本文選題：軟法　切入點(diǎn)：全球金融治理　出處：《武漢大學(xué)》2011年博士論文

【摘要】：全球治理理論的勃興與2008年金融危機(jī)造成的影響,使得全球金融治理成為實(shí)務(wù)與理論上熱門的議題。主要原因在于,隨著全球化進(jìn)程的不斷加深,許多問題亟需通過全球治理得到解決,其中包括了目前引起國際社會熱議的國際金融危機(jī)治理與國際金融體系改革。而在全球金融治理的過程中,軟法發(fā)揮著獨(dú)特而又重要的作用。因此其成為了本文研究的重心。除緒論外,本文共分為五章： 第一章為全球金融治理的理論基礎(chǔ)。這一章首先介紹了國際金融社會的特質(zhì)與現(xiàn)實(shí)需要,通過分析明確了全球金融治理的必要性。而后,運(yùn)用全球治理理論進(jìn)一步指明了全球金融治理的內(nèi)涵,認(rèn)為其是國際金融領(lǐng)域的全球治理,它包含了全球治理的要素。全球金融治理具有規(guī)則多樣化和主體多樣化的特點(diǎn)。全球金融治理的價(jià)值目標(biāo)是建立與維護(hù)國際金融秩序、提高效率、維護(hù)金融消費(fèi)者利益,并在具體的實(shí)施過程中實(shí)現(xiàn)金融領(lǐng)域的善治。同時,通過分析、總結(jié)有關(guān)國際軟法的基本問題,包括國際軟法的理論基礎(chǔ)、概念與內(nèi)涵、分類、功能與意義、約束力以及國際軟法和硬法的關(guān)系,該章為其后進(jìn)一步的探討奠定了基礎(chǔ)。 第二章為全球金融治理中軟法的地位與作用。該章的第一部分首先指明了穿通過公法淵源——國際習(xí)慣法和條約對于全球金融治理的不足。在此基礎(chǔ)上進(jìn)一步分析了全球金融治理對軟法存在特殊的需求且與其具有緊密的聯(lián)系的原因：全球治理理論與金融本身特性兩方面。而在全球金融治理中,國際軟法發(fā)揮著節(jié)約談判成本、避免主權(quán)限制、允許政策偏好的分歧、提供統(tǒng)一的國際標(biāo)準(zhǔn)、回應(yīng)現(xiàn)實(shí)不確定性與為持續(xù)磋商提供基礎(chǔ)的重要作用。在分析各重要作用時,分別拿取巴塞爾協(xié)議、與主權(quán)財(cái)富基金監(jiān)管有關(guān)的《圣地亞哥原則》等規(guī)定以及G20有關(guān)建立金融穩(wěn)定委員會的決定等作為注解。 第三章為全球金融治理中軟法的制定。全球金融治理中軟法的制定具有獨(dú)特性,該章首先研究了制定主體,指出制定主體包含了傳統(tǒng)國際組織、國際金融標(biāo)準(zhǔn)制定機(jī)構(gòu)和金融穩(wěn)定委員會,且其中則以國際金融機(jī)構(gòu)為主。同時,該章分析了在選擇制定傳統(tǒng)硬法規(guī)則抑或是軟法之時,起到?jīng)Q定性作用的因素：文本形式、參與者的意愿以及內(nèi)容和主題。最后,在該章中選取規(guī)制主權(quán)財(cái)富基金的國際軟法——圣地亞哥原則為例,分析其制定過程和其中起決定性影響的組織與機(jī)構(gòu),展示了國際金融軟法獨(dú)有的制定過程,并從中得出了一些啟示。 第四章探討全球金融治理中軟法的效力依據(jù)。以第一章探討軟法基本理論問題時對于法律的理解為基礎(chǔ),本章首先介紹了傳統(tǒng)國際公法理論對于國際法效力依據(jù)的理解,分別從自然法學(xué)派、實(shí)證法學(xué)派和社會連帶法學(xué)派的角度,對于為何國家會遵守相互之間的承諾進(jìn)行了理論介紹,進(jìn)而總結(jié)認(rèn)為傳統(tǒng)國際法國際法無法很好地解釋這個問題。因此,又從國際關(guān)系學(xué)角度的出發(fā),研究了國際關(guān)系理論、國際規(guī)制理論和社會控制理論對于國家履行約定的觀點(diǎn)。在這一章的第三節(jié)中,以典型的國際金融軟法——巴塞爾協(xié)議為例分析了國際最終會選擇遵守國際承諾的原因。 第五章為全球金融治理中軟法的發(fā)展。對于國際金融軟法的未來要從兩個角度來看：具體軟法規(guī)則和國際金融軟法體系。就具體軟法規(guī)則而言,本章的第一部分分析認(rèn)為,為了實(shí)現(xiàn)全球金融治理的目標(biāo),軟法的數(shù)量將會進(jìn)一步增加,質(zhì)量將逐步提高,且其中的部分將有可能深化與細(xì)化,并各自給出了支持這些說法的現(xiàn)實(shí)例證。本章的第二部分認(rèn)為,現(xiàn)有的國際金融監(jiān)管體系呈現(xiàn)軟法性,鮮有規(guī)定具有法律約束力。有學(xué)者認(rèn)為應(yīng)當(dāng)硬化這樣的國際金融監(jiān)管體系,因而分別考察了各種不同的方法：首要的選擇是參照現(xiàn)存的國際機(jī)構(gòu),如WTO、IMF為國際標(biāo)準(zhǔn)制定提供以條約基礎(chǔ)的硬法機(jī)制；接下來則是考慮從歐盟的經(jīng)驗(yàn)中吸取教訓(xùn)；最后,締結(jié)一個新的國際條約是否是一個明智的選擇,也將得到分析。但本文認(rèn)為以上選擇的結(jié)論均不甚理想,只能期待改革后的金融穩(wěn)定委員會能確實(shí)履行其新職能,協(xié)調(diào)、促進(jìn)與監(jiān)督國際金融標(biāo)準(zhǔn)的執(zhí)行,并進(jìn)一步發(fā)展為全球金融治理中軟法的有效性得到更高程度的發(fā)揮起到促進(jìn)作用。而金融穩(wěn)定委員會重構(gòu)的事實(shí),也證明了軟法今后仍將在全球金融治理中占據(jù)重要的位置。
[Abstract]:Influence of the theory of global governance and 2008 due to the financial crisis, the global financial governance has become a hot issue in theory and practice. The main reason is that with the intensification of globalization, many problems need to be solved by means of global governance, including the current international society caused by hot international financial crisis and the international financial system in the process of reform. And the global financial governance, soft law plays a unique and important role. Therefore it has become the focus of the thesis. Besides the introduction, this paper is divided into five chapters:
The first chapter is the theoretical basis of global financial governance. This chapter firstly introduces the characteristics and the reality of the international financial community needs, through the analysis of the necessity of global financial governance. Then, using the theory of global governance further pointed out the connotation of global financial governance, the global governance in the field of international finance, which includes the elements of global governance. Global financial governance is the main characteristic of diversification and diversification of rules. The value goal of global financial governance is to establish and maintain the international financial order, improve efficiency, safeguard the financial interests of consumers, and to achieve good governance in the financial field in the specific implementation process. At the same time, through the analysis, summarizes the basic issues related to international soft law, including the basic theory of international soft law, concept and connotation, classification, function and meaning, binding and international hard law and soft law relations, this chapter is the A step forward to the discussion laid the foundation.
