摘要
本轮金融危机中,投资银行业务过度创新而政府监管乏力,风险累积祸及世界。政府对投资银行的风险监管问题引起业界的高度关注。通过分析政府对投资银行监管的理论基础,探讨对投行监管的必要性及监管的目标。在分析政府对投资银行监管方面暴露的问题之后,提出政府应该为投资银行创设良好的运行环境,创建良好的信息披露和风险提示制度,特别是把好市场准入和退出关口及针对投资银行的业务链条设计风险监管制度,防止出现监管"真空",并且加强监管过程中的国际合作。
Investment banks overacted in financial innovation while the governments' supervision have been inefficient, which has been recognized as a vital causation to the worldwide financial crisis, and the accumulated financial risk has brought disaster to the world economy, hence the governmental supervision and regulation of investment banking risks are highlighted by the banking related people. The thesis begins with an analysis on the theoretical foundation of governmental investment banking,and the necessity and target of investment banking supervision, then based on the analyses of the problems in the governmental supervision of investment banking, the author makes points that the governments have a duty to provide a suitable surroundings for the investment banking,including the system of information disclosure and risk warning,especially a sound standard of market accession and withdrawal of investment banking, the government should regulate the banking risk following the train of banking business so that to eliminate the possible gaps in the supervisions, and enhance the international cooperation of supervision of investment banking risks.
出处
《河北法学》
CSSCI
北大核心
2009年第8期2-9,共8页
Hebei Law Science
关键词
投资银行
风险
政府监管
investment banking
risk
governmental supervision