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    题名: 金融監理機關財政獨立之法制研究
    其它题名: A Study on the Law and System Governing Budget Independence in the Financial Supervision Commission
    作者: 蕭文生
    Hsiao, Wen-Sheng
    关键词: 行政院金融監督管理委員會;獨立機關;財政獨立;監理年費;規費;特別公課;檢查費
    日期: 2008-02
    上传时间: 2016-05-20 10:44:07 (UTC+8)
    摘要: 二○○四年七月一日行政院金融監督管理委員會正式揭牌運作，開啟我國金融督管理制度之新紀元。除以單一機關來統合銀行、證券、期貨與保險等金融業之發展政策與事權，達成金融監理一元化之目標外，更希望取法獨立機關運作之模式，使行政院金融監督管理委員會能夠免於政治力之干預，超然中立，依法行使職權。為實現此項目的，除傳統組織、人事及職權行使獨立性之保障外，財政獨立係新引進之保障，使監理機關享有獨立財源，更進一步保障職權行使之獨立性。為達成財政獨立，行政院金融監理委員會組織法第六條第一項規定，為辦理監督及管理業務，該會得向受監理之機關收取監理年費；第二項規定，辦理金融檢查業務得向受檢機構收取檢查費，使主管機關有較充裕之經費，得以聘用足夠人力，進行與金融監理制度相關之研究，提升金融監理之品質。此外，為使金融監理體制之經費免於匱乏，行政院金融監理委員會組織法第七條規定設立金融監督管理基金，其收入來源除政府依預算法程序之撥款外，另有監理年費、檢查費、特許費等行政規費，支應金融監理部分特定用途，例如推動金融監理人員訓練等。\\r收取監理年費與檢查費乃是我國法制上少見的情形，其憲法上之合法性問題，法律上之性質、其與租稅、規費、特別公課與受益費之區別，收取之範圍、繳納方式、救濟途徑等，皆是我國法制上的新興課題。\\r本文之目的係檢討現行行政院金融監理委員會之法制是否符合財政獨立性之要求，並分析為保障財政獨立性所收取之費用是否合憲。
    In order to resolve the problem of overlapping authority due to the multiple supervisory systems for insurance, securities, and banking, the Executive Yuan designated the "Organic Act Establishing the Financial Supervisory Commission, Executive Yuan” as the foundation of a single vertically integrated system so as to solidify the business operations of financial institutions, maintain financial stability, and facilitate the development of financial markets. The Act was passed by the Legislative Yuan and promulgated by the President on July 23, 2003. The Financial Supervisory Commission (FSC) was then set up on July 1, 2004 as a single financial regulator that consolidates the functions of monitoring and rule-setting for the banking, securities, futures, and insurance industries, and also carries out cross-sector financial examinations. The FSC is an independent commission and has financial independence. The FSC oversees institutions’ collection practices and supervises and inspects contributions, fees, Sonderabgabe and expenses. The aim of of this article is to discuss the stipulations concerning the financial independence of the FSC and the nature of its self-critical supervisory functions and inspection fees within the constitutional framework.
    關聯: 法學評論, 101, 1-57
    数据类型: article
    显示于类别:[政大法學評論 TSSCI] 期刊論文

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