本文選題：金融服務(wù) + 審慎例外��； 參考：《復(fù)旦大學(xué)》2012年碩士論文

【摘要】：服務(wù)貿(mào)易是世界貿(mào)易組織(簡稱“WTO”)多邊貿(mào)易體制的新領(lǐng)域,受WTO服務(wù)貿(mào)易總協(xié)定(簡稱'GATS")的調(diào)整。金融服務(wù)貿(mào)易是服務(wù)貿(mào)易領(lǐng)域重要的一個部門。在經(jīng)濟全球化和金融國際化的大背景下,金融服務(wù)貿(mào)易市場的開放成為了一個不可阻擋的歷史潮流。 WTO框架下的“審慎例外”條款是《金融服務(wù)附件》中的核心條款,也正是這一條款協(xié)調(diào)了金融服務(wù)貿(mào)易自由化與金融監(jiān)管之間的矛盾,同時也促成了WTO成員方在金融服務(wù)貿(mào)易問題上達成一致的協(xié)議,構(gòu)建了金融服務(wù)貿(mào)易的多邊法律規(guī)制的框架。“審慎例外”條款授權(quán)WTO的成員方為審慎目的采取審慎措施,而不受GATS其他規(guī)定的羈絆,可以說是中國金融對外開放的安全閥。 但是,《金融服務(wù)附件》關(guān)于“審慎例外”條款的規(guī)定非常的原則化,造成了這一條款在適用中的困難。本文以這一問題為切入點,從法律角度對“審慎例外”條款的適用進行分析和論述,分析“審慎例外”原則與巴塞爾協(xié)議之間的聯(lián)系,并將該原則與GATS第十四條一般例外、安全例外進行比較,結(jié)合正在進行中的中美有關(guān)“電子支付服務(wù)”措施WTO爭端案探討這一條款的適用對中國的啟不。 經(jīng)過十五年艱苦的談判,2001年12月11日,中國終于正式成為了WTO的一員。加入WTO以來,中國政府為了履行金融服務(wù)方面的入世承諾,對中國金融服務(wù)法律進行了一系列的修訂。但是中國現(xiàn)有的金融服務(wù)監(jiān)管制度與現(xiàn)實的要求仍存在較大的差距。因此,有必要進一步完善中國金融服務(wù)審慎監(jiān)管制度,借鑒國際先進審慎監(jiān)管理念,使監(jiān)管措施與國際標準接軌,促進中國對金融服務(wù)的審慎監(jiān)管水平的提高。
[Abstract]:Trade in services is a new field in the multilateral trading system of the World Trade Organization (WTO), which is regulated by the General Agreement on Trade in Services (WTO). Trade in financial services is an important sector in the field of trade in services. Under the background of economic globalization and financial internationalization, the opening of financial service trade market has become an irresistible historical trend. The "prudential exception" clause under the framework of WTO is the core clause in Financial Services Annex, which coordinates the contradiction between liberalization of trade in financial services and financial supervision. At the same time, it also promotes the agreement of the members of WTO on the issue of trade in financial services, and constructs the framework of multilateral legal regulation of trade in financial services. The "prudential exception" clause empowers the members of the WTO to take prudent measures for prudent purposes without being fettered by the other provisions of the GATS, which can be said to be a safety valve for China's financial opening to the outside world. However, the provisions of the Financial Services Annex on the "prudential exception" clause are very principled, resulting in difficulties in its application. This paper analyzes and discusses the application of the "prudential exception" clause from the point of view of law, analyzes the relationship between the "prudent exception" principle and the Basel Accord, and makes this principle and the general exception of Article 14 of GATS. The security exceptions are compared and the application of this clause to China is discussed in connection with the ongoing WTO dispute between China and the United States concerning "electronic payment services" measures. After 15 years of hard negotiations, on December 11, 2001, China finally became a member of the WTO. Since China's entry into the WTO, the Chinese government has made a series of amendments to its financial services laws in order to fulfill its commitments in the field of financial services. However, there is still a big gap between the current financial service regulatory system and the actual requirements in China. Therefore, it is necessary to further perfect the prudential supervision system of China's financial services, draw lessons from the international advanced concept of prudential supervision, make the regulatory measures in line with international standards, and promote the level of prudential supervision of financial services in China.
【學(xué)位授予單位】：復(fù)旦大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2012
【分類號】：D996.1

【引證文獻】

相關(guān)博士學(xué)位論文 前1條

1 尹立杰;GATS框架下的跨國銀行監(jiān)管[D];中國政法大學(xué);2005年

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本文編號：1812256