發(fā)布時(shí)間：2018-03-10 22:22

  本文選題：IOSCO　切入點(diǎn)：證券監(jiān)管　出處：《遼寧大學(xué)》2017年碩士論文　論文類型：學(xué)位論文

【摘要】：隨著國際經(jīng)濟(jì)一體化的不斷深入,證券市場的國際化水平不斷提高,各個(gè)國家和地區(qū)的跨境證券交易越來越多。隨之而來的就是各種各樣的證券市場的內(nèi)幕交易、市場操縱、證券欺詐等違法犯罪行為,國際證券的跨國性,使得國際證券監(jiān)管問題越來越復(fù)雜。再加上不同國家和地區(qū)的證券市場的發(fā)達(dá)程度參差不齊、證券監(jiān)管法律各有不同、證券監(jiān)管機(jī)構(gòu)的監(jiān)管水平不一,以致任何一個(gè)國家和地區(qū)都無法單獨(dú)應(yīng)對(duì)這些全球性的監(jiān)管難題。所以,不同國家和地區(qū)的證券監(jiān)管機(jī)構(gòu)必須加強(qiáng)彼此的合作與協(xié)調(diào)。國際證監(jiān)會(huì)組織(以下簡稱IOSCO)在國際證券監(jiān)管中的地位最重要、成效最顯著。因?yàn)?國際證監(jiān)會(huì)組織是由各國和地區(qū)的證券監(jiān)管機(jī)構(gòu)組成的跨國監(jiān)管網(wǎng),屬于非正式的國際組織。它自成立以來,制定、發(fā)行了無數(shù)的原則、標(biāo)準(zhǔn)、決議、建議、報(bào)告等規(guī)范性軟法規(guī)則,這些規(guī)則對(duì)單個(gè)國家不足以應(yīng)對(duì)的全球性證券監(jiān)管難題提供了解決方案。所以,對(duì)IOSCO的充分研究,可以使中國充分利用IOSCO這一平臺(tái),加強(qiáng)中國與其他國家的證券監(jiān)管機(jī)構(gòu)合作。本文主要采用了歷史分析法、理論分析法,規(guī)范研究與實(shí)證分析相結(jié)合的方法。以國際證監(jiān)會(huì)組織“跨國監(jiān)管網(wǎng)”的特征為切入點(diǎn),對(duì)國際證監(jiān)會(huì)組織的內(nèi)部結(jié)構(gòu)、規(guī)則、執(zhí)行機(jī)制進(jìn)行透徹的分析。希望中國可以充分發(fā)揮IOSCO結(jié)構(gòu)和規(guī)則的優(yōu)勢(shì),規(guī)避其不足,提高中國在國際證券監(jiān)管中的地位。筆者通過對(duì)中國在IOSCO中的地位的分析,著重提出中國應(yīng)采取的對(duì)策。具體的應(yīng)對(duì)措施是:第一,增加中國在IOSCO中的會(huì)員數(shù)量,打破發(fā)達(dá)國家的壟斷:(1)鼓勵(lì)中國的非正式證券監(jiān)管機(jī)構(gòu)加入IOSCO,必要時(shí),對(duì)他們給予技術(shù)上和資金等方面的支持,幫助它們順利完成IOSCO關(guān)于《原則》執(zhí)行情況的報(bào)告,從而增加中國在聯(lián)系會(huì)員和附屬會(huì)員中的比重;(2)賦予與證券監(jiān)管相關(guān)的自律性組織更多的監(jiān)管權(quán)限,鼓勵(lì)它們積極加入IOSCO,成為IOSCO的附屬會(huì)員;第二,提高中國在IOSCO的話語權(quán):(1)充分發(fā)揮協(xié)商一致的決策機(jī)制的優(yōu)勢(shì),提高中國在IOSCO規(guī)則制定中的話語權(quán);(2)中國證監(jiān)會(huì)應(yīng)該積極參與IOSCO的活動(dòng),逐步提高其在處理全球性證券監(jiān)管事務(wù)中的話語權(quán)。
[Abstract]:With the deepening of international economic integration, the level of internationalization of the securities market has been continuously improved, and more and more cross-border securities transactions have been carried out in various countries and regions. This has been followed by insider trading and market manipulation in various securities markets. The transnational nature of international securities, such as securities fraud, makes the problem of international securities supervision more and more complicated. In addition, different countries and regions have different levels of development of securities markets, and the securities regulatory laws are different. The regulatory level of securities regulators varies so that no country or region can deal with these global regulatory challenges alone. The securities regulators of different countries and regions must strengthen their cooperation and coordination with each other. The International Organization of Securities Regulatory Commission (IOSCO) is the most important and the most effective in international securities regulation. The International Organization of Securities Regulatory Commission (CSRC) is a transnational regulatory network composed of securities regulatory agencies of various countries and regions. It is an informal international organization. Since its establishment, it has formulated and issued numerous principles, standards, resolutions, recommendations, Normative soft law rules, such as reporting, provide solutions to global securities regulatory challenges that individual countries cannot cope with. Therefore, a full study of IOSCO will enable China to take full advantage of the IOSCO platform. Strengthening the cooperation between China and other countries' securities regulatory institutions. This paper mainly adopts the methods of historical analysis, theoretical analysis, normative research and empirical analysis. The starting point is the characteristics of the International Organization of Securities Regulatory Commission's "transnational regulatory network". This paper makes a thorough analysis of the internal structure, rules and enforcement mechanism of the International Organization of Securities Regulatory Commission. It is hoped that China can give full play to the advantages of the structure and rules of the IOSCO and avoid its shortcomings. Through the analysis of China's position in IOSCO, the author puts forward the countermeasures that China should take. The specific countermeasures are as follows: first, to increase the number of China's members in IOSCO, Breaking the Monopoly of developed countries: 1) encourage China's informal securities regulators to join IOSCO and, if necessary, give them technical and financial support to help them successfully complete the IOSCO report on the implementation of the principles. This will increase the proportion of associate members and affiliated members in China) and give more regulatory powers to self-regulatory organizations related to securities regulation, and encourage them to actively join IOSCO and become affiliated members of the IOSCO; second, Enhancing China's right of speech in the IOSCO: 1) giving full play to the advantages of the consensus decision-making mechanism, and enhancing the voice of China in the formulation of the IOSCO rules the CSRC should take an active part in the activities of the IOSCO. Gradually improve its voice in dealing with global securities regulatory affairs.
【學(xué)位授予單位】：遼寧大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類號(hào)】：D996.1

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