外汇储备管理法律问题研究

发布时间：2018-06-13 13:06

本文选题：外汇储备管理 + 机构　；参考：《西南政法大学》2010年硕士论文

【摘要】： 目前,我国外汇储备规模急剧增大,外汇储备的持有成本和风险也随之加大,在这样的背景下,亟需规范我国外汇储备管理中的各种行为,并建立一整套相应的法律制度,使我国外汇储备管理更加积极有效,在确保外汇储备安全性的前提下,争取其最大收益性。我国目前在外汇储备管理方面的法律几乎是一片空白,这导致我国的外汇储备管理行为极不规范,因此,针对外汇储备管理的各个方面进行详细的法律规定就显得尤为重要和紧迫,这对完善我国外汇储备管理法律体系、实现外汇储备的保值增值也具有十分重要的战略意义和现实意义。本文除引言和结语外,共分为七个部分。第一部分“外汇储备的含义与作用”。首先,简单介绍了外汇储备的含义,再对外汇储备的重要作用进行阐述,以引出对外汇储备进行规范化管理的重要性和紧迫性。第二部分“外汇储备管理原则”。这一部分主要阐述了在对外汇储备进行管理时应当遵循的基本原则以及介绍了外汇储备管理的主要内容,从整体上对外汇储备管理有一个基本的认识。第三部分“外汇储备管理机构”。首先分析了外国的储备管理机构的设置、职能和运作,再对比分析我国目前外汇储备管理机构的现状和存在的问题,即央行的管理职能和经营职能没有完全分开,各储备管理机构权责不清;管理机构缺乏合法性基础,缺乏一套有效的授权委托经营机制。最后对我国外汇储备管理机构的完善提出一些建议。第四部分“外汇储备管理体制”。在对国际上多重管理体制和双重管理体制进行比较的基础上,分析我国目前的管理体制存在管理层次不清、缺乏统一的储备管理体制以及央行唱“独角戏”等缺陷,并进一步说明应当让财政部加入到我国的外汇储备管理体制中,并让财政部在其中发挥主导作用的重要性。最后对我国外汇储备管理体制的完善提出建议。第五部分“外汇储备管理模式”。首先从宏观上对各国的积极和消极的外汇储备管理模式进行对比,再从微观上分析世界主要外汇投资公司管理模式,并结合我国国情,总结出外国经验对我国外汇储备管理模式的启示。具体而言,就是要在中投公司与财政部和央行之间建立以委托制度为核心的授权机制、完善中投公司治理结构、建立市场化运作模式以及选择适当的投资策略。第六部分“外汇储备监管结构”。首先,通过分析外汇储备管理存在的风险,说明建立外汇储备监管制度的重要性。然后对比IMF《外汇储备管理指南》中的透明度原则、内部监管制度和风险管理构架,再比较分析其他国家的外汇储备监管结构,即内部监管制度和外部监管制度,最后为我国外汇储备监管制度的完善提出建议。第七部分“我国外汇储备管理制度的完善”。这一部分主要从国内法的完善和国际法的走向两个层面上进行分析。从国内法层面上讲,我国应当制定专门的外汇储备管理法规—《外汇储备管理法》和《中国投资公司法》,从宏观和微观两个层次对外汇储备管理行为进行规范并为其提供法律支持。从国际法层面上讲,我国外汇投资公司应当遵循国际经济法一般原则以及当今国际组织特别是WTO的各项多边协议,严格按照国际法办事。我国目前外汇储备规模已居世界第一并仍在迅速增长,这对我国外汇储备管理提出了更高的要求。但是,我国外汇储备管理行为还很不规范,缺乏相应的法律规定。因此,我国必须在借鉴国际成功经验的基础上,结合我国国情,针对我国外汇储备管理制定具体详细的法律法规,增强管理行为的规范性,减少各种风险,最终确保我国巨额外汇储备的安全和保值增值,为我国经济发展服务。
[Abstract]:At present, the scale of China's foreign exchange reserves has increased dramatically, and the holding costs and risks of foreign exchange reserves are also increasing. In this context, it is urgent to standardize various behaviors in the management of foreign exchange reserves and establish a complete set of relevant legal systems to make the management of foreign exchange reserves more active and effective in ensuring the safety of foreign exchange reserves. Next, strive for its maximum benefit.
The law of foreign exchange reserve management is almost blank in our country, which leads to the very nonstandard behavior of foreign exchange reserve management in our country. Therefore, it is particularly important and urgent to carry out detailed legal provisions in all aspects of foreign exchange reserve management, which is to perfect the legal system of foreign exchange reserve management and to realize foreign exchange reserve. Preserving and increasing value is also of great strategic and practical significance.
In addition to the introduction and conclusion, this article is divided into seven parts.
The first part, "the meaning and function of foreign exchange reserve". First, it briefly introduces the meaning of foreign exchange reserve, and then expounds the important role of foreign exchange reserve, in order to lead to the importance and urgency of standardizing the management of foreign exchange reserves.
The second part is "the principle of foreign exchange reserve management". This part mainly expounds the basic principles that should be followed in the management of foreign exchange reserve and introduces the main contents of the management of foreign exchange reserve, and has a basic understanding of the management of foreign exchange reserve from the whole.
The third part "foreign exchange reserve management organization". First, it analyzes the establishment, function and operation of foreign reserve management institutions, and then compares and analyzes the current situation and existing problems of foreign exchange reserve management institutions in our country, that is, the management function and management function of the central bank are not completely separated, the authority and responsibility of the reserve management institutions are not clear; the management institutions are missing. Finally, we put forward some suggestions for the improvement of China's foreign exchange reserves management institutions.
