上海自贸区政府监管的制度创新研究

发布时间：2018-09-17 19:49

【摘要】：设立上海自贸区,是我国深化改革、扩大开放的重要举措,具有经济和政治上的双重意义。上海自贸区的监管制度设计,既要考虑到推进国际自由贸易的发展需要,又要考虑到我国基本制度和国情的特殊性。研究自贸区政府监管的制度创新,就是在探求如何在活跃的经济环境下重新定义政府和市场之间的关系,确保政府宏观调控作用的有效发挥。监管是政府对市场的干预,政府监管和政府职能、管理体制、监管对象、监管手段等许多要素相关。在上海自贸区,政府监管机构及其职能的科学定位、监管内容和手段的积极创新、制度创新过程中路径依赖的有效克服,都是影响自贸区监管制度创新的重要问题。本文从政府监管的相关理论出发,剖析旧有保税区的政府监管模式,明确上海自贸区的监管体制和职能定位,并从监管主体、过程、方式等不同角度探究上海自贸区政府监管制度创新的具体内容,接着通过政府监管制度创新过程中路径依赖因素的分析,提出完善自贸区监管制度创新的对策与建议。具体来说,在上海自贸区,中央政府、地方政府、自贸区管委会和其他职能部门的驻区机构应各司其职,监管重点主要定位于区内的经济事务和必要的行政事务。监管主体要实现政府组织体系、负面清单、安全保障和公共服务等方面的创新,监管内容要实现自贸区投资管理、贸易监管、金融监管和综合监管等制度创新;监管方式要实现协同管理、负面清单管理和信息监管等方式创新。并且,必须克服我国经济体制、地方政府治理惯性、政府部门管理理念、自贸区新监管制度实施成本等路径依赖因素的制约,在监管制度创新的“非锁定状态”下,落实监管独立性原则、适度监管原则、法治监管原则和激励性监管原则。论文认为,实现上海自贸区政府监管制度有效路径是,整合政府监管的法律法规,创新并完善自贸区政府监管的运行机制和综合监管体系,探索监管人才培养制度,推进政府监管制度的渐进式创新。
[Abstract]:The establishment of Shanghai Free Trade Zone is an important measure to deepen reform and open wider to the outside world in China, which has both economic and political significance. The design of supervision system in Shanghai Free Trade Zone not only takes into account the development needs of promoting international free trade, but also the particularity of our country's basic system and national conditions. To study the institutional innovation of government supervision in the Free Trade area is to explore how to redefine the relationship between the government and the market under the active economic environment to ensure the effective play of the role of the government in macro-control. Supervision is the government's intervention in the market, government supervision and government functions, management system, regulatory objects, regulatory means and many other factors related. In the Shanghai Free Trade Zone, the scientific orientation of the government regulatory agencies and their functions, the positive innovation of the supervision contents and means, and the effective overcoming of the path dependence in the process of institutional innovation are all important problems affecting the innovation of the supervision system in the free trade zone. Starting from the relevant theories of government supervision, this paper analyzes the government supervision model of the old bonded area, clarifies the supervision system and function orientation of Shanghai Free Trade Zone, and from the view of the main body and process of supervision, This paper probes into the specific contents of the innovation of the government supervision system in Shanghai Free Trade area from different angles, and then through the analysis of the path dependence factors in the process of the innovation of the government supervision system, puts forward the countermeasures and suggestions to perfect the innovation of the supervision system of the free trade area. Specifically, in the Shanghai Free Trade Zone, the central government, local governments, FTAC and other functional departments of the resident agencies should perform their respective duties, the focus of supervision is mainly focused on the regional economic affairs and necessary administrative affairs. The main body of supervision should realize the innovation of government organization system, negative list, safety guarantee and public service, and the content of supervision should realize the innovation of system such as investment management, trade supervision, financial supervision and comprehensive supervision. Supervision should realize cooperative management, negative list management and information supervision. Moreover, we must overcome the constraints of path dependence factors such as economic system, inertia of local government governance, management concept of government departments, implementation cost of the new regulatory system in the free trade area, and under the "non-locking state" of regulatory system innovation. Implement the principle of supervision independence, moderate supervision, rule of law and incentive supervision. The paper thinks that the effective way to realize the government supervision system of Shanghai Free Trade area is to integrate the laws and regulations of the government supervision, innovate and perfect the running mechanism and comprehensive supervision system of the government supervision of the free trade area, and explore the training system of supervisory talents. Promote the gradual innovation of the government supervision system.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D630.9

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