【摘要】：二戰(zhàn)后,日本金融業(yè)實施“護送船團”體制,促進了經濟的高速增長。本文首先以“建構主義”和“演進主義”作為理論基礎,歸納了日本金融規(guī)制體系的形成邏輯,總結了日本金融業(yè)規(guī)制政策的階段性特征,論述了日本金融業(yè)規(guī)制在應對“市場失靈”、促進產業(yè)發(fā)展方面的成功經驗。20世紀70年代以后,在“規(guī)制失靈”和金融自由化浪潮的背景下,日本金融業(yè)進行了規(guī)制放松改革,取得了積極的效果,在運用規(guī)制事前評價機制(RIA機制)、替代性或非訴訟糾紛解決機制(ADR機制)和資本充足率規(guī)制(BIS規(guī)制)方面積累了寶貴經驗,但是也存在一些問題,為金融業(yè)持續(xù)發(fā)展埋下了隱患。本文還通過建立規(guī)制效果評價指標體系,引入SCP理論對規(guī)制和規(guī)制放松進行實證分析,科學評價規(guī)制在改善金融市場結構、規(guī)范市場行為、提升市場績效方面的作用。中國金融業(yè)應借鑒日本的經驗教訓,順應國際金融業(yè)規(guī)制發(fā)展趨勢,在中國經濟金融穩(wěn)定發(fā)展時期,主動建立統(tǒng)一的金融監(jiān)管機構,防止監(jiān)管機構與金融機構之間關系過于密切,有序推進監(jiān)管放松,完善金融機構的宏觀審慎管理,加強金融監(jiān)管機構的國際協(xié)調能力,使中國金融業(yè)達到規(guī)避金融風險、提升國際競爭能力的目的。
[Abstract]:After World War II, the Japanese financial industry implemented the "escort group" system, which promoted the rapid economic growth. Based on the theories of "constructivism" and "evolutionism", this paper sums up the formation logic of Japanese financial regulation system, and summarizes the characteristics of Japanese financial regulatory policy. This paper discusses the successful experience of Japanese financial industry regulation in dealing with "market failure" and promoting industrial development. After 1970s, under the background of "regulation failure" and financial liberalization, The Japanese financial industry has carried on the regulation relaxation reform, has obtained the positive effect, has applied the regulation beforehand appraisal mechanism (RIA mechanism), Alternative or non-litigation dispute resolution mechanism (ADR mechanism) and capital adequacy regulation (BIS regulation) have accumulated valuable experience, but there are also some problems, which has laid a hidden danger for the sustainable development of the financial industry. This article also establishes the regulation effect evaluation index system, introduces the SCP theory to carry on the empirical analysis to the regulation and the regulation relaxation, the scientific appraisal regulation in the improvement financial market structure, standardizes the market behavior, enhances the market performance the function. China's financial industry should draw lessons from Japan's experience and conform to the development trend of international financial regulation, and take the initiative to establish a unified financial supervision institution in the period of stable economic and financial development of China. To prevent the relationship between regulators and financial institutions to be too close, to promote deregulation in an orderly manner, to improve the macro-prudential management of financial institutions, and to strengthen the international coordination capacity of financial regulatory bodies, so as to enable China's financial sector to avoid financial risks. The aim of enhancing international competitiveness.
【學位授予單位】：吉林大學
【學位級別】：博士
【學位授予年份】：2012
【分類號】：F833.13

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