The second chapter is the status and role of global financial governance of soft law. The first part of this chapter first introduces the origin of law through customary international law and treaties for lack of global financial governance. On the basis of further analysis of global financial governance closely links with the reason of soft law has special requirements with: two the global governance theory and financial characteristics. In the global financial governance, international soft law plays the negotiations to save cost, avoid sovereign restrictions, allowing policy preference differences, to provide a unified international standard, an important role to the reality of uncertainty and provide the basis for continued consultations. In the analysis of the important role, respectively. Take the Basel protocol and relevant regulation of sovereign wealth funds in Santiago "and other regulations as well as the G20 principle > on the establishment of the financial stability board decisions such as note Solution.
The third chapter is the development of global financial governance of soft law. The development of global financial governance of soft law has unique characteristics, this chapter firstly studies the subject, the author points out the main contains the traditional international organizations, institutions and financial stability committee to formulate international financial standards, which is the international financial institutions. At the same time, this chapter analyses the development of traditional hard law or rules in the selection of soft law, the decisive factors of the text form, the wishes of the participants and the content and theme. Finally, the principle of International Law -- Santiago soft selection regulation of sovereign wealth funds in this chapter as an example, analyzes the decisive effect of the formulation of organization and organization process and among them, show the process of making soft international finance law unique, and draws some enlightenments.
The fourth chapter discusses the effect of the global financial governance of soft law. According to the basic theory of soft law problems in the first chapter for the understanding of the law as the basis, this chapter first introduces the traditional international law theory on the basis of the effect of the international law, separately from the school of natural law, positive law school and solidarist angle for why does the state will abide by the mutual commitment of theory, and concluded that the traditional international law international law are unable to explain this problem. Therefore, starting from the perspective of international relations, the theory of international relations, international regulation theory and social control theory for the country to perform the agreed on this point of view. The third section, the soft - Basel agreement law of international finance as an example to analyze the typical international reason will eventually choose to comply with international commitments.
The fifth chapter is the development of global financial governance of soft law. The soft international finance law's future should be viewed from two perspectives: the specific rules of soft law and international financial law system. The specific soft soft law rules, this chapter of the first part of the analysis that, in order to achieve the goal of global financial governance, the number of soft law will to further increase, the quality will be gradually improved, and some of them will be refined and deepened, and each gives practical examples to support these claims. The second part of this chapter is that the existing international financial supervision system has soft law, few provisions are legally binding. Some scholars believe that the international financial supervision should be hardened system, thus were investigated in various ways: the first is the choice of reference to existing international institutions, such as WTO, IMF developed to international standards to provide the basic mechanism of hard law treaty; Then consider the lessons learned from the experience of EU; finally, to conclude whether a new international treaty is a wise choice, will also be analyzed. But this paper thinks that the above selection results are not ideal, can only look forward to the financial stability board after the reform can truly fulfill its new functions, coordination. To promote international financial supervision and the implementation of standards, and further development of effective global financial governance of soft law in the higher level of play. Play a role in promoting financial stability Committee reconstruction facts also proved that soft law will remain in the global financial governance occupies an important position.

【學(xué)位授予單位】：武漢大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2011
【分類號】：D996.2

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