《巴塞尔协议Ⅲ》与中国银行业监管研究
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摘要
本论文以《巴塞尔协议III》的修改和颁布为线索，针对《巴塞尔协议III》与我国银行业监管进行了分析。论文围绕《巴塞尔协议III》对我国银行业的影响、构建中国银行业宏观审慎监管制度、跨境银行监管以及巴塞尔协议对我国农村金融监管的影响等方面的内容进行了论述。论文结合中国银行业的发展现状，通过对历次巴塞尔协议主要内容修改的梳理，我国银行业如何在遵循《巴塞尔协议III》的基础上构建有中国特色的宏观审慎监管制度框架、充分发挥银行业在促进经济发展中的重要作用提出了政策建议。
论文的目的在于揭示《巴塞尔协议III》的新变化以及给中国银行业带来的影响，提出《巴塞尔协议III》框架下我国银行监管的新思路。论文采取从理论到实践、由点及面的分析方法。除分析《巴塞尔协议III》对我国银行业监管的影响外，还特别对巴塞尔协议中有关银行资本充足问题、宏观金融审慎监管等热点问题进行了研究。
论文紧密围绕《巴塞尔协议III》与中国银行业监管，分别从资本监管、宏观审慎监管、跨境银行监管等方面，多视角进行了详细分析。论文分析的逻辑顺序是由理论到实践、由国外到国内、由一般金融到农村金融。
论文共分为八章，具体内容如下：
第一章导论。本章主要介绍了论文的研究目的和意义、国内外研究现状、研究方法和思路、结构以及创新之处等方面的情况。
第二章历次《巴塞尔协议》的完善与评价。分别介绍了巴塞尔银行委员会及其评价，并分别对第一版巴塞尔协议、第二版巴塞尔协议和第三版巴塞尔协议从背景、修改进程、内容和影响等几个方面进行了详细介绍，指出了巴塞尔协议对资本监管的发展脉络。
第三章《巴塞尔协议III》对我国银行业监管的影响。结合《巴塞尔协议III》的新修改情况及其对我国银行业监管的影响进行了分析。从巴塞尔协议III对我国银行业监管的积极影响、消极影响，对我国银行指标评价等方面进行了全面论述。此外，还结合有关经济金融指标就巴塞尔协议III对我国宏观金融的影响进行了预测。本章还对系统重要性金融机构的影响进行初步分析。
第四章《巴塞尔协议III》与银行资本监管。从巴塞尔协议的“三大支柱”入手，对巴塞尔协议关于资本监管方面的新规进行了分析，本章对银行资本进行了深入的分析，特别是结合我国银行实际对资本及其监管进行了详细分析，最后对银行监管中的资本与流动性风险管理进行了分析。通过分析认为，作为银行监管的核心，需要通过加强资本监管来提升我国银行业监管的水平。
第五章《巴塞尔协议Ⅲ》与我国银行业宏观审慎监管。本章主要是从金融危机看宏观金融审慎监管，并对宏观金融审慎监管进行了进一步的认识。论文就构建宏观金融审慎监管体系的重要性、具体措施、建立适应中国国情的宏观审慎监管指标体系提出了自己的观点。构建了涵盖盈利能力、营运能力、偿债能力和成长能力等金融机构内部和社会资源、资源效率、产业调整以及收入公平等外部效应的“大而不倒”金融机构评价指标体系。
第六章《巴塞尔协议Ⅲ》与我国农村金融监管。就当前我国农村金融监管领域的问题，比如农村金融监管面临的环境变化、农村金融机构的内部控制、行业自律、财务管理等方面结合巴塞尔协议进行了分析，重点对我国农村金融中的“影子银行”的监测方法、具体措施等前沿问题进行了研究。当前我国农村金融监管中的“影子银行”问题需要引起重视，并有针对性的采取积极措施防范风险。
第七章《巴塞尔协议Ⅲ》与银行跨境监管。主要研究金融监管的国际协调问题，就《巴塞尔协议Ⅲ》下的跨境银行监管的合作、具体措施、主要任务，以及全球金融监管变革等国际金融前沿问题进行了论述。研究结果显示，要使《巴塞尔协议Ⅲ》真正实施，必须通过全球金融监管协调来实现银行跨境监管水平的提升，从而防范金融风险和金融危机的发生。
第八章《巴塞尔协议Ⅲ》下我国银行业监管的政策建议。《巴塞尔协议Ⅲ》对我国银行业的影响是系统性的，围绕资本监管、宏观金融审慎监管、农村金融监管、跨境银行监管等提出了政策建议。
论文创新之处有以下几点：一是围绕《巴塞尔协议Ⅲ》的核心内容，进一步确立了具有中国特色的资本监管制度，创造性地提出了具有中国特色的资本监管构想；二是较为详尽地探讨了我国宏观金融审慎监管的框架体系；三是建立起研究我国系统重要性金融机构的监管指标体系；四是围绕《巴塞尔协议Ⅲ》的新内容，对我国银行业监管中的流动性问题进行了深入研究，提出了一套分析标准和方法；五是本轮金融危机展现了杠杆率与经济周期之间的关系。鉴于金融体系内过高的杠杆率，提出了可以使用的几种杠杆指标监管工具。
论文的结论是：我国银行业的稳定除了现行微观审慎监管外，还需要结合《巴塞尔协议Ⅲ》进一步加强和完善以宏观审慎监管为主要内容的银行监管体系。面对《巴塞尔协议Ⅲ》对银行业控制系统性风险、维护金融系统稳定在资本性指标、流动性指标以及杠杆率指标等方面提出的新监管标准要求，我国金融监管当局需要及时采取对策和相应措施构建我国宏观审慎监管体系。
This paper based on the revision and issue of the Basel agreement Ⅲ for clues to analyzethe regulation of the Basel agreement Ⅲ to China’s banking system, the paper gave acomprehensive analysis around the influence of the Basel agreement Ⅲ to China's bankingindustry, construction of China's banking macro prudent supervision system, cross-borderbank supervision and the influence of the Basel agreement to our rural financial supervision.This paper also regarded building macro prudent supervision as a key content, it analyzed theimportant influence of the Chinese banking stability. Based on the status of the developmentof China's banking industry, through previous main contents of all the Basel agreementsmodified, this paper put forward important opinions and suggestions that the financialregulators should do what on the basis of following the Basel agreement Ⅲ to theconstruction of Chinese macro prudent supervision system framework and full play in thebanking industry to promote the economic development.
