本文選題：全球金融領(lǐng)域 + 國際金融軟法　； 參考：《遼寧大學》2017年碩士論文

【摘要】：20世紀末期以來,拉丁美洲、東南亞、俄羅斯以及美國等國家的金融危機出現(xiàn)并蔓延至整個金融領(lǐng)域,國際金融體系危機四伏。2008年美國次貸危機更是演變成了一次真正的全球金融危機。此次危機使越來越多的國際主體意識到現(xiàn)存國際金融領(lǐng)域的問題已不可忽視,金融改革勢在必行。在此背景下,國際金融軟法的作用和效果開始引起人們的重視。它是與硬法相對應(yīng)而存在的概念。在國際金融軟法的產(chǎn)生發(fā)展過程中,各個國家和國際組織對國際金融領(lǐng)域軟法的認同率不斷提升,使其得到廣泛而普遍的執(zhí)行。雖然國際金融軟法不具有法律強制力,但由于成員國的遵守和推崇使其具有良好的執(zhí)行效果。隨著國際金融軟法大量出臺,其數(shù)量不斷增多,影響逐漸擴大,推動了糾紛解決機制和監(jiān)督管理機制的出現(xiàn)。國際社會在應(yīng)對突發(fā)棘手的問題時,更傾向于選擇國際金融軟法來解決問題。而國際金融軟法的靈活性使得其執(zhí)行效果增強。其中一部分演變成國際條約,另一部分被一些國家轉(zhuǎn)化為國內(nèi)法或被國內(nèi)具體監(jiān)督部門默認采納,這是軟法的硬化過程。國際金融軟法硬化的意義就在于通過將金融領(lǐng)域的軟法硬化,從而加強條約的形式性和固定性。在硬化過程中,我們可以看出許多國際主體如巴塞爾委員會、金融特別行動組、金融穩(wěn)定理事會、國際證監(jiān)會組織等都采取了各種各樣的措施,促進了國際金融軟法的硬化。本文分四個部分對國際金融軟法的硬化問題作了研究。第一部分是對國際金融軟法的概述和硬化的概念界定。這部分闡述了當今國際金融領(lǐng)域中存在的各種問題,國際硬法治理的不足,得出軟法更具優(yōu)越性的結(jié)論。而后對國際金融軟法做了簡單的概念、特征介紹,對軟法硬化的概念界定。第二章則舉例介紹了國際金融軟法硬化的主要實現(xiàn)途徑:通過締結(jié)成新的國際條約、轉(zhuǎn)化為國內(nèi)法或在實踐中被具體監(jiān)管部門采納等。第三章則是對國際金融軟法硬化的評析。在認清其發(fā)展障礙后,簡要分析了國際金融軟法硬化后的發(fā)展方向。可能與硬法呈現(xiàn)兼容互補或者是相互獨立、有自己發(fā)展空間的關(guān)系。最后一章結(jié)合我國的現(xiàn)實,從具體措施出發(fā),列舉了《巴塞爾協(xié)議Ⅲ》和《赤道原則》在我國的實行情況,并將我國的條約規(guī)定與世界金融主體的規(guī)則進行對比,總結(jié)出我國現(xiàn)存的金融軟法硬化道路上的問題,以期找出未來的發(fā)展之路。
[Abstract]:Since the end of the 20th century, the financial crises in Latin America, Southeast Asia, Russia and the United States have emerged and spread to the entire financial sector. The international financial system is perilous. In 2008, the subprime mortgage crisis in the United States has evolved into a real global financial crisis. The crisis has made more and more international subjects realize that the existing problems in the field of international finance can not be ignored, and financial reform is imperative. In this context, the role and effect of international financial soft law began to attract people's attention. It is a concept corresponding to hard law. In the process of the emergence and development of international financial soft law, the recognition rate of soft law in international financial field has been increasing, which makes it widely and universally implemented. Although the international financial soft law does not have the legal force, but because of the member country's observance and the esteem, it has the good enforcement effect. With the introduction of international financial soft law, the number of soft law is increasing and the influence is gradually expanding, which promotes the emergence of dispute resolution mechanism and supervision and management mechanism. The international community is more inclined to choose the international financial soft law to solve the problem. The flexibility of international financial soft law makes its enforcement effect enhanced. Some of them have evolved into international treaties, others have been transformed into domestic laws by some countries or adopted by specific domestic supervisory authorities by default, which is the hardening process of soft law. The significance of international financial soft law hardening lies in strengthening the formality and fixation of treaties by hardening soft law in the field of finance. In the process of hardening, we can see that many international subjects, such as Basel Committee, Financial Special Action Group, Financial Stability Board, International Organization of Securities Regulatory Commission and so on, have taken various measures to promote the hardening of international financial soft law. This paper studies the hardening of international financial soft law in four parts. The first part is an overview of the international financial soft law and the definition of the concept of hardening. This part expounds the problems existing in the field of international finance, the deficiency of international hard law governance, and draws the conclusion that soft law is superior. Then it makes a simple concept of international financial soft law, introduces the characteristics and defines the concept of soft law hardening. In the second chapter, some examples are given to illustrate the main ways to realize the hardening of international financial soft law: by concluding a new international treaty, transforming it into domestic law or adopting it in practice by specific regulatory authorities, etc. The third chapter is the analysis of international financial soft law hardening. After recognizing the obstacles, this paper briefly analyzes the development direction of international financial soft law after hardening. May be compatible with the hard law or complementary or independent of each other, have their own space for development. The last chapter combines the reality of our country, from the concrete measures, enumerates the implementation of Basel III and Equator principles in our country, and compares the treaty provisions of our country with the rules of the world financial subject. This paper summarizes the existing problems on the road of financial soft law hardening in China in order to find out the way of future development.
【學位授予單位】：遼寧大學
【學位級別】：碩士
【學位授予年份】：2017
【分類號】：D996.2

【參考文獻】

相關(guān)期刊論文 前10條

1 廖凡;;國際金融監(jiān)管的新發(fā)展:以G20和FSB為視角[J];武大國際法評論;2012年01期

2 涂亦楠;;論國際金融軟法及其硬化——以國際信貸法為例[J];湖北大學學報(哲學社會科學版);2012年03期

3 郭華春;;論國際金融監(jiān)管領(lǐng)域的軟法功能定位[J];上海金融;2012年05期

4 漆彤;;國際金融軟法的效力與發(fā)展趨勢[J];環(huán)球法律評論;2012年02期

5 鄧小梅;;經(jīng)濟領(lǐng)域中的軟法規(guī)律性初探[J];武漢大學學報(哲學社會科學版);2011年06期

6 李途;蔣凱;;二十國集團在國際經(jīng)濟秩序變革中的角色分析[J];前沿;2011年07期

7 劉天姿;練爽;;國際軟法在主權(quán)財富基金監(jiān)管中的成因、作用及啟示[J];哈爾濱工業(yè)大學學報(社會科學版);2011年02期

8 王海峰;;論國際軟法與國家“軟實力”[J];政治與法律;2007年04期

9 徐崇利;;跨政府組織網(wǎng)絡(luò)與國際經(jīng)濟軟法[J];環(huán)球法律評論;2006年04期

10 姜明安;;軟法的興起與軟法之治[J];中國法學;2006年02期

相關(guān)碩士學位論文 前3條

1 沈軼雯;跨國銀行監(jiān)管國際合作機制研究[D];華東政法大學;2015年

2 徐霞松;國際金融標規(guī)研究[D];蘇州大學;2010年

3 包則慶;政府角色變遷下“軟法之治”的探究[D];福建師范大學;2009年

，

本文編號：1848941