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International Securities Regulatory Cooperation课程教案、知识点、字幕

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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

International Economic Law课程列表:

Chapter I Basic Theory of International Economic Law

-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

-Chapter I Discussion

Chapter II the Changing of International Economic Law and International Economic Order

-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

-Chapter II Discussion

Chapter III Law on Contracts for the International Sale of Goods

-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

--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

-Chapter III Discussion

Chapter IV International Cargo Transportation and Insurance Law

-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

-Chapter IV Discussion

Chapter V International Trade Payment Law

-5.1 International Trade Payment Tools

-- International Trade Payment Tools

--International Trade Payment Tools-PPT

-5.2 Remittance and Collection

--Remittance and Collection

--Remittance and Collection-PPT

-5.3 Letter of Credit

--Letter of Credit

--Letter of Credit-PPT

-Chapter V Exercises

-Chapter V Discussion

Chapter VI International Goods Trade Management Law

-6.1 International Trade Treatment

--International Trade Treatment

--International Trade Treatment-PPT

-6.2 Tariffs and related systems

--Tariffs and related systems

-- Tariffs and related systems-PPT

-6.3 Non-tariff measures

--Non-tariff measures

--Non-tariff measures-PPT

-6.4 Trade Remedies

-- Trade Remedies

-- Trade Remedies-PPT

-Chapter VI Exercises

-Chapter VI Discussion

Chapter VII International Service Trade Rules

-International Service Trade Rules

-International Service Trade Rules-PPT

-Chapter VII Exercises

-Chapter VII Discussion

Chapter VIII International Intellectual Property Protection and Technology Trade Management Law

-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

-Chapter VIII Discussion

Chapter IX Legal Forms of International Investment

-Legal Forms of International Investment

-Legal Forms of International Investment-PPT

-Chapter IX Exercises

-Chapter IX Discussion

Chapter X Domestic Legal System of International Investment

-Domestic Legal System of International Investment

-Domestic Legal System of International Investment-PPT

-Chapter X Exercises

-Chapter X Discussion

Chapter XI International Legal System for Investment Promotion and Protection

-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

-Chapter XI Discussion

Chapter XII International Monetary Law

-International Monetary Law

-International Monetary Law-PPT

-Chapter XII Exercises

-Chapter XII Discussion

Chapter XIII International Banking Supervision

-International Banking Supervision

-Chapter XIII Discussion

-Chapter XIII Exercises

-International Banking Supervision-PPT

Chapter XIV International Securities Regulatory Cooperation

- International Securities Regulatory Cooperation

- International Securities Regulatory Cooperation-PPT

-Chapter XIV Discussion

-Chapter XIV Exercises

Chapter XV Tax Jurisdiction and Avoidance of International Double Taxation

-15.1 Tax jurisdiction

--Tax jurisdiction

--Tax jurisdiction-PPT

-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 Discussion

-Chapter XV Exercises

Chapter XVI Prevention of International Tax Evasion and Tax Avoidance

-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 Discussion

-Chapter XVI Exercises

Chapter XVII Settlement of International Economic and Trade Disputes

-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 Discussion

-Chapter XVII Exercises

Examination

-Final Examination

International Securities Regulatory Cooperation笔记与讨论

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