The fourth part of the "foreign exchange reserve management system". On the basis of the comparison of the international multiple management system and the dual management system, the current management system in China is unclear, the lack of a unified reserve management system and the central bank singing "one corner opera", and further explain that the Ministry of finance should be added to the Ministry of finance. China's foreign exchange reserve management system, and let the Ministry of finance play a leading role in it. Finally, the improvement of China's foreign exchange reserve management system is proposed.
The fifth part "the management mode of foreign exchange reserve". Firstly, it compares the positive and negative foreign exchange reserve management patterns of various countries from the macro level, and then analyzes the management mode of the world's major foreign exchange investment companies from the microcosmic perspective, and summarizes the Enlightenment of foreign experience to our foreign exchange reserve management model in combination with the national conditions of our country. It is necessary to establish the authorization mechanism, which is the core of the entrustment system, between the CIC and the Ministry of Finance and the central bank, to improve the governance structure of CIC, to establish a market-oriented operation model and to choose appropriate investment strategies.
The sixth part "foreign exchange reserve supervision structure". First, through the analysis of the risk of foreign exchange reserve management, the importance of establishing the regulatory system of foreign exchange reserves is explained. Then the transparency principle in the IMF< foreign exchange reserve management guide, the internal supervision system and the risk management framework are compared, and the foreign exchange reserve supervision and regulation in other countries are compared and analyzed. The internal supervision system and the external supervision system finally provide suggestions for the improvement of China's foreign exchange reserve supervision system.
The seventh part is "the improvement of China's foreign exchange reserve management system". This part is mainly analyzed from the two aspects of the improvement of domestic law and the trend of international law. From the level of domestic law, China should formulate special regulations on foreign exchange reserve management, the foreign exchange reserve management law and the China Investment Co law, from the macro and micro two. At the level of international law, China's foreign exchange investment companies should follow the general principles of international economic law and the multilateral agreements of today's international organizations, especially WTO, in strict accordance with international law.
China's foreign exchange reserve has been in the world first and is still growing rapidly, which has raised higher requirements for China's foreign exchange reserve management. However, China's foreign exchange reserve management is still very unstandardized and lacks the corresponding legal provisions. Therefore, our country must draw on the national conditions of our country on the basis of the successful experience of the world and aim at our foreign countries. The management of foreign exchange reserves will make specific and detailed laws and regulations, strengthen the standardization of management behavior, reduce various risks, and ultimately ensure the safety and value preservation of China's huge foreign exchange reserves, and serve the economic development of our country.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.29

【引证文献】