【作者】 单勇；

【导师】 张旭；

【作者基本信息】 吉林大学 ， 刑法学， 2004， 硕士

【摘要】 本文旨在国际刑法的领域中以刑事政策为视角研究跨国洗钱犯罪，并认为确立反跨国洗钱犯罪的刑事政策是研究跨国洗钱犯罪的理论前提与实践指针。本文共分四大部分，基本内容如下：第一部分：刑事政策视角的确立。这是研究跨国洗钱犯罪的观察视角、分析框架和研究模式，也是论述跨国洗钱犯罪基本理论的前提，本文对跨国洗钱犯罪现状的观察、问题的反思、对策模式的建构都以此为基础。本部分首先论述了刑事政策视角确立的必要性。这主要从刑事政策科学含义的界定及其国际化特征的研讨和国际刑法向谋求统一的国际刑事政策方向发展两个方面展开。其次从刑事政策与国际刑法关系的角度，阐述了刑事政策与国际刑法的契合性--刑事政策的国际刑法化和国际刑法的刑事政策化。刑事政策的国际刑法化是刑事政策趋向合理化、合目的化的一种趋势和过程，即以惩治、预防国际犯罪的刑事政策作为国际刑法的指导观念，推动国际刑法规范和刑事司法协助制度理性变革；同时将这种刑事政策通过国际刑事立法使之条文化、规范化，进而形成能够体现该种刑事政策的国际刑法规则、制度、原则。国际刑法的刑事政策化是国际刑法在特定刑事政策的冲击、影响下变革、修正和完善的过程。即在具有严重危害性的行为被确定为国际犯罪，国际刑法形成了规制某种国际犯罪的基本模式与合作框架后，仍继续坚持以刑事政策的视角修改、完善相关的国际刑法规范，促进国际刑法的合理化、合目的化，使之能够更加完整地发挥“合理而有效地组织对犯罪的反应”功能。最后以刑事政策的主体性、观察性、反思性和实践性为视角，为跨国洗钱犯罪的研究提供了较为可取的分析框架，即反思主体、观察重心、反思标准及对策模式。第二部分：跨国洗钱与反跨国洗钱博弈现状的观察。理性把握该种43<WP=49>现状是研究跨国洗钱犯罪的基础。本部分首先揭示了跨国洗钱对各国政府及国际社会提出的严峻挑战，并通过传统洗钱向跨国洗钱的演变、跨国洗钱犯罪能够有效地掩饰、隐瞒相应“上游犯罪”、跨国洗钱犯罪过程的复杂性和方法的多样性这三个层次具体论述该种挑战。其次针对上述挑战，各国政府与国际社会在国际刑法领域内进行了有关的反跨国洗钱立法及实践活动。具体包括反跨国洗钱国际刑法规范的制定和世界各国反跨国洗钱合作的加强，国际公约、决议内容的述评，国内刑法反跨国洗钱规定的介绍三个方面。最后结合上述内容，总结出跨国洗钱的新趋势与国际刑法思想的嬗变。第三部分：传统问题与新问题的反思。根据问题来源不同，可以将影响、妨碍惩治与预防跨国洗钱犯罪的诸多问题分为传统问题与新问题进行反思。传统问题是法律差异的存在，具体包括洗钱的犯罪化运动进行的不彻底、不全面；国际公约及各国法律对“上游犯罪”范围的不同规定，直接影响到跨国洗钱犯罪的惩治；信息披露制度的研究薄弱，严重限制了对金融机构及其他行业的监管；离岸金融中心跨国洗钱的猖獗，表明金融市场全球化的进程与其实行以国内为基础的监督机制之间普遍存在着鸿沟。反思新问题的结论在于必须放宽国际刑法的研究视野。跨国洗钱泛滥还是某些发展中国家、处于社会转轨时期国家的政府弱势和政治腐败的必然结果。洗钱者不仅在金融领域洗钱，还广泛利用非金融领域监管较为薄弱的现金密集型行业作为跨国洗钱的新路径；同时国际洗钱又衍生出一种新动向--网络洗钱，而对跨国洗钱的这种新路径、新动向亟待进行充分的反思，理性的研究。第四部分：国际刑法反跨国洗钱对策模式建构的实践。以刑事政策为视角，在观察跨国洗钱与反跨国洗钱博弈现状、反思传统问题与新问题的基础上，本文形成既相互独立，又相互交融的两种反跨国洗钱对策模式--刑事法律合作模式与国际行政合作模式。刑事法律合作模式是在国际刑法的刑事政策化指导下形成的，在国际刑事法律领域中，以国44<WP=50>家刑罚权惩罚已然洗钱犯罪、预防未然洗钱犯罪的各种对策的一般理论。它主要体现在国际刑事立法和国际司法协助两个方面。国际行政合作模式是国际刑法的社会预防政策化的产物，它通过各国反跨国洗钱的行政当局直接或国际组织间接合作为途径，依靠行政权力的国际合作，发现追踪已然跨国洗钱犯罪，预防未然跨国洗钱犯罪而发挥作用。总之，本文以反跨国洗钱犯罪的刑事政策为指导思想，力求深化对跨国洗钱犯罪基本理论的研究，进而开拓跨国洗钱犯罪研究的新境域，使之更加理性、建设性地指导惩治、预防跨国洗钱犯罪的司法实践。更多还原

