金融控股公司加重责任制度分析-法律·国际商法专业论文.docxVIP

华 华 中 科 技 大 学 硕 士 学 位 论 文 II II 在可行性方面，包括监管者和金融学者的重视、金融控股公司的经济能力和立法技 术的突破。 第三章“国外（地区）金融控股公司加重责任制度借鉴”主要介绍了美国、我国 台湾地区及韩国加重责任制度的理论研究和实践经验。美国的加重责任制度是在曲 折中得到发展和认可的，并不断被其他国家（地区）学习借鉴。台湾在效仿美国的 基础上，在《金融控股公司法》中，将加重责任制度纳入其中。韩国也对金融控股 公司实行了特殊的监管机制。最后，指出了对我国的借鉴意义。 第四章“中国金融控股公司加重责任的制度设计”，对我国金融控股公司加重责 任制度的构建提出了具体的建议。首先，在比较美国的分散立法模式和台湾的集中 立法模式的优劣基础上，得出集中模式能够排除分散立法模式带来的对制度效力的 争议和质疑，应适用于集中模式这一结论。其次，制定金融控股公司单行法，以加 强对金融控股公司的监管。再次，对中国金融控股公司加重责任制度从适用范围、 监管主体、适用机制、执行措施和救济措施等几个方面做了具体解构。最后，还就 协调加重责任制度与现行相关法律的规定和完善配套金融监管机制做了论述。 关键词：金融控股公司 加重责任制度 制度设计 III III Abstract As a new type of economic organizations in the financial mixed and financial context of globalization body，Financial holding company has been Increasingly become the hot topic， With Its complex internal forms of organization and Special risk mechanism，That both the dual attributes of a holding company and mixed operation，makes supervision of financial holding companies face many challenges. So far, Although there is no clear legal provisions on the financial holding company, companies like BOCI, Ping An Insurance has been rapid development. In the case of such laws and regulations regulatory vacuum, Special risk prevention of the financial holding company has become more important, Because of the risk of such a financial holding company in the event of, It is likely to cause turmoil in financial markets so as to reduce investor confidence. Therefore, this paper suggested increasing responsibility system of financial holding company in the US, Combined with the reality of our situation, explore this special obligation mechanism, Finally, the proposal to build a financial holding company in our to increase the liability regime, In order to fill and improve the legal and regulatory of financial holding company, there are four parts in this article. Chapter one Financial holding company and its increased responsibility overview”, In order to have some knowledge of this form of financial organizations, The chapter mainly Introduces