本文關(guān)鍵詞： 金融穩(wěn)定 金融監(jiān)管 國(guó)際機(jī)制 監(jiān)管合作　出處：《天津財(cái)經(jīng)大學(xué)》2012年博士論文　論文類(lèi)型：學(xué)位論文

【摘要】：金融對(duì)經(jīng)濟(jì)的發(fā)展具有重要推動(dòng)作用,金融體系能否安全穩(wěn)定高效運(yùn)行,對(duì)一國(guó)經(jīng)濟(jì)持續(xù)發(fā)展十分重要。隨著全球化步伐的不斷加快,人流、物流、信息流在全球范圍內(nèi)自由流動(dòng),全球化過(guò)程中時(shí)空被不斷壓縮,世界正在變成一個(gè)“地球村”。全球化在帶動(dòng)全球發(fā)展的同時(shí),也帶來(lái)許多全球性問(wèn)題,從金融全球化看,則體現(xiàn)為金融活動(dòng)的國(guó)際化與金融監(jiān)管的屬地化之間的矛盾,本輪全球金融危機(jī)的發(fā)生和蔓延正是這一矛盾的反映。全球化背景下,任何單一國(guó)家都無(wú)力單獨(dú)防范和處置經(jīng)濟(jì)和金融危機(jī),因此國(guó)際間金融監(jiān)管協(xié)調(diào)與合作也就成為了必然。經(jīng)濟(jì)金融相互依存使一國(guó)的政策溢出效應(yīng)不斷增強(qiáng),也迫使國(guó)際社會(huì)不斷深化國(guó)際協(xié)調(diào),有效實(shí)施金融監(jiān)管需要更緊密的國(guó)際金融監(jiān)管合作。 本文綜合運(yùn)用理論分析和案例實(shí)證等方法,基于邏輯和實(shí)踐相統(tǒng)一的原則,對(duì)國(guó)際金融監(jiān)管合作機(jī)制構(gòu)建這一主題進(jìn)行了較為深入的研究。論文共分八章,第一章是引言,進(jìn)行了概念界定,對(duì)國(guó)內(nèi)外相關(guān)研究進(jìn)行了評(píng)述；第二章是金融監(jiān)管合作機(jī)制構(gòu)建相關(guān)理論的論述；第三章運(yùn)用博弈理論分析了國(guó)際金融監(jiān)管合作的必要性,提出了金融監(jiān)管合作的目標(biāo)定位；第四章在分析當(dāng)前金融監(jiān)管合作中的問(wèn)題的基礎(chǔ)上,提出了金融監(jiān)管合作機(jī)構(gòu)的構(gòu)建原則；第五章提出了金融監(jiān)管合作的方向與組織框架；第六章對(duì)區(qū)域金融監(jiān)管合作的現(xiàn)狀進(jìn)行了描述,分析了區(qū)域金融監(jiān)管合作與全球金融監(jiān)管合作的機(jī)理；第七章對(duì)中國(guó)參與金融監(jiān)管?chē)?guó)際合作問(wèn)題進(jìn)行了綜合分析,提出了中國(guó)在金融監(jiān)管?chē)?guó)際合作中的策略；第八章是全文的總結(jié)。通過(guò)研究,本文得出以下主要結(jié)論。 第一,在全球化背景下,加強(qiáng)金融監(jiān)管?chē)?guó)際合作十分必要。國(guó)際金融監(jiān)管合作應(yīng)該使參與者共同獲益,不應(yīng)該是零和游戲,而應(yīng)該是正和的。為實(shí)現(xiàn)國(guó)際金融監(jiān)管合作的目標(biāo)和功能定位,監(jiān)管機(jī)制(無(wú)論是正式機(jī)制還是非正式機(jī)制)的建設(shè)必不可少。 第二,現(xiàn)有國(guó)際金融監(jiān)管組織,無(wú)論是國(guó)際貨幣基金組織、世界銀行,還是國(guó)際清算銀行、國(guó)際證券監(jiān)管委員會(huì)、國(guó)際保險(xiǎn)監(jiān)管者協(xié)會(huì)在治理結(jié)構(gòu)上均存在一定的問(wèn)題,難以發(fā)揮有效監(jiān)管作用,需要加強(qiáng)改進(jìn)。 第三,加強(qiáng)區(qū)域金融監(jiān)管合作是促進(jìn)國(guó)際金融監(jiān)管合作的重要途徑。區(qū)域經(jīng)濟(jì)內(nèi)各國(guó)經(jīng)濟(jì)結(jié)構(gòu)相似較強(qiáng),更易于達(dá)成共識(shí),提高效率。同時(shí),作為國(guó)際金融監(jiān)管合作的重要組成部分,一些地區(qū)的探索可以為全球金融監(jiān)管合作提供經(jīng)驗(yàn)。 在借鑒已有研究成果的基礎(chǔ)上,本文重點(diǎn)從以下三個(gè)方面進(jìn)行了創(chuàng)新性研究： 第一,以銀行業(yè)的資本充足率監(jiān)管作為分析對(duì)象,構(gòu)建了金融監(jiān)管合作的博弈模型,從博弈論的視角對(duì)國(guó)際金融監(jiān)管中長(zhǎng)期合作的必要性進(jìn)行了論證； 第二,系統(tǒng)總結(jié)了當(dāng)前國(guó)際金融監(jiān)管組織的不足,提出了金融監(jiān)管?chē)?guó)際合作的功能定位和目標(biāo),設(shè)計(jì)了G20框架下重構(gòu)國(guó)際金融監(jiān)管合作的組織體系； 第三,對(duì)我國(guó)參與國(guó)際金融監(jiān)管合作問(wèn)題進(jìn)行了深入研究,提出了我國(guó)參與國(guó)際金融監(jiān)管的立場(chǎng)、策略。
[Abstract]:Which plays an important role in promoting the financial development of the economy, financial system can stable and efficient operation of security, is very important for the sustainable development of a country's economy. With the development of globalization, the flow of people, logistics, information flow, free flow in the global scope, time and space in the process of globalization is continuously compressed, the world is becoming a "global village" in the global development driven by globalization. At the same time, it also brought many global issues, from the financial globalization, it reflects the contradiction between international financial activities and financial supervision and the localization, the global financial crisis and the spread is a reflection of this contradiction. Under the background of globalization, no single country can alone the prevention and disposal of the economic and financial crisis, the international financial regulatory coordination and cooperation has become inevitable. The economic and financial interdependence to a country's policy spillover effect It should continue to strengthen and force the international community to deepen international coordination, and the effective implementation of financial supervision requires closer cooperation in international financial supervision.
