中国证券市场对外开放的法律监管问题研究

发布时间：2018-01-10 08:26

本文关键词：中国证券市场对外开放的法律监管问题研究　出处：《华侨大学》2012年硕士论文　论文类型：学位论文

【摘要】：从中国正式加入世贸组织开始，中国证券市场一直在不断努力推进对外开放的进程。中国证券市场作为新兴的证券市场，自身监管体制不健全、运作不规范的背景下，从B股市场开始逐步深入推进我国证券市场的开放。依附于证券市场机体内部的弊端缺陷在经济全球化的时代存在着天然的风险。如何运用合理的监管措施有效监管、防范市场风险，使我国经济平稳快速发展，这是任何关注中国证券市场对外开放推进的人不能不关心、思考的问题。本文应用法理学、证券法学、经济金融法学等理论，，围绕中国证券市场开放法律监管的主题，对证券市场开放法律监管的部分问题进行研究。本文通过对证券市场开放的现状及证券市场的法律监管不足进行分析，指出证券市场本身存在的固有风险，加上开放的证券市场引起的国内外资金流动，更需要建立完善、稳妥的法律监管制度，进而维持证券市场对外开放的良好秩序，保护投资者利益。但是我国作为新兴市场国家，本身监管经验不足、监管法规不够健全，还需要借鉴其他国家先进、有效的经验教训。本文对发达市场经济国家日本和美国的证券市场监管模式、监管法规做了分析论述，并指出证券市场在我国目前的形势下不可过度开放。最后文章重点梳理了我国目前对证券市场开放采取的法律监管措施，首先从监管理念、监管制度的新要求入手、重点分析证券市场准入的法律监管及建立安全、完备的QFII法律制度和境外上市公司的信息披露方面对证券市场对外开放的法律监管架构进行完善。
[Abstract]:Since China's entry into the WTO, China's securities market has been working hard to promote the process of opening to the outside world. As a new securities market, its own regulatory system is not perfect. Against a background of irregular operation. Starting from the B share market, the opening up of China's securities market has been promoted step by step. There are natural risks in the era of economic globalization. How to use reasonable supervision measures is effective. Supervision. To guard against market risks and to make our economy develop steadily and rapidly is a problem that anyone who pays close attention to the promotion of the opening up of China's securities market cannot but pay attention to and think about. Based on the theories of jurisprudence, securities law and economic and financial law, this paper focuses on the subject of legal supervision of China's open securities market. This paper analyzes the current situation of the opening of the securities market and the insufficiency of the legal supervision of the securities market, and points out the inherent risks of the securities market itself. In addition, the opening of the securities market caused by the flow of domestic and foreign funds, it is necessary to establish a sound, sound legal supervision system, and then maintain a good order of the securities market opening to the outside world. However, as an emerging market country, China's own regulatory experience is not enough, regulatory regulations are not perfect enough, but also need to learn from other advanced countries. Effective experience and lessons. This paper analyzes and discusses the regulatory models and regulations of the securities market in the developed market economy countries Japan and the United States. And pointed out that the securities market in China's current situation can not be excessively open. Finally, the article focuses on combing the current legal regulatory measures to open the securities market, first of all, from the concept of supervision. Starting with the new requirements of the regulatory system, this paper focuses on the analysis of the legal supervision of securities market access and the establishment of security. The complete legal system of QFII and the information disclosure of overseas listed companies improve the legal regulatory framework of the opening up of the securities market.
【学位授予单位】：华侨大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D922.287;F832.51

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