GATS《金融附件》審慎例外問題研究
發(fā)布時間：2019-05-28 21:19
【摘要】：GATS《金融附件》中的審慎例外條款非常特殊，它的設(shè)立目的旨在平衡金融服務(wù)自由化與WTO成員國內(nèi)規(guī)制自主權(quán)。但因該條款涉及的金融業(yè)部門非常敏感，發(fā)展中國家代表并不愿在當(dāng)前階段開放這一領(lǐng)域，WTO內(nèi)部南北雙方角力的結(jié)果便是，審慎例外條款的法律地位超越了GATS規(guī)定的一般義務(wù)與紀(jì)律，為成員降低承諾水平提供借口，成員可以利用該條款為國內(nèi)金融業(yè)監(jiān)管設(shè)立種種貿(mào)易壁壘。這不僅違背了WTO的宗旨，阻礙了國際金融業(yè)的自由化，同時也影響著金融市場的穩(wěn)健發(fā)展。2008年始于美國的金融危機爆發(fā)后，國際金融業(yè)監(jiān)管進入了新的時期，以巴塞爾銀行業(yè)監(jiān)管委員會為代表的國際組織紛紛對審慎監(jiān)管開展了新的研究，也涌現(xiàn)出許多金融監(jiān)管規(guī)制成果。在此背景下，對GATS《金融附件》審慎例外條款的研究就具有現(xiàn)實的理論和實踐意義。 本文采取對審慎例外條款進行問題研究的方式，分為五個部分： 第一部分可細(xì)分為三部分。首先，對審慎例外條款的談判背景進行歷史分析，揭示條款形成的歷史背景；其次，對審慎例外條款的最終協(xié)議文本進行文本分析，說明審慎例外條款的法律性質(zhì)；最后，在此基礎(chǔ)上提煉出GATS審慎例外條款的兩大缺陷。 第二部分試圖從GATS協(xié)議文本中探析對審慎例外條款的限定方案。先梳理GATS協(xié)議內(nèi)可能對審慎例外條款造成影響的實體條款，包括國內(nèi)規(guī)制、一般例外、市場準(zhǔn)入以及支付條款等，得出實體條款對審慎例外幾乎沒有限制作用的結(jié)論；再分析GATS《金融附件》承認(rèn)條款和GATS協(xié)議正文的承認(rèn)條款，從程序方面對審慎例外條款進行限定，并結(jié)合承認(rèn)條款的授權(quán)分析國際金融軟法對審慎例外適用的影響以及利用軟法規(guī)制的可行性。此部分采用文本分析。 第三部分在GATS協(xié)議對審慎例外限制較少的情況下，引入美國和歐盟對區(qū)域貿(mào)易協(xié)定中審慎例外條款的規(guī)定，通過對兩區(qū)域相關(guān)協(xié)定中文本和實證兩方面的剖析，研究較之GATS《金融附件》更為嚴(yán)格與先進的審慎例外制度設(shè)計，為GATS審慎例外條款的完善提供有益參考。 第四部分提出對GATS《金融附件》審慎例外條款的完善建議，，通過對第一部分中提出問題的解決方案的分析，指出未來審慎例外條款可能的發(fā)展方向，提出現(xiàn)階段審慎例外內(nèi)涵的確定應(yīng)通過區(qū)域或雙邊談判相互承認(rèn)確定，適用上采納合理性測試的方案，逐步實現(xiàn)對審慎例外的條款限制。 第五部分提出我國運用審慎例外條款的策略。在前文分析的基礎(chǔ)上，從國際和國內(nèi)兩個層面，提出我國應(yīng)立足于國內(nèi)審慎規(guī)制的完善，吸納國際軟法的有益成果，為我國金融服務(wù)發(fā)展創(chuàng)造有利的國內(nèi)外規(guī)則環(huán)境。
[Abstract]:The prudential exception clause in GATS Financial Annex is very special, and its purpose is to balance the liberalization of financial services with the autonomy of domestic regulation of WTO members. However, because the financial sector covered by this provision is very sensitive, representatives of developing countries are reluctant to open up the field at this stage. The result of the struggle between the north and the south within the WTO is that. The legal status of the prudential exception clause goes beyond the general obligations and disciplines stipulated by the GATS and provides an excuse for members to lower the level of commitment, which members can use to set up trade barriers to the supervision of the domestic financial sector. This not only violates the purpose of WTO, hinders the liberalization of international financial industry, but also affects the steady development of financial market. After the outbreak of the financial crisis in the United States in 2008, the supervision of international financial industry has entered a new period. The international organizations represented by the Basle Banking Regulatory Committee have carried out new research on prudential supervision, and many financial regulatory results have emerged. Under this background, the study of prudent exception clause in GATS Financial Annex has practical theoretical and practical significance. This paper adopts the method of studying the prudential exception clause, which is divided into five parts: the first part can be divided into three parts. First of all, this paper makes a historical analysis of the negotiation background of the prudential exception clause and reveals the historical background of the formation of the clause. Secondly, it makes a text analysis of the final agreement text of the prudential exception clause, explaining the legal nature of the prudential exception clause. Finally, on this basis, the two defects of GATS prudent exception clause are extracted. The second part attempts to explore the limitation scheme of prudent exception clause from the text of GATS agreement. This paper first combs the substantive clauses that may have an impact on the prudential exception clause in the GATS agreement, including domestic regulation, general exceptions, market access and payment clauses, and draws the conclusion that the substantive clause has little restrictive effect on the prudential exception. This paper analyzes the recognition clause of GATS Financial Annex and the recognition clause of the body of GATS agreement, and limits the prudential exception clause from the procedural point of view. Combined with the authorization of recognition clause, this paper analyzes the influence of international financial soft law on the application of prudent exceptions and the feasibility of using soft law system. This part uses text analysis. In the third part, under the condition that the GATS agreement has less restrictions on prudential exceptions, the provisions of the United States and the European Union on prudential exceptions in regional trade agreements are introduced, and through the analysis of the Chinese text and empirical aspects of the relevant agreements between the two regions, Compared with GATS Financial Annex, the research on the design of prudent exception system is more strict and advanced, which provides a useful reference for the improvement of prudential exception clause in GATS. The fourth part puts forward some suggestions for perfecting the prudential exception clause of the GATS Financial Annex, and through the analysis of the solutions to the problems raised in the first part, points out the possible development direction of the prudential exception clause in the future. It is pointed out that the connotation of prudent exception should be determined by regional or bilateral negotiation, the scheme of rationality test should be adopted in application, and the limitation of prudent exception should be realized step by step. The fifth part puts forward the strategy of using prudent exception clause in our country. On the basis of the above analysis, from the international and domestic levels, this paper puts forward that our country should base on the perfection of domestic prudential regulation, absorb the beneficial achievements of international soft law, and create a favorable domestic and foreign rule environment for the development of financial services in our country.
