本文選題：國際證監(jiān)會組織　切入點：跨國監(jiān)管網(wǎng)　出處：《西南政法大學(xué)》2011年碩士論文

【摘要】：國際證監(jiān)會組織是最主要的證券監(jiān)管國際組織,其成員來自全世界一百多個國家和地區(qū),監(jiān)管著全球95%以上的資本市場。國際證監(jiān)會組織在國際證券監(jiān)管中起著巨大的作用,為促進(jìn)國際監(jiān)管合作做出了很大的努力,發(fā)布了大量的決議和報告,尤其是《證券監(jiān)管的目標(biāo)和原則》和《多邊諒解備忘錄》,為提高各國的證券監(jiān)管水平和促進(jìn)國際合作打擊證券欺詐起到了至關(guān)重要的作用。國際證監(jiān)會組織極大地影響著證券監(jiān)管國際準(zhǔn)則的發(fā)展,被認(rèn)為是證券市場的國際標(biāo)準(zhǔn)制定者。 國際證監(jiān)會組織不是一個正式的國際組織,而是一個“跨國監(jiān)管網(wǎng)”。它的這種性質(zhì)決定了其特有的運(yùn)作方式與監(jiān)管模式。國際證監(jiān)會組織制定的規(guī)則對其成員是沒有約束力的,但它的成員都承諾在各自的管轄區(qū)內(nèi)盡最大的努力確保遵守組織的規(guī)則。這種沒有約束力,沒有強(qiáng)制性的規(guī)則體現(xiàn)出了國際證監(jiān)會組織“跨國監(jiān)管網(wǎng)”的靈活性。 深入研究國際證監(jiān)會組織有助于我們了解證券監(jiān)管的國際現(xiàn)狀與趨勢,對我國提高監(jiān)管水平和加強(qiáng)監(jiān)管的國際合作都將產(chǎn)生重大的影響。我國在1995年加入了國際證監(jiān)會組織,透徹地了解國際證監(jiān)會組織的運(yùn)作方式、取得的成就和局限性等方方面面,都對我國開展在國際證監(jiān)會組織的工作大有裨益,有利于我國積極地參與國際證監(jiān)會組織的活動,影響證券監(jiān)管的國際規(guī)則以及增加國際話語權(quán)。同時,對國際證監(jiān)會組織的研究也會對其他的非正式國際組織產(chǎn)生借鑒作用,有利于國際組織的發(fā)展。 本文采用了歷史分析法、理論分析法,規(guī)范研究與實證分析相結(jié)合的方法,抓住國際證監(jiān)會組織“跨國監(jiān)管網(wǎng)”的特征,研究了其歷史發(fā)展和基本的運(yùn)作情況、監(jiān)管的內(nèi)容與方式、重要規(guī)范性文件,即取得的成就,其規(guī)則的軟法性效力,其在國際證券監(jiān)管領(lǐng)域的局限和效力,以及對我國產(chǎn)生的影響。本文分為五個部分: 第一部分對國際證監(jiān)會組織作了基本的介紹,概述了其歷史發(fā)展,會員類別及入會程序,組織結(jié)構(gòu)和其“跨國監(jiān)管網(wǎng)”的特征。 第二部分闡述了國際證監(jiān)會組織的監(jiān)管內(nèi)容和方式。國際證監(jiān)會組織的監(jiān)管范圍非常廣泛,涉及到了證券市場的各個方面,本部分列舉了其具體監(jiān)管的幾個問題。國際證監(jiān)會組織的監(jiān)管是不具有強(qiáng)制性的,主要是通過發(fā)布報告,制定準(zhǔn)則,再由其成員轉(zhuǎn)化為國內(nèi)法的方式達(dá)到其監(jiān)管目的。 第三部分研究了國際證監(jiān)會組織的兩個重要性文件《證券監(jiān)管的目標(biāo)和原則》和《多邊諒解備忘錄》,這是國際證監(jiān)會組織成立以來取得的最大成就。這兩個文件對提高各國的證券監(jiān)管水平,促進(jìn)國際合作打擊證券欺詐起到了舉足輕重的作用。 第四部分揭示了國際證監(jiān)會組織規(guī)則的軟法效力,并分析了其采用軟法的原因及結(jié)果,軟法性規(guī)則映射出了國際證監(jiān)會組織的非正式性和靈活性。 第五部分從國際證監(jiān)會組織的“跨國監(jiān)管網(wǎng)”特征方面分析了其局限與效力,研究了它所面臨的國內(nèi)限制和國際合作問題,并就此論述了其有效及失效的情形。第六部分闡述了國際證監(jiān)會組織對我國產(chǎn)生的影響,并且對我國參與國際證監(jiān)會組織的活動提出了建議。
[Abstract]:IOSCO is the main international securities regulatory organization, its members from more than 100 countries and regions around the world, more than 95% of global regulatory capital market. IOSCO plays an important role in the supervision of international securities, make great efforts to promote international cooperation in financial supervision, issued a resolution and the report, especially the securities regulatory objectives and principles of the < > and < > multilateral memorandum of understanding, in order to improve the national securities regulatory standards and the promotion of international cooperation is essential to the fight against securities fraud. IOSCO greatly affects the development of international standards of securities regulation, it is thought to develop the securities market the international standard.
IOSCO is not a formal international organization, but a "transnational regulatory network". The nature of its unique mode of operation and supervision mode. IOSCO rules are not binding on its members, but its members are committed to the utmost efforts to ensure compliance with the organization the rules in their jurisdiction. This is not binding, no mandatory rules reflect the IOSCO "transnational regulatory network flexibility.
