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国际证监会组织(IOSCO)若干法律问题研究(上)

  [25] See Uri Geiger, Harmonization of Securities Disclosure Rules in the Global Market—A Proposal, Stanford Law Review, Vol.48, November, 1995, pp.85-95.  Also see Marc I. Steinberg and Lee E. Michaels, Disclosure in Global Offerings: Analysis of Jurisdictional Approaches, Commonality and Reciprocity, Michigan Journal of International Law, Vol. 20, Winter, 1999, pp.238—248.
  [26]除了主要采取协商一致的决策机制外,在部分事项上IOSCO也采取一会员一票多数同意表决(Majority Rule)等机制。例如,根据IOSCO章程的第21(1)条的规定,IOSCO章程的修改需经参加会议的有表决权的三分之二以上多数通过。See David Zaring, International Law by Other Means: The Twilight Existence of International Financial Regulatory Organizations,Texas International Law Journal,Vol.33, Spring, 1998, pp.302-303.
  [27] IOSCO的协商一致决策机制并非是一种尽善尽美的决策机制,也存在着一定的缺陷,有关于此的详细论述,请参见本章第七节。
  [28] See An Act Respecting the International Organization of Securities Commissions, ch. 143, 1987 L.Q. 2424, 2437-38 (Canada).
  [29] See IOSCO, IOSCO Annual Report 2003, At http://www.iosco.org/annual_report/pdf/IOSCO_Annual_Report_03.pdf, p.35, October, 19, 2004.
  [30] See Rules of Procedure of the General Assembly, reprinted in Louis B. Sohn ed., Basic Documents of the United Nations, 1968,pp.41-67.
  [31] Gary N. Klieman, Better Forum Needed to Negotiate Terms of Foreign Competition, America Banker, Jan. 4, 1996, p.5.
  [32] See David Zaring, International Law by Other Means: The Twilight Existence of International Financial Regulatory Organizations,Texas International Law Journal,Vol.33, Spring, 1998, p.304.
  [33]目前,每一个会员一年所交的会费为8300欧元,2003年度,其总收入为1,229,084欧元,总支出为1,520,663欧元。 See IOSCO, IOSCO Annual Report 2003, At http://www.iosco.org/annual_report/pdf/IOSCO_Annual_Report_03.pdf, pp.28-32, October, 19, 2004.
  [34]又如,中国台北证券期货管理委员会(原名证券管理委员会)于1987年成为IOSCO的正式会员,具英文名称原为“TAIPEI-CHINA”,中国证监会入会后,其英文名称改为“CHI- NESE TAIPEI”。
  [35]IOSCO和巴塞尔委员会共同制定和发布了一系列文件:《场外衍生交易运行风险及金融风险控制机制指南》(Operational and Financial Risk Management Control Mechanisms for Over-the-Counter Derivatives Activities of Regulated Securities Firms,1994年7月)、《关于银行和证券公司衍生行为监管信息的框架》(Framework for Supervisory Information About the Derivatives Activities of Banks and Securities Firms,1995年5月)、《银行和证券公司的交易行为和衍生活动的公开披露》(Public Disclosure of the Trading and Derivatives Activities of Banks and Securities Firms,1995年11月)、《银行和证券公司衍生交易信息披露概览》(Survey of Disclosures About Trading and Derivatives Activities of Bands and Securities Firms,1996年9月)、《关于衍生交易行为监管信息的框架》(Framework for Supervisory Information About Derivatives and Trading Activities,1998年9月)、《银行和证券公司衍生交易信息披露:1997年信息披露概览的结果》(Trading and Derivatives Disclosures of Banks and Securities Firms: Results of the Survey of 1997 Disclosures,1998年11月)、《对于银行和证券公司衍生交易公开信息披露的建议》(Recommendations for Public Disclosure of Trading and Derivatives Activities of Banks and Securities Firms,1999年10月)、《银行和证券公司衍生交易信息披露——1998年信息披露概览年度报告的结果》(Trading and Derivatives Disclosures of Banks and Securities Firms-Results of the Survey of Public Disclosures in 1998 Annual Reports,1999年12月)。IOSCO和巴塞尔委员会的合作,顺应了国际金融业由分业经营向全能业务转变的发展趋势,对衍生工具监管的国际合作与协调起到很大的积极作用。


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