發(fā)布時(shí)間：2018-03-10 05:14

  本文選題：跨國銀行　切入點(diǎn)：分支機(jī)構(gòu)　出處：《復(fù)旦大學(xué)》2011年碩士論文　論文類型：學(xué)位論文

【摘要】：跨國銀行不斷發(fā)展,金融一體化不斷加深,加強(qiáng)對(duì)跨國銀行分支機(jī)構(gòu)的法律監(jiān)管成為金融監(jiān)管改革的重要議題。東道國和母國在監(jiān)管中不斷加強(qiáng)合作,巴塞爾協(xié)議也為監(jiān)管有效實(shí)施提供了方案。我國更需要借鑒各方面經(jīng)驗(yàn),提高監(jiān)管水平,維護(hù)本國金融市場的穩(wěn)定。本文就圍繞與跨國銀行分支機(jī)構(gòu)法律監(jiān)管相關(guān)的問題展開。 第一章主要介紹跨國銀行的法律實(shí)質(zhì)及其分支機(jī)構(gòu)的種類,對(duì)跨國銀行法律實(shí)質(zhì)的界定影響著監(jiān)管方式的選擇,而跨國銀行分支機(jī)構(gòu)因其組織形式不同,具有的法律地位及對(duì)東道國和母國的影響也就有所不同,因此,是制定監(jiān)管政策時(shí)考慮的因素之一。 第二章介紹對(duì)跨國銀行分支機(jī)構(gòu)的法律監(jiān)管有哪些分類,每種監(jiān)管的動(dòng)因是什么。本文主要探討的是國別監(jiān)管和國際監(jiān)管兩種。在國別監(jiān)管中,東道國與母國有共同的監(jiān)管動(dòng)因,然而母國基于其特殊性,對(duì)跨國銀行分支機(jī)構(gòu)實(shí)施監(jiān)管又有著特殊動(dòng)因。 第三章是對(duì)東道國監(jiān)管的介紹,主要包括東道國的幾種監(jiān)管制度,重點(diǎn)介紹東道國對(duì)跨國銀行設(shè)立分支機(jī)構(gòu)的市場準(zhǔn)入制度,從準(zhǔn)入形式、準(zhǔn)入條件、準(zhǔn)入業(yè)務(wù)的角度做了分析,此外,還介紹了資本充足性監(jiān)管制度與市場退出監(jiān)管。 第四章主要是對(duì)母國監(jiān)管的介紹,母國監(jiān)管最獨(dú)特之處在于其可以采用并表監(jiān)管的特殊方式,因此,對(duì)并表監(jiān)管的含義、主體及特征做了詳細(xì)分析。 第五章研究的問題是國際監(jiān)管,通過巴塞爾協(xié)議規(guī)定的相關(guān)監(jiān)管法律機(jī)制的演變,從監(jiān)管主體和監(jiān)管內(nèi)容兩個(gè)角度,探討了東道國與母國之間的關(guān)系以及對(duì)跨國銀行分支監(jiān)管內(nèi)容的發(fā)展趨勢。 第六章就跨國銀行分支機(jī)構(gòu)的法律監(jiān)管問題,對(duì)我國完善相關(guān)法律監(jiān)管制度提出了建議,主要是從立法、實(shí)施環(huán)節(jié)以及提升我國國際監(jiān)管水平三個(gè)方面進(jìn)行論述。
[Abstract]:With the continuous development of transnational banks and the deepening of financial integration, strengthening the legal supervision of branches of transnational banks has become an important issue in the reform of financial supervision. The Basel Accord also provides a scheme for the effective implementation of supervision. China needs to learn from various experiences to improve the level of supervision and maintain the stability of its financial market. This paper focuses on the issues related to the legal supervision of branches of transnational banks. The first chapter mainly introduces the legal essence of transnational banks and the types of their branches. The definition of the legal substance of transnational banks affects the choice of regulatory methods, while the branches of transnational banks are different from each other because of their organizational forms. The legal status and impact on host and home countries are different, therefore, they are one of the factors that are taken into account in the formulation of regulatory policy. The second chapter introduces the classification of the legal supervision of transnational bank branches and the motivation of each kind of supervision. This paper mainly discusses two kinds of national supervision and international supervision. The host country and the home country have the same regulatory motivation, but the home country has a special reason to supervise the multinational bank branch because of its particularity. The third chapter is the introduction of host country supervision, mainly including several kinds of host country supervision system, focusing on the host country's market access system for the establishment of branches of transnational banks, from the entry form, access conditions, In addition, it introduces the capital adequacy regulation system and the market exit regulation. Chapter 4th mainly introduces the regulation of the home country, the most unique part of which is that it can adopt the special way of the supervision of the merger list. Therefore, the meaning, the subject and the characteristics of the supervision of the merger list are analyzed in detail. Chapter 5th studies the problem of international supervision. Through the evolution of the relevant regulatory legal mechanism stipulated in the Basel Accord, from the two angles of the subject and content of supervision, The relationship between host country and home country and the development trend of the content of branch supervision of multinational banks are discussed. In Chapter 6th, the author puts forward some suggestions on how to improve the relevant legal supervision system in China, mainly from three aspects: legislation, implementation and improvement of China's international supervision level.
【學(xué)位授予單位】：復(fù)旦大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2011
【分類號(hào)】：D996.2;D922.281

【參考文獻(xiàn)】

相關(guān)期刊論文 前10條

1 劉冰;;論我國外資銀行監(jiān)管制度的開放和完善[J];重慶三峽學(xué)院學(xué)報(bào);2009年01期

2 張敏;;我國跨國銀行監(jiān)管法律制度初探[J];商場現(xiàn)代化;2006年21期

3 徐婉利;跨國銀行分支機(jī)構(gòu)的法律監(jiān)管——兼論“巴塞爾協(xié)議”對(duì)中國銀行監(jiān)管的影響[J];山東社會(huì)科學(xué);2005年09期

4 彭靜;論外資銀行監(jiān)管立法的完善[J];廣東經(jīng)濟(jì)管理學(xué)院學(xué)報(bào);2004年01期

5 賀小勇;;論加入WTO后中國外資銀行監(jiān)管法的完善(上)[J];世界貿(mào)易組織動(dòng)態(tài)與研究;2000年11期

6 衣淑玲;論中國外資銀行監(jiān)管法律制度的完善[J];社科縱橫;2005年01期

7 郭壯舉;;我國外資銀行監(jiān)管法律體系的若干思考[J];商情(財(cái)經(jīng)研究);2008年01期

8 曾立宏;;我國外資銀行監(jiān)管法律問題研究——以巴塞爾新資本協(xié)議為視角[J];特區(qū)經(jīng)濟(jì);2009年08期

9 徐湘明;完善我國銀行監(jiān)管的若干建議[J];統(tǒng)計(jì)與決策;2004年07期

10 岳彩申;跨國銀行監(jiān)管體制研究[J];現(xiàn)代法學(xué);2001年04期

相關(guān)碩士學(xué)位論文 前1條

1 費(fèi)袁伍;跨國銀行的法律監(jiān)管問題研究[D];中國政法大學(xué);2003年

，

本文編號(hào)：1591912