| 摘要: |
| 金融服务相互承认制度在国际金融领域的治理历史中曾经起到重要作用。在 GATS框架下，金融服务相互承认制度被看作最惠国待遇的例外，被认为是一成员方积极主动一体化的办法。然而，GATS最惠国待遇若干问题导致金融服务相互承认制度作为例外作用较小。CPTPP修复了部分最惠国待遇的漏洞并修改条款，希望各成员方更加积极推动相互承认。与此同时，在金融市场碎片化的背景下，跨国监管组织也发布文件支持推动金融服务相互承认制度。金融服务相互承认制度尽管面临着监管差异与谈判困难的问题，但可以增加流动性、提高中小企业出海效率，并帮助上海、大湾区等地建设国际金融中心。有鉴于此，中国应当推进金融服务相互承认条约的谈判，利用好 CPTPP成员方的小圈子，选择重点城市作为试点实施这些规则。 |
| 关键词: 相互承认 CPTPP 国际金融 国际经济法 GATS |
| DOI： |
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| 基金项目: |
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| On the Mutual Recognition System of Financial Services under the CPTPP Framework and China’s Response |
| YANG Limin,SUN Zhaohang |
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| Abstract: |
| Mutual recognition regimes for financial services have played an important role in the history of governance in the area of international finance. Under the GATS framework, MRAs for financial services are seen as an exception to MFN treatment and are considered as proactive integration approach for one member. However, a number of problems with MFN during the GATS period lad to a lesser role for MFS as an exception, and the CPTPP fixes some of the MFN loopholes and modifies its provisions in the hope that members will more actively promote mutual recognition. At the same time, in the context of financial market fragmentation, cross-border regulatory organizations have issued papers to support the promotion of MRAs for financial services. Mutual recognition of financial services, despite regulatory differences and negotiation difficulties, can increase liquidity, improve the efficiency of SMEs going global, and help build international financial centers in places such as Shanghai and the Greater Bay Area. In light of this, China should move forward with the negotiation of a Mutual Recognition Treaty for financial services, take advantage of the small circle of CPTPP members, and select key cities as pilots to implement these rules. |
| Key words: mutual recognition CPTPP international finance international economic law GATS |
