论金融监管者的数据安全保护义务  

On Financial Regulator’s Obligation of Protecting Data Security

作　　者：范志勇 FAN Zhi-yong(School of Law,Beijing Jiaotong University,Beijing 100044)

机构地区：[1]北京交通大学法学院,北京100044

出　　处：《行政法学研究》2022年第5期135-154,共20页ADMINISTRATIVE LAW REVIEW

基　　金：北京市法学会2021年市级法学研究一般课题“首都地区破产管理人履职保障机制完善研究”(项目编号:BLS(2021)B008)的阶段性成果。

摘　　要：金融监管数据作为独立的数据类型,其安全保护具有特殊性。金融监管科技的发展,使金融监管者的数据控制权日益扩张,金融监管者须为此承担数据安全保护义务。其宪法依据在于金融监管者作为履行国家职能的公权数据处理者,应对数据承担全面的国家保护义务。为金融监管者设定数据安全保护义务也是全面规范金融监管权力、提升金融监管质效、维护金融安全与经济秩序、保障数据权益的合法性要求。针对金融监管者的数据安全保护义务,可从维护国家经济安全与市场竞争秩序的多重价值维度进行观察。金融监管者应当识别重要数据,采取全周期的数据风险防控措施,建立数据风险预警与应急处置机制,保障监管算法的安全。金融监管数据的跨境流动须被严格规制。As an independent data type,the security protection of financial regulatory data has its particularity.With the development of financial supervision technology,the data control power of financial regulators are expanding.Therefore,financial regulators must assume the obligation of protecting data security.Its constitutional basis lies in the fact that financial regulators,as public data processors performing public functions,should bear comprehensive state protection obligations for data.Setting obligations of protecting data security for financial regulators is also a legitimate requirement for comprehensively regulating financial supervision power,improving the quality and efficiency of financial supervision,maintaining financial security and economic order,and safeguarding data rights and interests.Financial regulator’s obligation of protecting data security can be observed from the multiple value dimensions of maintaining national economic security,as well as the order of fair market competition.Financial regulators should identify important data,take full-cycle data security risk prevention and control measures,establish early-warning and emergency response mechanisms for data risks,and ensure the security of regulatory algorithms.The cross-border flow of financial regulatory data must be strictly regulated.

关 键 词：金融监管者 金融监管数据 数据安全保护义务 国家经济安全 

分 类 号：D922.16[政治法律—宪法学与行政法学]