我国证券市场监管中存在的问题及对策研究

发布时间：2018-01-30 02:11

本文关键词： 证券市场监管体制问题对策　出处：《西北师范大学》2013年硕士论文　论文类型：学位论文

【摘要】：证券市场的规范与发展，与一国社会经济发展与稳定休戚相关，而证券监管是证券市场健康、良性发展的重要保障和基础，证券交易的高专业化程度和证券从业者之间的利益相关性以及证券市场运作本身的庞杂性决定了证券监管的客观需要。无论是西方成熟市场还是发展中国家新兴市场，虽然世界各国对证券监管的表述、手段、方式、内容、力度有所不同，但保护投资者合法权益，保证市场公平、有效和透明，控制和减低交易系统风险，促进有利于投资和经济增长环境的设立，维护社会经济秩序和社会公共利益，促进经济发展的理念，都不可否定地同为证券监管的共同目标或宗旨。本人查阅了大量的国内外证券市场相关理论研究文献资料，从证券监管的意义、国内相关研究发展现状、国外相关理论研究、我国证券市场监管存在的问题、针对问题的证券监管对策研究等几方面展开论述。通过大量有力的数据、实例，大胆正视我国证券市场在快速发展中存在的问题以及监管体制在制定、执行中面临的诸多难题，同时也揭示了市场监管中的缺失部份、努力方向和必要性、紧迫性，，立足于切实保护投资者合法权益，促进证券市场规范、健康、有序、高效，从而带动和确保国民经济的稳定与发展。
[Abstract]:The standardization and development of the securities market is closely related to the social and economic development and stability of a country, and securities supervision is an important guarantee and foundation for the healthy and healthy development of the securities market. The high degree of specialization of securities trading, the correlation between the interests of securities practitioners and the complexity of the operation of securities market itself determine the objective need of securities supervision. The market. Although the countries all over the world have different expressions, means, methods, contents and dynamics to the securities supervision, but to protect the legitimate rights and interests of investors, to ensure that the market is fair, effective and transparent, to control and reduce the risk of trading system. The idea of promoting the establishment of investment and economic growth environment, maintaining social economic order and social public interests, and promoting economic development can not be denied as the common goal or purpose of securities supervision. I have consulted a large number of domestic and foreign securities market related theoretical research literature, from the significance of securities regulation, domestic related research and development status, foreign related theoretical research, China's securities market regulatory problems. Through a large number of powerful data, examples, bold face to face the problems in the rapid development of China's securities market and regulatory system in the formulation. At the same time, it also reveals the lack of market supervision, the direction and necessity of efforts, urgency, based on the protection of legitimate rights and interests of investors, to promote the regulation of the securities market, healthy. Orderly, efficient, thus driving and ensuring the stability and development of the national economy.
【学位授予单位】：西北师范大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F832.51;D922.287

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