朱凯—金融控股集团关联交易监管法律制度研究分析.doc

硕 士 学 位 论 文 姓 名： 朱凯 专 业： 经济法 研究方向： 竞争法 指导教师： 指导老师 完成日期： 2011.5.21 论文编号： 金融控股集团关联交易监管法律制度研究 中国政法大学研究生院 二○一一年三月金融控股集团关联交易监管法律制度研究 摘 要 随着国际金融一体化和综合化的发展，金融控股集团已成为金融混业经营的主导模式之一，也成为我国由“分业经营”向“混业经营”转变的有效路径。组建金融控股的根本动因在于利用其“集团混业法人分业”的内部结构关系实现协同效应，从而降低运营成本、增加整体效益。而实现这种效果主要途径就是关联交易。金融控股关联交易具有两面性，的符合市场规律的关联交易能够实现优势效果，而违背市场规则的关联交易也给金融控股带来巨大的风险，甚至危及到金融体系的安全与稳定。因此，对关联交易有效的金融控股ABSTRACT As the integration and comprehensive development of international finance, Financial Holding Group has become the leading mode of financial mixed-business management , and also become an effective way of turning “eparate operation” to “multi-operation” in China. The fundamental reason for establishing Financial holding group is using the internal structure of “group mixed, legal segregation” to achieve the coordination effect, thus reducing the operation cost and increasing overall efficiency. The main way to achieve this effect is Transaction. Meanwhile, Financial Holding Group has its two sides.Proper can take advantage of the effect, while the Affiliated Transaction voilating the market rules also brings Financial Holding Group huge risks, and even endanger the security and stability of the financial system. Therefore, making effective legal supervision over the Affiliated Transaction of Financial Holding Group is the key to the risk control of Financial Holding Group. Starting from the Affiliated Transaction shall be the logical starting point and theoretical basis of this paper. The first chapter defines the relevant issues of the Affiliated Transaction. First, define the connotation and extension of the Affiliated Transaction by defining relators and specific forms of Affiliated Transaction. Secondly, analysis the regulating reason of Affiliated Transaction. The main reason is that the conflicts of interest drives relators to abuse power to damage lawful rights and interests of related company and other stakeholders. Finally, briefly reviewe the regula