本文選題：信息主權(quán) + 信用評(píng)級(jí)��； 參考：《華東師范大學(xué)》2012年碩士論文

【摘要】：長(zhǎng)期以來(lái),美國(guó)穆迪、標(biāo)準(zhǔn)普爾和惠譽(yù)等國(guó)際評(píng)級(jí)機(jī)構(gòu)因其不透明、不公正的評(píng)級(jí)方式所帶來(lái)的嚴(yán)重后果受到了國(guó)際社會(huì)的廣泛質(zhì)疑。從安然事件,到“兩房”債券,從希臘、葡萄牙主權(quán)信用評(píng)級(jí)的下調(diào)到歐洲債務(wù)危機(jī)的爆發(fā),讓我們深刻了解了國(guó)際信用評(píng)級(jí)機(jī)構(gòu)的巨大作用。 三大國(guó)際信用評(píng)級(jí)機(jī)構(gòu)利用其壟斷的市場(chǎng)地位,一直居于信息發(fā)布的制高點(diǎn),擁有資金配置的話語(yǔ)權(quán),被稱為資本市場(chǎng)的“看門人”。同時(shí),國(guó)際信用評(píng)級(jí)機(jī)構(gòu)利用其壟斷地位和市場(chǎng)先機(jī),不斷的通過(guò)收購(gòu)、兼并等手段進(jìn)入我國(guó)的信用評(píng)級(jí)市場(chǎng),并通過(guò)信用評(píng)級(jí)機(jī)構(gòu)、市場(chǎng)和信息三方面滲控我國(guó)信用評(píng)級(jí)行業(yè),對(duì)我國(guó)信息主權(quán)和金融安全構(gòu)成了嚴(yán)重的威脅。 本文是從信息主權(quán)的角度出發(fā),以信用評(píng)級(jí)行業(yè)的具體的行業(yè)相關(guān)統(tǒng)計(jì)資料為樣本數(shù)據(jù),分析外資信用評(píng)級(jí)機(jī)構(gòu)是如何逐漸滲入中國(guó)的信用評(píng)級(jí)行業(yè)從而實(shí)現(xiàn)市場(chǎng)主導(dǎo)地位的過(guò)程；以及其利用市場(chǎng)主導(dǎo)地位所獲得的中國(guó)各個(gè)行業(yè)的數(shù)據(jù)信息的程度,來(lái)研究中國(guó)信用評(píng)級(jí)行業(yè)的失控情況,從而提出相應(yīng)的應(yīng)對(duì)意見(jiàn),為我國(guó)構(gòu)建新型信用評(píng)級(jí)體系以及后來(lái)研究提供一些事實(shí)依據(jù)。 首先介紹信用與信用評(píng)級(jí)的基本概念,信用評(píng)級(jí)行業(yè)的重要性與歷史發(fā)展?fàn)顩r以及信用評(píng)級(jí)對(duì)信息主權(quán)的影響機(jī)制。 然后從中國(guó)信用評(píng)級(jí)的機(jī)構(gòu)失控、市場(chǎng)失控、信息失控三個(gè)角度,通過(guò)資料數(shù)據(jù)的搜集分析國(guó)外信用評(píng)級(jí)機(jī)構(gòu)進(jìn)入中國(guó)的進(jìn)程凸顯信用評(píng)級(jí)機(jī)構(gòu)的失控；通過(guò)分析國(guó)外評(píng)級(jí)機(jī)構(gòu)直接參與國(guó)內(nèi)的金融行業(yè)市場(chǎng)比例,能源、采礦等核心行業(yè)的覆蓋范圍以及間接評(píng)級(jí)的方式參與我國(guó)國(guó)內(nèi)資本評(píng)級(jí)市場(chǎng)的業(yè)務(wù)情況凸顯市場(chǎng)失控；再通過(guò)分析信用評(píng)級(jí)的業(yè)務(wù)流程,分析評(píng)級(jí)機(jī)構(gòu)的各個(gè)環(huán)節(jié)所能收集到的數(shù)據(jù)資料相關(guān)情況凸顯信息的失控。 最終根據(jù)分析結(jié)果與信用評(píng)級(jí)行業(yè)國(guó)內(nèi)外發(fā)展經(jīng)驗(yàn),提出發(fā)展我國(guó)現(xiàn)有信用評(píng)級(jí)行業(yè)的建議。
[Abstract]:International rating agencies such as Moody's, Standard & Poor's and Fitch have long been widely questioned by the international community for the serious consequences of their opaque and unfair ratings. From the Enron affair to the Fannie and Freddie bonds, from the downgrade of Greece and Portugal's sovereign credit rating to the outbreak of the European debt crisis, we have a profound understanding of the enormous role of international credit rating agencies. The three international credit rating agencies have been in the commanding height of information release by their monopolistic market status, and have the right to say the allocation of funds, so they are called "gatekeepers" of the capital market. At the same time, international credit rating agencies take advantage of their monopoly position and market opportunities to continuously enter the credit rating market of our country by means of acquisitions and mergers, and through credit rating agencies. The market and information control the credit rating industry in China, which poses a serious threat to our country's information sovereignty and financial security. From the perspective of information sovereignty, this paper takes specific industry statistics of credit rating industry as sample data. This paper analyzes the process of how foreign credit rating agencies gradually infiltrate the credit rating industry in China to realize market dominance, and the extent to which the foreign credit rating agencies make use of the market dominance to obtain the data and information of various industries in China. To study the runaway situation of China's credit rating industry, and put forward the corresponding suggestions, for China to build a new credit rating system and later research to provide some factual basis. This paper first introduces the basic concepts of credit and credit rating, the importance and historical development of credit rating industry and the influence mechanism of credit rating on information sovereignty. Then from the perspective of runaway credit rating agencies, out of control market, information out of control, through the collection of data analysis of foreign credit rating agencies into China's process highlights the runaway credit rating agencies; By analyzing the proportion of foreign rating agencies directly involved in the domestic financial market, the coverage of core industries such as energy, mining and indirect ratings, the business situation of participating in the domestic capital rating market of our country highlights that the market is out of control. Then through the analysis of the credit rating business process, the analysis of the rating agencies in each link can be collected data related to the situation highlights the information out of control. Finally, according to the analysis results and the domestic and foreign development experience of credit rating industry, the paper puts forward some suggestions to develop the existing credit rating industry in China.
【學(xué)位授予單位】：華東師范大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類號(hào)】：F832.39

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