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題名：債券市場中信評機構之正當性
作者：薛珍華 引用關係
校院名稱：東海大學
系所名稱：社會學系
指導教授：陳介玄
學位類別：博士
出版日期：2017
主題關鍵詞：信用；評等；信評機構；正當性；支配；credit；rating；credit rating agency；legitimacy；dominance
原始連結：連回原系統網址new window
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2008金融海嘯之後，信評機構成為眾矢之的。然而，雖歷經大眾抨擊、法律制裁，其影響力與支配性不增反減。基於此，本論文旨在探討信評機構之正當性。分析架構基於韋伯所提出的支配之正當性，宣稱信評機構之正當性來自於傳統之正當性以及理性之正當性。此外，本論文亦宣稱信評機構之歷史起源應該追溯至十五世紀之金融家族。
The world has suffered from a recession since the 2008 financial crisis which made countless investors worldwide lose a huge amount of money. After this trauma, some legal settlements were made between governmental organizations and banks or credit rating agencies. Credit rating agencies remain influential and even grow more powerful although collapses or reshuffles happened to several gigantic investment banks. The puzzles of the dominance of credit rating agencies, particularly in the bond market, triggered this research.
While most researches focus on the impacts of credit rating agencies from a business or a marketing viewpoint, this thesis targets at the legitimacy of credit rating agencies from a historical and sociological perspective. Besides, while researchers who discussed the historical background of credit rating agencies tend to treat the establishment of The Mercantile Agency in 1841 as the inception, this thesis, by contrast, claimed that the origin of credit rating agencies needs to be traced back to a much earlier era—at least three centuries before that—since some banking families had started to deal with credit in essence.
The main research methods consist of case study, critical discourse analysis and interviews. In this thesis, four cases of banking families—the Medici, the Fugger, the Baring, and the Rothschild—were studied in terms of the way they handled credit and then were compared with what is carried out nowadays by credit rating agencies, mainly the Big Three—Standard & Poor’s, Moody’s and Fitch. Theoretically speaking, Max Weber’s arguments about legitimation of domination—both traditional legitimation and legal/rational legitimation—were adopted to explore the legitimacy of credit rating agencies via critical discourse analyses. In addition, via interviews with bond traders, the connection between academic discussions in this thesis and practical experiences in the trading context is thus enhanced.
This research found that, first, after the comprehensive review of the four banking families in terms of credit and information, what they conducted actually was similar to what credit rating agencies function in the modern era. Yet, no term such as credit rating was used back to several centuries ago, partially owing to the linguistic unavailability. Thus, the origin of credit rating agencies is argued in this thesis to be as early as the fifteen century instead of the nineteen century claimed by most researchers. Second, the creation of credit rating agencies should not be taken for granted; their long-term historical background and rational developments contribute to their legitimacy as well as dominance in the global financial market. Last but not least, the developmental process of credit and credit rating agencies unveils the changes in forms of the society, shifting from a traditional society into a modern society based on specialization and professionalism.
With this thesis, it is expected that readers can get access to credit rating agencies with historical understanding and rational judgment. Furthermore, the trust on credit rating agencies can truly be regained.
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