中国(上海)自由贸易试验区金融监管法律风险初探

A Preliminary Study of China(Shanghai)PFTZ Legal Risk in Financial Regulation

从上海自贸试验区的创设背景看,在总体方案提出的五大任务中,深化金融领域开放创新是具有更大含金量的部分,其直接关系自贸试验区的运行成败。鉴于金融领域改革创新举措有快速传导性,可能突破自贸试验区范围,影响全国金融体系,因此,必须前瞻性地做好金融监管风险部署工作。从法律视角看,自贸试验区金融监管法律风险是当前我国金融业监管法律风险、自贸试验区法律地位引发的监管风险和自贸试验区金融改革创新带来的监管法律风险的叠加。

Regarding the establishing background of Shanghai PFTZ, to deepen the opening and innovation of financial sector is of more significance in the five tasks of overall scheme proposed, which plays an key role in the outcome of the operation of Shanghai PFTZ. In view of fast conductivity of reform initiatives in financial sector, that might break through the scope of PFTZ and affect the Chings financial system, it is necessary to prepare for the potential financial regulatory risk. From a legal perspective, financial regulatory legal risk in PFTZ is overlaying risk of regulatory risk, which is caused by the risk of Chings law of banking business and the legal status of the PFTZ, and the regulatory legal risk brought about by the financial reform and innovation in the PFTZ.