Study IOSCO helps us to understand the current situation and trend of international securities regulation in China, to improve the level of supervision and strengthen international cooperation on supervision will have a significant impact. In 1995 China joined the international organization of Securities Commissions, a thorough understanding of the IOSCO mode of operation, achievements and limitations we have all aspects of our country to carry out the work to be of great advantage IOSCO, is conducive to China's active participation in international activities organized by the Commission, the international rules of securities regulation and increasing the international discourse power. At the same time, will also have reference to the informal with other international organizations in international studies IOSCO, conducive to the development of international organizations.
This paper uses the method of historical analysis, theoretical analysis, normative research method and empirical analysis, to seize the International Commission Organization "international supervision network", and study its historical development and basic operation situation, contents and methods of supervision, important normative documents, namely the achievements of soft law the effectiveness of the rules, the International Securities Supervision in the field of limitation and effectiveness, and the influence to our country. This paper is divided into five parts:
The first part gives a brief introduction to the organization of the international securities and Futures Commission, and outlines its historical development, membership categories and membership procedures, organizational structure and characteristics of its "transnational regulatory network".
The second part elaborates the IOSCO supervision contents and methods. The IOSCO regulation range is very wide, involving all aspects of the securities market, this part lists the problems of the specific supervision. IOSCO regulation is not mandatory, mainly through the report standard setting, and then by its members into domestic law way to achieve the purpose of regulation.
The third part of the international organization of the Commission's two importance of document the objectives and principles of securities regulation < > and < > multilateral memorandum of understanding, which is the greatest achievement of international organization since the establishment of the Commission made. These two documents to improve the securities supervision level, to promote international cooperation in the fight against securities fraud played a pivotal role.
The fourth part reveals the soft law effect of the rules of the International Securities Regulatory Commission, and analyzes the reasons and results of the adoption of the soft law. The soft law rules reflect the informality and flexibility of the International Securities Regulatory Commission.
The fifth part from the international organization of Securities Commissions "transnational supervision network" characteristic analysis of its limitations and the effect of the problems it faces restrictions on domestic and international cooperation, and discusses its effective and failure situation. The sixth part expounds the IOSCO impacts on China, and to me China's participation in international activities organized by the Commission put forward suggestions.

【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】：2011
【分類號】：D996.2;F831.51

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本文編號：1718974