摘要
金融市场基础设施有系统重要性与一般性之区分,如何识别出系统重要性金融市场基础设施是金融监管亟待解决的前置性基础问题。首先,识别的对象是金融市场基础设施,在概念上有别于央行《金融基础设施监督管理办法(征求意见稿)》使用的“金融基础设施”。其次,面对我国金融监管识别主体多头并存、识别标准含糊不清、识别程序缺失不明的现状,有必要纳入域外监管识别经验,对我国金融市场基础设施监管的识别主体、标准和程序等予以明确和重塑。为促进金融市场基础设施监管识别的顺利开展,在2023年新一轮金融监管机构改革的背景下,我国可尝试以新成立的中央金融委员会为主导,加强既有金融设施的合并,推动《金融市场基础设施法》的制定和实施,以塑造出具有本土化特色的金融设施法。
Financial market infrastructure can be distinguished as systemically important and generally important,and to identify systemically important financial market infrastructure is a prerequisite that financial supervision needs to satisfy promptly.First of all,the object identified is financial market infrastructure,which is conceptually different from the"financial infrastructure"used in the Measures for the Supervision and Administration of Financial Infrastructure(Draft for Comments)promulgated by People's Bank of China.Secondly,in the face of multiple regulatory identification entities,vague identification standards,and the lack of identification procedures in China,it is necessary to absorb the experience of extraterritorial supervision and identification,so as to clarify and reshape the regulatory identification subjects,standards and procedures of China's financial market infrastructure.In order to promote the smooth development of financial market infrastructure supervision and identification,in the context of a new round of financial regulatory reform in 2023,it is advisable for China to strengthen the merging of existing financial facilities led by the newly established Central Financial Commission,promote the formulation and implementation of the Financial Market Infrastructure Law so as to make a financial facilities law with Chinese characteristics.
出处
《社会科学》
北大核心
2023年第9期181-192,共12页
Journal of Social Sciences
基金
国家社会科学基金重大项目“我国资本市场制度型开放的法律体系构建”(项目编号:22&ZD204)
中国法学会部级法学研究一般课题“健全金融市场基础设施的危机处置应对机制”[项目编号:CLS(2022)C38]的阶段性成果
关键词
金融市场基础设施
金融监管
监管识别
金融设施法
Financial Market Infrastructure
Financial Regulation
Regulatory Identification
Financial Facility Law