摘要
地方金融监管适当性分析应基于社会正义观,从监管过程、结果和反馈三个方面,规则框架、法律范式、金融发展三个维度,对地方金融监管机构的职责履行状态予以评价。由于主观意向和客观效力在实践中的不一致性,使得对适当性的分析会超出原有的逻辑范畴,更加注重具体行动所带来的社会效应。按照韦伯社会行为合理性分析框架,可将实质理性理论作为分析工具,从秩序正当性角度审视法律理性化,以与其相关联的监管行动为逻辑起点,呈现地方金融监管的适当性。参照地方金融监管立法的文本教义,以司法审查裁量瑕疵为基础,可将地方金融监管权的失序情形分为职权滥用、越权监管与明显不当三类。按照解释社会学的方法论,导致监管行为偏离理想范畴的要因考察主要从目的计算、价值衡量和传统信赖三个方面展开。形式理性不足的情况下,地方金融监管的适当性可以通过完善约束机制和协作机制予以实现。
The analysis of the appropriateness of local financial supervision should be based on the view of social justice, and evaluate the performance of the responsibilities of local financial supervision institutions from the three aspects of the process, the result and the feedback of supervision, as well as the three dimensions of rule framework, legal system and financial development. As subjective intention and objective effectiveness are inconsistent in practice, the analysis of appropriateness will go beyond the original logical scope, and more attention will be paid to a series of reactions brought about by specific actions. Based on Weber’s social behavior rationality analysis framework, we can use the substantive rationality theory as an analysis tool to examine the legal rationalization from the perspective of order legitimacy, and take its associated regulatory actions as the logical starting point to present the appropriateness of local financial supervision. Referring to the text doctrine of local financial supervision legislation and on the basis of judicial review discretion defect, the disorder of local financial supervision power can be divided into three categories: abuse of power, ultra-authority supervision and obvious misconduct. According to the methodology of interpretative sociology, the main factors leading to the deviation of regulatory behavior from the ideal category are mainly from three aspects: purpose calculation, value measurement and traditional trust. In the case of insufficient formal rationality, the appropriateness of local financial supervision can be realized by perfecting the restraint mechanism and cooperation mechanism.
出处
《法学评论》
CSSCI
北大核心
2022年第5期89-100,共12页
Law Review
基金
2021年国家社会科学基金一般项目“经济规制法的精准化实施研究”(项目编号:21BFX203)的阶段性成果。
关键词
监管瑕疵
形式理性
目的理性
价值理性
监管协作
Regulatory Defects
Rational Form
Rational Purpose
Rational Value
Rational Regulatory Cooperation
