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中南大学学报(社会科学版)
ZHONGNAN DAXUE XUEBAO(SHEHUI KEXUE BAN)

2019年01月第25卷第1期
   
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文章编号:1672-3104(2019)01-0055-11
 
地方金融监管权的法治化配置
 
刘志伟
 
(西南政法大学金融创新与法制研究中心,重庆,401120)
 
摘  要: 既有金融基本法律将地方金融监管权划归中国人民银行、银保监会等中央金融监管部门及其派出机构享有,但以“金融办”为代表的地方金融监管机构却是地方金融监管权的事实享有者。中央政府及其所属金融监管部门通过“国发”、部门规章或其他方式将部分地方金融监管权让渡给地方政府及其指定的金融监管部门,此举实然有违与权力授予或转授相关的限制性法律规定。地方政府工作部门、议事协调机构的创设须同时满足一般性授权和具体性授权两项条件,而作为地方政府指定金融监管机构之地方“金融办”的设置,却在一定程度上缺乏一般性授权的依据。是故,地方政府金融监管权合法性与权威的确立,尚须借助地方金融监管权配置方式与地方金融监管权行使主体地位的法定化予以实现。
 
关键词: 地方金融;监管权;权力配置;机构设置;法治路径
 
 
The legalization allocation of local financial regulatory power
 
LIU Zhiwei
 
(Financial Innovation and Legal Research Center, Southwest University of Political Science and Law, Chongqing 401120, China)
 
Abstract: The current financial basic laws allocate local financial regulatory power to the central financial regulatory authorities such as the People's Bank of China, the China Bank Insurance Regulatory Commission and their dispatched institutions. However, local financial regulatory agencies represented by the "Financial Office" are the actual owners of local financial regulatory powers. The Central Government and its affiliated financial regulatory authorities have transferred certain local financial regulatory powers to local governments and their designated financial regulatory authorities through "State Council", departmental regulations, or other methods. This is basically contrary to the restrictive legal regulations related to the authorization or delegation of power. The establishment of the local government department, as well as the deliberation and coordination agency must meet two conditions,the general authorization and the specific authorization. Nevertheless, the setting of the local "Financial Office" as the designated financial regulatory agency of local government lacks general authorization. For this reason, the legitimacy and authority of the local government's financial regulatory power must be based on the legalization of the local financial regulatory power allocation and the establishment of the legal status of local financial regulatory organization.
 
Key words: local finance; regulatory power; power allocation; institutional setting; rule of law path
 
 
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