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本文探讨了瑞士监管体制的制度化(制度变化过程),原本期望这一变化能够特别平稳,但实际上有相当多结构上的改变。这一过程表现为在四个领域设立了独立监管机构,这四个领域分别是:银行和金融、电信、电力和竞争行业。本文使用斯特里克(Streeck)、锡伦(Thelen)和马奥尼(Mahoney)提出的理论框架,来探讨有关制度变化模式的假设,使用的研究方法是纵向案例内研究法。研究结果证实了部分预期,指出分层和置换是流行的变化模式。结论部分讨论了作为附加解释因素的制度变化的类型和方向。对实践工作者的启示本文检视了瑞士通过设立独立监管机构而实现的监管体制的制度发展。通过对银行和金融、电信、电力、竞争行业四个领域的独立机构化过程的分析,阐释了不同的变化模式。结果显示,与自由化的总体趋势相比,再监管的发展动向遵循截然不同的逻辑。并且,实证分析表明,在对以往自我监管的部门进行“积极”改革时,大都是引进外来模式设立独立监管机构;而在对以往的国有企业或公共监管部门进行改革时,则会根据已有的制度安排来设立监管机构。
This article examines the institutionalization of the regulatory system in Switzerland (the process of institutional change) that originally expected the change to be particularly smooth but in fact had quite a few structural changes. The process is characterized by the establishment of independent regulators in four areas: banking and finance, telecommunications, electricity and the competitive industries. This article uses the theoretical framework proposed by Streeck, Thelen, and Mahoney to explore hypotheses about the patterns of institutional change using a longitudinal case-study approach. The results confirm some of the expectations, stating that stratification and permutation are popular patterns of change. The conclusion section discusses the types and directions of institutional changes as an additional explanatory factor. Enlightenment to practitioners This article examines the institutional development of the regulatory system in Switzerland through the establishment of an independent regulatory agency. Through the analysis of the process of independent institutionalization in the four fields of banking and finance, telecommunications, power and competitive industries, the different modes of change are illustrated. The results show that, compared with the general trend of liberalization, the trend of re-regulation follows entirely different logic. In addition, empirical analysis shows that most of the reforms in the self-regulation departments of the past were to introduce an external model to establish an independent regulatory body. In the process of reforming the former state-owned enterprises or public regulatory authorities, The existing institutional arrangements to set up regulators.