证券中介机构诚信建设问题研究

发布时间：2018-02-26 17:03

本文关键词： 证券市场证券中介机构诚信建设　出处：《河北大学》2013年硕士论文　论文类型：学位论文

【摘要】：证券经济是市场经济的晴雨表，公平、有序、稳定的证券市场是国家经济发展的重要保证和显著标志。证券中介机构作为连接证券投资人与筹资人的桥梁，是证券市场运行的组织系统，证券中介机构能否承担其应有的诚信义务是一个证券市场成熟与否的标志。证券中介机构以其信用服务于社会，诚信是其经营活动的基本准则。证券中介机构的信用是“信用中的信用”，诚信是其最重要的资本。证券中介机构不同于其他企业，它不是价格的竞争，而是信息的准确性、真实性和客观性的竞争。它既是诚信制度的维护者，又是诚信制度的实践者，在证券市场中至关重要。然而自从美国安然事件以来，证券中介机构暴露出来了种种问题，这些问题给证券经济相对完善的美国敲响了警钟，也给正处于证券市场发展时期的我国敲响了警钟。在我国的证券市场中，证券中介机构同样存在着独立性不强，失信成本不高，处罚力度不够，缺乏完善的证券信用制度等问题。证券中介机构不但没有成为证监会所希望的“监管助手”，很多甚至变成了欺诈违规者的“伙伴”和策划、执行者。因此，加强证券市场中介机构诚信建设是我们急需解决的一个现实问题，证券中介机构诚信了才能更好的服务于证券市场，才能推动证券市场的诚信。本文对证券中介机构的诚信理论进行了详细的阐述，之后又对我国证券市场上证券中介机构失信的危害及表现进行了分析，在对此进行分析的基础上得出了我国证券中介机构失信的原因所在。找出原因后关键的是对症下药，，解决问题，文章有针对性的对美国证券市场上关于诚信的各种做法和规范进行研究，研究的目的就是借鉴美国的先进经验，外为我用，为我国完善证券中介机构诚信建设提供可以借鉴的可行做法。在综合考虑我国的现实情况和美国的相关制度过程中，本文系统的提出了关于如何建立健全我国证券中介机构诚信建设的对策和路径希望对证券市场的诚信发展提供些许帮助。
[Abstract]:The securities economy is a barometer of the market economy. A fair, orderly and stable securities market is an important guarantee and a remarkable symbol of the country's economic development. It is an organizational system for the operation of the securities market. Whether the securities intermediary institution can undertake its due obligation of good faith is a sign of whether the securities market is mature or not. The securities intermediary institution serves the society with its credit. Good faith is the basic criterion of its business activities. The credit of securities intermediary is "credit in credit", and credit is its most important capital. The securities intermediary is different from other enterprises, it is not the competition of price, but the accuracy of information. The competition of authenticity and objectivity. It is not only the defender of honesty system, but also the practitioner of good faith system, which is of great importance in the securities market. However, since the Enron incident in the United States, the securities intermediary organizations have exposed various problems. These problems have sounded alarm bells for the United States, where the securities economy is relatively perfect, and also for China, which is in the period of development of the securities market. In our country's securities market, there is also a lack of independence of securities intermediary organizations. The cost of dishonesty is not high, the punishment is not enough, and there is a lack of a sound securities credit system. Instead of becoming the "regulatory assistant" that the Securities Regulatory Commission wants, securities intermediaries have even become "partners" and planners of fraud violators. Therefore, strengthening the construction of securities market intermediaries is a practical problem that we urgently need to solve. Only when securities intermediaries can better serve the securities market, can we promote the integrity of the securities market. This paper expounds the theory of honesty and credit of securities intermediary in detail, and then analyzes the harm and performance of dishonesty of securities intermediary in our country's securities market. On the basis of the analysis of this, the reasons for the discredit of securities intermediary organizations in China are obtained. After finding out the reasons, the key is to give the right remedy to solve the problem. The purpose of this study is to learn from the advanced experience of the United States and to use it for our own use. In the process of synthetically considering the reality of our country and the related system of the United States, we can learn from the practice of perfecting the credit construction of securities intermediary organization in our country. This paper systematically puts forward the countermeasures and paths on how to establish and perfect the credit construction of securities intermediary institutions in our country hoping to provide some help for the development of the integrity of the securities market.
【学位授予单位】：河北大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287

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