The purpose of this paper was to reveal the new changes of the Basel agreement Ⅲ andthe impact to China's banking industry, and put forward new ideas of our country bankingsupervision under the framework of the Basel agreement Ⅲ. The analysis method of paper isfrom theory to practice, and from point to face. This Article not only analyzed the significanceof Basel agreement to strengthen global banking business risk supervision, but also studiedthe problem of banking sufficient capital, macro financial prudent supervision and other hotproblems in the Basel agreement in particular.
This paper had a structure system of focusing on the relationship between the Baselagreement and the Chinese banking regulation. It carried on the detailed analysis from manyaspects and perspectives, such as the capital regulation, macro prudent supervision, andcross-border bank supervision. Logical sequence of this paper is from theory to practice, fromdomestic to foreign and from general finance to rural finance.
Paper is divided into eight chapters, each chapter is as follows:
Chapter1：Introduction.This chapter introduced the paper’s purpose, significance,literature review, research methods and ideas, structure, innovation and so on.
Chapter2：The perfection and evaluation of all previous Basel agreement. It introducedthe Basel committee of bank and its assessment, detailed analyzed the first, second and thirdedition of "Basel agreement" from background, process of modifying, contents and influence,and pointed out the history that Basel agreement supervised capital.
Chapter3：The influence of the Basel agreement Ⅲ on regulation of China's bankingindustry. It analyzed contents combining with the new changes of the Basel agreement Ⅲ andthe effect of regulation on our country’s banking industry.
Chapter4The Basel agreemnet Ⅲ and capital regulation. From "the three pillar" of "theBasel agreement" itanalyzed the capital and its supervision, the bank capital regulation andrisk management under the Basel agreement.As the core of banking supervision, we need tostrengthen capital supervision to enhance the banking supervision level in China.
Chapter5：The Basel agreemnet Ⅲ with the macro financial prudent supervision ofbanking in China. This chapter analyzed macro financial prudent supervision mainly from thefinancial crisis, and make further understanding of the macro financial prudent supervision.The paper proposed own view on the importance, specific measures of the financial macroprudential supervision system, the construction of China's macro prudential supervision indexsystem.At the same time, we tried to construct" too big to fail" financial evaluation indexsystem which covered inner effect (profitability, operation ability, debt paying ability andgrowth ability) and external effect (social resources, resource efficiency, industrialrestructuring and fair income).
