跨國洗錢犯罪之防制：從政策網絡的運作機制觀察

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题名:	跨國洗錢犯罪之防制：從政策網絡的運作機制觀察
作者:	吳慶輝
贡献者:	政治學系
关键词:	洗錢防制 anti-money laundering 全球治理 global governance 國際組織 international organization 國際公約 international convention
日期:	2012
上传时间:	2012-10-25 12:15:03 (UTC+8)
摘要:	論文摘要我們正處於一個全球化的時代，全球化是這個時代最重要的特徵之一，無論是喜歡或討厭、支持或反對，全球化對世界影響變得越來越深刻。全球化既是客觀的事實，也是一種發展的趨勢，無論是承認與否，它都深深影響著全世界每一層面及角落。全世界在享受全球化帶來便利的同時，無可迴避地也必須面對全球化所帶來的問題，包括經濟、金融、社會及政治的難題，而其中跨國犯罪正是此種全球化所帶來的負面影響。按跨國犯罪計有17大類，其中的第1大類即是洗錢，本論文研究主題即是從全球化的視野著眼，從政策網路的運作觀察，如何防制跨國洗錢。跨國洗錢行為不再是傳統國家所能單獨處理，它是全球化下的產物，只能從全球化的視野及全球治理的模式尋求解決之道。因此，全球治理理論政策網路的提出，正是解決跨國洗錢犯罪發展新趨勢的利器。洗錢是全球化的問題，必須有賴於國際間通過具有約束力的的國際規制（regimes）與協定（agreements）來解決衝突。因此，對於國際上防制洗錢的主要組織及國際公約（或規範）的認識與了解，即顯得非常的重要。因此，本文列專章來介紹國際性洗錢防制的組織及重要規章，以期對國際上洗錢防制有一全面性的視野。「他山之石可以攻錯」。世界上主要國家對於洗錢防制的政策及立法趨勢，足以顯示出各國在全球化的的衝擊下，是如何對應洗錢的防制。一般言之，各國大致都因應洗錢新的發展及新的趨勢，相對地配合制定（或修正）法律（或法規），或是加強執法機關的權力，例如美國受到911攻擊後，就制定《愛國者法》，並加強或新設執法機關，增強洗錢防制的能力，即是顯例。本論文收集美國等六個國家（地區）有關洗錢防制最近的立法情形，可稍作為我國洗錢防制立法重要的參考。「徒法不足以自行」。良善的立法只是防制洗錢的第一步，必須有賴於第一線金融機構的執行及配合，因此，金融機構防制洗錢具體程序及作法就顯得非常重要，從顧客審查至從業人員之教育訓練，每一環節皆需緊密聯結，防制洗錢工作始能竟功。洗錢防制在公共政策光譜上，毫無疑問的是屬於「管制性政策」。因此，我國對於洗錢防制政策及結構與功能的規範，將足以顯示我國對跨國洗錢重視程度。我國最近在於2007年接受國際組織的相互評鑑，2009年6月被列入「反洗錢與打擊資助恐怖活動有重大缺失考量名單」中，政府相關部門即展開積極作為，包括修正《洗錢防制法》相關條文及改進相關措施，在2009年底終於獲得除名，政府深知被列入重大缺失考量名單中將嚴重影響我國國際聲譽。相關過程本文有詳細說明及分析，希望能吸取前車之鑑寶貴的經驗。本論文主要目的之一，在於我國洗錢防制的落實。因此，本文從行政、立法及司法三個視角切入，討論與全球治理互動關係。本論文中特別選用我國陳前總統及菲律賓馬可仕的貪瀆洗錢案作為個案研究，期能反省與獲得借鑒。最後，本論文撰寫不只是學習的過程及訓練，更希望的是有助於公共政策的執行，結論提出研究發現及政策建議，期有助於洗錢防制之執行。 Abstract Nowadays, we are in the times of globalization. Globalization is one of the most important features of the society. Whether we like it or not, this world is influenced by globalization more and more deeply. Globalization is a fact and a tendency and it has a great impact on every dimension of the whole world. Globalization brings us a lot of convenience but also a lot of problems, including the issues of economy, finance, social order and politics. Transnational crime is just one kind of negative effects in globalization. There are seventeen types of Transnational crime, and money laundering is the first part. The topic of the thesis focuses on preventing transnational money laundering from the view of globalization and the operation of policy network. A nation can’t deal with this issue alone since it’s a product of globalization. So the idea of policy network of global governance theory is a great strategy to handle the problem of transnational money laundering. To cope with it, it needs powerful international regimes and agreements to solve conflicts between nations. Then it’s very important to understand related international organizations and International Conventions. There is a chapter of this thesis to introduce these parts, and then we can review the whole picture about the issue of anti-money laundering in nations. “A piece of advice from others may help one's defects.” Some main national policies and regulations to anti-money laundering show most countries are working hard on dealing with this issue. Generally speaking, in order to cope with new development of money laundering, most of the nations formulate or revise related regulations ; moreover, they may strengthen the power of law-enforcing institution. For example, after 911 event, America formulated and strengthen or establish law-enforcing institutions. This thesis collects related regulations data of six nations (area), including America, for the references of our country. However, making laws is just the first step to solve the problems. It still needs the implement and cooperation of financial institutions. So the specific measures of the financial institutions taken to anti-money laundering plays an essential role, including investigating customers and staff training. In the dimensions of public policy, undoubtedly, anti-money laundering is one kind of regulatory policy. So our policy and regulations to preventing money laundering shows how we value this issue. According to the investigation of the FATF in 2007, our country was listed as one which has serious shortcomings in anti-money laundering and combating the financing of terrorism measures. After the evaluation, our government started to do some related reform, including revising 《Money Laundering Control Act》 and related measures. Finally, we are qualified under FATF’s standards in 2009 because our government knew it influenced our international reputation. There will be clear explanation and analysis in the thesis. One focus of the thesis is on the measures of carrying out anti-money laundering, discussing the interaction with global governance from the three aspects--administration, legislation jurisdiction. Take the pre-president, Chen and the late president of the Philippines, Marcos for example. We hope we can make a self-examination and learn a good lesson from it. In the end, the thesis means to present some discoveries and suggestions to be useful in the implement of public policy on anti-money laundering.
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