【學(xué)位授予單位】：西南政法大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2012
【分類號】：D996.2
本文編號：2487372
[Abstract]:The prudential exception clause in GATS Financial Annex is very special, and its purpose is to balance the liberalization of financial services with the autonomy of domestic regulation of WTO members. However, because the financial sector covered by this provision is very sensitive, representatives of developing countries are reluctant to open up the field at this stage. The result of the struggle between the north and the south within the WTO is that. The legal status of the prudential exception clause goes beyond the general obligations and disciplines stipulated by the GATS and provides an excuse for members to lower the level of commitment, which members can use to set up trade barriers to the supervision of the domestic financial sector. This not only violates the purpose of WTO, hinders the liberalization of international financial industry, but also affects the steady development of financial market. After the outbreak of the financial crisis in the United States in 2008, the supervision of international financial industry has entered a new period. The international organizations represented by the Basle Banking Regulatory Committee have carried out new research on prudential supervision, and many financial regulatory results have emerged. Under this background, the study of prudent exception clause in GATS Financial Annex has practical theoretical and practical significance. This paper adopts the method of studying the prudential exception clause, which is divided into five parts: the first part can be divided into three parts. First of all, this paper makes a historical analysis of the negotiation background of the prudential exception clause and reveals the historical background of the formation of the clause. Secondly, it makes a text analysis of the final agreement text of the prudential exception clause, explaining the legal nature of the prudential exception clause. Finally, on this basis, the two defects of GATS prudent exception clause are extracted. The second part attempts to explore the limitation scheme of prudent exception clause from the text of GATS agreement. This paper first combs the substantive clauses that may have an impact on the prudential exception clause in the GATS agreement, including domestic regulation, general exceptions, market access and payment clauses, and draws the conclusion that the substantive clause has little restrictive effect on the prudential exception. This paper analyzes the recognition clause of GATS Financial Annex and the recognition clause of the body of GATS agreement, and limits the prudential exception clause from the procedural point of view. Combined with the authorization of recognition clause, this paper analyzes the influence of international financial soft law on the application of prudent exceptions and the feasibility of using soft law system. This part uses text analysis. In the third part, under the condition that the GATS agreement has less restrictions on prudential exceptions, the provisions of the United States and the European Union on prudential exceptions in regional trade agreements are introduced, and through the analysis of the Chinese text and empirical aspects of the relevant agreements between the two regions, Compared with GATS Financial Annex, the research on the design of prudent exception system is more strict and advanced, which provides a useful reference for the improvement of prudential exception clause in GATS. The fourth part puts forward some suggestions for perfecting the prudential exception clause of the GATS Financial Annex, and through the analysis of the solutions to the problems raised in the first part, points out the possible development direction of the prudential exception clause in the future. It is pointed out that the connotation of prudent exception should be determined by regional or bilateral negotiation, the scheme of rationality test should be adopted in application, and the limitation of prudent exception should be realized step by step. The fifth part puts forward the strategy of using prudent exception clause in our country. On the basis of the above analysis, from the international and domestic levels, this paper puts forward that our country should base on the perfection of domestic prudential regulation, absorb the beneficial achievements of international soft law, and create a favorable domestic and foreign rule environment for the development of financial services in our country.
【學(xué)位授予單位】：西南政法大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2012
【分類號】：D996.2
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