金融集团监管的法律问题研究-国际法学专业论文.docxVIP

山东大学醺士学位论文 山东大学醺士学位论文 因国际准则的分析，主要集中在《金融集团监管原则》中的资本充足性原则、适宜性原 则、监管信息共享的框架安排、信患共享原则等西方面的内容上和《金融集团监管指令》 中规定的内部交易与风险集中统一监管的内容上。第四章分析了我国金融集团及其监管 现状，并归纳分析了金融集团监管的国际发展趋势与特点，尤其考虑到发震中国家在这 一国际趋势下遇到的现实难题。最后，结合我国的实际情况，从立法上、监管模式的构 建和监营的重点内容等三令方面，就我理金融集团的监管立法，提出了一些建议。 关键词z 金融集团 监管  -吵。与牛气 专曾卢 r 2 山东大学硕士学位论文 ABSτRACT As也e ∞m祖g 岛r也 of 也，e large intemational fmancial conglomerat筒， some enterprises in cbina such as CITIC Holding Comp缸瓦 Everbright Holding Company and Shando g xin严JaIl Holding Company，broke 也rough 也e p归宿nt 弱严rate management system and 笛恒blished financial ∞nglomerates. However，under the model of 也e present se:归rate managementsyst 烟，也，e s可lerV?sion of.:也，e financial ∞，nglomerates has been 也e legal blind po凶which poses great threat to 也 development of 也e financial ∞nglomera始s per se and to the 垣倒四tofbo也由，eex纽nded 垣V臼臼rsand 也e co?lSUDlers. In 1999，在he world w部 sbocked by 也 bankru防y of Guangdong In主ernational Intrust Inves回，ent Com归ny 迦 which more 也an 130 banks， over 20，αO depo岳阳rs and ov町 80，0∞鱼缸曲。lders were involved. In 也e m臼磁Incident of Delong马也e OVi但在II debts bom by 也e Delong Group and its subsidiary ∞，mpanies and brancb岱 amoun臼d 如 57 b迦ion yí出血. There岛罚， it is quite necess缸yand 回事钮.tfor 也e govemment to su严:rvise and adm监ister 也e financial conglomerates etfectively， w量ich 祖腿 always be相 a hot issue co臼:emed closely by 也e trade of finance. Studies on 也is problem were ga蜡rally 严rformed from 也e angle of 臼onomics， w挝le 也，e over垣1 and d出p exploration of it is 必11tare. This缸ticle 往i臼饵， bym锦nsof 掠ldi岱 overthe le伊1systems of super世S?OJ;l of financ.挝∞.nglomerates in 也e major developed ∞四位ies and 也e relative h钮m必。nal 哼量ans， discωs ways to be跑到r 也esys缸m of s吨lerV?sion of financial ∞同 ome四蜘∞.mb画画g 也e 写m迫c ∞nditio部严穹呢迦ng 祖 developing coun住ies and China.from the legal and economic 严S严ctives and 缸。ugh 也，eme白。dologyof ∞m归rative， pragmatic，显g伽i铺1and logi，臼1analy黯S. τbem后n 1x吻。f 也is article is divi也d 画也岛ur cbapters. chap阳1outlines some basic problems o