【作者】 陈楚钟；

【导师】 朱义坤； 吴金平；

【作者基本信息】 暨南大学 ， 国际关系， 2009， 博士

【摘要】 跨境上市使证券市场跨国发展,但以地域管辖为特征的证券监管却无法同步,从而在无政府状态下出现了监管冲突。在分析监管冲突及其全球治理时,运用了双层博弈、统计、图证、例证等方法。监管冲突本质上是一个国家利益冲突问题。在全球化下,国家已无法单独解决监管冲突问题,在全球治理的影响下,由多元主体参与、形成多层次的国际合作与协调正兴起。硬约束合作所存在的灵活性不足等问题使其在国际合作与协调中存在局限性,在治理监管冲突方面,非国家主体间的软约束合作要更有效。国际合作与协调中的软约束合作也因此兴起,国际软法在国际合作与协调中也发挥了重要作用。然而,软约束合作也带来了新帝国主义问题,美国等发达国家利用软约束合作输出制度与意识形态等,意图垄断跨境上市国际规则的制定。在这种美国化(欧美化)下,大多数国家是会被边缘化。尽管包括中国在内的发展中国家在解决监管冲突问题时,应与发达国家展开全球性的合作与协调,但是还要有策略性地抵制新帝国主义。更多还原

【Abstract】 Cross listing makes the securities market develop cross border,but the securities regulatory which is characterized by jurisdiction within territory cannot satisfy,so with the anarchy the regulation conflict develops.The following methods are used in the papers:the two level game,charts,statistics,illustration and so on.The regulatory conflict is in fact a problem of the interest conflict between the nations.Under the globalization,neither nation could resolve the conflict problem oneself.Under the global governance,the international cooperation and coordination of regulatory which is joined by multiple subjects and formed multi level Cooperation and Coordination is springing up.The Cooperation and Coordination of regulation conflict is verified by the hard cooperation and soft cooperation.The rigidity of the hard cooperation cannot satisfy the need of the global governance,but the flexibility of the soft cooperation,which does more effectively than the hard cooperation in the resolution of the regulatory conflict,makes itself spring up in the Cooperation and Coordination.The international soft law plays an important sole in the global governance,too.However,the soft cooperation brings the new imperialism,the USA and the other developed make good use of the soft cooperation to export the regulation model,ideology and so on,by the which they intend to monopoly the draft of the international rule.Under the Americanization or others,the developing is to suffer the risks of marginalization,so including the China,the developing should cooperate and coordinate with the developed when meeting the conflict problem in the cross listing,but also need resist the new imperialism with strategies.更多还原