OECD监管影响分析:国际经验与中国借鉴

监管影响分析制度,意在帮助政府评估监管产生的影响,从而提高监管质量.监管影响分析制度建立与完善,为各国政府进行监管改革提供了基础.截至2008年,OECD所有成员国家都已建立并贯彻了监管影响分析.OECD的国际经验,对于中国立法评估具有现实的指导意义.我们应该在充分学习与借鉴基础上,建立一套符合中国实际国情的立法评估制度.     

我国煤矿企业监管模式新探讨

在向市场经济转型的过程中,国家的作用不是缩小了,而是改变了治理模式,中国正在从全能型国家向监管型国家转变。近几年,我国煤矿矿难时有发生,显示着中国的煤炭行业陷入了一个怪圈:矿难——整顿——矿难,如此不断地循环往复,而造成这种怪圈循环最根本的原因是煤矿企业的监管模式问题,要促进煤矿行业的有序安全生产,更好地维护市场经济秩序,中国的煤炭行业务必要在监管模式上下功夫。     

OECD国家企业年金投资监管模式研究及对我国的借鉴

目前我国企业年金投资监管模式为定量监管模式,制约了企业年金投资收益的增长空间,使得投资风险集中,投资组合缺乏差异。本文通过对OECD国家的企业年金投资监管模式进行绩效评价与趋势分析,给出了我国企业年金投资监管模式选择的建议。     

我国市场综合监管的理念创新与实现路径CSSCI

2018年3月,中央印发了《深化党和国家机构改革方案》,明确组建国家市场监督管理总局实行统一市场监管,拉开了我国市场综合监管的序幕。本文对我国综合监管改革前市场监管的理念进行了多方面的剖析,对具备先进监管经验的美国的食品药品领域市场监管立法、机构设置、监管模式进行了研究,在此基础上提出,在建构我国市场综合监管改革的理念时应注重精准监管、注重风险防控、注重事中事后监管并适当引入柔性监管方式,从而最终达到市场在社会资源配置中起到决定性作用。     

金融

银监会酝酿五大法规； 案件治理建立长效机制；我国主要金融机构不良贷款继续实现“双降”；银监会提出用三年时间消除城市信用社风险隐患；央行要求有步骤地推进人民币汇率改革；分类监管将是银行业有效监管的必然选择。     

国有资本的公司化运营及其监管体系催生

组建国有资本投资运营公司的前提是国有企业的分类改革与混合所有制改革,以及建立有效的治理机制。未来的国有资本监管体制将由国有资本管理体制和国有企业监管体制两部分构成。国有资本管理体制侧重于国有资本运营和管理的市场化措施和手段。在未来的国有企业监管体制下,公益类国有企业主要通过政府的行业监管来实现,功能类国有企业通过产业政策实现扶持和引导,竞争类国有企业通过竞争政策和反垄断法来宏观协调。应建立一个综合的国有资本管理机构来负责我国的经营性国有资产和国有企业的监管和运营。     

公司治理与银行监管有效性

近年来随着世界范围内金融危机的不断发生，世界各国越来越重视对金融风险的防范和管理，公司治理问题也得到了广泛的关注。良好的公司治理对银行有效监管的重要之处在于良好的公司治理可以增加对银行利益相关者的激励，是银行监管达到令人满意状态的关键因素，也是有效银行监管的一个先决条件。本文在介绍公司治理内涵和治理机制的基础上，分析了银行公司治理和银行监管有效性的关系，提出了增强监管有效性的银行公司治理的建议。     

西方国家金融监管的实践及其对我国的启示

银监会成立后，我国正式形成了分业监管和机构性监管的监管格局，与国际统一、功能性监管的趋势相背离。在监管理念、法律建设及金融服务等方面与西方国家存在着较大的差距。在新形势下如何进行有效监管，借鉴西方国家金融监管的有益经验，摒弃其不足，使我国金融业平稳健康有序的发展，并能在国际上与列强展开竞争，赢得一席之地，是我国面临的重大课题。     

证券自律监管的国际比较与我国证券自律监管体制的完善

证券自律监管是证券监管体系的重要组成部分,考察成熟市场经济体制国家的证券监管体制,以交易所、各种证券业协会为主体力量构成的自律监管都在证券市场监管中占有重要地位。在我国证券自律监管体制下,无论是证券业协会还是沪深证券交易所,都存在诸多缺陷,建议通过健全自律监管组织治理结构、强化监管职权、建立监管协调机制等措施加以完善。     

建立国有商业银行全面监管新模式

以完善公司治理为核心的国有商业银行改革正在如火如荼地进行。2005年，监管当局将继续加强对中国银行、中国建设银行改革的指导、督促和考核，积极推动中国工商银行改革，进一步加强对中国农业银行内部改革的指导，以风险监管为本，坚持依法、审慎、持续、有效的监管原则，实施分类考核、差别监管的全面监管新模式，提高风险监管的前瞻性、客观性和全面性。     

经合组织国家管制改革的新发展

OECD国家的管制改革几经更迭，上世纪70年代末以放松管制为主，90年代初期出现了“再管制”回流，90年代末，管制改革转向提高管制质量，并建立了“管制质量”改革的基本框架，通过机制、标准、参与、工具等制度的建设，“管制质量”改革取得了良好成效。     

