金融监管模式的变革及资本市场统合法的诞生——以金融衍生产品监管为视角  

The Transform of Financial Services Supervision and the Naissance of Capital Market Consolidation Act:Focusing on the Supervision of Derivatives

作　　者：许凌艳[1] 

机构地区：[1]复旦大学法学院

出　　处：《社会科学》2008年第1期85-92,共8页Journal of Social Sciences

基　　金：国家社会科学基金:"规范;健全;发展资本市场法律问题研究--以多元证券化为核心";项目编号:05CFX014;上海市重点学科建设项目;项目编号:B102

摘　　要：金融衍生产品和混业经营的发展对以金融组织机构性质为标准而形成的传统金融监管模式提出挑战。旨在有效解决金融业混业经营格局下金融创新产品的监管归属问题,避免监管"真空"和多重监管,依功能性监管规则而形成的统一金融监管模式及制定资本市场统合法的金融法改革方兴未艾。我国应积极应对"金融监管现代化"的全球趋势,尽快构建起适合中国国情的和谐生态的金融监管体制,在金融衍生产品的监管上,建立和完善牵头监管模式。There exist new challenges to traditional financial services supervision with the development of derivatives and mixed operation.Traditional financial services supervision focus on the nature of institutions,but'regulatory modernization' emphasizes functional regulations which in order to solve problems of cross supervision or lacunal supervision occurred by mixed operation of financial circles.We should reply to the trend of 'regulatory modernization' actively and to build up a harmonious and eco-friendly financial services supervision model in China.We should build up perfect financial services supervision model in the supervision of derivatives.

关 键 词：金融衍生品 金融监管现代化 资本市场统合 功能性监管 混业经营 

分 类 号：D912.28[政治法律—民商法学]