【作者】 王勇；

【导师】 邵沙平；

【作者基本信息】 武汉大学 ， 国际法， 2004， 硕士

【摘要】 巨额腐败所得资金转至国外给来源国造成一系列严重的社会、经济、政治后果。为此，国际社会认识到控制腐败资产的外逃，并追回这些外流资产在控制腐败政策中的根本重要性。为此，联合国相继制定了《联合国打击跨国有组织犯罪公约》和《联合国反腐败公约》，以构建控制腐败资产外逃及对其追回的法律框架。两公约，尤其是《联合国反腐败公约》所创设的资产追回制度及其背后所体现的国际司法合作政策，对于我国当前的“反腐”、打击职务犯罪，不论是在实践中还是在理论上，都有着重要的意义。 本文共分七部分。引言部分概述了腐败资产外逃的现状及其社会危害，介绍了国际社会和我国为控制腐败资产外逃及对其追回所做的努力。第一、二、三章以腐败收益的外逃、控制、合作、没收、追回为纵轴，以腐败与洗钱、反洗钱法的特点、刑事没收和民事没收制度比较为横轴，展开论述了“严格的反洗钱法+没收事宜的有效国际合作”这一控制腐败资产外逃及对其追回的模式。并探讨了反洗钱法对金融机构的冲突地位的衡平，民事没收制度对物诉讼的特征，及没收制度与反洗钱法紧密衔接的必然性。 第四章通过比较国际社会在人犯引渡事宜和资产追回事宜中的合作，进一步阐释了在“国家间人犯引渡合作中所面临的诸多困境”的背景下，“合作——没收——返还犯罪收益和工具的机制”在国际社会通过多边合作控制腐败及其他犯罪政策中的重要地位，以及其在实践中的可操作性。第六章论述了重构我国反洗钱法的国际义务要求和内在动力，并提出若干建议。 结语部分提出：通过围绕金融机构及其职员的“认真和审慎的反洗钱义务”，构建民事的、行政的、刑事的三层责任；通过扩大洗钱行为、以及洗钱行为上游行为的定义范围；通过对洗钱行为的刑事追究和行政追究为没收违法工具和收益的连接点，可以较好解决金融机构冲突地位问题，反洗钱法与没收制度相衔接问题，并可为没收事宜的国际合作提供相应的国内法律机制。 对腐败资产外流的严格控制和顺利追回必将对腐败分子具有极大的震慑作用。更多还原

【Abstract】 International community has acknowledged the crucial importance of "Strengthening international cooperation in preventing and combating the transfer of funds of illicit origin, derived from acts of corruption, including the laundering of funds, and in returning such funds". Thus, United Nations has produced "United Nations Convention Against Corruption", and "Treaties Against Transnational Organized Crime and Terrorism" , with the aim of establishing the correspondent legal framework subsequently. The established framework, especially by "Convention Against Corruption", with the international judicial cooperation policy it demonstrates, has significant importance for China Anti-Corruption career, both in practice and for theory.This paper consists of seven parts. The introduction expounds the present corruption assets fleeing and its damage, introduces the international community’s and our country’s effort to combat and recovery the fleeing corruption assets. Chapter One, Chapter Two, and Chapter Three analyze the control and recovery model of "strict anti-money laundering law plus recovery of property through international cooperation in confiscation". The above three chapters have also probed into the balancing of the financial institution "conflicting roles "by anti-money laundering law, the "in rem " character of civil forfeiture system.In Chapter Four, after comparing the international cooperation between asset recovery and extradition, this essay further analyzes the important role "recovery of property through international cooperation in confiscation" has played in international community control policies of corruption and other crimes. It argues, under the background of troublesome international cooperation in extradition, the mechanism of "recovery of property through international cooperation in confiscation" is morepracticable.Chapter Six discusses the reconstruction of China anti-money laundering and the proposals this essays thus put forward.At the end of this essay, the conclusion is that through levying civil,administrative, and criminal liabilities upon the "anti-money laundering due diligence" of financial institution and its staff; through connecting the anti-money laundering criminal and administrative process and forfeiture mechanism, we can solve some problems caused by "financial institution’s conflicting role ", "connection of the anti-money laundering law with forfeiture system", and "lack of correspondent mechanism for recovery of property through international cooperation in confiscation".Those modifications of China anti-money laundering law will facilitate our country’s control and recovery of fleeing corruption assets. This will deter the potential corruptive crimes effectively.更多还原