地方金融监管权力法治化的反思与重塑  

Rethinking and Reinventing the Rule of Law for Local Financial Supervisory Powers

作　　者：刘志伟[1] Liu Zhiwei(Law School of Southwest University of Political Science and Law,Chongqing,401120)

机构地区：[1]西南政法大学经济法学院,重庆401120

出　　处：《政法论丛》2024年第5期134-145,共12页Journal of Political Science and Law

基　　金：国家社科基金青年项目“地方金融监管体系的法治化构建研究”(19CFX076)的阶段性研究成果。

摘　　要：地方金融监管权力的法治化塑造,不仅旨在保证地方金融监管权力来源的法定,更关注法治对地方金融监管权力运行进行制约与监督的规范效用,而这需要借助职权法定、行政自制和理性制衡三者协同完成。为回应中央与地方金融监管权责失衡之实践异化,地方金融监管权力法治化的核心要义便是地方金融监管权责的对等化设计,具体是以职权与职责在量上的实质均衡为内核,来完成主体维度中央和地方关系的均衡处理与事项维度规则制定和监管执法的分项设计。当然,地方金融监管权力法治化的实践展开,应当借助地方金融监管权责事项的清单化管理展开,即分别按照“以权定责”和“以责定权”的逻辑来设置权力清单与责任清单各自不同的要素构成,并在“属地管理”观念的统一指引下完成“以块统条”和“以条带块”管理模式的差别化设计。The shaping of the rule of law for local financial regulatory power is not only aimed at ensuring the legal source of local financial regulatory power,but also focusing on the normative effect of the rule of law on the operation of local financial regulatory power to constrain and supervise,which needs to be accomplished with the help of the statutory authority,administrative self-restraint,and rational checks and balances in a coordinated manner.To respond to the practical alienation of the imbalance between the central and local financial supervision powers and responsibilities,the essence of the rule of law for local financial supervision powers is the reciprocal design of local financial supervision powers and responsibilities,which is to complete the balanced treatment of the relationship between the central and local authorities in the subject dimension and the sub-design of the rule-making and supervision and enforcement in the matter dimension by taking the substantial balance of the powers and responsibilities as the kernel.Of course,the practice of the rule of law of local financial supervision should be carried out with the help of local financial supervision rights and responsibilities of the list of management,that is,according to the“right to responsibility”and“responsibility to power”logic to set up the list of powers and responsibilities of the list of different elements,and in the“territorial management”concept under the unified guidance of the completion of the“block rule”and“strip with block”management mode of differentiated design.

关 键 词：地方金融 金融监管权 权力制约 权责对等 权责清单 

分 类 号：DF438[政治法律—经济法学]