Chapter6：The Basel agreemnet Ⅲ and rural financial regulation in China. It analyzedthe current problems of our rural financial supervision,such as rural financial supervisionenvironmental changed, rural financial institution's internal control, industry self-discipline,financial management and other aspects,and more focused on monitoring methods specificmeasures and other problems of " shadow banking" in China's rural finance.It needs to paymore attention on the the "shadow banking" issues in the current rural financial supervisionneed, and take positive measures to against financial risk.
Chapter7：The Basel agreemnet Ⅲ with the bank's cross-border regulation. It mainlystudied the international coordination problem of financial supervision, including thecooperation, specific measures, main task of cross-border bank supervision under the Basel Ⅲ,as well as the global financial regulatory reform.The results showed that the implementationof the Basel agreement Ⅲ need coordinate the global financial regulation to improve thebanking cross-border supervision level, thereby preventing financial risk and financial crisis.
Chapter8：Policy suggestions of China's banking supervision under the Basel agreementⅢ. We put forward policy suggestions from the capital regulation, financial supervision, the rural financial supervision, cross-border banking supervision etc.
The innovation of the paper has the following points: Firstly, around the core content ofthe Basel agreement, it further established Chinese characteristics capital regulation system,and creatively put forward the Chinese characteristics capital regulation. Secondly, it hadmore detailed study on the macroscopic financial prudent supervision system frame. Thirdly,itbuilt China's systematic important regulatory index of financial institutions system. Fourth isaround the new content of Basel Ⅲ, it presented a set of criteria and methods after thoroughresearch on the liquidity problem in China's banking supervision. Fifth is based on thebackground that the financial crisis showed relationship between the leverage and economiccycle. It proposed several lever indicator regulatory tools, in view of excessive leverage innerfinancial system.
The conclusions of this paper are: in addition to the current micro prudent supervision, itneeds further strengthen and improve the bank supervision system in which the main contentis macro prudent supervision for the stability of China's banking industry with the Baselagreement Ⅲ. To deal with the Basel agreement Ⅲ’s new tasks which are the capital index,fluidity index and leveraged index for controlling systemic risk and keeping the financialsystem stability, our financial regulatory authorities need to take correspondingcountermeasures to build China's macroeconomic prudent supervision system.
论文的目的在于揭示《巴塞尔协议III》的新变化以及给中国银行业带来的影响，提出《巴塞尔协议III》框架下我国银行监管的新思路。论文采取从理论到实践、由点及面的分析方法。除分析《巴塞尔协议III》对我国银行业监管的影响外，还特别对巴塞尔协议中有关银行资本充足问题、宏观金融审慎监管等热点问题进行了研究。
论文紧密围绕《巴塞尔协议III》与中国银行业监管，分别从资本监管、宏观审慎监管、跨境银行监管等方面，多视角进行了详细分析。论文分析的逻辑顺序是由理论到实践、由国外到国内、由一般金融到农村金融。
论文共分为八章，具体内容如下：
