銀監(jiān)會設立及運作中的法律問題.pdf

1、f“／71842橇旦大學學校代碼：10246學號l02202“／151碩士學位論文(專業(yè)學位)銀監(jiān)會設立及運作中的法律問題院系(所)：專業(yè)：姓名；法學院法律碩士鐘磊指導教師：胡鴻高教授完成日期：2005年4月18日復口人學研究生院2005屆壩l‘F牡?！徽撐?法律顧J：)AbstraetThedissertationisfocusedonthelegalperspectivesintheestablishmentandoperatio

2、noftheChina’SBankingRegulatoryCommission(CBRC)，andincludesthefollowings：Theprelhceintroducestheobject，approachandscopeoftheresearch’fhedissertationismainlyonthediscussionofthelegalperspectivesintheestablishmentandoperati

3、onoftheCBRCfromtheaspectoftheinstitutionalconstructionwithhistorical，comparativestudiesChapteroneintroducesthefundamentaltheoriesofbankingsupervisionAfterintroducingtheeconomicnecessityofbankingsupervision，thelegalnecess

4、ityisdiscussedwhichincludesthe“power”element，themonopolypublicinterestofthebanksandtherequirementsbyWTOrolesAndthen，valuesandobjectivesofbankingsupervisionarediscussedChaptertⅥoisontheestablishmentoftheCBRCTheestablishme

5、ntoftheCBRCmarksagreatsteptowardsmarkettransitionandglobalizationoftheChina’SbankingregulatorypatternAnditisalong—terminstitutionalarrangementsuitabletothecurrentsituationoftheChina’SfinancialdevelopmentChapterthreeiSi、o

6、cusedonthelegalstatusoftheCBRCThedefinitionoftheCBRCas“a【1institutiondirectlyundertheStateCouncil”conflictswiththearticlethattheCBRChasthepowertoenactregulationsintheLawandtosomeextendisunconstitutionalChapterfourisonthe

7、regulatorylegislationofChinaTheestablishmentoftheCBRCcausestheenactmentofthe(theLaw)But，inthelightofthe“incompletelaw”theory，theconcreteenforcementmeasuresstipulatedintheLawcontributelittlefortheCBRCtOtake“positiveenforc

8、ement”：anditisnecessarytoenactmoreregulationsfortheperfectionoftheregulatorylegislationChapterfiveisfocused0nthelegalperspectivesintheoperationoftheCBRCAftertheestablishmentoftheCBRC，theregulatorypatternof“onebankandthre

9、ecommissions”wasfinallyshapedUnderthecircumstanceofthemixedfinancingbusiness，itisnecessarytosetthePeople’SBankascoreincoordinatingtherelationsbetweentheregulatoryauthoritiesAndtomake“pthedeficiencyoftheofficialregulation