论证券市场自律监管的地位

发布时间：2018-01-02 22:29

本文关键词：论证券市场自律监管的地位　出处：《学术交流》2012年12期 　论文类型：期刊论文

【摘要】：与政府监管的外在性、强制性和滞后性相比,证券市场自律监管具有自发性、专业性、及时性和契约性特征。证券业协会和证券交易所可以有效地进行一线监管,从而克服单纯的政府监管的不足。就自律监管与政府监管的关系而言,二者相互依存、功能互补。因此只有将二者有机结合起来,才能建立起功能完善的市场监管体系。从域外立法和实践来看,自律组织的监管地位得到提升和加强。比较而言,我国现有的自律监管带有较多的行政干预色彩,存在着政府监管越位、自律监管缺位的问题。因此,我国应在体制上真正落实证券自律组织的自律地位,进一步健全自律组织的职能。
[Abstract]:Compared with the externality, compulsion and lag of government supervision, the self-regulation of securities market is spontaneous and professional. The securities industry association and the stock exchange can effectively carry on the front-line supervision, thus overcomes the insufficiency of the pure government supervision. In terms of the relation between the self-discipline supervision and the government supervision. They depend on each other and complement each other. Therefore, only by organically combining the two, can a well-functioning market supervision system be established. From the perspective of extraterritorial legislation and practice. The regulatory status of self-regulatory organizations has been enhanced and strengthened. Compared to the existing self-regulatory supervision in China with more administrative intervention color there is a problem of government supervision offside and self-regulatory absence. Our country should carry out the self-discipline status of securities self-discipline organization in the system and further perfect the function of self-discipline organization.
【作者单位】：北方民族大学法学院;
【分类号】：F832.51
【正文快照】： 虽然基于历史传统、经济水平、监管理念和法律制度的差异,各国形成了不同的证券市场监管体制,分别赋予政府机构和自律组织不同的法律地位。但是,资本市场的发展具有其内在规律,为此需要妥善处理政府机构和自律组织在资本市场发挥的监管作用。国际证监会在《证券监管的原则与

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