第一章导论。本章主要介绍了论文的研究目的和意义、国内外研究现状、研究方法和思路、结构以及创新之处等方面的情况。
第二章历次《巴塞尔协议》的完善与评价。分别介绍了巴塞尔银行委员会及其评价，并分别对第一版巴塞尔协议、第二版巴塞尔协议和第三版巴塞尔协议从背景、修改进程、内容和影响等几个方面进行了详细介绍，指出了巴塞尔协议对资本监管的发展脉络。
第三章《巴塞尔协议III》对我国银行业监管的影响。结合《巴塞尔协议III》的新修改情况及其对我国银行业监管的影响进行了分析。从巴塞尔协议III对我国银行业监管的积极影响、消极影响，对我国银行指标评价等方面进行了全面论述。此外，还结合有关经济金融指标就巴塞尔协议III对我国宏观金融的影响进行了预测。本章还对系统重要性金融机构的影响进行初步分析。
第四章《巴塞尔协议III》与银行资本监管。从巴塞尔协议的“三大支柱”入手，对巴塞尔协议关于资本监管方面的新规进行了分析，本章对银行资本进行了深入的分析，特别是结合我国银行实际对资本及其监管进行了详细分析，最后对银行监管中的资本与流动性风险管理进行了分析。通过分析认为，作为银行监管的核心，需要通过加强资本监管来提升我国银行业监管的水平。
第五章《巴塞尔协议Ⅲ》与我国银行业宏观审慎监管。本章主要是从金融危机看宏观金融审慎监管，并对宏观金融审慎监管进行了进一步的认识。论文就构建宏观金融审慎监管体系的重要性、具体措施、建立适应中国国情的宏观审慎监管指标体系提出了自己的观点。构建了涵盖盈利能力、营运能力、偿债能力和成长能力等金融机构内部和社会资源、资源效率、产业调整以及收入公平等外部效应的“大而不倒”金融机构评价指标体系。
第六章《巴塞尔协议Ⅲ》与我国农村金融监管。就当前我国农村金融监管领域的问题，比如农村金融监管面临的环境变化、农村金融机构的内部控制、行业自律、财务管理等方面结合巴塞尔协议进行了分析，重点对我国农村金融中的“影子银行”的监测方法、具体措施等前沿问题进行了研究。当前我国农村金融监管中的“影子银行”问题需要引起重视，并有针对性的采取积极措施防范风险。
第七章《巴塞尔协议Ⅲ》与银行跨境监管。主要研究金融监管的国际协调问题，就《巴塞尔协议Ⅲ》下的跨境银行监管的合作、具体措施、主要任务，以及全球金融监管变革等国际金融前沿问题进行了论述。研究结果显示，要使《巴塞尔协议Ⅲ》真正实施，必须通过全球金融监管协调来实现银行跨境监管水平的提升，从而防范金融风险和金融危机的发生。
第八章《巴塞尔协议Ⅲ》下我国银行业监管的政策建议。《巴塞尔协议Ⅲ》对我国银行业的影响是系统性的，围绕资本监管、宏观金融审慎监管、农村金融监管、跨境银行监管等提出了政策建议。
论文创新之处有以下几点：一是围绕《巴塞尔协议Ⅲ》的核心内容，进一步确立了具有中国特色的资本监管制度，创造性地提出了具有中国特色的资本监管构想；二是较为详尽地探讨了我国宏观金融审慎监管的框架体系；三是建立起研究我国系统重要性金融机构的监管指标体系；四是围绕《巴塞尔协议Ⅲ》的新内容，对我国银行业监管中的流动性问题进行了深入研究，提出了一套分析标准和方法；五是本轮金融危机展现了杠杆率与经济周期之间的关系。鉴于金融体系内过高的杠杆率，提出了可以使用的几种杠杆指标监管工具。
论文的结论是：我国银行业的稳定除了现行微观审慎监管外，还需要结合《巴塞尔协议Ⅲ》进一步加强和完善以宏观审慎监管为主要内容的银行监管体系。面对《巴塞尔协议Ⅲ》对银行业控制系统性风险、维护金融系统稳定在资本性指标、流动性指标以及杠杆率指标等方面提出的新监管标准要求，我国金融监管当局需要及时采取对策和相应措施构建我国宏观审慎监管体系。
This paper based on the revision and issue of the Basel agreement Ⅲ for clues to analyzethe regulation of the Basel agreement Ⅲ to China’s banking system, the paper gave acomprehensive analysis around the influence of the Basel agreement Ⅲ to China's bankingindustry, construction of China's banking macro prudent supervision system, cross-borderbank supervision and the influence of the Basel agreement to our rural financial supervision.This paper also regarded building macro prudent supervision as a key content, it analyzed theimportant influence of the Chinese banking stability. Based on the status of the developmentof China's banking industry, through previous main contents of all the Basel agreementsmodified, this paper put forward important opinions and suggestions that the financialregulators should do what on the basis of following the Basel agreement Ⅲ to theconstruction of Chinese macro prudent supervision system framework and full play in thebanking industry to promote the economic development.
The purpose of this paper was to reveal the new changes of the Basel agreement Ⅲ andthe impact to China's banking industry, and put forward new ideas of our country bankingsupervision under the framework of the Basel agreement Ⅲ. The analysis method of paper isfrom theory to practice, and from point to face. This Article not only analyzed the significanceof Basel agreement to strengthen global banking business risk supervision, but also studiedthe problem of banking sufficient capital, macro financial prudent supervision and other hotproblems in the Basel agreement in particular.
