证券市场自律监管研究

发布时间：2018-06-26 00:52

本文选题：自律监管 + 证券交易所　；参考：《山东大学》2009年硕士论文

【摘要】： 证券市场在我国经济发展中占有重要的地位。对于证券业的监管可分为政府监管和自律监管,两者分工合作,共同维护着证券市场的健康发展。我国证券市场是在政府主导下建立的,政府监管一直以来在证券监管体系中占据主导作用,自律监管长期没有得到应有的重视,严重制约了我国证券市场的健康发展。随着市场经济的进一步发展,自律监管必将在维护我国证券市场正常秩序,促进证券市场繁荣发展上发挥其更大的作用。本文共分五章。第一章介绍了证券市场监管的一些基本概念问题,首先从介绍证券市场监管模式开始,进而探究自律的起源,自律监管的概念,分析了自律监管的优势和局限,辨析了政府监管和自律监管的相互关系。第二章,对证券市场自律监管的四大法律特征进行了理论分析分析,并从经济学和社会学的角度论证了自律监管存在的合理性。第三章,是对域外发达国家证券市场自律监管体系进行了考察分析,并总结了对我国完善监管体系的几点启示,指出我国应当从构建完善的法律制度体系,培育自律文化,注重政府权力的适度监管等几个方面加强自律监管。第四章,主要分析论述了我国证券自律监管的发展历程和现状,剖析了目前自律监管存在的问题,指出我国证券市场的自律监管存在着政府监管权力过大,自律机构权威性不足,自律规则缺乏操作性等现实问题。第五章,在总结分析借鉴发达国家的成功经验,并结合我国的现实问题后,提出了合理构建政府监管和自律监管平衡关系,树立自律监管权威,以及增强自律监管的具体措施。
[Abstract]:The securities market plays an important role in the economic development of our country. The supervision of securities industry can be divided into government supervision and self-regulation. They work together to maintain the healthy development of the securities market. The securities market of our country is established under the guidance of the government. The government supervision has been playing a leading role in the securities supervision system for a long time, the self-regulation has not been paid due attention, which seriously restricts the healthy development of the securities market in our country. With the further development of market economy, self-regulation will play a greater role in maintaining the normal order of China's securities market and promoting the prosperity and development of the securities market. This paper is divided into five chapters. The first chapter introduces some basic concept problems of securities market supervision, starting with the introduction of securities market supervision model, and then explores the origin of self-discipline, the concept of self-regulation, and analyzes the advantages and limitations of self-regulation. The relationship between government supervision and self-regulation is analyzed. In the second chapter, the four legal characteristics of self-regulation in securities market are theoretically analyzed, and the rationality of the existence of self-regulation is demonstrated from the angle of economics and sociology. In the third chapter, the author makes an investigation and analysis on the system of self-discipline supervision in the securities markets of the developed countries, and summarizes the enlightenment of perfecting the supervision system of our country, and points out that our country should build a perfect legal system and cultivate the self-discipline culture from the point of view of constructing the perfect legal system. Pay attention to the moderate supervision of government power and other aspects to strengthen self-regulation. The fourth chapter mainly analyzes the development course and current situation of securities self-regulation in our country, analyzes the existing problems of self-regulation, and points out that the self-regulation of securities market in our country has too much government supervision power. Lack of authority of self-discipline institutions, lack of operation of self-discipline rules and other practical problems. Chapter five, after summing up and analyzing the successful experiences of developed countries and combining with the practical problems in our country, the author puts forward some concrete measures to build the balance between government supervision and self-discipline supervision, to establish the authority of self-discipline supervision, and to strengthen the self-discipline supervision.
【学位授予单位】：山东大学
【学位级别】：硕士
【学位授予年份】：2009
【分类号】：F832.51;D922.287

【引证文献】