law norms and criminal judicial assistance system ;
At the same time , this criminal policy is passed through the international criminal legislation to bring it into a cultural , normative and further form
International criminal law rules , systems and principles that can reflect the criminal policy of this kind of criminal policy . The criminal law of international criminal law
The policy is the impact of the international criminal law on the specific criminal policy , which affects the reform , amendment and improvement .
The process . That is , the international criminal law is formed when the act of serious harm is determined as an international crime
After regulating the basic pattern and cooperation framework of a certain international crime , the criminal policy is still adhered to
Modify the angle of view , perfect the relevant international criminal law norms , and promote the rationalization of the international criminal law .
The function of " reasonable and effective organization of the response to crime " can be exerted more fully .
Finally , based on the subjective , observational , reflective and practical perspectives of criminal policy , it is a cross - border wash .
The research of money crime provides a preferable analysis framework , that is to reflect the main body , to observe the center of gravity , and to reverse
Standard and countermeasure mode .
Part Two : Observation of the Current Situation of the Game between Transnational Money Laundering and Anti - Transnational Money Laundering
43
WP=49
The present situation is the basis of studying the crime of transnational money - laundering . This part firstly reveals the transnational money - laundering to each country ' s government
The challenges posed by the Government and the international community and the evolution of transnational money - laundering through traditional money - laundering , inter alia ,
The crime of money laundering can be effectively concealed and hidden from the corresponding " upstream crime " and the transnational money - laundering crime process
This challenge is specifically addressed in the three levels of the complexity and diversity of approaches , followed by the above
Challenges , Governments and the international community have undertaken relevant anti - border money - laundering in the field of international criminal law
Legislative and practical activities , including the development of international criminal law norms against transnational money - laundering and the countries of the world
A commentary on the strengthening of anti - transnational money - laundering cooperation , the international conventions and the contents of the resolution , and the anti - transnational crime of domestic criminal law
Three aspects of money laundering are introduced . At last , the article summarizes the new trend of transnational money laundering in combination with the above - mentioned content .
Potential and the evolution of international criminal law thought .
The third part : the reflection of the traditional problem and the new problem . Depending on the source of the problem , you can
The Influence , Prevention , Punishment and Prevention of Transnational Money - Laundering Crime are divided into traditional problems and new problems
The traditional problem is the existence of legal differences , including the criminalization movement of money laundering .
incomplete and incomplete lines ;
The international conventions and national laws are different from the scope of " predicate offences "
( b ) To provide for the direct impact on the punishment of transnational money - laundering offences ;
The study of information disclosure system is weak and strict
Heavy restrictions on the regulation of financial institutions and other industries ;
The spread of transnational money - laundering in offshore financial centres ,
It is shown that the process of globalization of financial markets and its implementation are common among domestic - based oversight mechanisms .
There is a gap . The conclusion of reflecting on the new problem lies in the need to relax the research field of international criminal law .
The spread of money - laundering in the country is also the weakness of the government of some developing countries and countries in the period of social transition .
The inevitable result of political corruption . Money - laundering is not only money - laundering in the financial sector but also non - financial
As a new path to cross - border money - laundering , a weak cash - intensive industry is regulated in the area ;
at the same time international
Money - laundering also derives a new trend - - cyber money - laundering , which is a new path to cross - border money - laundering ,
New trends need to be fully reflective and rational .
The fourth part : the practice of the international criminal law anti - transnational money - laundering countermeasure mode construction .
Viewing the Current Situation of the Game between Transnational Money Laundering and Anti - Transnational Money Laundering in the View of Viewing the Current Situation of the Game between Transnational Money Laundering and Anti - Transnational Money Laundering
On the basis of the problem , this paper forms two kinds of counter - border money - laundering countermeasures which are independent and mutually exclusive .
Mode - criminal law cooperation model and international administrative cooperation mode . The mode of criminal law cooperation is
Under the guidance of criminal policy of international criminal law , in the field of international criminal law , the country
( 44 ftlb . )
WP=50
The penalty right penalty is the general theory of all kinds of countermeasures of the crime of money - laundering and the prevention of the crime of money - laundering .
It is mainly reflected in the two aspects of international criminal legislation and international mutual legal assistance , and the international administrative cooperation mode
The formula is the product of the social prevention policy of international criminal law , which is through the administration of national anti - transnational money laundering
Indirect cooperation by the authorities , either directly or indirectly , through international cooperation on administrative power , found
It plays a role in tracking the crime of transnational money - laundering and preventing the crime of transnational money - laundering .
In short , this paper tries to deepen the discussion on the criminal policy of anti - transnational money laundering crime as the guiding ideology .
The study of the basic theory of transnational money - laundering , which further opens up the new situation of transnational money - laundering crime research ,
Making it more rational and constructive to guide the punishment and prevent the judicial practice of transnational money - laundering crime .
【学位授予单位】：吉林大学
【学位级别】：硕士
【学位授予年份】：2004
【分类号】：D917;D997.9
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