This paper uses theoretical analysis and case study method, logic and practice based on the principle of international cooperation in financial supervision mechanism in the construction of this topic is studied. This dissertation consists of eight chapters, the first chapter is the introduction, the definition, to the domestic and foreign related research are reviewed; the second chapter is related to the theory of building the financial supervision cooperation mechanism is discussed; the third chapter uses the game theory to analyze the necessity of international cooperation in financial supervision, put forward the target orientation of financial regulatory cooperation; the fourth chapter based on the analysis of the current financial supervision cooperation problems, put forward the principle of cooperation in financial supervision institutions; the fifth chapter puts forward the financial supervision cooperation direction and organization framework; the sixth chapter describes the status of regional cooperation in financial supervision, analysis of the regional cooperation and global financial regulation The mechanism of financial regulation cooperation is analyzed. The seventh chapter makes a comprehensive analysis of China's participation in international cooperation in financial regulation, and puts forward the strategy of China's international cooperation in financial regulation. The eighth chapter is the summary of the full text. Through research, the following conclusions are drawn.
First, under the background of globalization, it is necessary to strengthen international cooperation in financial supervision. The international financial regulatory cooperation should enable participants to benefit, should not be a zero sum game, but should be positive. And as the goal and function to achieve international cooperation in financial supervision, supervision mechanism (either formal or informal mechanism mechanism) construction essential.
Second, the existing international financial regulatory organization, whether it is the International Monetary Fund, the world bank, and the bank for International Settlements, International Securities Regulatory Commission, the International Association of insurance supervisors there were some problems in the governance structure, difficult to play an effective regulatory role, need to strengthen and improve.
Third, to strengthen regional cooperation in financial supervision is an important way to promote international cooperation in financial supervision. The regional economy countries in similar economic structure is strong, easy to reach a consensus, to improve the efficiency. At the same time, as an important part of international cooperation in financial supervision, some areas of exploration can provide experience for global cooperation in financial supervision.
On the basis of the existing research achievements, this paper focuses on the following three aspects:
First, taking the regulation of capital adequacy ratio as the object of analysis, we build a game model of financial regulation cooperation, and demonstrate the necessity of long-term cooperation in international financial supervision from the perspective of game theory.
Second, we systematically summarized the deficiencies of the current international financial regulatory organizations, put forward the functional orientation and objectives of international cooperation in financial supervision, and designed the organizational system of reconstructing international financial supervision cooperation under the framework of G20.
Third, we have made an in-depth study of China's participation in international financial supervision and cooperation, and put forward the position and strategy of China's participation in international financial supervision.

【學(xué)位授予單位】：天津財(cái)經(jīng)大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2012
【分類(lèi)號(hào)】：F831.1

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