我国证券市场违法违规治理状况分析

发布时间：2018-06-02 16:41

本文选题：证券市场违法违规现象 + 治理　；参考：《中国社会科学院研究生院》2017年硕士论文

【摘要】：本文所指的证券市场,既包括所有的证券发行场所,也包括所有的证券交易场所。在全面收集我国证券市场各类监管机构在2013年、2014年和2015年所查处案件详细资料的基础上,通过对证券市场各类主体的违法违规行为的分析可以发现,针对不同证券市场主体的违法违规特点,监管机构在统一监管的前提下,往往也会突出其各自的监管重点。当前证券市场违法违规治理状况愈发复杂。日新月异的新型操纵市场行为、愈发复杂的内幕交易行为、变幻莫测的非法证券活动,以及全新的混业经营领域,都给监管者的监管工作带来了巨大的挑战。监管者应当未雨绸缪,做好针对性的准备工作。此外,在证券市场违法违规治理中,诸多问题凸显。证券民事赔偿制度的实施陷入困境,对新型证券市场违法行为、法人利用他人账户买卖证券以及资产管理行业人员利用未公开信息交易的监管效果亦不尽如人意。为此,要加快完善证券民事赔偿制度,调整证券市场监管体制,进一步推进监管执法体系的完善。通过采取这一系列措施,切实改善我国证券市场违法违规治理状况。
[Abstract]:This article refers to the securities market, including both all securities issuance sites, including all securities trading places. On the basis of the comprehensive collection of detailed information on the cases investigated and dealt with by various regulatory bodies in China's securities market in 2013, 2014 and 2015, we can find that through the analysis of the illegal and illegal acts of various main bodies in the securities market, According to the illegal and illegal characteristics of different securities market subjects, the regulatory institutions often highlight their respective regulatory priorities under the premise of unified supervision. The current securities market illegal governance situation is more complex. The new market manipulation with each passing day, the increasingly complex insider trading behavior, the unpredictable illegal securities activities, as well as the new mixed operation field, have brought enormous challenges to the supervision work of the regulators. Regulators should prepare ahead of time and make targeted preparations. In addition, in the securities market illegal governance, many problems highlighted. The implementation of the civil compensation system of securities is in difficulty, and the regulatory effect of the illegal behavior of the new securities market, the use of other people's accounts by legal persons to buy and sell securities and the use of non-public information transactions by personnel in the asset management industry is not satisfactory. Therefore, it is necessary to speed up the improvement of the securities civil compensation system, adjust the securities market supervision system, and further promote the perfection of the supervision and enforcement system. Through the adoption of this series of measures, effectively improve our securities market illegal governance.
【学位授予单位】：中国社会科学院研究生院
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.287

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