银行间债券市场中小金融机构投资者合格性问题研究——基于河南省121家市场成员的调查

发布时间：2018-04-20 23:01

本文选题：银行间债券市场 + 中小金融机构投资者　；参考：《金融理论与实践》2014年06期

【摘要】：随着银行间债券市场的发展,中小金融机构作为其中机构投资者演绎着越来越重要的角色。而中小金融机构作为银行间债券市场投资者的合格性问题,亦成为现阶段亟待关注和解决的课题。从提升市场效率、维护投资者权益、防范系统性金融风险、推进金融监管改革的客观需求出发,通过对河南省121家市场成员的调查分析,在借鉴发达国家和地区及我国资本市场合格投资者制度经验的基础上,创新性地阐述了我国银行间债券市场中小金融机构投资者合格性的内涵,设计了相应的合格性评判标准并进行实例应用。最后对投资者合格性制度安排的路径选择提出可行性建议,以期为管理部门提供决策参考。
[Abstract]:With the development of interbank bond market, small and medium financial institutions play an increasingly important role as institutional investors. The qualification of medium and small financial institutions as investors in the interbank bond market has become an urgent issue to be paid attention to and solved at this stage. In order to improve market efficiency, safeguard investors' rights and interests, guard against systemic financial risks, and promote the objective demand of financial supervision reform, through the investigation and analysis of 121 market members in Henan Province, Based on the experience of the developed countries, regions and our country, this paper expounds the connotation of the qualification of the small and medium-sized financial institution investors in the interbank bond market of our country, on the basis of the experience of the QFI system in the capital market of our country. The corresponding criteria of eligibility evaluation are designed and applied in an example. Finally, some feasible suggestions on the path selection of investor qualification system are put forward in order to provide decision reference for management.
【作者单位】：中国人民银行郑州中心支行;
【分类号】：F832.51;F832.3;F224

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