金融集团监管信息共享的基本原则与国际立法

实现金融集团的监管信息在监管部门之间跨行业地交流和跨国界地共享,是国际金融监管组织如巴塞尔银行监管委员会、国际证券联合会和国际保险监管协会多年来努力追求的目标。他们在《银行业与证券业监管者之间的信息交流》、《监管信息共享的基本原则》和《信息共享的十项原则》等一系列文件中,提出了各国金融监管部门在金融集团监管的信息共享方面应遵循的基本原则和国际规则。深入地研究这些国际立法和基本原则,对我国建立有关金融集团监管信息共享的法律制度具有现实意义。

Principles On the Sharing of Financial Conglomerate Supervisory Information and the Relevant International Legislation

It is years' desirous goal of international financial supervisory organizations such as Basle Committee, IOSCO and IAIS to realize the cross-section and cross-border exchanges and sharing of financial conglomerate supervisory information between supervisory authorities. They put forward the basic principles and international rules in such documents as Exchanges of Information Between Banking and Securities Supervisors(April 1990),The Principles for Supervisory Information Sharing (February 1999) and The Ten Key Principles on Information Sharing for the member states' supervisory authorities to regulate their financial conglomerate in information sharing. It is of realistic value for us to make a deep study of international legislation and basic principles and to help establish China's relevant legal regime of financial conglomerate information sharing.