Regulatory Policy: OECD Experience and Evidence

In the past 20 years a key topic of public-sector reform inOECD countries has been the emergence of regulatory policy.During this period, the nature of regulation has undergone profoundand rapid change. This paper reviews the development of regulatorypolicy in OECD countries over the last quarter-century. It identifiesa range of tools and institutions that have been used by OECDcountries to develop high-quality regulation. The analysis attemptsto show that while there is considerable commonality on broadobjectives of regulatory policy, considerably diversity remainsin the implementation of regulatory policy across OECD countries. Footnotes ¹ E-mail address: nikolai.malyshev{at}oecd.org     

How Good Is Corporate Governance in China？

Based on the revised OECD Principles of Corporate Governance of 2004 and China＇s regulatory framework, we develop a corporate governance index （ CGI） to measure overall corporate governance and disclosure practices of the 100 largest listed companies in China. The results show that Chinese companies have been making progress in corporate governance reform and there is significant difference in CGI between the top and the bottom companies＇ performance. Among the six parts of CGl, Chinese listed companies perform better in disclosure and transparency, but show weakness in board of supervisor and stakeholders roles. Further tests show that the improvements in corporate governance of state-owned enterprises have resulted in some initial signs of success.     

How successfully China has applied the OECD principles of corporate governance: a critical assessment

This paper attempts to critically analyze how successful China has been in applying the OECD principles of corporate governance. In doing so, assessment has been made in light of the six core issues of the OECD principles. A satisfactory level of progress has been noted in China’s legal and regulatory framework since the 1990s. New laws, regulations, and rules have been enacted, existing ones have been amended, and all the required institutions have been built accordingly in order to ensure good corporate governance practices in the country. However, there are still bottlenecks in terms of the enforcement of these laws, regulations, and rules mainly due to the various structural limitations in the Chinese administration and judiciary. The paper argues that China should now move forward with an accelerated enforcement agenda in the area of corporate governance in order to make China Inc. more competitive and sustainable.     

公用事业规制体系运行机理及其下一步

发展中国家的公用事业规制体系在规制机构的"有限性"、规制机构的独立性、规制机构结构设计、规制激励等方面存在困境。构建适宜的发展中国家公用事业规制体系,应着力提升规制机构能力,依据人力资源水平、规制承诺水平状况选择合适的规制治理模式,合理确定规制机构的自由裁量权水平,构建完善的规制激励机制。设计我国的公用事业规制体系,应使其与制度禀赋相匹配,考虑规制政策模式的选择以及各规制政策的权衡。     

日本规制改革最新进展评析——基于PMR综合指数的观察

日本自20世纪80年代末起展开了规制改革,至今仍在不断推进之中。为了跟踪并考察规制改革绩效,从1998年开始,OECD建立起了PMR综合指标评价体系,以评估各国的规制改革状况。利用OECD(经合组织)的PMR指数观察日本规制改革的最新进展,结果发现:日本的规制改革已初见成效,但是改革的速度在放慢,其路径依赖和选择性改革的特征比较明显。     

Information technology and competitive advantage: Lessons from the developed countries

The paper focuses on developed countries, arguing that when used effectively information technology (IT) brings gains in the form of better product quality, greater flexibility and speed, and first-mover advantage; the cost-reducing impact of IT is of secondary importance. The Organization for Economic Cooperation and Development (OECD) experience with IT has been mixed and often disillusioning. OECD nations, with their well-developed technological infrastructures, national computer and telecommunications industries and substantial resources, have failed to develop universal rules for applying IT successfully. The obstacles are managerial and regulatory, not technological. Unpreparedness by companies, regulatory barriers and a lack of standards all tend to inhibit diffusion of IT.     

美国金融监管改革法案对公司治理的影响

美国金融监管改革法案主要针对金融业,但法案中的许多内容涉及到公司治理的变革,诸如董事选举、代理权取得、董事会构成、董事会风险委员会以及经纪人投票等新规定,这些将不可避免地影响美国的金融机构以及众多上市公司的公司治理。     

Commercial bank lending to developing countries: Supply constraints

Middle-income developing countries rely heavily on commercial bank borrowing for the bulk of their financing requirements, but borrowing from this source cannot be projected with confidence. Privately owned financial institutions are subject to a number of capital and regulatory constraints which can adversely affect (will heavily influence) the level and direction of future lending to developing countries. Moreover, the volatility and short-term character of commercial bank lending suggests an urgent need to reduce the role of commercial banks in recycling the OECD and OPEC surplus, and to create new mechanisms designed to ensure more stable and longer term sources of capital to developing countries.     

Foreign debt,global liquidity,and fiscal sustainability

We empirically investigate fiscal sustainability by comparing countries in the different economic groups with a dataset covering 180 countries during the period from 1980 to 2015. As the OECD countries have higher international debt ratio than other countries, they have higher probability to be exposed to global risk factors. Non-OECD countries turn out to be more fiscally solvent than OECD countries due to their limited access to international financial market. However, we also find that better access to international liquidity increases fiscal sustainability within the sample of OECD countries, while it does not improve the fiscal solvency in case of non-OECD countries.