入世过渡期后对国际金融服务提供监管的法律依据问题

Analysis of the Legal Basis of Supervision for Financial Services in Post-transition Period after China's Access WTO

"审慎例外"授权WTO的成员方为审慎目的采取审慎措施,而不受GATS其他规定的羁绊,是我国金融开放的安全阀。同时,完善监管立法,监管措施与国际标准接轨,可使我国对金融服务的监管无可挑剔。对于审慎性尚存疑问的措施,为稳妥起见,可将其作为对市场准入和国民待遇的限制列明,由此保留采取相关措施的权力。对于金融开放中的国际金融监管合作,我国可根据GATS和金融附件的规定,就相互承认对方的监管措施、制定共同的监管标准和监管信息分享等达成协议或安排。

＂Prudential Carve-out＂ authorizes WTO members to take prudential measures irrespective of other provisions of GATS, and thus constitutes the safety valve for the opening of China＇s financial sector. Meanwhile, to improve the supervisory legislation and to keep the supervisory measures in conformity with international standards can make China＇s supervision for financial services resistant to any fusses. As regard the measures for which doubts remain for its prudential nature, they＇d better be delineated as restrictions for market access and national treatment for the sake of safety, China thus retains the power to take relevant measures. As regard the international financial supervisory cooperation in the process of financial opening up, China can conclude agreements or make arrangements under GATS or Annex on Financial Services with her counterparts concerning mutual recognizance of supervisory measures, promulgation of common supervisory measures and sharing of supervisory information etc.