金融法（双语）第九章国际金融法律制度

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1、第九章国际金融法律制度一、国际金融市场的准入二、国际银行业监管三、国际证券业监管第九章国际金融法律制度一、国际金融市场的准入1.WTO体系下的金融市场准入GATS（服务贸易总协定）：跨境提供（cross-bordersupply）、境外消费（consumptionabroad）、商业存在（commercialestablishment）、自然人移动（movementofnaturalpersons）金融服务附件：针对金融业的特点和需要而制定金融承诺表：记载WTO各成员方在金融服务贸易方面对市场准入和国民待遇的承诺以及附加承诺2.中国金融市场

2、对外准入制度市场准入限制国民待遇限制超出承诺：QFII（QualifiedForeignInstitutionalInvestor）《合格境外机构投资者境内证券投资管理暂行办法》2002年第九章国际金融法律制度一、国际金融市场的准入3.案例China–CertainMeasuresAffectingElectronicPaymentServicesFacts:(1)ChinaimposesmarketaccessrestrictionsandrequirementsonservicesuppliersofotherMembersseekin

3、gtosupplyelectronicpaymentservicesinChina.(2)ChinaUnionPay("CUP"),aChineseentity,istheonlyentitythatChinapermitstosupplyelectronicpaymentservicesforpaymentcardtransactionsdenominatedandpaidinrenminbi("RMB")inChina.(3)ChinaalsorequiresthehandlingbyCUPofallRMBtransactionsinM

4、acaoorHongKongusingpaymentcardsissuedinMainlandChina,aswellasanyRMBtransactionsinMainlandChinausingRMBpaymentcardsissuedinHongKong,ChinaorMacao,China.(4)Chinarequiresallpaymentcardprocessingdevicesatmerchantlocations,allautomatedtellermachines("ATMs"),andallpoint-of-sale("

5、POS")terminalsinChinatobecompatiblewithCUP'ssystemandcapableofacceptingCUPpaymentcards.ChinaalsorequiresthatallacquiringinstitutionsposttheCUPlogoandbecapableofacceptingallpaymentcardsbearingtheCUPlogo.Chinafurtherrequiresthatallpaymentcards,including"dualcurrency"cards,is

6、suedinChinacapableofbeingusedfortransactionsdenominatedandpaidinRMBbeartheCUPlogo.(5)Chinaalsorequiresthatallcross-bankorinter-banktransactionsinvolvingpaymentcardsbehandledthroughCUP,andprohibitstheuseofnon-CUPpaymentcardsforcross-regionorcross-bankorinter-banktransaction

7、s.第九章国际金融法律制度一、国际金融市场的准入3.案例China–CertainMeasuresAffectingElectronicPaymentServicesOpinionsofTheUnitedStatesofAmerica:(1)ThemeasuresfailtokeepconsistencywithChina'sobligationsunderGATSArticlesXVI,XVI:2andXVII.(2)Themeasuresalsoappeartonullifyorimpairthebenefitsaccruingtoth

8、eUnitedStatesdirectlyorindirectlyunderthecitedagreements.(3)Accordingly,theUnitedStatesre