本文關(guān)鍵詞：國際證券監(jiān)管的雙邊合作研究　出處：《西南政法大學(xué)》2013年碩士論文　論文類型：學(xué)位論文

  更多相關(guān)文章： 國際證券監(jiān)管雙邊合作 雙邊諒解備忘錄 司法互助協(xié)定 多法域信息披露制度

【摘要】：20世紀(jì)80年代以來，隨著網(wǎng)絡(luò)信息技術(shù)的快速發(fā)展，經(jīng)濟(jì)全球化的進(jìn)程不斷深入，促進(jìn)了資本要素在世界范圍內(nèi)自由流動(dòng)和優(yōu)化配置。在此背景下，發(fā)達(dá)國家逐步放松對金融市場的管制，發(fā)展中國家逐步開放本國證券市場，證券市場國際化成為了世界金融市場發(fā)展的必然趨勢。證券市場的國際化在促進(jìn)金融發(fā)展和經(jīng)濟(jì)繁榮的同時(shí)，也引起金融風(fēng)險(xiǎn)的國際傳遞、跨境證券信息的不對稱和國際證券違法犯罪行為的增加，給各國的證券監(jiān)管帶來了嚴(yán)峻挑戰(zhàn)。因此，如何加強(qiáng)國際證券監(jiān)管的合作，限制和避免證券國際化帶來的消極影響是世界各國和地區(qū)共同面臨的問題。各國和地區(qū)主要采取了雙邊合作、區(qū)域性合作和全球性合作三種證券監(jiān)管合作模式，其中，，雙邊合作模式因方式靈活多樣、內(nèi)容涵蓋豐富等特點(diǎn)，成為國際證券監(jiān)管合作中最基礎(chǔ)、最重要的模式。為此，筆者選擇國際證券監(jiān)管的雙邊合作作為本文的研究對象，通過對世界各國主要采用的三種雙邊合作方式進(jìn)行簡析，并對比美國的監(jiān)管合作實(shí)踐經(jīng)驗(yàn)，試圖結(jié)合中國國際證券監(jiān)管雙邊合作的現(xiàn)狀，提出完善中國國雙邊合作的具體建議，從而加強(qiáng)中國同其他國家及地區(qū)的證券監(jiān)管雙邊合作，保障中國證券市場的平穩(wěn)開放和繁榮發(fā)展。 全文約三萬五千字，除引言和致謝外，共分為六個(gè)部分： 第一部分對國際證券監(jiān)管雙邊合作進(jìn)行了概述。首先介紹了證券市場國際化的產(chǎn)生，由于其帶來的消極影響，各國和地區(qū)有必要進(jìn)行國際證券監(jiān)管合作。其次概述了國際證券監(jiān)管合作的必要性及合作的三種模式。最后，筆者確定了本文研究對象，即國際證券監(jiān)管雙邊合作這一最基礎(chǔ)、最常見的合作模式，并分析了雙邊合作須達(dá)到的目標(biāo)。 第二部分從法學(xué)和經(jīng)濟(jì)學(xué)兩個(gè)角度剖析了國際證券監(jiān)管合作的相關(guān)理論，該基本理論同樣適用于國際證券監(jiān)管雙邊合作，該部分的理論分析對本文的研究具有重要意義。 第三部分、第四部分和第五部分對世界各國和地區(qū)主要采用的國際證券監(jiān)管雙邊合作的三種方式，即雙邊諒解備忘錄、司法互助協(xié)定和多法域信息披露制度進(jìn)行簡析，分析在其合作中所存在的問題，并通過對比美國證券監(jiān)管雙邊合作的實(shí)踐經(jīng)驗(yàn)得出小結(jié)，為后文完善中國國際證券監(jiān)管的雙邊合作提供了借鑒。 第六部分提出完善中國國際證券監(jiān)管雙邊合作的建議。本部分首先闡述了中國證券監(jiān)管雙邊合作的現(xiàn)狀，對中國當(dāng)前所存在的問題進(jìn)行了分析，并從完善合作法律法規(guī)、提高合作有效性、拓寬合作方式和借鑒合作理論經(jīng)驗(yàn)四個(gè)方面提出完善中國國際證券監(jiān)管雙邊合作的具體建議。
[Abstract]:Since 1980s, with the rapid development of network information technology, the process of economic globalization has been deepening, which has promoted the free flow and optimal allocation of capital elements in the world. Developed countries gradually deregulated financial markets and developing countries gradually opened up their own securities markets. The internationalization of the securities market has become an inevitable trend of the development of the world financial market. The internationalization of the securities market not only promotes the financial development and economic prosperity, but also causes the international transmission of financial risks. The asymmetry of cross-border securities information and the increase of international securities illegal and criminal acts have brought serious challenges to the securities supervision of various countries. Therefore, how to strengthen the cooperation of international securities regulation. Limiting and avoiding the negative impact of securities internationalization is a common problem facing all countries and regions in the world. Countries and regions mainly adopt three modes of securities regulatory cooperation: bilateral cooperation, regional cooperation and global cooperation. Among them, the bilateral cooperation model has become the most basic and important model in international securities regulatory cooperation because of its flexible mode and rich content. The author chooses the bilateral cooperation of international securities regulation as the research object of this paper, through the analysis of three kinds of bilateral cooperation mainly adopted by countries in the world, and compares the practical experience of regulatory cooperation in the United States. Based on the current situation of bilateral cooperation in China's international securities regulation, this paper puts forward some concrete suggestions on how to improve bilateral cooperation between China and other countries and regions in order to strengthen bilateral cooperation in securities regulation. To ensure the smooth opening and prosperous development of China's securities market. The full text is about 35,000 words, in addition to the introduction and thanks, a total of six parts: The first part gives an overview of bilateral cooperation in international securities regulation. Firstly, it introduces the emergence of the internationalization of the securities market, due to its negative impact. It is necessary for countries and regions to cooperate in international securities supervision. Secondly, the necessity and three modes of international securities regulatory cooperation are summarized. Finally, the author determines the research object of this paper. That is, the most basic and most common cooperation mode of international securities regulation bilateral cooperation, and the analysis of bilateral cooperation must reach the goal. The second part analyzes the relevant theories of international securities regulatory cooperation from the angles of law and economics, and the basic theory is also applicable to the bilateral cooperation of international securities regulation. The theoretical analysis of this part is of great significance to the study of this paper. The third part, part 4th and part 5th mainly adopt three ways of bilateral cooperation in international securities regulation, namely bilateral memorandum of understanding. Mutual legal Assistance Agreement and Multi-jurisdiction Information Disclosure system are briefly analyzed, the problems in their cooperation are analyzed, and a summary is drawn by comparing the practical experience of bilateral cooperation in securities regulation in the United States. It provides a reference for improving bilateral cooperation in China's international securities regulation. Part 6th puts forward suggestions to improve bilateral cooperation in China's international securities regulation. Firstly, this part describes the current situation of bilateral cooperation in China's securities regulation, and analyzes the existing problems in China. From four aspects of perfecting the laws and regulations of cooperation, enhancing the effectiveness of cooperation, broadening the cooperation mode and drawing lessons from the cooperation theory and experience, the paper puts forward some concrete suggestions on how to perfect the bilateral cooperation in China's international securities supervision.
【學(xué)位授予單位】：西南政法大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2013
【分類號】：D996.2

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