我国金融监管派出机构行政处罚权问题研究

发布时间：2018-04-15 10:21

本文选题：金融监管 + 金融监管机构　；参考：《内蒙古大学》2014年硕士论文

【摘要】：金融监管行政处罚是金融监管机构在执法中经常使用的执法手段,它在维护金融市场秩序,保证法律法规的有效贯彻执行,保护投资者合法权益等方面发挥着重要作用。当前金融全球化趋势不断加强,国内金融改革也日益深化,金融监管对象众多,且多分布于我国省市地县,派出机构处罚权的行使更能体现出金融监管处罚的效果。我国有相关法律规范规定了金融监管派出机构行处罚权范围与程序。但可以看到的是,我国对金融监管派出机构行政处罚权的理论研究仍有不足,立法上,我国金融监管派出机构行政处罚权存在立法缺陷,派出机构的性质及法源模糊,整体运作机制也存在不足。实践中,派出机构面临着独立性难以保证、协调性不足、处罚权行使无有效监督、派出机构监管人员法律素质无法保证的现实障碍。这些都导致了金融监管派出机构行政处罚权难以发挥其应有效力。本文首先明确了金融监管派出机构及其行政处罚的性质概念及特点,由此得到金融监管派出机构行使行政处罚权的必要性结论。在分析目前派出机构处罚权行使构成中的立法及实践障碍后,提出了完善我国的金融监管派出机构行政处罚权的对策,即在立法方面弥补派出机构处罚授权瑕疵,并且合理设计派出机构的处罚制度,又通过加强派出机构的独立性、机构与机构之间的协调性、加强对派出机构行政处罚执法监督、提高派出机构监管人员的素质等方面,在权力实施过程中完善监管派出机构行政处罚权的行使。
[Abstract]:The administrative punishment of financial supervision is a law enforcement method that is often used by financial supervision organizations in law enforcement. It plays an important role in maintaining the order of financial markets, ensuring the effective implementation of laws and regulations, and protecting the legitimate rights and interests of investors.At present, the trend of financial globalization is constantly strengthened, the domestic financial reform is deepening day by day, the financial supervision objects are numerous, and most of them are distributed in provinces, cities and counties of our country. The exercise of the punishment power of the dispatched agencies can better reflect the effect of financial supervision and punishment.Our country has the relevant legal norm to stipulate the scope and procedure of the financial supervision agency's penalty right.However, it can be seen that the theoretical research on the administrative penalty power of the dispatched agencies of financial supervision in China is still insufficient. In legislation, the administrative penalty power of the dispatched agencies of financial supervision in our country is flawed in legislation, and the nature and legal source of the dispatched agencies are vague.The whole operation mechanism also has the insufficiency.In practice, the agency faces the realistic obstacle that independence is difficult to guarantee, coordination is insufficient, the right of punishment is exercised without effective supervision, and the legal quality of the supervisor of the agency cannot be guaranteed.These results in the financial supervision agency administrative penalty power is difficult to play its due effect.This paper firstly defines the concept and characteristics of the financial supervision agency and its administrative punishment, and draws the conclusion that it is necessary for the financial supervision agency to exercise the administrative penalty power.Based on the analysis of the legislative and practical obstacles in the exercise of the punishment power of the dispatched agencies at present, this paper puts forward some countermeasures to improve the administrative penalty power of the dispatched agencies in financial supervision in our country, that is, to make up for the defects in the punishment authorization of the dispatched agencies in the legislative aspect.And by reasonably designing the punishment system of the agency, and by strengthening the independence of the agency, the coordination between the agencies, strengthening the supervision of the administrative punishment of the agency, and improving the quality of the supervisory personnel of the agency, etc.To improve the exercise of administrative penalty power in the implementation of power.
【学位授予单位】：内蒙古大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.1

【参考文献】