本文選題：金融控股公司　切入點：風(fēng)險防控　出處：《中國政法大學(xué)》2011年碩士論文　論文類型：學(xué)位論文

【摘要】：我國金融業(yè)實行分業(yè)經(jīng)營、分業(yè)監(jiān)管的模式。其中,金融控股公司是一個特別的存在,因為它代表著金融業(yè)中混業(yè)經(jīng)營的成分。我國現(xiàn)行法律法規(guī)和政策已經(jīng)為金融控股公司的存在和發(fā)展預(yù)留了足夠了空間,此為消極的一面。在積極方面,我國尚沒有專門調(diào)整規(guī)制金融控股公司的法律。從國際形勢來看,金融法在后金融危機時代有了新的發(fā)展,關(guān)于金融控股公司的法律制度也相應(yīng)地有所變化。在金融業(yè)務(wù)分合之間,風(fēng)險是其中最關(guān)鍵的考量因素,金融風(fēng)險控制成為各金融控股公司和管理當(dāng)局的首要任務(wù)。因此,本文將重點研究金融控股公司的風(fēng)險防控法律機制。在結(jié)構(gòu)上,論文共分四章。論文第一章為金融控股公司概述。在本章,筆者將闡述金融控股公司的基礎(chǔ)理論以及金融控股公司的產(chǎn)生與發(fā)展。金融控股公司是金融業(yè)混業(yè)經(jīng)營模式的現(xiàn)實選擇,在金融危機之后,金融控股公司風(fēng)險防控的重要性愈發(fā)凸顯。筆者在論文第二章分析金融控股公司的風(fēng)險,既分析金融控股公司和子公司的個體風(fēng)險,也分析金融集團的整體風(fēng)險。金融控股公司風(fēng)險具有集中性、傳遞性和破壞性強的特點。金融控股公司風(fēng)險傳遞是該章重點分析的內(nèi)容。筆者將重點論述金融控股公司風(fēng)險傳遞的成因和傳遞的途徑。特別值得關(guān)注的是金融控股公司可能引發(fā)的系統(tǒng)性風(fēng)險。論文第三章內(nèi)容是金融控股公司風(fēng)險防控的立法模式與防控機制。在金融控股公司風(fēng)險防控問題上,立法模式既可以是專門的金融控股公司法,也可能是其它相關(guān)法律,因各國情況而異。金融控股公司風(fēng)險防控的機制,既包括內(nèi)部防控手段,也包括外部監(jiān)管手段,兩方面均至關(guān)重要。論文第四章是我國金融控股公司風(fēng)險防控法律機制的現(xiàn)狀與完善。在此章中,筆者將首先在第一節(jié)中分析我國現(xiàn)行法律機制中的立法缺失和監(jiān)管不足。在第二節(jié)中,為我國金融控股公司風(fēng)險防控法律機制提出完善建議。筆者在本節(jié)重點論述的內(nèi)容：一是風(fēng)險防控立法的完善,二是風(fēng)險監(jiān)管體系的完善。為我國金融控股公司的風(fēng)險防控機制提供了有益的借鑒。
[Abstract]:The mode of separate operation and supervision of China's financial industry. Among them, the financial holding company is a special existence. Because it represents the component of mixed operation in the financial industry. The current laws, regulations and policies of our country have reserved enough space for the existence and development of financial holding companies. This is a negative aspect. In the positive aspect, China has not specifically adjusted the laws governing financial holding companies. From the international situation, financial law has developed in the post-financial crisis era. The legal system for financial holding companies has changed accordingly. Risk is the most critical consideration in the financial business division, and financial risk control has become a top priority for financial holding companies and regulatory authorities. This paper focuses on the legal mechanism of risk prevention and control of financial holding companies. In terms of structure, the paper is divided into four chapters. The first chapter is an overview of financial holding companies. The author will expound the basic theory of the financial holding company and the emergence and development of the financial holding company, which is the realistic choice of the mixed operation mode of the financial industry, after the financial crisis, The importance of risk prevention and control of financial holding companies becomes more and more prominent. In the second chapter, the author analyzes the risks of financial holding companies, that is, the individual risks of financial holding companies and subsidiaries. It also analyzes the overall risks of financial groups. The risks of financial holding companies are centralized. The risk transmission of financial holding companies is the main content of this chapter. The author will focus on the causes and ways of risk transmission of financial holding companies. The third chapter is about the legislative model and mechanism of financial holding company risk prevention and control. The legislative model can be either a special financial holding company law or other relevant laws, depending on the situation of each country. The risk prevention and control mechanism of the financial holding company includes both internal and external means of prevention and control. Chapter 4th is the status quo and perfection of the legal mechanism of risk prevention and control of financial holding companies in China. In the first section, the author will analyze the lack of legislation and insufficient supervision in the current legal mechanism of our country. In this section, the author focuses on the contents of: first, the perfection of the legislation of risk prevention and control, The second is the perfection of the risk supervision system, which provides a useful reference for the risk prevention and control mechanism of the financial holding company in China.
【學(xué)位授予單位】：中國政法大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2011
【分類號】：D922.28;F832.39

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本文編號：1585240