| 论金融法制的横向规制趋势 |
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| 引用本文： | 杨东.论金融法制的横向规制趋势[J].法学家,2009(2). |
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| 作者姓名： | 杨东 |
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| 作者单位： | 中国人民大学法学院; |
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| 基金项目： | 中国人民大学科学研究基金项目“次贷危机对金融控股公司法制的影响及我国的应对策略”(项目编号:22382008)资助 |
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| 摘 要： | 21世纪以来,英德日韩等国金融法制出现了从纵向金融行业规制到横向金融商品规制的发展趋势。2006年日本将《证券交易法》改组为《金融商品交易法》,把证券、信托、金融期货、金融衍生品等大部分金融商品进行一揽子、统合性的规范,构建了一个横向化、整体覆盖金融服务的法律体系。金融危机爆发后,美国也深刻认识到其纵向监管机构对不断创新的金融商品缺乏横向统一规制的问题。本文考察国际金融法制的横向规制趋势,从金融商品和金融业的横向规制两个角度,对日本《金融商品交易法》的适用范围、行业规制、行为规制、投资者种类、自律规制机关等内容进行全面分析,进而探讨我国应对金融横向规制趋势的法律对策。
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| 关 键 词： | 金融法制 横向规制 金融商品 统一监管 |
On the Tendency of Horizontal Regulation of the Financial Legal System |
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| YANG Dong,Associate Professor of Renmin University of China Law School..On the Tendency of Horizontal Regulation of the Financial Legal System[J].Jurists Review,2009(2). |
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| Authors: | YANG Dong Associate Professor of Renmin University of China Law School |
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| Affiliation: | YANG Dong,Associate Professor of Renmin University of China Law School. |
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| Abstract: | With the advent of the 21st century, there has been a trendency in the financial legal system that the vertical financial industrial regulation tends to be replaced by the horizontal financial products regulation, which is proven typical in countries such as the United Kingdom, Germany, Japan and the Republic of Korea. In 2006, Japan modified its "Securities Exchange Act" to "Financial Commodity Trading Act", integrating the securities, trust, financial futures, financial derivatives and other financial pro... |
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| Keywords: | Financial Legal System Horizontal Regulation Financial Products Unified Supervision |
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