论我国证券监管体制的改革与框架

发布时间：2018-06-02 23:01

本文选题：证券市场发展 + 证券监管体制　；参考：《辽宁师范大学》2013年硕士论文

【摘要】：20世纪20年代末的经济大危机首先爆发于证券市场，宣告了自由放任主义的结束，凯恩斯的国家干预经济学代替了亚当·斯密的自由放任主义。经济危机也是现代金融监管不善形成的，使各国意识到制定并实施严格的证券市场监管法律制度的必要性。我国的证券监管机构初期是由中国人民银行金融管理司负责监管，国家经济体制改革委员会等政府机构，上海、深圳证券交易所当地政府共同参与管理，，上海、深圳颁布了证券市场监管法规，建立了地方性的监管机构。现今的证券监管体制和机构是经过几年的发展和重大改革，形成了如今的中国证券监督管理委员会及其派出机构。伴随着新《证券法》的颁布，我国证券市场监管体制建设进入了新的阶段。证券市场作为资本市场的一部分，发挥着筹集资金的巨大作用，而且是一种长期性、持续性的筹资市场，促进资源的合理流动。证券市场的存在能够进一步规范上市公司，促进上市公司的良性发展，股市是经济行情的晴雨表，及时反映宏观的经济状况。多年来，证券市场发展的经验教训表明，市场与市场主体的成熟与否与证券监管的成熟与否是相辅相成的。本文从我国证券市场以及监管体制的发展入手，结合前人的研究理论及成果，并借鉴了世界范围内证券监管体制的基本模式，从历史背景、社会发展等方面进行了系统的阐述，分析我国现行证券监管体制的发展、现状与不足，提出了改善证券监管体制的几点建议，以期对证券监管体制改革实践有所裨益。行文有诸多不妥之处，恳请各位领导老师予以批评指正！
[Abstract]:The economic crisis in the late 1920s first broke out in the stock market and declared the end of laissez-faire. Keynes' state intervention economics replaced Adam Smith's laissez-faire. The economic crisis is also the result of modern financial supervision, which makes countries realize the necessity of establishing and implementing strict legal system of securities market supervision. Initially, the securities regulatory bodies in China were supervised by the Financial Management Department of the people's Bank of China, the State Economic system Reform Commission and other government agencies, and the local governments of the Shanghai and Shenzhen Stock exchanges jointly participated in the management, Shanghai, Shenzhen has promulgated regulations and regulations governing the securities market and established local regulatory bodies. After several years of development and major reform, the current securities regulatory system and institutions have formed the China Securities Regulatory Commission and its field offices. With the promulgation of the new Securities Law, China's securities market regulatory system has entered a new stage. As a part of capital market, securities market plays a great role in raising funds, and it is a kind of long-term and sustainable financing market, which promotes the rational flow of resources. The existence of the stock market can further standardize the listed companies and promote the benign development of the listed companies. The stock market is the barometer of the economic market and reflects the macroeconomic situation in time. Over the years, the experience and lessons of the development of the securities market show that the maturity of the market and the main body of the market and the maturity of the securities supervision complement each other. This paper starts with the development of our country's securities market and supervision system, combines the previous research theories and achievements, and draws lessons from the basic model of the securities supervision system in the world, from the historical background, the social development and so on, has carried on the systematic elaboration, and has carried on the system elaboration from the historical background, the social development and so on. This paper analyzes on the development, present situation and deficiency of the current securities supervision system in China, and puts forward some suggestions for improving the securities supervision system in order to benefit the reform practice of the securities supervision system. There are a lot of errors in the writing, please be criticized by the leading teachers to correct!
【学位授予单位】：辽宁师范大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F832.51

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