FSB机制变迁的政治动因研究

发布时间：2018-06-28 10:23

本文选题：金融稳定论坛 + 金融稳定理事会　；参考：《上海外国语大学》2012年硕士论文

【摘要】：作为金融稳定论坛（FSF）的继承性机构，金融稳定理事会（FSB）成立的目的是为了协调国际金融当局和国际标准制定机构的工作，促进监管政策和其他金融领域政策的有效实施。从金融稳定论坛（FSF）到金融稳定理事会（FSB）这一转变的过程也就是FSB的机制化程度不断加深的过程。主要体现在FSB的义务性不断增强、约束力不断增大、授权性不断增加这三个方面。金融稳定理事会（FSB）的义务性不断增大主要表现在三个方面：其一，要求FSB的各个成员国执行国际金融标准。其二，要求FSB的各个成员国每五年接受一次FSAP的评估并且公布他们遵守国际标准的程度以及ROSCs报告的具体评估内容。其三，要求FSB的各个成员国参与由FSB领导的同行审议（peer review processes）。FSB的约束力不断增强主要表现在二个方面：其一，加大对于不遵守FSB相关标准和准则的不合作成员（NCJs）的监管。其二，增强了对于FSB成员以及非FSB成员的监管。FSB的授权性不断增加主要表现在二个方面：其一，FSB正不断强化在能力、资源和管理方面的授权性。其二，FSB正不断加强与国际标准制定机构（SSB）之间的协调作用。关于FSB机制变迁的政治动因，本文运用了美国国内政治的逻辑，并且认为美国国内关于金融监管的政治变化，特别是在金融监管议题的政治化、政策制定者的思想转变以及利益集团对于金融监管政策变革的推动这三个方面，提高了美国国内金融监管的标准。而美国为了平衡与保持在国际金融监管领域的领导力，加强了国际金融监管标准。2009年的全球金融危机引发了美国国内政治的变革，，因而在美国的领导下，国际金融标准和准则也随之改变。当美国的政策制定者决定用大部分纳税人的钱去拯救金融市场的时候，更是掀起一场前所未有的金融监管的政治化运动。而美国的政策制定者更是转变了传统的市场自我监管与放任自由主义的思想，要求政府介入金融市场监管。同时，利益集团考虑到自身利益，也支持并推动金融监管政策变革。这三个方面的因素共同导致了美国国内金融监管政治的变化，最终推动了国际金融监管标准的强化，从而导致了从金融稳定论坛（FSF）到金融稳定理事会（FSB）的机制变迁。
[Abstract]:As a successor to the Financial Stability Forum (FSF), the Financial Stability Council (FSB) was established to coordinate the work of international financial authorities and international standard-setting bodies and to promote the effective implementation of regulatory and other financial policies. The process of transition from the Financial Stability Forum (FSF) to the Financial Stability Board (FSB) is a deepening process of FSB institutionalization. It is mainly reflected in the three aspects of FSB's increasing obligation, binding force and authorization. The increasing obligation of the Financial Stability Board (FSB) is mainly reflected in three aspects: first, the FSB member states are required to implement international financial standards. Second, members of the FSB are required to undergo an FSAP review every five years and publish the extent to which they comply with international standards and the details of the ROSCs report. Third, the increasing binding force of the FSB-led peer review by the FSB-led member states is mainly reflected in two aspects: first, greater regulation of non-cooperative members (NCJs) that do not comply with the FSB-related standards and guidelines. Second, increased regulatory authority for FSB members as well as non-FSB members. The increased delegation of authority for FSB members is reflected in two main aspects: first, FSB is strengthening its mandate in terms of capabilities, resources and management. Second, the FSB is increasingly strengthening its coordinating role with the international standards setting body (SSB). On the political motivation of the change of FSB mechanism, this paper applies the logic of domestic politics in the United States, and thinks that the political change of financial regulation in the United States, especially in the politicization of the issue of financial regulation, The change of thinking of policy makers and the push of interest groups on the reform of financial regulation policy have raised the standards of financial regulation in the United States. In order to balance and maintain its leadership in the field of international financial regulation, the United States has strengthened international financial regulatory standards. The global financial crisis in 2009 triggered political changes in the United States, so under the leadership of the United States, International financial standards and norms have also changed. When American policy makers decided to use most of their taxpayers' money to save financial markets, there was an unprecedented politicisation of financial regulation. American policy makers have also changed the traditional thinking of market self-regulation and laissez-faire, asking the government to intervene in financial market regulation. At the same time, interest groups in view of their own interests, also support and promote financial regulatory policy changes. These three factors together led to the change of the domestic financial regulatory politics in the United States, and finally promoted the strengthening of international financial regulatory standards, which led to the institutional changes from the Financial Stability Forum (FSF) to the Financial Stability Board (FSB).
【学位授予单位】：上海外国语大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D81

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