金融监管的外部控制系统研究  

A Study on the External Control System of Finance Supervision and Regulation

作　　者：邹平座[1] 陈学彬[1] 

机构地区：[1]上海财经大学现代金融研究中心,上海200433

出　　处：《财经研究》2002年第10期15-22,共8页Journal of Finance and Economics

摘　　要：本文从监管的基本程序开始 ,研究金融监管的外部控制系统。首先 ,对金融监管外部控制的理论进行定性研究 ,分析金融监管外部控制的基本过程 ;其次 ,从金融监管的三大目标出发 ,运用管制学中的价格控制模型的方法和思路、经济控制论中的结构控制方法和风险管理中的VAR模型中的相关技术 ,提出了金融监管外部控制的效率目标模型、结构目标模型和安全目标模型。这一研究对于金融监管的理论和实践都有一定的意义。This paper studies the external control system of finance supervision and regulation from the basic procedure of finance supervision and regulation.First,it makes a qualitative study on the theory of external control of finance supervision and regulation to analyze the basic procedure of external control of finance supervisione and regulation;then,starting from the three targets of finance supervision and regulation,it sets up the efficiencyoriented models,constructionoriented models and safetyoriented models of external control of finance supervision and regulation by using the methods and thinking of price control models of the science of control,the structurecontrol method of the theory of economic control and the relevant technics of the VAR models of risk management.The present research is significant for both the theory and the practice of finance supervision and regulation.

关 键 词：金融监管 外部控制系统 效率 市场失灵 数学模型 金融安全 金融风险 

分 类 号：F830.1[经济管理—金融学]