【Abstract】 The purpose of the thesis is to give an introduction of transnationalmoney-laundering crime from the perspective of criminal policy within thefield of international criminal law. It is thought that to establish criminalpolicy for anti-money-laundering crime is the theoretical premise andpractical guide for the study of this kind of crime. The whole thesis is dividedinto four chapters as follows: Chapter One: Establishment of perspectives for criminal policy. It’s thestarting point, analysis structure and the researching model, as well as thepremise to illustrate the basic theory of transnational money-laundering crime.This chapter lays a solid foundation for the following ones. First, iselaborates the necessity of the establishment of perspective for criminalpolicy and that is developed from two facts. One fact is the scientificdefinition for criminal policy and its international features. The other one isthat the criminal law is developing into the common international criminalpolicy .Second, from the relationship between the criminal policy andinternational criminal law, it elucidates the agreement betweenthem-----criminal policy as international criminal law and vice versa. Tomake criminal policy as international criminal law is a trend and process thatcriminal policy becomes reasonable and purposeful. In other words, thecriminal policy punishes and prevents international crimes as the directionalconcepts of international criminal law, pushing forward international criminallaw and criminal judicature system into a standardize and rational change.Meanwhile the criminal policy should evolve into such international rules,systems and principles through international criminal legislation which canmake the policy standardized. To make the international criminal law ascriminal policy is a process that it is changed modified, improved under theinfluence of given conditions. In other words, even after the harmful doingsare declared to be international crimes by the international criminal lawwhich has been the basic model and co-operation structure, the internationalcriminal law is to go on modifying and perfecting the related standards fromthe criminal law point of view, so as to make the international law reasonableand purposeful, thus it can play the complete role of dealing with crimes 46<WP=52>effectively. Finally, the angle that looks criminal policy as a main body andthat people observe, think and practice criminal policy provides the desirableanalysis structures for the study of transnational money-laundering and theyare critical thinking of main body, observational focus, critical thinkingstandard and countermeasure models. Chapter Two: Observation of transnational money-laundering andanti-money-laundering. To understand such present situations rationally is thebasis for the study of transnational money-laundering. This chapter firstlyillustrates three aspects. Transnational money-laundering is a severechallenge to civil governments and international society; transnationalmoney-laundering is able to conceal and hide the correspondent “relativeoriginal crimes” through the change from traditional money-laundering totransnational ones: Transnational money-laundering shows the complexity ofits process and the variety of its methods. Second, to counter the challengementioned above, all governments and international society carry out thelegislation against transnational anti-money-laundering and the practicalactivities. Specific, it includes the adoption of international criminal rules; theco-operation among nations; the draft of the content foranti-money-laundering crime in international conventions and resolutions andnational criminal codes; the enforcement system. At last, combined theprevious points; it concludes the new trends of transnationalmoney-laundering and the change of international criminal更多还原