【作者】 罗晋京；

【导师】 刘颖； 吴金平；

【作者基本信息】 暨南大学 ， 国际关系， 2009， 博士

【摘要】 跨国银行是特殊类型的跨国公司。跨国银行在金融全球化中发挥着重要的作用,并且金融稳定亦主要取决于银行的质量。探讨跨国银行的法律规制对国家主权的影响具有重要的现实意义。随着金融全球化的浪潮,国家主权更多表现为金融主权,在金融危机频发的背景下,金融主权的重要性凸现。法律是维护国家主权的重要武器,在全球化背景下,维护金融主权对于发展中国家尤其具有特殊的意义。本文主要采用分析比较、历史分析、案例分析等研究方法,就跨国银行的法律规制对发达国家、发展中国家的主权(主要是金融主权)和金融稳定、金融安全的影响进行分析。跨国银行的法律规制主要包括《国际货币基金组织协定》、《国际复兴开发银行协定》、国际反洗钱规则、巴塞尔协议、WTO金融服务协议、欧盟银行法、《北美自由贸易协定》和东盟金融合作协议等。当前跨国银行的法律规制使发达国家的主权得以扩张,而发展中国家的金融主权受到压制,这是旧的国际秩序的主要表现。本文因此提出,国际社会应重视对金融主权的维护,完善法律规制,以良好的法律积极应对国际金融危机。通过研究,本文认为发展中国家,尤其是中国应完善银行的国内法律制度,积极参与国际金融事务管理,以更好地维护国家主权。更多还原

【Abstract】 Transnational Banks(TNBs) belong to special type of transnational corporations(or multinational enterprises,MNEs).TNBs are playing an important role during the process of financial globalization. The safety and stability of the finance structure mainly depends on the quality of banks.Under the background of financial globalization and frequent international financial crisis,the research on legal regulation of TNBs will undoubtedly constitutes some kind of practical significance,and state sovereignty has giving preference to financial sovereignty.With the highlights of the importance of financial sovereignty,the law is undoubtedly an important tool to safeguard the state sovereignty. Especailly under the wave of financial globalization,the safeguard of the financial sovereignty of developing countries remains great significance.This dissertation is using the research method of comparative analysis,historical analysis,case studies and other relevant research methods,discussing the TNBs legal regulations and their impact on the financial stability and safety,as well as the state sovereignty(mainly financial sovereignty) of developed countries and that of the developing countries.The legal regulations of TNBs are mainly including the Agreement of the International Monetary Fund,Agreement of International Bank for Reconstruction and Development,Basle Framework of Basle Committee on Banking Supervision,Anti-Money-Laundering Regulations of the OECD,WTO Financial Services Agreement,European Union legislations on banking section,The North American Free Trade Agreement(NAFTA) and "ASEAN financial cooperation agreement",etc.The current legal regulation of TNBs allows the expansion of state sovereignty of developed countries and the suppression of financial sovereignty of developing countries.This is an important symbol of the old international order.The Author of this paper therefore proposed that the international community should attach great attention to the safeguarding of financial sovereignty and improve legal regulation of TNBs to cope with the international financial crisis actively.Through research,this paper argues that developing countries,especially China should improve their domestic banking legal system and actively take part in the international financial administration to better safeguard the state sovereignty.更多还原