This paper had a structure system of focusing on the relationship between the Baselagreement and the Chinese banking regulation. It carried on the detailed analysis from manyaspects and perspectives, such as the capital regulation, macro prudent supervision, andcross-border bank supervision. Logical sequence of this paper is from theory to practice, fromdomestic to foreign and from general finance to rural finance.
Paper is divided into eight chapters, each chapter is as follows:
Chapter1：Introduction.This chapter introduced the paper’s purpose, significance,literature review, research methods and ideas, structure, innovation and so on.
Chapter2：The perfection and evaluation of all previous Basel agreement. It introducedthe Basel committee of bank and its assessment, detailed analyzed the first, second and thirdedition of "Basel agreement" from background, process of modifying, contents and influence,and pointed out the history that Basel agreement supervised capital.
Chapter3：The influence of the Basel agreement Ⅲ on regulation of China's bankingindustry. It analyzed contents combining with the new changes of the Basel agreement Ⅲ andthe effect of regulation on our country’s banking industry.
Chapter4The Basel agreemnet Ⅲ and capital regulation. From "the three pillar" of "theBasel agreement" itanalyzed the capital and its supervision, the bank capital regulation andrisk management under the Basel agreement.As the core of banking supervision, we need tostrengthen capital supervision to enhance the banking supervision level in China.
Chapter5：The Basel agreemnet Ⅲ with the macro financial prudent supervision ofbanking in China. This chapter analyzed macro financial prudent supervision mainly from thefinancial crisis, and make further understanding of the macro financial prudent supervision.The paper proposed own view on the importance, specific measures of the financial macroprudential supervision system, the construction of China's macro prudential supervision indexsystem.At the same time, we tried to construct" too big to fail" financial evaluation indexsystem which covered inner effect (profitability, operation ability, debt paying ability andgrowth ability) and external effect (social resources, resource efficiency, industrialrestructuring and fair income).
Chapter6：The Basel agreemnet Ⅲ and rural financial regulation in China. It analyzedthe current problems of our rural financial supervision,such as rural financial supervisionenvironmental changed, rural financial institution's internal control, industry self-discipline,financial management and other aspects,and more focused on monitoring methods specificmeasures and other problems of " shadow banking" in China's rural finance.It needs to paymore attention on the the "shadow banking" issues in the current rural financial supervisionneed, and take positive measures to against financial risk.
Chapter7：The Basel agreemnet Ⅲ with the bank's cross-border regulation. It mainlystudied the international coordination problem of financial supervision, including thecooperation, specific measures, main task of cross-border bank supervision under the Basel Ⅲ,as well as the global financial regulatory reform.The results showed that the implementationof the Basel agreement Ⅲ need coordinate the global financial regulation to improve thebanking cross-border supervision level, thereby preventing financial risk and financial crisis.
Chapter8：Policy suggestions of China's banking supervision under the Basel agreementⅢ. We put forward policy suggestions from the capital regulation, financial supervision, the rural financial supervision, cross-border banking supervision etc.
The innovation of the paper has the following points: Firstly, around the core content ofthe Basel agreement, it further established Chinese characteristics capital regulation system,and creatively put forward the Chinese characteristics capital regulation. Secondly, it hadmore detailed study on the macroscopic financial prudent supervision system frame. Thirdly,itbuilt China's systematic important regulatory index of financial institutions system. Fourth isaround the new content of Basel Ⅲ, it presented a set of criteria and methods after thoroughresearch on the liquidity problem in China's banking supervision. Fifth is based on thebackground that the financial crisis showed relationship between the leverage and economiccycle. It proposed several lever indicator regulatory tools, in view of excessive leverage innerfinancial system.
The conclusions of this paper are: in addition to the current micro prudent supervision, itneeds further strengthen and improve the bank supervision system in which the main contentis macro prudent supervision for the stability of China's banking industry with the Baselagreement Ⅲ. To deal with the Basel agreement Ⅲ’s new tasks which are the capital index,fluidity index and leveraged index for controlling systemic risk and keeping the financialsystem stability, our financial regulatory authorities need to take correspondingcountermeasures to build China's macroeconomic prudent supervision system.
引文
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