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| Title: | 建構金融監理國際協作框架—以現行架構再思考
Constructing an International Cooperation Framework for Financial Supervision — Rethinking the Current Governance Architecture |
| Authors: | 周映彤
Chou, Ying-Tung |
| Contributors: | 臧正運
Tsang, Cheng-Yun
周映彤
Chou, Ying-Tung |
| Keywords: | 金融監理國際協作框架
軟法
國際金融史
金融全球化
系統性風險
金融科技之挑戰
COVID-19
International cooperation framework for financial supervision
Soft law
History of international finance
Financial globalization
Systemic risk
Challenges of Fintech |
| Date: | 2023 |
| Issue Date: | 2023-03-09 18:31:34 (UTC+8) |
| Abstract: | 隨著時代的演進，全球化、科技的發展使金融市場成為無國界、緊密連結的網絡，雖然對於投資人、用戶非常方便，惟如果一國的市場有了動盪，便會快速影響到世界各地，從危機中便可以看到全球化下，系統性風險的問題，並加上金融科技的發展進入3.0的時代，金融交易更不侷限地理疆界中，且各國監理密度不一也會造成監理競爭與套利，如因某地的寬鬆政策吸引高風險交易，所產生的問題將由全球承擔，種種對於傳統上以國內為主之監理造成挑戰，普及與眾多的跨境交易有必要在全球範圍進行監理，而需要國際間共同討論，建立跨境金融監理協作之方案。
觀察現行的框架係以跨境監理網絡構成，整體以不具法律上拘束力之軟法進行規範，可因應金融市場變動快速之特性，並亦可發揮事實上之拘束力，不過在經歷多次危機與改革凸顯出現行框架本質上之問題，再加上近年來政治、社會、經濟與科技之影響，迫使現行框架勢必須進行改革邁向國際金融監理之第五階段。
本文選取四個方案探討建構新框架的可能性，最終仍以監理網絡與條約國際法作為金融監理協作框架之基礎；再經論證發現金融監理框架應考量「規範制定的彈性」與「規範的拘束效果」兩大因素，故分別以「對現行監理網絡進行修正」與「建立國際金融監督組織」之方式回應兩大考量因素，由具有靈活性之監理網絡負責規範制定與界定規範等級，並由具有安定性之國際金融監督組織作為司法單位，負責罰則制定與執行制裁，希冀能透過兩者之相輔相成，對金融監理國際協作框架提出未來改革之方向。
With the evolution of the epoch, globalization and the development of technology have made the financial market a network without borders and tightly connected. Although the market is very convenient for investors and users, if there is market turmoil in one country, it can quickly affect the whole world, and we can see the problem of systemic risk under globalization from multiple financial crises. And coupled with the development of fintech, financial transactions are not limited to geographic boundaries, and the density of supervision in different countries will also cause regulatory arbitrage and competition, such as the relaxed policy of a place to attract high-risk transactions, the resulting problems will be borne by the global community. Various issues pose challenges to traditional domestic-based supervision. Many cross-border transactions need to be regulated globally, and international discussions are needed to establish an international cooperation framework for financial supervision.
Observing that the current framework is composed of the transnational regulatory networks, the overall regulation is based on non-legally binding soft law, which can respond to the fast-changing features of the financial market and can also serve as a de facto binding force. However, after facing several crises and reforms, the essential problems of the current framework have been exposed. Additionally, the political, social, economic, and technological environment in recent years has forced the current framework to reform and move toward a new stage of international financial supervision.
This thesis selects four options to explore the possibility of constructing a new framework. Ultimately, the regulatory network and international law are used to construct an international cooperation framework for financial supervision. After further argument, it was found that the framework should consider two major factors: "flexibility of regulation" and "binding effect of regulation," and therefore responded to the two major considerations by "revising the current regulatory network" and "establishing an international financial supervisory organization" respectively. In conclusion, the framework for international cooperation for financial supervision is composed of a flexible regulatory network responsible for setting norms and defining the level of importance of regulations, and an international financial supervisory organization with stability as a judicial unit responsible for setting penalties and enforcing sanctions. This thesis hopes that through the complementarity of the regulatory network and international financial supervisory organizations, it proposes a direction for future reform of the international cooperation framework for financial supervision. |
| Reference: | 一、 中文部分
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7. Reuters, Australia to pursue coronavirus investigation at World Health Assembly, available at: https://www.reuters.com/article/uk-health-coronavirus-australia-china-idUKKCN2251G0 .
8. Reuters, Timeline: Key dates in the U.S.-China trade war, available at: https://www.reuters.com/article/us-usa-trade-china-timeline-idUSKBN1ZE1AA.
9. The New York Times, Biden restores ties with the World Health Organization that were cut by Trump, available at: https://www.nytimes.com/2021/01/20/world/biden-restores-who-ties.html .
10. The New York Times, Globalization Is Over. The Global Culture Wars Have Begun. Available at: https://www.nytimes.com/2022/04/08/opinion/globalization-global-culture-war.html .
11. The Washington Post, Trump administration sends letter withdrawing US from World Health Organization over coronavirus response, available at: https://www.washingtonpost.com/world/trump-united-states-withdrawal-world-health-organization-coronavirus/2020/07/07/ae0a25e4-b550-11ea-9a1d-d3db1cbe07ce_story.html.
12. The Washington Post, Trump likely to announce curbs on funding for World Health Organization this week, available at: https://www.washingtonpost.com/politics/trump-world-health-organization-funding/2020/04/12/c3bb53f8-7d0c-11ea-a3ee-13e1ae0a3571_story.html.
13. The White House, FACT SHEET: The Biden Administration’s Commitment to Global Health, available at: https://www.whitehouse.gov/briefing-room/statements-releases/2022/02/02/fact-sheet-the-biden-administrations-commitment-to-global-health/ |
| Description: | 碩士
國立政治大學
法律學系
109651008 |
| Source URI: | http://thesis.lib.nccu.edu.tw/record/#G0109651008 |
| Data Type: | thesis |
| Appears in Collections: | [Department of Law] Theses
|
Files in This Item:
| File |
Description |
Size | Format | |
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| 100801.pdf | | 10058Kb | Adobe PDF2 | 118 | View/Open |
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