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Study on the Mode of Financial Regulatory Body

Author: LinDeSheng
Tutor: WuJianYi
School: Ningbo University
Course: Economic Law
Keywords: Financial Regulatory Regulation of the main Supervisionright Power supervision
CLC: D922.28
Type: Master's thesis
Year: 2013
Downloads: 1
Quote: 0
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Abstract


Financial regulatory body as the major players of the financial regulatory activities in differentcountries have different patterns, and different modes in different economic environments havedifferent regulatory effects. This paper will discuss and analyze the regulatory body set up in themain mode of financial regulation, the regulatory body of the efficiency of supervision and theregulatory body custody of internal control and external supervision,then put forwardrecommendations to improve our regulatory body mode. The article is divided into the followingfour parts:The first part is mainly about the financial regulatory body model concept and a briefintroduction of the right to financial regulation, financial regulation and financial supervision mode.Then the difference between the Financial Supervision financial regulatory body mode will bepointed out. And then from the theory of regulatory powers of regulatory supervision, cost theory,the regulatory body of game theory, the paper analyzes the selection basis of the mode of thefinancial regulatory body.Under the selection basis of the mode of the financial regulatory body,the second partconducts a comparative study between the UK and Japan with a unified regulatory body mode, aswell as the United States and France with a separately regulatory body mode.The paper come to aconclusion that the selection of regulatory body mode should be based on country-specificeconomic environment, the cost of regulation and regulatory efficiency. By comparing thedifferences between the different regulatory body mode, it analyze and summarize the systemtheory that provides reference for our country.The third part introduces the evolution of China’s financial regulatory body mode from theunified body mode to the separate regulatory body mode, analyzes the problems that existing inthe current financial regulatory body regulatory,such as low efficiency, increased regulatory costs,the failure of the regulatory body’s coordination and regulation and inadequacy in internal controlof financial regulatory powers and external oversight mechanisms and holds that the reform ofChina’s financial regulatory body mode mainly include the shift in regulatory philosophy,regulatory body’s adaptation between the rights and responsibilities and the shift from the mainmode transition to the unified model.The fourth part puts forward that the options of a unified regulatory body mode is theinevitable result of the impact of the internal and external environmental, aiming at the improvement of our financial regulatory body model and China should establish a comprehensivesupervision of the financial sector regulatory body. The path to establish a unified body should bebased on strengthening coordination and cooperation,establishing the legal status of a unifiedregulatory body by legislation, and finally merging the existing regulatory body to set up a unifiedregulatory body. For the control problem of monitoring the concentration of power, the paper putsforward that we should control from the set of supervision right, the exercise of regulatory powers,the liability and remedies of the illegal use of the supervision right, as well as the externalgoverning of the supervision right.

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