应对SWIFT系统金融制裁法律框架的三个层面建构

Discussion on the Legal Framework Construction of Three Levels of Financial Sanctions in SWIFT System

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摘要 SWIFT系统的建立是为了在世界范围内传送金融电文,以该系统为支撑的支付功能是国家金融安全的重要表现。俄乌冲突爆发后,以美国为首的西方国家频繁运用将被制裁国排除在SWIFT系统之外的手段,以达到对他国金融制裁的目的。本文聚焦于我国现实面临的问题——将来美国可能会应用SWIFT系统对我国展开怎样的金融制裁?我国法律层面应该怎样有效应对?首先,文章在分析美国已经对我国采取的SWIFT系统金融制裁措施的基础上,结合当前中美形势对将来美国可能对我国作出的此类制裁趋势进行预判。其次,为寻求法律层面的应对之策,深入分析我国当前应对此类金融制裁的相关立法和不足。接着,梳理分析域外典型国家(俄罗斯、伊朗)和地区(欧盟)的此类反制裁法律经验。最后,结合我国实践辩证地吸收有关先进经验,得出我国应着重从预警、反制和救济三个方面构建应对的法律框架,以及采取做强人民币跨境支付系统这一特别措施。 SWIFT system is established to transmit financial messages around the world.The payment function supported by this system is an important manifestation of national financial security.After the outbreak of the Russia-Ukraine conflict,western countries led by the United States frequently used the means of excluding the sanctioned countries from the swift system to achieve the purpose of financial sanctions against other countries.This paper focuses on the problems faced by China in reality—what kind of financial sanctions may the United States use SWIFT system to impose on China in the future?How should China’s legal level respond effectively?Firstly,based on the analysis of the swift system financial sanctions that the United States has taken against China,combined with the current situation in China and the United States,this paper predicts the trend of such sanctions that the United States may make against China in the future.Secondly,in order to seek legal countermeasures,this paper deeply analyzes the relevant legislation and deficiencies of China’s current response to such financial sanctions.Then,it combs and analyzes the legal experience of such anti-sanctions in typical extraterritorial countries(Russia,Iran)and regions(EU).Finally,combining with China’s practice and dialectically absorbing relevant advanced experience,it concludes that China should focus on building a response legal framework from three aspects:early warning,countermeasures and relief,and take special measures to strengthen the RMB cross-border payment system.

作者袁正李志丹 Yuan Zheng;Li Zhidan(Tsinghua/Temple Law School;不详)

机构地区清华−天普美国中国人民大学北京师范大学

出处《贸大法律评论》 2022年第1期26-39,共14页 Uibe Legal Science

关键词 SWIFT系统金融制裁反制法律框架 SWIFT System Financial Sanctions Anti-financial Sanctions Legal Framework

分类号 D996.2 [政治法律—经济法学] D922.28 [政治法律—经济法学]

作者简介袁正,清华−天普美国法学硕士项目硕士研究生(Tsinghua/Temple Law School LLM Program)、中国人民大学民商法学硕士课程进修班学员;李志丹,北京师范大学法律硕士、深圳市中学道德与法治教师。