证券市场法律监管模式研究

发布时间：2018-04-18 00:31

本文选题：证券市场 + 法律　；参考：《中国政法大学》2001年硕士论文

【摘要】： 证券监管一直是各国证券业发展中极其重要的问题，被誉为“无烟产业”的证券市场具有优化资源配置、促进产业结构调整和转换企业经营机制、巩固和增强公有制经济的主体地位等积极作用，而促进这些功能正常发挥的前提条件是证券市场规范化和法制化发展。为此，国务院将“法制、监督、自律、规范”八字方针确立为我国证券市场的基本指导方针。本文首先论述证券市场法律监管的必要性，接着对我国《证券法》颁布前后证券监管模式进行了简析和评价，同时提出应确立新的证券监管模式这一理论问题,并在此基础上对之进行研究。在第四章中，作者试图从新的双重监管模式角度来探索对证券业的全面法律监管，，以期充分发挥证监会、证交所和证券业协会的主动性、高效性，并同时对我国证券法未规定而现实又亟须法律监管的场外交易和证券跨国发行、交易作了初步研究。在结论部分，笔者重申：对于证券法律监管这一永恒主题，我们应立足我国国情和实际,借鉴各国目前可行的先进经验，形成有中国特色的证券法律监管模式，以保证我国证券业的健康、稳定、有序的发展。
[Abstract]:Securities supervision has always been an extremely important issue in the development of securities industry in various countries. The securities market, known as "smokeless industry", has the advantages of optimizing the allocation of resources, promoting the adjustment of industrial structure and changing the management mechanism of enterprises.To consolidate and strengthen the dominant position of the public ownership economy and other positive roles, the prerequisite for promoting the normal performance of these functions is the standardization and legalization of the securities market.Therefore, the State Council has established the "legal system, Supervision, Self-discipline and Standardization" as the basic guidelines for China's securities market.This paper first discusses the necessity of the legal supervision of the securities market, then makes a brief analysis and evaluation of the mode of securities supervision before and after the promulgation of the Securities Law in China. At the same time, it puts forward the theoretical question that a new model of securities supervision should be established.And on the basis of the study.In the fourth chapter, the author tries to explore the comprehensive legal supervision of the securities industry from the perspective of the new dual regulatory model, in order to give full play to the initiative and efficiency of the Securities Regulatory Commission, the Stock Exchange and the Securities Industry Association.At the same time, the paper makes a preliminary study on the over-the-counter trading and cross-border securities issuance, which are not stipulated in China's securities law and are in urgent need of legal supervision.In the conclusion part, the author reiterates: for the eternal theme of securities legal supervision, we should base ourselves on the national conditions and the reality of our country, draw lessons from the current feasible advanced experience of various countries, and form the securities legal supervision mode with Chinese characteristics.In order to ensure the healthy, stable and orderly development of China's securities industry.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2001
【分类号】：D917

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