【摘要】：本文對(duì)WTO規(guī)則下的金融服務(wù)市場(chǎng)準(zhǔn)入的法律體系以及法律原則進(jìn)行了研究,同時(shí)參照了國(guó)際上關(guān)于金融服務(wù)準(zhǔn)入監(jiān)管方面的先進(jìn)經(jīng)驗(yàn)。闡述了金融服務(wù)自由化與市場(chǎng)準(zhǔn)入監(jiān)管的關(guān)系,以及“審慎例外”原則在監(jiān)管法律制度上的應(yīng)用。報(bào)告了中國(guó)在金融服務(wù)市場(chǎng)準(zhǔn)入方面的承諾以及履行情況、監(jiān)管機(jī)構(gòu)以及監(jiān)管過(guò)程等,從理論上探討了中國(guó)對(duì)金融服務(wù)市場(chǎng)準(zhǔn)入事實(shí)監(jiān)管的法律依據(jù)以及各法律主體在金融監(jiān)管過(guò)程中所起到的作用。旨在研究出中國(guó)現(xiàn)行監(jiān)管制度存在的不足之處以及改進(jìn)和完善的辦法。 本文分為四個(gè)章節(jié)：第一章講述WTO的相關(guān)規(guī)則,內(nèi)容涵蓋金融服務(wù)的內(nèi)涵、WTO關(guān)于金融服務(wù)市場(chǎng)準(zhǔn)入的法律體系以及法律原則；第二章講金融監(jiān)管市場(chǎng)準(zhǔn)入的國(guó)際考察和借鑒,內(nèi)容涉及美國(guó)和歐盟相關(guān)制度以及這些制度對(duì)于我國(guó)實(shí)行市場(chǎng)準(zhǔn)入監(jiān)管的參考價(jià)值；第三章講中國(guó)金融服務(wù)市場(chǎng)準(zhǔn)入制度,本文將從中國(guó)入世時(shí)作出的承諾以及市場(chǎng)準(zhǔn)入的現(xiàn)狀兩個(gè)方面進(jìn)行闡述；第四章講中國(guó)金融服務(wù)市場(chǎng)準(zhǔn)入監(jiān)管的法律問(wèn)題,包括法律依據(jù)以及解讀幾部重要的監(jiān)管立法。
[Abstract]:In this paper, the legal system and legal principles of market access for financial services under WTO rules are studied. At the same time, we refer to the advanced experience in the supervision of financial services entry in the world. This paper expounds the relationship between the liberalization of financial services and the regulation of market access, and the application of the principle of "prudential exception" in the regulatory legal system. Reporting on China's commitments and implementation of market access for financial services, regulatory bodies and regulatory processes, etc. This paper theoretically discusses the legal basis of China's supervision of the fact of market access to financial services and the role played by various legal subjects in the process of financial supervision. The purpose of this paper is to study the shortcomings of China's current regulatory system and the ways to improve it. This paper is divided into four chapters: the first chapter describes the relevant rules of WTO, including the connotation of financial services, the legal system and legal principles of WTO on market access for financial services; The second chapter discusses the international inspection and reference of financial regulatory market access, including the relevant systems of the United States and the European Union and the reference value of these systems for the implementation of market access regulation in China. The third chapter discusses the market access system of China's financial services, this article will be from the commitments made by China's accession to the WTO and the status of market access two aspects; The fourth chapter discusses the legal issues of China's market access regulation of financial services, including the legal basis and interpretation of several important regulatory legislation.
【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】：2012
【分類號(hào)】：D996.2;D922.28

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