香港“持牌人”制度对内地加强功能监管的启示
发布时间：2018-09-01 07:36
【摘要】：金融业务牌照监管是全球资本市场功能监管的通行做法,这种监管方式实现了同类业务同等监管,是适应市场需求变化的基本原则。我国内地尚未建立有效的金融业务牌照管理体系,现行牌照管理方式建立在机构监管基础上,难以实现金融业务的统一和全覆盖监管,容易引发监管套利和市场无序等问题。香港"持牌人"制度,是功能监管体制下的一种典型安排,通过牌照的发放和退出实现了证券期货经营机构的有序管理和充分竞争,其经验和做法值得学习、思考和借鉴。
[Abstract]:Financial business licence supervision is a common practice of functional supervision of global capital market, which realizes the same supervision of similar business and is a basic principle to adapt to the changing market demand. The unified and full-coverage supervision of financial business can easily lead to problems such as arbitrage and disorder of the market. The "licensee" system in Hong Kong is a typical arrangement under the functional supervision system. The orderly management and full competition of the securities and futures business institutions are realized through the issuance and withdrawal of licences. Its experience and practice are worth learning, thinking and drawing lessons from.
【作者单位】： 中证金融研究院;
【分类号】：F832.1
[Abstract]:Financial business licence supervision is a common practice of functional supervision of global capital market, which realizes the same supervision of similar business and is a basic principle to adapt to the changing market demand. The unified and full-coverage supervision of financial business can easily lead to problems such as arbitrage and disorder of the market. The "licensee" system in Hong Kong is a typical arrangement under the functional supervision system. The orderly management and full competition of the securities and futures business institutions are realized through the issuance and withdrawal of licences. Its experience and practice are worth learning, thinking and drawing lessons from.
【作者单位】： 中证金融研究院;
【分类号】：F832.1
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