证券监管机构及其监管权的独立性研究——兼论中国证券监管机构的法律变革

发布时间：2018-06-03 03:39

本文选题：证券监管机构 + 监管权　；参考：《政法论坛》2017年01期

【摘要】：在证券监管法制度的功能中,证券监督管理机构发挥着龙头的作用,对它的制度安排是各国证券法的重中之重。通过对典型国家和地区相关制度的考察,可以看出证券监管机构行使的证券监管权与政府监管权一脉相承,在复杂市场经济运行的条件下,市场需要具有相对独立性的政府监管权具体作用于市场主体,这一特点在证券市场体现得尤为突出。然而,我国在证券监管机构制度的安排上有着先天的不足,证券最高监管机构"中国证监会"并非法定(指国家基本法),而是通过国务院的"三定方案"将其定性为正部级事业单位,不仅法律地位不独立,而且担负了太多的国家政治职能,致使其角色尴尬。因此,对中国证券监管机构的法律变革势在必行。"中国证监会"法定化,即将其直接纳入
[Abstract]:In the function of securities regulatory law, the securities regulatory agency plays a leading role, and its institutional arrangement is the most important part of the securities laws of various countries. Through the investigation of the relevant systems of typical countries and regions, we can see that the securities supervision power exercised by the securities regulatory agencies is in the same line with the government supervision right, and under the condition of the complex market economy, The market needs a relatively independent government regulatory power to act on the main body of the market, which is particularly prominent in the securities market. However, China has some inherent deficiencies in the arrangement of securities regulatory institutions. China Securities Regulatory Commission (CSRC), the supreme regulatory body for securities, is not a statutory (refers to the basic Law of the State Council), but it is characterized as a full-ministerial institution through the State Council's "Three-Determination Plan", which is not only not independent of its legal status, And it takes on too many political functions of the state, making its role awkward. Therefore, the legal reform of China's securities regulatory bodies is imperative. " China Securities Regulatory Commission "legalized", that is, directly incorporated into the CSRC
【作者单位】：中国政法大学;
【基金】：“上海证券交易所联合研究计划”系列研究课题中的“证券监督管理机构法律制度研究”课题的阶段性成果
【分类号】：D922.287

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