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这节课我们来讲
国际证券监管合作
开展国际证券监管合作
从根本上讲
是证券活动国际化
与证券规制监管国别化
之间的矛盾导致的
从目前来看
国际证券监管合作主要有
双边证券监管合作
和多边证券监管合作
两种形式
我们首先看一下
双边证券监管合作
双边证券监管合作主要通过
签订双边司法协助协定和
双边谅解备忘录来实现
那什么是双边司法协助协定呢
由于双边司法协助协定
对缔约双方具有法律约束力
因此当一缔约方依据协定
提出符合协定的协助请求时
另一缔约方有义务
在约定的民事 刑事等法律事务方面
提供协助
双边司法协助协定通常覆盖范围广泛
涵盖民事和/或刑事等领域
证券违法犯罪的查处以及证券诉讼
一般都属于该类协定可适用的协助范围
因而该类协定即可为缔约双方的司法机关
也可为证券主管机关
提供相互协助的渠道
以有效地保护投资者的合法权益'
打击跨境证券违法犯罪
我们再看一下双边谅解备忘录
证券监管合作谅解备忘录
是有关经济体的证券监管主管机构之间
就相互间证券监管合作事项而签订的
通常不具有法律约束力
的监管合作文件
与双边司法协助协定相比
谅解备忘录具有不同的特征
一方面谅解备忘录
是有关经济体的证券主管机构
而非国际条约缔约主体
专门针对彼此间的证券监管合作事项
所达成的合作文件
灵活性和针对性强
另一方面不构成一项法律文件
在缔约者之间不创设法律上的权利义务
请求方无法获得
法律上的救济
双边谅解备忘录的主要内容通常包括
第一 交换信息
第二 执法合作
第三 监管机构的交流
以及技术援助
多边证券监管合作
多边证券监管合作领域中
最为重要的国际机构
是国际证券监管委员会组织
简称iosco
iosco自成立以来
制定和发布了多项规范性文件
首先我们看一下证券监管的目标与原则
这一原则于1998年9月正式发布
经多次修改
最新修改版是2010年
首先iosco确定的
证券监管三大目标
iosco在证券监管的目标原则中
确定的证券监管的三大目标是
保护投资者
确保市场公平 效率和透明
降低系统风险
二 iosco确定的证券监管的
38项原则
为实现上述监管目标
应在相关法律框架下执行38项原则
对上述三大目标加以解释和说明
从而将三大目标成功转化
为各成员的具体规范措施
架起桥梁
二 外国发行人跨国发行
与首次上市的国际披露准则
为了提高越来越多的发行人
在多个经济体发行 上市的效率
及所信息的披露的可比性
加强投资者保护
iosco发布了外国发行人跨国发行
与首次上市的国际披露准则
准则由两部分构成
第一部分在载明国际披露准则
以供公司在其股票
跨国公开发行 上市和买卖时适用
第二部分规定了
不宜纳入第一部分的披露问题
主要是以列举方式
阐述有关国家的特别规定
三 关于磋商合作
和信息交流
多边谅解备忘录
这一备忘录于2002年5月
由iosco通过
备忘录的优势在于
一经济体的证券监管机构
一旦成为备忘录的签字方
就等于同时与其他签字方签订了
内容相同的双边合作谅解备忘录
从而免去
签署多个双边谅解备忘录的繁琐和低效
提高查处跨境证券
违法犯罪行为的效果
好 我们就讲到这 谢谢
-1.1 Concepts and Characteristics of International Economic Law
--Concepts and Characteristics of International Economic Law
--Concepts and Characteristics of International Economic Law-PPT
-1.2 Subject of International Economic Law
--Subject of International Economic Law
--Subject of International Economic Law-PPT
-1.3 Origin of International Economic Law
--Origin of International Economic Law
--Origin of International Economic Law-PPT
-1.4 Basic Principles of International Economic Law
--Basic Principles of International Economic Law
--Basic Principles of International Economic Law-PPT
-Chapter I Exercises
-2.1 Changes and Developments in International Economic Law
--Changes and Developments in International Economic Law
--Changes and Development of International Economic Law-PPT
-2.2 International Economic Law and Reform of International Economic Order
--International Economic Law and Reform of International Economic Order
--Reform of International Economic Law and International Economic Order-PPT
-Chapter II Exercises
-3.1 International Conventions on International Sale of Goods
--International Conventions on International Sale of Goods
--International Conventions on International Sale of Goods-PPT
-3.2 International Trade Terms
--International Trade Terms-PPT
-3.3 Establishment of International Goods Sale and Purchase Contract
--Establishment of International Goods Sale and Purchase Contract
--Establishment of International Goods Sale and Purchase Contract-PPT
-3.4 Rights and Obligations of International Parties
--Rights and Obligations of International Parties
--Rights and Obligations of International Parties-PPT
-3.5 Remedy for Breach of Contract for International Goods Sales
--Remedy for Breach of Contract for International Goods Sales
--Remedy for Breach of Contract for International Goods Sales -PPT
-Chapter III Exercises
-4.1 International Maritime Transport Documents
--International Maritime Transport Documents
--International Maritime Transport Documents-PPT
-4.2 International Convention on Liner Transportation
--International Convention on Liner Transportation
-- International Convention on Liner Transportation-PPT
