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地方金融监管机构并非法定机构,在发展过程中易陷入法律地位不明确、职能定位不清晰、权责不对等的尴尬处境。因此,其主体属性应遵循行政性事业单位改革方向,统一划归行政机关序列或整合相关行政职权。同时,保持金融监管本质所要求的独立性,避免过度行政干预,使其拥有不同于一般行政机关的运作方式。在职能定位方面,应在统筹监管协调的思路下,构建相对独立的职能,拥有不同于中央金融监管机构和地方政府其他内设机构的监管对象、监管区域和监管职权。以相对独立性为基本理念不仅有助于实现从干预主义向监管治理的转变,也有助于厘清政府与市场、中央与地方金融监管体系之间的关系。
Local financial regulators are not statutory bodies. They are apt to fall into the embarrassing situation where the legal status is not clear, their functions are not clearly defined, their rights and responsibilities are not equal in the development process. Therefore, its main attributes should follow the direction of the reform of administrative institutions, unified by the sequence of administrative organs or the consolidation of relevant administrative authority. At the same time, maintaining the independence required by the nature of financial supervision and avoiding excessive administrative interference will make it have a different operating mode than the general administrative organ. In terms of functional orientation, we should establish a relatively independent function under the guidance of co-ordinating supervision and coordination and have regulatory objects, regulatory regions and regulatory powers different from those of the central financial regulatory agencies and other local agencies in local governments. Relative independence as the basic idea not only helps to achieve the change from interventionism to supervisory governance, but also helps clarify the relationship between the government and the market, the central and local financial regulatory system.