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題名:審慎措施於金融服務貿易下之法律問題研析--以兩岸金融監理為例
書刊名:中華國際法與超國界法評論
作者:王震宇 引用關係
作者(外文):Wang, Blake C. Y.
出版日期:2013
卷期:9:2
頁次:頁193-216
主題關鍵詞:服務貿易總協定金融服務附件審慎措施金融監理金融服務General Agreement on Trade in ServicesGATSPrudential carve-outFinancial SupervisionTrade on financial services
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  • 被引用次數被引用次數:期刊(0) 博士論文(1) 專書(0) 專書論文(0)
  • 排除自我引用排除自我引用:0
  • 共同引用共同引用:43
  • 點閱點閱:29
「審慎措施」係國際金融法與國際經濟法上重要之概念,多數國家為整體經濟目標或保障金融市場中利害關係人之利益,經常基於「審慎」理由而採取金融監理與管制措施。本文係針對 WTO 服務貿易協定下金融服務附件中之規定,探討「金融服務貿易自由化」與「金融監理」之關係,尤其將討論焦點集中於 GATS 金融服務附件中第二條(a)項所稱之「審慎」(prudential)原則之適用爭議,何謂「審慎措施」?WTO 會員採用何種金融監管措施可符合「審慎措施」之範疇?對於「審慎措施」之實踐,倘若解釋過寬將造成 WTO 會員規避貿易自由化之承諾,但解釋過嚴則造成 WTO 會員無法有效自主執行金融監管措施,應如何界定始可避免 WTO 會員不當運用「審慎措施」而造成限制金融服務貿易之效果?平衡點為何?同時,本文以兩岸金融服務貿易市場開放及金融監理合作等問題進行研究,並對於兩岸「審慎措施」之運用現狀提出法律分析。
“Prudential Carve-out” is an important legal concept under international financial law as well as international economic law. Many countries adopted financial supervision and regulations, in order to ensure the integrity and stability of the financial system or the protection of investors, depositors, policy holders or persons to whom a fiduciary duty is owed by a financial service supplier. This article discusses the relationship between “liberalization of trade on financial services” and “financial supervision” under WTO/GATS and its Annex on Financial Services. The main argument of this article focuses on various legal issues of “prudential reasons” from GATS Annex on Financial Services Article 2(a), including: what is the definition of “prudential measures”? what kinds of domestic financial supervisions fulfill the scope of “prudential carve-out”? In practice, if the legal interpretation of “prudential carve-out” is too wide, it shall be used as a means of avoiding the WTO member’s commitments or obligations under GATS. However, if the interpretation is too strict, it shall be limited WTO member’s autonomy of enforcing financial supervision measures. How to avoid members abusing “prudential carve-out” and causes the restriction effects of financial services on trade? This article also analyzes and provides recommendations for the current practice of the Cross-Strait Financial Cooperation Agreement and possible issues of financial supervision in the future bilateral negotiation.
期刊論文
1.Windsor, Joseph(2008)。The WTO Committee on Trade in Financial Services: The Exercise of Public Authority within an Informational Forum。GERMAN L.J.,9,1805-1810。  new window
2.Pan, Eric J.(2010)。Challenge of International Cooperation and Institutional Design in Financial Supervision。CHI. J. INT’L L.,11,243。  new window
3.Morrison, Peter(2001)。The Liberalization of Trade in Financial Services and the General Agreement on Trade in Serviced。SlNG. J. INT’L & COMP. L.,5,593。  new window
4.陳玉珍(20110700)。兩岸金融監督管理合作之若干思考。檢察新論,10,68-79。new window  延伸查詢new window
5.Amer, Douglas W.、Buckley, Ross P.(2010)。Redesigning the Architecture of the Global Financial System。MELB. J. Int'L L,11,185-197。  new window
6.顏慧欣(201009)。兩岸金融監理合作MOU之性質與未來。新社會政策,8,38-41。  延伸查詢new window
7.楊光華(20091200)。WTO服務貿易經濟整合之規範。政大法學評論,112,201-248。new window  延伸查詢new window
8.楊光華(20110200)。金融海嘯與世貿組織之金融服務貿易規範--兼論「審慎例外」。政大法學評論,119(5),235-314。new window  延伸查詢new window
9.嚴宗大(20011200)。GATS架構下金融服務貿易之規範與其政策涵義。中央銀行季刊,23(4),31-50。new window  延伸查詢new window
10.王震宇(20110200)。兩岸經濟合作架構協議之現狀與未來。月旦法學,189,115-142。new window  延伸查詢new window
圖書
1.Mavroidis, Petros C.、Bermann, George A.、Wu, Mark(2010)。The Law of the Wo rld Trade Organ izat ion (WTO): Documents, Cases & Analysis。NY:West Group。  new window
2.韓龍(2006)。金融服務貿易規制與監管研究--基於入世過渡期後銀行業局勢的探討。北京:北京大學出版社。  延伸查詢new window
3.朱榮玲(2006)。金融穩定與新巴塞爾資本協定。金融監理與風險管理選輯。臺北市:中央銀行。  延伸查詢new window
4.Van den Bossche, Peter(2005)。The Law and Policy of the World Trade Organization: Text, Cases and Materials。London:Cambridge University Press。  new window
5.Trebilcock, Michael J.、Howse, Robert(2005)。The Regulation of International Trade。London:New York:Oxon:Routledge。  new window
6.張新平(19960000)。世界貿易組織下之服務貿易。臺北:月旦出版社。new window  延伸查詢new window
7.羅昌發(2010)。國際貿易法--世界貿易組織下之法律新秩序:國際經貿法研究。台北:元照。  延伸查詢new window
其他
1.Understanding on Commitments in Financial Services,http://www.wto.org/english/docs_e/legal_e/54-ufins_e.htm, 2012/06/30。  new window
2.Council for Trade in Services(19981202)。Financial Services--Background Note by the Secretariat(S/CAV/72)。  new window
3.WTO Committee on Trade in Service(20000609)。Report of the Meeting held on 25 May 2000(S/FIN/M/26)。  new window
4.行政院金融監督管理委員會(200911)。簽定兩岸金融監理合作瞭解備忘錄專案報告。  延伸查詢new window
5.Basle Committee on Banking Supervision(201009)。International regulatory framework for banks (Basel III),http://www.bis.org/bcbs/basel3/b3summarytable.pdf, 2012/06/30。  new window
6.The Basel Committee on Banking Supervision(198807)。International Convergence of Capital Measurements and Capital Standards,http://www.bis.org/publ/bcb s04a.pdf, 2012/06/30。  new window
 
 
 
 
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