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> 한국금융법학회 > 금융법연구 > 11권 1호

일본의 금융기관 및 그 임직원에 대한 규제

A Review on Regulations against financial institutions and its officers in Japan

강영기 ( Young Ki Kang )

- 발행기관 : 한국금융법학회

- 발행년도 : 2014

- 간행물 : 금융법연구, 11권 1호

- 페이지 : pp.209-236 ( 총 28 페이지 )


학술발표대회집, 워크숍 자료집 중 1,2 페이지 논문은 ‘요약’만 제공되는 경우가 있으니,

구매 전에 간행물명, 페이지 수 확인 부탁 드립니다.

6,800
논문제목
초록(외국어)
Finance is in a very important position in the national economy, because the stability of the financial markets are important. The most common starting point of efforts to promote the soundness of financial markets is the maintenance of regulatory systems against financial institutions which plays a pivotal role in the financial system. Current sanctions against financial institutions and its employees are being made based on financial related laws, regulations and supervision in Korea. And in the case of Japan, also seems like a form similar to that of Korea. However, the legal basis for the regulation of financial institutions, etc. you can see that there are considerable differences. In case of Korea, the legal basis for sanctions are in the financial services laws, including the Law Committee of the installation based financial supervisory authorities, Banking Act, Insurance Business Act, the Financial Investment Services and Capital Markets Act. And then the kind of sanctions have been regulated specifically. In Japan, on the other hand, for the regulation and supervision of financial institutions by the Financial Services Agency administrative activities are central. However, sanctions on financial institutions for financial services laws and regulations, even if there is no special sanctions regulations, except for its officers sacked command. For the regulation of financial institutions in Japan seems to be through a combination of regulatory supervision of financial institutions and the voluntary efforts of promoting and building management system is stronger than the previous. In a nutshell, Differences in both Korea and Japan are as follows. A Form of regulation for financial institutions in Korea, based on the basis of the provisions of the hard law. But a Form of regulation for financial institutions in Japan, based on the guidelines and instructions and thus can be said to have characterized as the soft law. And reactive forms of regulatory oversight, but collected by the Financial Inspection Manual, and the thoroughness of internal control through proactive system maintenance. A type of the regulation and supervision through these financial manual type, shows that it from the conventional form of administrative guidance by switching to a form of self-regulation that can solve the problem of hard law, there is a need to prepare for the deficiency in the legislative. I believe.

논문정보
  • - 주제 : 사회과학분야 > 법학
  • - 발행기관 : 한국금융법학회
  • - 간행물 : 금융법연구, 11권 1호
  • - 발행년도 : 2014
  • - 페이지 : pp.209-236 ( 총 28 페이지 )
  • - UCI(KEPA) : I410-ECN-0102-2015-300-000456439
저널정보
  • - 주제 : 사회과학분야 > 법학
  • - 성격 : 학술지
  • - 간기 : 연3회
  • - 국내 등재 : KCI 등재
  • - 해외 등재 : -
  • - ISSN : 1738-3706
  • - 수록범위 : 2004–2020
  • - 수록 논문수 : 355