中国证券市场监管体制研究
发布时间：2018-11-11 10:22
【摘要】：证券市场监管体制是指证券市场的监管主体层次设置、各监管机构之间的权利配合协调的制度安排。市场的发展总会或多或少出现市场失灵,这就需要监管部门的介入来矫正市场的缺陷,在我国社会主义市场经济初级阶段,由于证券市场机制发育不健全、法律体系有待完善等原因,加之证券市场特有的虚拟性、高风险性、易传导性及快速性等特点使得对证券市场的监管应采取政府监管为主的集中监管体制。但由于中国证券市场的集中监管体制在摸索中前进,因此存在这样那样的监管缺陷,究其根本原因在于监管体制不完善,所以需要从体制上根除问题的症结,才能不断完善对中国证券市场的监管。 从国际证券监管委员会组织(IOSCO)通过对发达证券市场监管经验的总结研究与英美等各国证券监管的实践都可以看到,证券市场监管体制的本质内容在于各证券监管机构法律地位的明确规定、职能协调以及对于监管机构尤其是政府监管机构的制约机制等。 本文从中国证券市场现存问题出发分析其根本原因在于证券监管体制,通过分析国际上对于证券市场监管体制规定的相关理论,并对比中外证券市场监管的实践,对中国证券市场监管体制中各个监管机构的法律性质、监管权力分配、监管权力约束等方面进行了分析,找到中国证券市场监管体制层而的问题,并对此提出对应的完善建议。
[Abstract]:The supervision system of the securities market refers to the arrangement of the main body of the supervision of the securities market and the coordination of the rights among the regulatory bodies. The development of the market always appears more or less market failure, which requires the intervention of the supervision department to correct the defects of the market. In the primary stage of our socialist market economy, because of the imperfect development of the securities market mechanism, The legal system needs to be improved, coupled with the unique characteristics of the securities market, such as fictitious, high risk, easy to conduct and fast, so the supervision of the securities market should adopt the centralized supervision system of government supervision. However, because the centralized supervision system of China's securities market is advancing in the process of exploration, there are one or other regulatory defects. The fundamental reason is that the regulatory system is not perfect, so it is necessary to eradicate the crux of the problem from the system. Ability to constantly improve the supervision of China's securities market. It can be seen from the (IOSCO), an organization of the International Securities Regulatory Commission, through the summing up of the experience of the supervision of developed securities markets and the practice of securities regulation in the United States and other countries. The essence of the securities market supervision system lies in the clear regulation of the legal status of the securities regulatory agencies, the coordination of their functions, and the restriction mechanism for the regulatory bodies, especially the government. Based on the analysis of the existing problems in China's securities market, this paper analyzes the fundamental causes of the securities supervision system. Through the analysis of the relevant theories concerning the regulation system of the securities market in the world, and comparing the practice of the Chinese and foreign securities market supervision, This paper analyzes the legal nature, the distribution of supervision power and the restriction of supervision power in the supervision system of China's securities market, finds out the problems in the supervision system of China's securities market, and puts forward corresponding suggestions for perfection.
【学位授予单位】：中央民族大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.51
本文编号：2324550
[Abstract]:The supervision system of the securities market refers to the arrangement of the main body of the supervision of the securities market and the coordination of the rights among the regulatory bodies. The development of the market always appears more or less market failure, which requires the intervention of the supervision department to correct the defects of the market. In the primary stage of our socialist market economy, because of the imperfect development of the securities market mechanism, The legal system needs to be improved, coupled with the unique characteristics of the securities market, such as fictitious, high risk, easy to conduct and fast, so the supervision of the securities market should adopt the centralized supervision system of government supervision. However, because the centralized supervision system of China's securities market is advancing in the process of exploration, there are one or other regulatory defects. The fundamental reason is that the regulatory system is not perfect, so it is necessary to eradicate the crux of the problem from the system. Ability to constantly improve the supervision of China's securities market. It can be seen from the (IOSCO), an organization of the International Securities Regulatory Commission, through the summing up of the experience of the supervision of developed securities markets and the practice of securities regulation in the United States and other countries. The essence of the securities market supervision system lies in the clear regulation of the legal status of the securities regulatory agencies, the coordination of their functions, and the restriction mechanism for the regulatory bodies, especially the government. Based on the analysis of the existing problems in China's securities market, this paper analyzes the fundamental causes of the securities supervision system. Through the analysis of the relevant theories concerning the regulation system of the securities market in the world, and comparing the practice of the Chinese and foreign securities market supervision, This paper analyzes the legal nature, the distribution of supervision power and the restriction of supervision power in the supervision system of China's securities market, finds out the problems in the supervision system of China's securities market, and puts forward corresponding suggestions for perfection.
【学位授予单位】：中央民族大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.51
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