券商视角的证券立法缺陷及其完善

发布时间：2018-10-16 19:10

【摘要】：《证券法》应根据证券市场现状和证券公司业务新发展进行适时修改,以应对证券公司创新业务发展带来的新挑战,强化对证券公司使用人员的监管,满足证券公司结构转型与经营模式升级需求。应赋予证券公司监督管理客户职责法律依据和合理性,放开证券业人员从事股票买卖行为并进行适当规制,改革金融业经营模式和金融监管模式,强化和完善对证券公司非证券业务类子公司的监管,进行证券公司危机处置和证券投资者保护立法,健全证券市场信息披露和报送制度并加强监管证券违法行为。
[Abstract]:The Securities Law should be amended in time according to the current situation of the securities market and the new development of the securities company's business, in order to meet the new challenges brought by the development of the securities company's innovative business, and to strengthen the supervision of the securities company's users. To meet the needs of structural transformation and business model upgrading of securities companies. The securities companies should be entrusted with the legal basis and rationality of supervision and management of customers, liberalize the securities personnel engaged in stock trading and carry out appropriate regulations, and reform the financial business model and financial supervision mode.
【作者单位】：复旦大学法学院;
【基金】：教育部研究项目《金融危机“紧急处置措施”的公共政策制定与相关法律问题研究》(No.2009JYJR011)的阶段性研究成果;教育部2011年度博士研究生学术新人奖资助
【分类号】：D922.287;F832.51

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