论我国证券市场行政监管制度

发布时间：2018-01-01 03:17

本文关键词：论我国证券市场行政监管制度　出处：《长春理工大学》2013年硕士论文　论文类型：学位论文

【摘要】：证券市场产生之初是为了资本的运作,目前证券市场则是在我国政治、经济、社会大背景下与国际市场相融合的产物。对于证券市场监管国内外学者都对其进行了重要的论述,然而对于证券市场中证券市场行政监管的重要性却没有放到应有的高度上。证券市场行政监管对于主体的定位,及与自律监管的界线问题是我们应该充分重视的问题,因而对于证券市场行政监管问题是我们需要认真研究的重要课题。本文通过历史分析、国内外比较分析、实证分析的手段对我国证券市场行政监督进行了论述。首先本文第一部分明确了证券监管的概念,正所谓名不正则言不顺,只有界定了概念才可以进一步的论述,然后对证券市场行政监管的内容和证券市场行政监管的原则进行了细致的分析。本文第二部分对我国证券市场行政监管的历史沿革和存在的问题进行了论述,通过对历史沿革的论述可以有一个清析的脉络,并对证券市场行政监管在不同阶段起到的作用有一个明确的指引,从而能够从深层次看出证券市场行政监管的现状和存在的问题。第三部分通过运用国内外分析的方法分析了发达国家证券市场监管的起因、内容并从中得出对我证券市场行政监管所能得到的启示,从而为完善我国证券市场行政监管的作了进一步的铺垫。本文第四部分对如何完善证券市场行政监管提出了几点意义,通过完善证券市场行政监管法律制度,转变证券市场行政观念进而加强证券市场行政监管权力配置,理清证券市场行政监管和自律监管的职责界线来完善我国证券市场行政监管制度。
[Abstract]:The stock market is for the operation of capital at the beginning of its emergence, but now it is in the politics and economy of our country. In the context of social integration with the international market products. For the securities market supervision domestic and foreign scholars have carried on the important discussion to it. However, the importance of the security market administrative supervision in the securities market has not been put on the level it should be. The position of the securities market administrative supervision to the main body. And the boundary between self-regulation and self-regulation is a problem that we should pay more attention to, so we need to study the issue of administrative supervision of securities market seriously. This paper through historical analysis, comparative analysis at home and abroad. The first part of this paper clarifies the concept of securities supervision. Only the definition of the concept can be further discussed. Then the content of the securities market administrative supervision and the principles of the securities market administrative supervision are analyzed in detail. The second part of this paper discusses the historical evolution and existing problems of the security market administrative supervision in China. Through the historical evolution of the discussion can have a clear analysis of the context, and the securities market administrative supervision in different stages of the role of a clear guide. The third part analyzes the causes of securities market supervision in developed countries by using the method of domestic and foreign analysis. From the content and draw the administrative supervision of our securities market can get enlightenment. The 4th part of this paper puts forward some meanings on how to perfect the administrative supervision of the securities market, through perfecting the legal system of the administrative supervision of the securities market. To perfect the administrative supervision system of China's securities market, we should change the administrative concept of securities market and strengthen the allocation of administrative supervision power of securities market, and clarify the boundary of duties and responsibilities of administrative supervision and self-regulation of securities market.
【学位授予单位】：长春理工大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.1;F832.5

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