【摘要】：近現(xiàn)代金融業(yè)從自由狀態(tài)走向政府管制是經(jīng)歷制度變遷的過程。金融監(jiān)管作為一種制度安排,目的是為了保持金融體系的均衡穩(wěn)定并提供效率與公平。為保證利益為社會所共同享受,政府需要通過外部監(jiān)管保持金融體系的正常運(yùn)行與可持續(xù)發(fā)展。在真實(shí)的金融業(yè)世界中,各國政府為保持金融業(yè)的穩(wěn)定與經(jīng)濟(jì)發(fā)展,對金融交易及金融機(jī)構(gòu)采取了不同的監(jiān)管措施,包括制定金融法規(guī)和制度,并采取措施控制金融危機(jī)。多年以來,特別是經(jīng)歷了數(shù)度金融危機(jī),各國政府及學(xué)者在是否支持金融監(jiān)管的討論方面逐漸趨于同一聲音,但在如何監(jiān)管,政府在其中扮演怎樣的角色方面,意見始終未有統(tǒng)一。無論學(xué)者如何爭論,不論金融市場如何風(fēng)云變幻,政府在金融監(jiān)管方面表現(xiàn)出的缺乏預(yù)見性、靈活應(yīng)變能力,不可否定,特別是在金融危機(jī)發(fā)生時(shí)表現(xiàn)得尤為突出。因此,研究政府行為在金融監(jiān)管中的變化具有十分重要的意義。 回顧新中國金融歷史與金融監(jiān)管史,罕有一個(gè)國家能夠如其一樣,從單一的金融業(yè)態(tài)變遷到多元化的金融市場,僅僅用了三十年的時(shí)間。其間,中國經(jīng)歷了獨(dú)特的二元制經(jīng)濟(jì)結(jié)構(gòu)的轉(zhuǎn)變,金融創(chuàng)新層出不窮,金融監(jiān)管從無到有,國家與政府為金融業(yè)的發(fā)展謀劃并實(shí)施了諸多制度移植及制度創(chuàng)新,開啟了以政府主導(dǎo)型制度變遷為主要特點(diǎn)的金融監(jiān)管之路。 本文采用制度變遷理論,運(yùn)用歷史分析方法,以金融監(jiān)管制度變遷為邏輯研究框架,以政府行為作為研究目的,揭示改革開放以來中國金融監(jiān)管制度變遷的動因、變化過程與內(nèi)在因果關(guān)系與邏輯內(nèi)涵。 本文的結(jié)構(gòu)安排:第一章是緒論部分;第二章是制度變遷的理論分析;第三章是中國金融監(jiān)管體制演變軌跡;第四章是混業(yè)經(jīng)營、集中監(jiān)管體制及制度學(xué)習(xí);第五章是分業(yè)經(jīng)營、分業(yè)監(jiān)管體制及制度修正;第六章是綜合經(jīng)營萌芽下分業(yè)監(jiān)管體制及制度調(diào)整;第七章是本文的結(jié)論與啟示。
[Abstract]:The modern financial industry moves from the free state to the government regulation is the process of the system change. The purpose of financial regulation is to maintain the balance of the financial system and to provide efficiency and equity. The government needs to maintain the normal operation and sustainable development of the financial system through external supervision in order to guarantee the common enjoyment of the interests. In the real financial world, governments have taken different regulatory measures for financial transactions and financial institutions to maintain the stability and economic development of the financial industry, including the development of financial regulations and systems, and the adoption of measures to control the financial crisis. For many years, especially through the number of financial crises, governments and scholars have tended to have the same sound in the discussion of whether to support financial supervision, but how to regulate the role of the government in it has not been unified. No matter how the scholars argue, no matter how the financial market changes, the lack of predictability and flexibility of the government in the financial supervision, especially in the case of the financial crisis. Therefore, it is of great significance to study the changes of government behavior in financial supervision. Looking back on the history of new China's financial history and financial regulation, it is rare that one country can change from a single financial form to a diversified financial market, just for 30 years In the meantime, China has experienced the transformation of the unique dual-system economic structure, and the financial innovation is endless, and the financial supervision is from the end to the end. The state and the government plan for the development of the financial industry and implement a number of system transplant and system creation New, open the financial supervision with the change of the government-oriented system as the main characteristic The paper uses the theory of institutional change, uses the historical analysis method to change the financial supervision system into the logical research framework, and takes the government's behavior as the research object, and reveals the reason, the change course and the internal causality and the internal cause and effect of the change of the financial supervision system in China since the reform and opening-up. The structure arrangement of this paper: the first chapter is the introduction part, the second chapter is the theoretical analysis of the institutional change, the third chapter is the development track of the financial supervision system in China, the fourth chapter is the mixed business operation, the centralized supervision system and the system study, the fifth chapter The sixth chapter is the regulation of the supervision system and the system of the sub-industry under the bud of the comprehensive operation; Chapter 7 is the article.
【學(xué)位授予單位】：遼寧大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2011
【分類號】：F832.9;K27

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