证券欺诈现象与政府监管对策研究
发布时间：2018-12-11 16:34
【摘要】：证券市场是国民经济发展的重要组成部分，股市是经济发展的“晴雨表”。通过证券市场企业可以扩大融资规模、获得快速发展；投资者可以利用股市获取股息和红利。目前我国证券市场尚不成熟，不良现象时有发生，如欺诈发行、操纵股市、内幕交易、欺诈客户等等。证券欺诈现象一旦监管不力，会干扰国家的收入分配制度，极大破坏投资者信心，影响证券市场对经济发展的积极作用。在证券欺诈现象的监管中，证监会作为政府监管主体，责无旁贷，是政府监管的第一责任人。研究政府如何从事前预防、事中监控、事后惩戒等角度全方位监管证券欺诈现象，完善政府监管机制意义重大。 目前，我国证券欺诈现象呈现出新的发展态势。诸如，欺诈金额特别巨大、欺诈手段隐蔽性强、欺诈违法惩戒力度小、欺诈受害者众多等。本文深入分析证券欺诈现象，以及证券欺诈现象的政府监管中的问题，如政府监管主体不明确，缺乏证券欺诈的具体监管依据，证监会监管效率低，，对证监会的权力监督缺位等。针对以上问题，借鉴国内外有益经验，尝试提出完善我国证券欺诈现象监管的法律法规、明确证券欺诈现象监管主体的职能定位、加强证券欺诈现象的政府监管实效、强化证券欺诈现象政府监管的监督等对策建议，进一步完善证券欺诈的政府监管机制，提高证监会稽查执法效率，构建和谐稳定的投资环境，促进我国证券市场不断繁荣发展。
[Abstract]:The stock market is an important part of national economic development, and the stock market is a barometer of economic development. Through the securities market enterprises can expand the financing scale and get rapid development; investors can use the stock market to obtain dividends and bonuses. At present, China's securities market is not mature, bad phenomena occur from time to time, such as issuing fraud, manipulating stock market, insider trading, cheating customers and so on. Once the supervision of securities fraud is weak, it will interfere with the income distribution system of the country, greatly destroy the confidence of investors, and affect the positive effect of the securities market on the economic development. In the supervision of securities fraud, CSRC, as the main body of government supervision, is the first responsible person in government supervision. It is of great significance to study how the government can supervise securities fraud from the angles of prevention, supervision and punishment. At present, the phenomenon of securities fraud in China presents a new development trend. For example, the amount of fraud is very large, the fraud means are hidden, the punishment of fraud is small, the victims of fraud are numerous, and so on. This paper deeply analyzes the phenomenon of securities fraud and the problems in the government supervision of securities fraud, such as the unclear subject of government supervision, the lack of specific regulatory basis for securities fraud, and the low efficiency of supervision by CSRC. The absence of supervision of the power of the CSRC. In view of the above problems, this paper tries to improve the laws and regulations of securities fraud supervision in China, make clear the functional orientation of the main body of securities fraud supervision, and strengthen the actual effect of government supervision of securities fraud. To strengthen the supervision of government supervision of securities fraud, to further improve the government supervision mechanism of securities fraud, to improve the efficiency of inspection and law enforcement, to build a harmonious and stable investment environment, and to promote the continuous prosperity and development of China's securities market.
【学位授予单位】：南京工业大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.287
本文编号：2372871
[Abstract]:The stock market is an important part of national economic development, and the stock market is a barometer of economic development. Through the securities market enterprises can expand the financing scale and get rapid development; investors can use the stock market to obtain dividends and bonuses. At present, China's securities market is not mature, bad phenomena occur from time to time, such as issuing fraud, manipulating stock market, insider trading, cheating customers and so on. Once the supervision of securities fraud is weak, it will interfere with the income distribution system of the country, greatly destroy the confidence of investors, and affect the positive effect of the securities market on the economic development. In the supervision of securities fraud, CSRC, as the main body of government supervision, is the first responsible person in government supervision. It is of great significance to study how the government can supervise securities fraud from the angles of prevention, supervision and punishment. At present, the phenomenon of securities fraud in China presents a new development trend. For example, the amount of fraud is very large, the fraud means are hidden, the punishment of fraud is small, the victims of fraud are numerous, and so on. This paper deeply analyzes the phenomenon of securities fraud and the problems in the government supervision of securities fraud, such as the unclear subject of government supervision, the lack of specific regulatory basis for securities fraud, and the low efficiency of supervision by CSRC. The absence of supervision of the power of the CSRC. In view of the above problems, this paper tries to improve the laws and regulations of securities fraud supervision in China, make clear the functional orientation of the main body of securities fraud supervision, and strengthen the actual effect of government supervision of securities fraud. To strengthen the supervision of government supervision of securities fraud, to further improve the government supervision mechanism of securities fraud, to improve the efficiency of inspection and law enforcement, to build a harmonious and stable investment environment, and to promote the continuous prosperity and development of China's securities market.
【学位授予单位】：南京工业大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.287
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