作者：鲁篱
作者介绍：西南财经大学法学院教授
出版日期：2021年4月9日
内容提要 在现代金融市场治理体系中，金融监管和法院民事司法都扮演了重要角色。 我国法院不仅是传统意义上的裁判者，同时也是金融风险的重要治理者。既有金融市场的治 理格局呈现金融司法与金融监管分立式治理的特征，金融司法与金融监管各行其是，金融规 章往往得不到法院民事司法的肯定性确认。虽然这种分立式治理机制有助于构建和维护私 人自治空间、防止行政权力滥用，但基于风险社会的大背景和金融风险的特殊性，分立式治 理在制度正当性、智识合理性、功能有效性和结构科学性等方面都有缺失。应当构建司法与 监管协同的金融风险治理机制，在司法认可并尊重金融监管规则的基础上，通过机制创新， 实现金融司法与金融监管对金融风险的协同共治。
关键词 金融风险 金融监管 金融司法 分立式治理 协同式治理
Abstract: The financial regulation and the courts’ civil judicial practice play important roles in the modern financial market governance system. Chinese courts are not only the judges in the traditional sense, but also the important governors of financial risks. The governance structure of the existing financial market presents the characteristics of separating governance of financial judiciary and financial supervision. Financial judiciary and financial regulation operate in separate ways. As a result, the financial regulations are not always confirmed by courts in civil law practice. Although this kind of discrete governance is propitious to build an autonomy system and prevent the interference from the state, there are deficiencies in terms of institutional legitimacy, intellectual rationality, functional effectiveness and structural science. A financial risk governance mechanism that synergizes judiciary and supervision should be established. On the basis of judicial recognition and respect for financial supervision rules, the coordination of financial judiciary and financial supervision in respect of financial risks should be realized through mechanism innovation.