本文選題：監(jiān)管 + 風(fēng)險(xiǎn)管理��； 參考：《廈門(mén)大學(xué)》2009年碩士論文

【摘要】： 新加坡國(guó)際金融服務(wù)中心的形成在很大程度上得益于監(jiān)管機(jī)構(gòu)依據(jù)不同的金融環(huán)境進(jìn)行有效監(jiān)管,從而維持了金融體系的穩(wěn)健和安全。亞洲金融危機(jī)爆發(fā)后,新加坡監(jiān)管機(jī)構(gòu)認(rèn)識(shí)到金融服務(wù)業(yè)更需透明、公正和高效的金融市場(chǎng),因?yàn)槠淠芡苿?dòng)金融創(chuàng)新、提高金融機(jī)構(gòu)管理層的風(fēng)險(xiǎn)責(zé)任意識(shí)及有效保護(hù)金融服務(wù)和產(chǎn)品的投資者。于是,新加坡監(jiān)管機(jī)構(gòu)以此為契機(jī)創(chuàng)設(shè)新的監(jiān)管理念和監(jiān)管制度,修復(fù)原有體制之缺陷。目前,新加坡金融服務(wù)監(jiān)管法律制度以金融市場(chǎng)和金融服務(wù)消費(fèi)者為范域,涵蓋風(fēng)險(xiǎn)管理、公司治理、信息披露和商業(yè)友好四部分。 本文以上述四大監(jiān)管法律制度為基來(lái)論述新加坡金融服務(wù)監(jiān)管法律制度:第一章概括金融服務(wù)監(jiān)管的具體內(nèi)涵,且以金融服務(wù)監(jiān)管之內(nèi)涵為基礎(chǔ)分析了其所蘊(yùn)涵的法學(xué)原理;第二章闡述新加坡金融服務(wù)監(jiān)管的框架構(gòu)成并分析其創(chuàng)設(shè)原理,第一節(jié)以新加坡監(jiān)管機(jī)構(gòu)的微觀功能和宏觀目標(biāo)為軸論述新加坡監(jiān)管機(jī)構(gòu)的框架,第二節(jié)則以新加坡監(jiān)管框架為基礎(chǔ)分析新加坡所適用的監(jiān)管理念并對(duì)監(jiān)管機(jī)構(gòu)的獨(dú)立性進(jìn)行考察;第三章闡述并分析新加坡金融服務(wù)監(jiān)管之四大法律制度,包括風(fēng)險(xiǎn)管理、公司治理、信息披露及商業(yè)友好。第一節(jié)主要論述新加坡金融服務(wù)業(yè)之風(fēng)險(xiǎn)管理法律制度,重點(diǎn)介紹新加坡監(jiān)管機(jī)構(gòu)新創(chuàng)設(shè)的CRAFT風(fēng)險(xiǎn)評(píng)級(jí)體系。第二節(jié)從公司治理的基本理論入手探討金融服務(wù)機(jī)構(gòu)公司治理的特殊性,并以新加坡星展銀行為例論述和評(píng)價(jià)新加坡金融機(jī)構(gòu)公司治理理論。第三節(jié)主要評(píng)介新加坡金融服務(wù)信息之披露法律制度,并分析新加坡金融服務(wù)監(jiān)管從機(jī)構(gòu)評(píng)審到信息披露演變之動(dòng)因、原則和目標(biāo);第四節(jié)主要探討新加坡金融服務(wù)市場(chǎng)之商業(yè)友好法律制度,具體論述商業(yè)友好之表現(xiàn)及商業(yè)友好之法律規(guī)制。 總之,新加坡金融服務(wù)監(jiān)管之風(fēng)險(xiǎn)管理、公司治理、信息披露及商業(yè)友好根本上是為了維護(hù)新加坡金融體系的穩(wěn)健及加強(qiáng)對(duì)金融服務(wù)和產(chǎn)品消費(fèi)者的保護(hù)。四大監(jiān)管法律制度一脈相承:不論是風(fēng)險(xiǎn)管理、公司治理還是信息披露都是為了實(shí)現(xiàn)新加坡金融服務(wù)市場(chǎng)的商業(yè)友好;不論公司治理還是信息披露都是為了風(fēng)險(xiǎn)監(jiān)管,打造穩(wěn)健的金融服務(wù)體系;而公司治理本身就需要加強(qiáng)金融機(jī)構(gòu)內(nèi)部治理的信息披露。
[Abstract]:The formation of Singapore's International Financial Services Centre (IFSC) is largely due to the effective supervision by regulators according to different financial environments, thus maintaining the stability and safety of the financial system. In the wake of the Asian financial crisis, Singapore's regulators recognized the greater need for transparent, fair and efficient financial markets in the financial services sector, as they promote financial innovation. To enhance the risk responsibility of the management of financial institutions and to effectively protect investors in financial services and products. Therefore, Singapore's regulators take this opportunity to create a new regulatory concept and system to repair the defects of the existing system. At present, Singapore's financial services regulatory legal system is based on financial markets and financial service consumers, covering four parts: risk management, corporate governance, information disclosure and business friendliness. This paper discusses the legal system of financial service supervision in Singapore on the basis of the above four regulatory legal systems: the first chapter generalizes the specific connotation of financial service supervision and analyzes its legal principles on the basis of the connotation of financial service supervision; The second chapter describes the framework of Singapore's financial services regulation and analyzes its founding principle. The first section discusses the framework of Singapore's regulatory body on the axis of the micro function and macro objective of the Singapore regulatory body. The second section is based on the Singapore regulatory framework to analyze Singapore's applicable regulatory concepts and to examine the independence of regulatory bodies. Chapter III describes and analyzes the four major legal systems of financial services regulation in Singapore, including risk management. Corporate governance, information disclosure and business friendliness. The first section mainly discusses the legal system of risk management in Singapore's financial services industry, focusing on the new risk rating system of CRAFT created by Singapore's regulators. The second section discusses the particularity of corporate governance of financial services institutions from the basic theory of corporate governance and discusses and evaluates the theory of corporate governance of financial institutions in Singapore by taking DBS Bank of Singapore as an example. The third section mainly reviews the legal system of financial service information disclosure in Singapore, and analyzes the causes, principles and objectives of the evolution from institutional review to information disclosure in financial services regulation in Singapore. The fourth section mainly discusses the commercial friendly legal system of Singapore's financial services market, and discusses the performance of commercial friendliness and the legal regulation of commercial friendliness. In summary, the risk management, corporate governance, information disclosure and business friendliness of financial services regulation in Singapore are fundamentally aimed at maintaining the soundness of Singapore's financial system and strengthening consumer protection of financial services and products. The four major regulatory legal systems are in the same vein: whether they are risk management, corporate governance or information disclosure are all to realize the commercial friendliness of Singapore's financial services market; whether corporate governance or information disclosure is all for risk regulation. To create a sound financial service system, corporate governance itself needs to strengthen financial institutions internal governance information disclosure.
【學(xué)位授予單位】：廈門(mén)大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2009
【分類號(hào)】：DD912.28;D933.9

【引證文獻(xiàn)】

相關(guān)碩士學(xué)位論文 前2條

1 韋卓呂;中國(guó)—東盟服務(wù)業(yè)產(chǎn)業(yè)內(nèi)貿(mào)易研究[D];廣西大學(xué);2011年

2 饒瑋;金融消費(fèi)者保護(hù)法律制度研究[D];天津財(cái)經(jīng)大學(xué);2012年

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本文編號(hào)：2088549