论金融监管法的体系化建构  

On Systematic Construction of Financial Supervision Law

作　　者：靳文辉[1] Jin Wenhui

机构地区：[1]重庆大学法学院

出　　处：《法学》2023年第4期133-146,共14页Law Science

基　　金：2021年度国家社科基金项目“经济规制法的精准化实施研究”(21BFX203)的阶段性成果。

摘　　要：金融监管法的体系化建构对于保障金融监管的连贯性、一致性、条理性和稳定性至为关键。当下我国的金融监管法因体系化不足导致的立法碎片化现象客观存在,监管法实施中的波动现象时有发生。随着金融市场的发展,金融监管法数量急剧增加、制度规模不断扩大、规范内容日益庞杂的现实使得金融监管法的体系化建构尤为迫切。金融监管法应以金融安全原则、金融公平原则和金融效率原则为内容及序位来构建内在体系所要求的价值系统,以监管行为为“规定功能”的法概念,以预防行为、预警行为和处置行为为内容来构建外在体系所要求的规则系统。实践中,对金融监管法的融贯性和开放性的保障,对“原则—规则”模式的落实,是金融监管法体系化功能展开的具体内容。The systematic construction of financial supervision law is of key significance to ensure the coherence,consistency,rationality and stability of financial supervision.At present,the fragmentation of legislation due to insufficient systematization of China's financial supervision law exists objectively,and fluctuations in the implementation occur from time to time.With the development of the financial market,the number of financial supervision law has increased sharply,the scale of the system has been continuously expanded,and the content of regulations has become increasingly complex.This fact makes the systematic construction of financial supervision law particularly urgent.The Financial Supervision Law should take the principles of financial security,financial fairness and financial efficiency as the content and sequence to build the value system required by the internal system,with"supervisory behavior"as legal concept of the prescribed function,with preventive behavior,early warning behavior and disposal behavior as content to build the rule system required by the external system.In practice,the guarantee of the coherence and openness of the financial supervision law and the implementation of the"principle-rule"model are the specific contents of the systematic function of the financial supervision law.

关 键 词：金融监管法 体系化 内在体系 外在体系 

分 类 号：D922.28[政治法律—经济法学]