中央与地方金融事权的划分标准  

On the Standards of Dividing the Central and Local Financial Powers

作　　者：孟飞 Meng Fei

机构地区：[1]上海政法学院上海司法研究所

出　　处：《东方法学》2022年第6期113-125,共13页Oriental Law

基　　金：国家社会科学基金一般项目“微型金融领域中央与地方监管权的划分问题研究”(项目批准号:15BFX128)的阶段性研究成果。

摘　　要：中央与地方金融事权划分作为一种团体权限的纵向配置,应当体现划分标准的理性及其法治化。现行法律和政策大致采用了事务重要性和影响范围的划分标准,但尚未明确不同金融事项之间的差异。中央与地方金融事权划分应依据事务性质而进行,即根据金融事项涉及的利益主体范围和利益属性确定立法权限归属,并考虑执行效率而配置行政权限。据此,地方金融组织监督管理事项、风险处置事项归属中央和地方共同事权,而促进发展事项属于地方事权,剩余权限则归属中央。因此,完善中央与地方金融事权划分标准的法治化路径是推动金融基本制度和权限划分原则的宪法释义,在行政法规和地方性法规中进行类型化构建,从而形成中央和地方之间的合力。The horizontal arrangement for dividing the central and local financial powers should reflect the rationality and law-based standards. The current laws and policy take the important of matters and scope of influence as its division criteria but do not specific the difference among the financial matters. The division should be made according to the nature of matters, i.e.the determination of legislative power according to the scope of interest parties and nature of such interest involved in financial matters and a special consideration for the administrative power based on efficiency of execution. Therefore, the matters subject to the supervision of local financial authorities and risk handling shared by the central and local authorities, while matters concerning financial development and promotion should be in the hands of local authority, and the remaining matters are with the central authority. In this case, to pursue a law-based approach to improve the standards for dividing the central and local financial powers is essentially intrinsic to establishing the Constitutional interpretation on basic financial system and the principles of division of financial powers, and by enacting administrative and local regulations, the cohesion in exercise of both the central and local financial powers can be achieved.

关 键 词：中央与地方 金融监管 权限划分 事务性标准 行政法规 地方性法规 

分 类 号：DF438[政治法律—经济法学]