金融监管域外管辖权问题研究及中国的对策分析  

Issues Concerning the Extraterritorial Jurisdiction of Financial Supervision and China's Countermeasures

作　　者：李堪[1,2] 

机构地区：[1]中国人民大学博士后流动站,北京100872 [2]中国工商银行博士后工作站,北京100032

出　　处：《上海金融》2013年第6期56-59,118,共4页Shanghai Finance

摘　　要：危机之后在欧美国家的立法改革中,多次涉及金融监管域外管辖权扩张问题,这事实上侵犯了他国的监管主权,损害了他国金融机构的利益,会带来国家间、地区间的金融监管权冲突问题。这些立法的域外管辖可能会对中国金融机构的业务范围和衍生品交易产生负面的冲击。中国的金融监管机构和中资跨国金融机构必须重视欧美金融监管域外管辖权扩张对自身的影响,并积极应对,避免在监管冲突中使自身利益受损。The legislative reforms in the European countries and the United States since the crisis frequently involve the issue of extraterritorial jurisdiction expansion of financial supervision,which in fact violate other countries' regulatory sovereignty,undermine the interests of other countries' financial institutions and will bring conflicts of financial regulatory authority among countries and regions.The extraterritorial jurisdiction of such legislation might have negative impacts on the business scope of China's financial institutions and derivatives trading.China's financial regulators and China-funded multinational financial institutions should pay attention to the extraterritorial jurisdiction expansion of financial supervision in the European countries and the United States as well as the impacts on them and take positive reactions to keep self interests from being damaged during the conflict.

关 键 词：金融监管 域外管辖权 多德法案 沃尔克规则 

分 类 号：F831[经济管理—金融学]