论我国金融体系中的反洗钱犯罪的法律控制

发布时间：2018-05-07 10:17

本文选题：洗钱 + 反洗钱　；参考：《对外经济贸易大学》2005年硕士论文

【摘要】：洗钱通常是指为了掩盖收入的存在、非法来源或非法使用,就该类收入设置假象使其具有表面合法性的过程。各国把此类行为从刑法上加以规制,确立了各国的洗钱犯罪。在国际协作方面,通过签订国际条约和协定以及设立专门的国际组织对该类犯罪行为进行打击。洗钱的技术和手段纷繁复杂,并且洗钱者频繁的利用金融系统进行跨国洗钱犯罪。金融机构和类金融机构作为洗钱的基本渠道,其中反洗钱犯罪的法律控制在整个反洗钱犯罪体系中发挥着至关重要的作用。本文的重点在于通过比较和分析找出是可供我国金融体系反洗钱犯罪法律控制借鉴的一些基本原则和他们是如何在各国的反洗钱犯罪的实践中得到体现的。在比较过程中,通过对洗钱基本定义和特征的介绍和探讨,总结洗钱犯罪在金融机构中活动的基本特征和规律,然后从纵横两方面综合介绍国际上反洗钱犯罪的金融监管。纵的方面指各国国内的反洗钱犯罪的法律控制,本文选取了瑞士、英国、美国和香港四国对其各项原则的可操作性进行探讨。横的方面主要比较了反洗钱犯罪在国际协作方面的措施。以相关条约为主,如《联合国禁止非法贩运麻醉药品和精神药品的公约》,《打击跨国有组织犯罪公约》等,同时介绍相关国际组织的活动,如FATF和巴塞尔委员会等。通过对国家间比较和国际协作的综合考虑,总结国际社会在反洗钱犯罪法律控制方面进行金融监管的基本原则,并将这些原则及其可操作性反映在对我国反洗钱法律控制体系的思考和建议中。本文的最后,将重点反思我国金融体系反洗钱犯罪的法律控制。主要包括了现有的反洗钱犯罪的组织体系,评析它的机构组织方式和运转方式和立法控制。对上述两方面进行分析和思考。然后,根据这些分析并结合前文比较得出各国法律实践中的基本原则,提出自己的意见和建议。重点依然是强调这些原则的可操作性及如何使之制度化。
[Abstract]:Money laundering usually refers to the process of establishing false legitimacy of such income in order to cover up the existence, illegal origin or illegal use of such income. Countries regulate this kind of behavior from the criminal law and establish the crime of money-laundering. In international cooperation, such crimes are combated through the signing of international treaties and agreements and the establishment of specialized international organizations. The techniques and means of money laundering are complicated, and the money launderers frequently use the financial system to commit transnational money laundering crimes. As the basic channel of money laundering, financial institutions and similar financial institutions play an important role in the whole anti-money laundering crime system. The emphasis of this paper is to find out some basic principles for the legal control of anti-money-laundering crimes in China's financial system and how they are embodied in the practice of anti-money-laundering crimes in various countries through comparison and analysis. In the process of comparison, through the introduction and discussion of the basic definition and characteristics of money laundering, this paper summarizes the basic characteristics and laws of the activities of money laundering crimes in financial institutions, and then comprehensively introduces the international financial supervision of anti-money laundering crimes from the aspects of vertical and horizontal aspects. In this paper, Switzerland, Britain, the United States and Hong Kong are selected to discuss the maneuverability of the principles. Horizontal aspects of the main comparison of anti-money laundering crime in the international cooperation measures. Related treaties, such as the United Nations Convention against illicit Traffic in Narcotic drugs and psychotropic substances, the Convention against Transnational organized Crime, and the activities of relevant international organizations, such as FATF and the Basel Committee, are introduced. Summing up the basic principles of financial supervision by the international community in the area of legal control of anti-money-laundering crimes through comprehensive consideration of inter-State comparisons and international cooperation, These principles and their maneuverability are reflected in the thoughts and suggestions of our country's anti-money laundering legal control system. At the end of this paper, we will reflect on the legal control of anti-money-laundering crime in our financial system. It mainly includes the existing organization system of anti-money-laundering crime, analyzes its organization mode, operation mode and legislative control. The above two aspects of analysis and thinking. Then, according to the analysis and the comparison above, the basic principles in the legal practice of various countries are obtained, and their own opinions and suggestions are put forward. The emphasis remains on the operationalization of these principles and how to institutionalize them.
【学位授予单位】：对外经济贸易大学
【学位级别】：硕士
【学位授予年份】：2005
【分类号】：D917.6

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