-4.3 Other Legal Systems for International Cargo Transportation
--Other Legal Systems for International Cargo Transportation
--Other Legal Systems for International Cargo Transportation-PPT
-4.4 International Cargo Transportation Insurance Legal System
--International Cargo Transportation Insurance Legal System
-- International Cargo Transportation Insurance Legal System-PPT
-Chapter IV Exercises
-5.1 International Trade Payment Tools
-- International Trade Payment Tools
--International Trade Payment Tools-PPT
-5.2 Remittance and Collection
--Remittance and Collection-PPT
-5.3 Letter of Credit
-Chapter V Exercises
-6.1 International Trade Treatment
--International Trade Treatment
--International Trade Treatment-PPT
-6.2 Tariffs and related systems
-- Tariffs and related systems-PPT
-6.3 Non-tariff measures
-6.4 Trade Remedies
-Chapter VI Exercises
-International Service Trade Rules
-International Service Trade Rules-PPT
-Chapter VII Exercises
-8.1 International Protection of Intellectual Property
-- International Protection of Intellectual Property
-- International Protection of Intellectual Property-PPT
-8.2 Technology Trade and Its Management
--Technology Trade and Its Management
--Technology Trade and Its Management-PPT
-Chapter VIII Exercises
-Legal Forms of International Investment
-Legal Forms of International Investment-PPT
-Chapter IX Exercises
-Domestic Legal System of International Investment
-Domestic Legal System of International Investment-PPT
-Chapter X Exercises
-11.1 Promotion and protection of multilateral investment agreements
--Promotion and protection of multilateral investment agreements
--Promotion and protection of multilateral investment agreements-PPT
-11.2 Investment Rules of Bilateral Investment Treaties and Regional Agreements
--Investment Rules of Bilateral Investment Treaties and Regional Agreements
--Investment Rules of Bilateral Investment Treaties and Regional Agreements-PPT
-Chapter XI Exercises
-International Monetary Law-PPT
-Chapter XII Exercises
-International Banking Supervision
-Chapter XIII Exercises
-International Banking Supervision-PPT
- International Securities Regulatory Cooperation
- International Securities Regulatory Cooperation-PPT
-Chapter XIV Exercises
-15.1 Tax jurisdiction
-15.2 International Double Taxation
--International Double Taxation
--International Double Taxation-PPT
-15.3 International Tax Agreement
-- International Tax Agreement
-- International Tax Agreement-PPT
-15.4 Coordination of Taxation of Transnational Income and Elimination of International Double
--Coordination of Taxation of Transnational Income and Elimination of International Double
--Coordination of Taxation of Transnational Income and Elimination of International Double-PPT
-Chapter XV Exercises
-16.1 International Tax Evasion and Tax Avoidance
--International Tax Evasion and Tax Avoidance
--International Tax Evasion and Tax Avoidance-PPT
-16.2 Methods of Regulating International Tax Evasion and Avoidance
--Methods of Regulating International Tax Evasion and Avoidance
--Methods of Regulating International Tax Evasion and Avoidance-PPT
-Chapter XVI Exercises
-17.1 International Economic and Trade Dispute Resolution Law
--International Economic and Trade Dispute Resolution Law
--International Economic and Trade Dispute Resolution Law-PPT
-17.2 WTO Dispute Settlement Mechanism
--WTO Dispute Settlement Mechanism
--WTO Dispute Settlement Mechanism-PPT
-Chapter XVII Exercises
-Final Examination