论欧盟金融服务法中的设立自由原则

On the Principle of Freedom of Establishment in the Context of EU Financial Services Law

在欧盟金融服务法中,设立自由原则源于《欧共体条约》关于人员流动自由这一基本经济权利的规定,其基本精神是要求各成员国取消对共同体金融服务提供者跨境设立机构的各种限制,对于成员国法中符合公共秩序例外或者共同利益例外的限制性措施,设立自由原则是最低限度协调、相互承认和母国控制等原则的法律依据;对于不符合上述例外的限制性措施,该原则具有直接适用的法律效力。为了正确适用这一原则,欧洲法院在诉讼中应遵循严格的推理规则,依次对审理对象的性质、合法性和合理性作出认定。在新的历史时期,欧洲法院应当运用更为积极的方法来解释设立自由原则,藉此进一步提升欧盟金融服务市场一体化水平。

In the EU's financial services law, the principle of freedom of establishment, as derived from the free movement of persons, one of the four fundamental freedoms in the EC Treaty, prohibits all national measures that restrict cross-border set-up of financial institutions. As for the national restrictive measures falling under the categories of public order or general interests, the freedom of establishment constitutes the legal base for the principles of minimum harmonisation, mutual recognition and home country control; but as for any other national measures, it has direct effect. In order to apply it properly, the ECJ should conform to the rule of strict reasoning to decide on the nature, legitimacy and justification of specific national measures. In the post-FSAP era, it is advised that the ECJ take a more positive standpoint in interpreting this principle, so as to further promote the integration of the EU's financial service market.