美国证券市场监管的分析与借鉴
发布时间：2018-09-11 18:14
【摘要】：美国证券市场之所以能保持在世界上无与伦比的优势,除其强大的经济实力外,与其运作良好的多元化市场监管关系密切。在美国证券市场,除证监会强大的行政监管以及行业自律等配合型监管外,法律还允许投资人通过威慑力巨大的证券集团诉讼寻求司法救济。不仅如此,市场自发的多种监督力量也为公平、公开的证券市场秩序作出了有益的贡献。我国证券市场也存在多元化监管机制,但整体运作效果不佳。让证券市场中的各方主体通过广泛、有效的社会监督共同担负起证券市场健康发展的责任,这既是美国证券监管的特色,也是我国需要重点借鉴之处。
[Abstract]:The reason why the US securities market can maintain its unparalleled advantages in the world is that besides its strong economic strength, it is closely related to its well-functioning diversified market supervision. Securities class action seeks judicial relief. Moreover, the spontaneous supervision of the market has made a useful contribution to the fair and open order of the securities market. To shoulder the responsibility for the healthy development of the securities market is not only the characteristic of the securities supervision in the United States, but also the key reference for our country.
【作者单位】： 复旦大学法学院;
【基金】：国家社科基金重点项目:“我国证券群体诉讼的模式选择与制度构建研究”(项目批准号:11AFX006)的阶段性研究成果
【分类号】：D971.2;DD912.28
[Abstract]:The reason why the US securities market can maintain its unparalleled advantages in the world is that besides its strong economic strength, it is closely related to its well-functioning diversified market supervision. Securities class action seeks judicial relief. Moreover, the spontaneous supervision of the market has made a useful contribution to the fair and open order of the securities market. To shoulder the responsibility for the healthy development of the securities market is not only the characteristic of the securities supervision in the United States, but also the key reference for our country.
【作者单位】： 复旦大学法学院;
【基金】：国家社科基金重点项目:“我国证券群体诉讼的模式选择与制度构建研究”(项目批准号:11AFX006)的阶段性研究成果
【分类号】：D971.2;DD912.28
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